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Andrew Jackson (March 15, 1767 – June 8, 1845) was an American lawyer, planter, general, and statesman who served as the seventh president of the United States from 1829 to 1837. Before being elected to the presidency, he gained fame as a general in the U.S. Army and served in both houses of the U.S. Congress. Although often praised as an advocate for ordinary Americans and for his work in preserving the union of states, Jackson has also been criticized for his racial policies, particularly his treatment of Native Americans.
Jackson was born in the colonial Carolinas before the American Revolutionary War. He became a frontier lawyer and married Rachel Donelson Robards. He briefly served in the U.S. House of Representatives and the U.S. Senate, representing Tennessee. After resigning, he served as a justice on the Tennessee Supreme Court from 1798 until 1804. Jackson purchased a property later known as the Hermitage, becoming a wealthy planter who owned hundreds of African American slaves during his lifetime. In 1801, he was appointed colonel of the Tennessee militia and was elected its commander the following year. He led troops during the Creek War of 1813–1814, winning the Battle of Horseshoe Bend. The subsequent Treaty of Fort Jackson required the indigenous Creek population to surrender vast tracts of present-day Alabama and Georgia. In the concurrent war against the British, Jackson's victory at the Battle of New Orleans in 1815 made him a national hero. He later commanded U.S. forces in the First Seminole War, which led to the annexation of Florida from Spain. Jackson briefly served as Florida's first territorial governor before returning to the Senate. He ran for president in 1824, winning a plurality of the popular and electoral vote, but no candidate won an electoral majority. In a contingent election, the House of Representatives elected John Quincy Adams with Henry Clay's support. Jackson's supporters alleged that there was a "corrupt bargain" between Adams and Clay and began creating their own political organization that would eventually become the Democratic Party.
Jackson ran again in 1828, defeating Adams in a landslide. In 1830, he signed the Indian Removal Act. This act, which has been described as ethnic cleansing, displaced tens of thousands of Native Americans from their ancestral homelands east of the Mississippi and resulted in thousands of deaths. Under Jackson, the integrity of the federal union was challenged when South Carolina threatened to nullify a high protective tariff set by the federal government. He threatened the use of military force to enforce the tariff, but the crisis was defused when it was amended. In 1832, he vetoed a bill by Congress to reauthorize the Second Bank of the United States, arguing that it was a corrupt institution that benefited the wealthy. After a lengthy struggle, he and his allies dismantled the Bank. In 1835, Jackson became the only president to pay off the national debt. He also survived the first assassination attempt on a sitting president. In one of his final presidential acts, he recognized the Republic of Texas.
In his retirement, Jackson stayed active in politics. He supported the presidencies of Martin Van Buren and James K. Polk, as well as the annexation of Texas, which was accomplished shortly before his death. Jackson's legacy remains controversial, and opinions on him are frequently polarized. Supporters characterize him as a defender of democracy and the Constitution, while critics point to his reputation as a demagogue who ignored the law when it suited him. Scholars and historians have consistently ranked Jackson's presidency as significantly above-average, although his reputation among experts has declined since the late 20th century.
Early life and education
Andrew Jackson was born on March 15, 1767, in the Waxhaws region of the Carolinas. His parents were Scots-Irish colonists Andrew Jackson and Elizabeth Hutchinson, Presbyterians who had emigrated from Ulster, Ireland, in 1765. Jackson's father was born in Carrickfergus, County Antrim, around 1738, and his ancestors had crossed into Northern Ireland from Scotland after the Battle of the Boyne in 1690. Jackson had two older brothers who came with his parents from Ireland, Hugh (born 1763) and Robert (born 1764).
Jackson's exact birthplace is unclear. Jackson's father died at the age of 29 in a logging accident while clearing land in February 1767, three weeks before his son Andrew was born. Afterwards, Elizabeth and her three sons moved in with her sister and brother-in-law, Jane and James Crawford. Jackson later stated that he was born on the Crawford plantation, which is in Lancaster County, South Carolina, but second-hand evidence suggests that he might have been born at another uncle's home in North Carolina.
When Jackson was young, Elizabeth thought he might become a minister and paid to have him schooled by a local clergyman. He learned to read, write, work with numbers, and was exposed to Greek and Latin, but he was too strong-willed and hot-tempered for the ministry.
Revolutionary War
Jackson and his older brothers, Hugh and Robert, served on the Patriot side against British forces during the American Revolutionary War. Hugh served under Colonel William Richardson Davie, dying from heat exhaustion after the Battle of Stono Ferry in June 1779. After anti-British sentiment intensified in the Southern Colonies following the Waxhaws Massacre in May 1780, Elizabeth encouraged Andrew and Robert to participate in militia drills. They served as couriers and scouts, and participated with Davie in the Battle of Hanging Rock in August 1780.
Andrew and Robert were captured in April 1781 when the British occupied the home of a Crawford relative. A British officer demanded to have his boots polished. Andrew refused, and the major slashed him with a sword, leaving him with scars on his left hand and head. Robert also refused and was struck a blow on the head. The brothers were taken to a prisoner-of-war camp in Camden, South Carolina, where they became malnourished and contracted smallpox. In late spring, the brothers were released to their mother in a prisoner exchange. Robert died two days after arriving home, but Elizabeth was able to nurse Andrew back to health. Once he recovered, Elizabeth volunteered to nurse American prisoners of war housed in British prison ships in the harbor of Charleston, South Carolina. She contracted cholera and died soon afterwards. The war not only made Jackson an orphan at age 14, but led him to despise values he associated with Britain, in particular aristocracy and political privilege.
Early career
Legal career and marriage
After the American Revolutionary War, Jackson worked as a saddler, briefly returned to school, and taught reading and writing to children. In 1784, he left the Waxhaws region for Salisbury, North Carolina, where he studied law under attorney Spruce Macay. He completed his training under John Stokes, and was admitted to the North Carolina bar in September 1787. Shortly thereafter, his friend John McNairy helped him get appointed as a prosecuting attorney in the Western District of North Carolina, which would later become the state of Tennessee. While traveling to assume his new position, Jackson stopped in Jonesborough. While there, he bought his first slave, a woman who was around his age. He also fought his first duel, accusing another lawyer, Waightstill Avery, of impugning his character. The duel ended with both men firing in the air.
Jackson began his new career in the frontier town of Nashville in 1788 and quickly moved up in social status. He became a protégé of William Blount, one of the most powerful men in the territory. Jackson was appointed attorney general of the Mero District in 1791 and judge-advocate for the militia the following year. He also got involved in land speculation, eventually forming a partnership with fellow lawyer John Overton. Their partnership mainly dealt with claims made under a "land grab" act of 1783 that opened Cherokee and Chickasaw territory to North Carolina's white residents.
While boarding at the home of Rachel Stockly Donelson, the widow of John Donelson, Jackson became acquainted with their daughter, Rachel Donelson Robards. The younger Rachel was in an unhappy marriage with Captain Lewis Robards, and the two were separated by 1789. After the separation, Jackson and Rachel became romantically involved, living together as husband and wife. Robards petitioned for divorce, which was granted on the basis of Rachel's infidelity. The couple legally married in January 1794. In 1796, they acquired their first plantation, Hunter's Hill, on of land near Nashville.
Early public career
Jackson became a member of the Democratic-Republican Party, the dominant party in Tennessee. He was elected as a delegate to the Tennessee constitutional convention in 1796. When Tennessee achieved statehood that year, he was elected to be its U.S. representative. In Congress, Jackson argued against the Jay Treaty, criticized George Washington for allegedly removing Democratic-Republicans from public office, and joined several other Democratic-Republican congressmen in voting against a resolution of thanks for Washington. He advocated for the right of Tennesseans to militarily oppose Native American interests. The state legislature elected him to be a U.S. senator in 1797, but he resigned after serving only six months.
Upon returning to Tennessee, Jackson was elected as a judge of the Tennessee superior court.
In 1802, he also became major general, or commander, of the Tennessee militia, a position that was determined by a vote of the militia's officers. The vote was tied between Jackson and John Sevier, a popular Revolutionary War veteran and former governor, but the governor, Archibald Roane, broke the tie in Jackson's favor. Jackson later accused Sevier of fraud and bribery. Sevier responded by impugning Rachel's honor, resulting in a shootout on a public street. Soon afterwards, they met to duel, but parted without having fired at each other.
Planting career and slavery
Jackson resigned his judgeship in 1804. He had almost gone bankrupt when the credit he used for land speculation collapsed in the wake of an earlier financial panic. He had to sell Hunter's Hill, as well as of land he bought for speculation, and bought a smaller plantation near Nashville that he would call the Hermitage. He focused on recovering from his losses by becoming a successful planter and merchant. The Hermitage would grow to , making it one of the largest cotton-growing plantations in the state.
Like most planters in the Southern United States, Jackson used slave labor. In 1804, Jackson had nine African American slaves; by 1820, he had over 100; and by his death in 1845, he had over 150. Over his lifetime, he owned a total of 300 slaves. Jackson subscribed to the paternalistic idea of slavery, which claimed that slave ownership was morally acceptable as long as slaves were treated with humanity and their basic needs were cared for. In practice, slaves were treated as a form of wealth whose productivity needed to be protected. Jackson directed harsh punishment for slaves who disobeyed or ran away. For example, in an 1804 advertisement to recover a runaway slave, he offered "ten dollars extra, for every hundred lashes any person will give him" up to three hundred lashes—a number that would likely have been deadly. Jackson also participated in the local slave trade. Over time, his accumulation of wealth in both slaves and land placed him among the elite families of Tennessee.
Duel with Dickinson and adventure with Burr
In May 1806, Jackson fought a duel with Charles Dickinson. They had gotten into an argument over a horse race, and Dickinson allegedly uttered a slur against Rachel. During the duel, Dickinson fired first, and the bullet hit Jackson in the chest. The wound was not life-threatening because the bullet had shattered against his breastbone. Jackson returned fire and killed Dickinson. The killing tarnished Jackson's reputation.
Later in the year, Jackson became involved in former vice president Aaron Burr's plan to conquer Spanish Florida and drive the Spanish from Texas. Burr, who was touring what was then the Western United States after mortally wounding Alexander Hamilton in a duel, stayed with the Jacksons at the Hermitage in 1805. He eventually persuaded Jackson to join his adventure. In October 1806, Jackson wrote James Winchester that the United States "can conquer not only [Florida], but all Spanish North America". He informed the Tennessee militia that it should be ready to march at a moment's notice "when the government and constituted authority of our country require it", and agreed to provide boats and provisions for the expedition. Jackson sent a letter to President Thomas Jefferson telling him that Tennessee was ready to defend the nation's honor.
Jackson also expressed uncertainty about the enterprise. He warned the Governor of Louisiana William Claiborne and Tennessee Senator Daniel Smith that some of the people involved in the adventure might be intending to break away from the United States. In December, Jefferson ordered Burr to be arrested for treason. Jackson, safe from arrest because of his extensive paper trail, organized the militia to capture the conspirators. He testified before a grand jury in 1807, implying that it was Burr's associate James Wilkinson who was guilty of treason, not Burr. Burr was acquitted of the charges.
Military career
War of 1812
Creek War
On June 18, 1812, the United States declared war on the United Kingdom. Though the War of 1812 was primarily caused by maritime issues, the war provided the white settlers on the southern frontier the opportunity to overcome Native American resistance to settlement, undermine British support of the Native American tribes, and pry Florida from the Spanish.
Jackson immediately offered to raise volunteers for the war, but he was not called to duty until after the United States military was repeatedly defeated in the American Northwest. After these defeats, in January 1813, Jackson enlisted over 2,000 volunteers, who were ordered to head to New Orleans to defend against a British attack. When his forces arrived at Natchez, they were ordered to halt by General Wilkinson, the commander at New Orleans and the man Jackson accused of treason after the Burr adventure. A little later, Jackson received a letter from the Secretary of War, John Armstrong, stating that his volunteers were not needed, and that they were to hand over any supplies to Wilkinson and disband. Jackson refused to disband his troops; instead, he led them on the difficult march back to Nashville, earning the nickname "Hickory" (later "Old Hickory") for his toughness.
After returning to Nashville, Jackson and one of his colonels, John Coffee, got into a street brawl over honor with the brothers Jesse and Thomas Hart Benton. Nobody was killed, but Jackson received a gunshot in the shoulder that nearly killed him.
Jackson had not fully recovered from his wounds when Governor Willie Blount called out the militia in September 1813 following the August Fort Mims Massacre. The Red Sticks, a confederate faction that had allied with Tecumseh, a Shawnee chief who was fighting with the British against the United States, killed about 250 militia men and civilians at Fort Mims in retaliation for an ambush by American militia at Burnt Corn Creek.
Jackson's objective was to destroy the Red Sticks. He headed south from Fayetteville, Tennessee, in October with 2,500 militia, establishing Fort Strother as his supply base. He sent his cavalry under General Coffee ahead of the main force, destroying Red Stick villages and capturing supplies. Coffee defeated a band of Red Sticks at the Battle of Tallushatchee on November 3, and Jackson defeated another band later that month at the Battle of Talladega.
By January 1814, the expiration of enlistments and desertion had reduced Jackson's force by about 1,000 volunteers, but he continued the offensive. The Red Sticks counterattacked at the Battles of Emuckfaw and Enotachopo Creek. Jackson repelled them but was forced to withdraw to Fort Strother. Jackson's army was reinforced by further recruitment and the addition of a regular army unit, the 39th U.S. Infantry Regiment. The combined force of 3,000 men—including Cherokee, Choctaw, and Creek allies—attacked a Red Stick fort at Horseshoe Bend on the Tallapoosa River, which was manned by about 1,000 men. The Red Sticks were overwhelmed and massacred. Almost all their warriors were killed, and nearly 300 women and children were taken prisoner and distributed to Jackson's Native American allies. The victory broke the power of the Red Sticks. Jackson continued his scorched-earth campaign of burning villages, destroying supplies, and starving Red Stick women and children. The campaign ended when William Weatherford, the Red Stick leader, surrendered, although some Red Sticks fled to East Florida.
On June 8, Jackson was appointed a brigadier general in the United States Army, and 10 days later was made a brevet major general with command of the Seventh Military District, which included Tennessee, Louisiana, the Mississippi Territory, and the Muscogee Creek Confederacy. With President James Madison's approval, Jackson imposed the Treaty of Fort Jackson. The treaty required all Creek, including those who had remained allies, to surrender of land to the United States.
Jackson then turned his attention to the British and Spanish. He moved his forces to Mobile, Alabama, in August, accused the Spanish governor of West Florida, Mateo González Manrique, of arming the Red Sticks, and threatened to attack. The governor responded by inviting the British to land at Pensacola to defend it, which violated Spanish neutrality. The British attempted to capture Mobile, but their invasion fleet was repulsed at Fort Bowyer. Jackson then invaded Florida, defeating the Spanish and British forces at the Battle of Pensacola on November 7. Afterwards, the Spanish surrendered and the British withdrew. Weeks later, Jackson learned that the British were planning an attack on New Orleans, which was the gateway to the Lower Mississippi River and control of the American West. He evacuated Pensacola, strengthened the garrison at Mobile, and led his troops to New Orleans.
Battle of New Orleans
Jackson arrived in New Orleans on December 1, 1814. There he instituted martial law because he worried about the loyalty of the city's Creole and Spanish inhabitants. He augmented his force by forming an alliance with Jean Lafitte's smugglers and raising units of free African Americans and Creek, paying non-white volunteers the same salary as whites. This gave Jackson a force of about 5,000 men when the British arrived.
The British arrived in New Orleans in mid-December. Admiral Alexander Cochrane was the overall commander of the operation; General Edward Pakenham commanded the army of 10,000 soldiers, many of whom had served in the Napoleonic Wars. As the British advanced up the east bank of the Mississippi River, Jackson constructed a fortified position to block them. The climactic battle took place on January 8 when the British launched a frontal assault. Their troops made easy targets for the Americans protected by their parapets, and the attack ended in disaster. The British suffered over 2,000 casualties (including Pakenham) to the Americans' 60.
The British decamped from New Orleans at the end of January, but they still remained a threat. Jackson refused to lift martial law and kept the militia under arms. He approved the execution of six militiamen for desertion. Some Creoles registered as French citizens with the French consul and demanded to be discharged from the militia due to their foreign nationality. Jackson then ordered all French citizens to leave the city within three days, and had a member of the Louisiana legislature, Louis Louaillier, arrested when he wrote a newspaper article criticizing Jackson's continuation of martial law. U.S. District Court Judge Dominic A. Hall signed a writ of habeas corpus for Louaillier's release. Jackson had Hall arrested too. A military court ordered Louaillier's release, but Jackson kept him in prison and evicted Hall from the city. Although Jackson lifted martial law when he received official word that the Treaty of Ghent, which ended the war with the British, had been signed, his previous behavior tainted his reputation in New Orleans.
Jackson's victory made him a national hero, and on February 27, 1815, he was given the Thanks of Congress and awarded a Congressional Gold Medal. Though the Treaty of Ghent had been signed in December 1814 before the Battle of New Orleans was fought, Jackson's victory assured that the United States control of the region between Mobile and New Orleans would not be effectively contested by European powers. This control allowed the American government to ignore one of the articles in the treaty, which would have returned the Creek lands taken in the Treaty of Fort Jackson.
First Seminole War
Following the war, Jackson remained in command of troops in the southern half of the United States and was permitted to make his headquarters at the Hermitage. Jackson continued to displace the Native Americans in areas under his command. Despite resistance from Secretary of the Treasury William Crawford, he signed five treaties between 1816 and 1820 in which the Creek, Choctaw, Cherokee and Chickasaw ceded tens of millions of acres of land to the United States. These included the Treaty of Tuscaloosa and the Treaty of Doak's Stand.
Jackson soon became embroiled in conflict in the Floridas. The former British post at Prospect Bluff, which became known to Americans as "the Negro fort", remained occupied by more than a thousand former soldiers of the British Royal and Colonial Marines, escaped slaves, and various indigenous peoples. It had become a magnet for escapees and was seen as a threat to the property rights of American enslavers, even a potential source of insurrection by enslaved people. Jackson ordered Colonel Duncan Clinch to capture the fort in July 1816. He destroyed it and killed many of the garrison. Some survivors were enslaved while others fled into the wilderness of Florida.
In addition, white settlers were in constant conflict with Native American people collectively known as the Seminoles, who straddled the border between the U.S. and Florida. In December 1817, Secretary of War John C. Calhoun initiated the First Seminole War by ordering Jackson to lead a campaign "with full power to conduct the war as he may think best". Jackson believed the best way to do this was to seize Florida from Spain once and for all. Before departing, Jackson wrote to President James Monroe, "Let it be signified to me through any channel ... that the possession of the Floridas would be desirable to the United States, and in sixty days it will be accomplished."
Jackson invaded Florida, captured the Spanish fort of St. Marks, and occupied Pensacola. Seminole and Spanish resistance was effectively ended by May 1818. He also captured two British agents, Robert Ambrister and Alexander Arbuthnot, who had been working with the Seminoles. After a brief trial, Jackson executed both of them, causing a diplomatic incident with the British. Jackson's actions polarized Monroe's cabinet. The occupied territories were returned to Spain. Calhoun wanted him censured for violating the Constitution, since the United States had not declared war on Spain. Secretary of State John Quincy Adams defended him as he thought Jackson's occupation of Pensacola would lead Spain to sell Florida, which Spain did in the Adams–Onís Treaty of 1819. In February 1819, a congressional investigation exonerated Jackson, and his victory was instrumental in convincing the Seminoles to sign the Treaty of Moultrie Creek in 1823, which surrendered much of their land in Florida.
Presidential aspirations
Election of 1824
The Panic of 1819, the United States' first prolonged financial depression, caused Congress to reduce the military's size and abolish Jackson's generalship. In compensation, Monroe made him the first territorial governor of Florida in 1821. He served as the governor for two months, returning to the Hermitage in ill health. During his convalescence, Jackson, who had been a Freemason since at least 1798, became the Grand Master of the Grand Lodge of Tennessee for 1822–1823. Around this time, he also completed negotiations for Tennessee to purchase Chickasaw lands. This became known as the Jackson Purchase. Jackson, Overton, and another colleague had speculated in some of the land and used their portion to found the town of Memphis.
In 1822, Jackson agreed to run in the 1824 presidential election, and he was nominated by the Tennessee legislature in July. At the time, the Federalist Party had collapsed, and there were four major contenders for the Democratic-Republican Party nomination: William Crawford, John Quincy Adams, Henry Clay and John C. Calhoun. Jackson was intended to be a stalking horse candidate to prevent Tennessee's electoral votes from going to Crawford, who was seen as a Washington insider. Unexpectedly, Jackson garnered popular support outside of Tennessee and became a serious candidate. He benefited from the expansion of suffrage among white males that followed the conclusion of the War of 1812. He was a popular war hero whose reputation suggested he had the decisiveness and independence to bring reform to Washington. He also was promoted as an outsider who stood for all the people, blaming banks for the country's depression.
During his presidential candidacy, Jackson reluctantly ran for one of Tennessee's U.S. Senate seats. Jackson's political managers William Berkeley Lewis and John Eaton convinced him that he needed to defeat incumbent John Williams, who opposed him. The legislature elected Jackson in October 1823. He was attentive to his senatorial duties. He was appointed chairman of the Committee on Military Affairs, but avoided debate or initiating legislation. He used his time in the Senate to form alliances and make peace with old adversaries. Eaton continued to campaign for Jackson's presidency, updating his biography and writing a series of widely circulated pseudonymous letters that portrayed Jackson as a champion of republican liberty.
Democratic-Republican presidential nominees had historically been chosen by informal congressional nominating caucuses. In 1824, most of the Democratic-Republicans in Congress boycotted the caucus, and the power to choose nominees was shifting to state nominating committees and legislatures. Jackson was nominated by a Pennsylvania convention, making him not merely a regional candidate but the leading national contender. When Jackson won the Pennsylvania nomination, Calhoun dropped out of the presidential race. Afterwards, Jackson won the nomination in six other states and had a strong second-place finish in three others.
In the presidential election, Jackson won a 42-percent plurality of the popular vote. More importantly, he won a plurality of electoral votes, receiving 99 votes from states in the South, West, and Mid-Atlantic. He was the only candidate to win states outside of his regional base: Adams dominated New England, Crawford won Virginia and Georgia, and Clay took three western states. Because no candidate had a majority of 131 electoral votes, the House of Representatives held a contingent election under the terms of the Twelfth Amendment. The amendment specifies that only the top three electoral vote-winners are eligible to be elected by the House, so Clay was eliminated from contention. Clay, who was also Speaker of the House and presided over the election's resolution, saw a Jackson presidency as a disaster for the country. Clay threw his support behind Adams, who won the contingent election on the first ballot. Adams appointed Clay as his Secretary of State, leading supporters of Jackson to accuse Clay and Adams of having struck a "corrupt bargain". After the Congressional session concluded, Jackson resigned his Senate seat and returned to Tennessee.
Election of 1828 and death of Rachel Jackson
After the election, Jackson's supporters formed a new party to undermine Adams and ensure he served only one term. Adams's presidency went poorly, and Adams's behavior undermined it. He was perceived as an intellectual elite who ignored the needs of the populace. He was unable to accomplish anything because Congress blocked his proposals. In his First Annual Message to Congress, Adams stated that "we are palsied by the will of our constituents", which was interpreted as his being against representative democracy. Jackson responded by championing the needs of ordinary citizens and declaring that "the voice of the people... must be heard".
Jackson was nominated for president by the Tennessee legislature in October 1825, more than three years before the 1828 election. He gained powerful supporters in both the South and North, including Calhoun, who became Jackson's vice presidential running mate, and New York Senator Martin Van Buren. Meanwhile, Adams's support from the Southern states was eroded when he signed a tax on European imports, the Tariff of 1828, which was called the "Tariff of Abominations" by opponents, into law. Jackson's victory in the presidential race was overwhelming. He won 56 percent of the popular vote and 68 percent of the electoral vote. The election ended the one-party system that had formed during the Era of Good Feelings as Jackson's supporters coalesced into the Democratic Party and the various groups who did not support him eventually formed the Whig Party.
The political campaign was dominated by the personal abuse that partisans flung at both candidates. Jackson was accused of being the son of an English prostitute and a mulatto, and he was labeled a slave trader who trafficked in human flesh. A series of pamphlets known as the Coffin Handbills accused him of having murdered 18 white men, including the soldiers he had executed for desertion and alleging that he stabbed a man in the back with his cane. They stated that he had intentionally massacred Native American women and children at the Battle of Horseshoe Bend, ate the bodies of Native Americans he killed in battle, and threatened to cut off the ears of congressmen who questioned his behavior during the First Seminole War.
Jackson and Rachel were accused of adultery for living together before her divorce was finalized, and Rachel heard about the accusation. She had been under stress throughout the election, and just as Jackson was preparing to head to Washington for his inauguration, she fell ill. She did not live to see her husband become president, dying of a stroke or heart attack a few days later. Jackson believed that the abuse from Adams' supporters had hastened her death, stating at her funeral: "May God Almighty forgive her murderers, as I know she forgave them. I never can."
Presidency (1829–1837)
Inauguration
Jackson arrived in Washington on February 11. His first concern was forming his cabinet. He chose Van Buren as Secretary of State, his friend John Eaton as Secretary of War, Samuel D. Ingham as Secretary of Treasury, John Branch as Secretary of Navy, John M. Berrien as Attorney General, and William T. Barry as Postmaster General. Jackson was inaugurated on March 4, 1829, becoming the first president-elect to take the oath of office on the East Portico of the U.S. Capitol. Embittered by his defeat, Adams refused to attend. In his inaugural address, Jackson promised to protect the sovereignty of the states, respect the limits of the presidency, reform the government by removing disloyal or incompetent appointees, and observe a fair policy toward Native Americans. Jackson invited the public to the White House, which was promptly overrun by well-wishers who caused minor damage to its furnishings. The spectacle earned him the nickname "King Mob".
Reforms and rotation in office
Jackson's administration believed that Adams's had been corrupt and one of Jackson's first acts as president was to initiate investigations into all executive departments. The investigations revealed that $280,000 () was stolen from the Treasury, and the reduction in costs to the Department of the Navy saved it $1 million (). One of the people caught in his investigation was the Treasury Auditor Tobias Watkins, a personal friend of Adams' who was found guilty of embezzlement. Jackson asked Congress to tighten laws on embezzlement and tax evasion, and he pushed for an improved government accounting system.
Jackson implemented a principle he called "rotation in office" by enforcing the Tenure of Office Act, an 1820 law that limited appointed office tenure and authorized the president to remove and appoint political party associates. The previous custom had been for the president to leave the existing appointees in office, replacing them through attrition. During his first year in office, Jackson removed about 10% of all federal employees and replaced them with loyal Democrats. He argued that rotation in office was a democratic reform that reduced bureaucracy and corruption by making officeholders responsible to the popular will, but it functioned as political patronage, which came to be known as the spoils system.
Petticoat affair
Jackson spent much of his time during his first two and a half years in office dealing with what came to be known as the "Petticoat Affair" or "Eaton Affair". The affair focused on Secretary of War Eaton's wife, Margaret. She had a reputation for being promiscuous, and like Rachel Jackson, she was accused of adultery. She and Eaton had been close before her first husband John Timberlake died, and they married nine months after his death. With the exception of Barry's wife Catherine, the cabinet members' wives followed the lead of Vice-president Calhoun's wife Floride and refused to socialize with the Eatons. Though Jackson defended Margaret, her presence split the cabinet, which had been so ineffective that he rarely called it into session, and the ongoing disagreement led to its dissolution.
In the spring of 1831, Jackson demanded the resignations of all the cabinet members except Barry, who would resign in 1835 when a Congressional investigation revealed his mismanagement of the Post Office. Jackson tried to compensate Van Buren by appointing him the Minister to Great Britain, but Calhoun blocked the nomination with a tie-breaking vote against it. Van Buren—along with Amos Kendall, who helped organize what would become the Democratic Party, and Francis Preston Blair, the editor of The Globe newspaper that served as Jackson's house organ,—would become regular participants in Jackson's Kitchen Cabinet, an unofficial, varying group of advisors that Jackson turned to for decision making even after he had formed a new official cabinet.
Indian Removal Act
Jackson's presidency marked the beginning of a national policy of Native American removal. Before Jackson took office, the relationship between the southern states and the Native American tribes who lived within their boundaries was strained. The states felt that they had full jurisdiction over their territories; the native tribes saw themselves as autonomous nations that had a right to the land they lived on. Significant portions of the five major tribes in the area then known as the Southwest—the Cherokee, Choctaw, Chickasaw, Creek, and Seminoles— began to adopt white culture, including education, agricultural techniques, a road system, and rudimentary manufacturing. In the case of the tensions between the state of Georgia and the Cherokee, Adams had tried to address the issue encouraging Cherokee emigration west of the Mississippi through financial incentives, but most refused.
In the first days of Jackson's presidency, some of the southern states had passed legislation extending state jurisdiction to Native American lands. Jackson supported the states' right to do so. His position was later made clear in the 1832 Supreme Court test case of this legislation, Worcester v. Georgia. Georgia had arrested a group of missionaries for entering Cherokee territory without a permit; the Cherokee declared these arrests illegal. The court under Chief Justice John Marshall decided in favor of the Cherokee: imposition of Georgia law on the Cherokee was unconstitutional. Horace Greeley alleges that when Jackson heard the ruling, he said, "Well, John Marshall has made his decision, but now let him enforce it." Although the quote may be apocryphal, Jackson made it clear he would not use the federal government to enforce the ruling.
Jackson used the power of the federal government to enforce the separation of the Native American tribes and whites. In May 1830, Jackson passed the Indian Removal Act through Congress. It gave the president the right to negotiate treaties to buy tribal lands in the eastern part of the United States in exchange for lands set aside for Native Americans west of the Mississippi, as well as broad discretion on how to use the federal funds allocated to the negotiations. The law was supposed to be a voluntary relocation program, but it was not implemented as one. Jackson's administration often achieved agreement to relocate through bribes, fraud and intimidation, and the leaders who signed the treaties often did not represent the entire tribe. The relocations could be a source of misery too: the Choctaw relocation was rife with corruption, theft, and mismanagement that brought great suffering to that people.
In 1830, Jackson personally negotiated with the Chickasaw, who quickly agreed to move. In the same year, Choctaw leaders signed the Treaty of Dancing Rabbit Creek; the majority did not want the treaty but complied with its terms. In 1832, Seminole leaders signed the Treaty of Payne's Landing, which stipulated that the Seminoles would move west and become part of the Muscogee Creek Confederacy if they found the new land suitable. Most Seminoles refused to move, leading to the Second Seminole War in 1835 that lasted six years. Members of the Muscogee Creek Confederacy ceded their land to the state of Alabama in the Treaty of Cusseta of 1832. Their private ownership of the land was to be protected, but the federal government did not enforce this. The government did encourage voluntary removal until the Creek War of 1836, after which almost all Creek were removed to Oklahoma territory. In 1836, Cherokee leaders ceded their land to the government by the Treaty of New Echota. Their removal, known as the Trail of Tears, was enforced by Jackson's successor, Van Buren.
Jackson also applied the removal policy in the Northwest. He was not successful in removing the Iroquois Confederacy in New York, but when some members of the Meskwaki (Fox) and the Sauk triggered the Black Hawk War by trying to cross back to the east side of the Mississippi, the peace treaties ratified after their defeat reduced their lands further.
During his administration, he made about 70 treaties with American Indian tribes. He had removed almost all the Native Americans east of the Mississippi and south of Lake Michigan, about 70,000 people, from the United States; though it was done at the cost of thousands of Native American lives lost because of the unsanitary conditions and epidemics arising from their dislocation, as well as their resistance to expulsion. Jackson's implementation of the Indian Removal Act contributed to his popularity with his constituency. He added over 170,000 square miles of land to the public domain, which primarily benefited the United States' agricultural interests. The act also benefited small farmers, as Jackson allowed them to purchase moderate plots at low prices and offered squatters on land formerly belonging to Native Americans the option to purchase it before it was offered for sale to others.
Nullification crisis
Jackson had to confront another challenge that had been building up since the beginning of his first term. The Tariff of 1828, which had been passed in the last year of Adams' administration, set a protective tariff at a very high rate to prevent the manufacturing industries in the Northern states from having to compete with lower-priced imports from Britain. The tariff reduced the income of southern cotton planters: it propped up consumer prices, but not the price of cotton which had severely declined in the previous decade. Immediately after the tariff's passage, the South Carolina Exposition and Protest was sent to the U.S. Senate. This document, which had been anonymously written by John C. Calhoun, asserted that the constitution was a compact of individual states and when the federal government went beyond its delegated duties, such as enacting a protective tariff, a state had a right to declare this action unconstitutional and make the act null and void with the borders of that state.
Jackson suspected Calhoun of writing the Exposition and Protest, and opposed his interpretation. Jackson argued that Congress as a whole had full authority to enact tariffs and that a dissenting state was denying the will of the majority. He also needed the tariff, which generated 90% of the federal revenue, to achieve another of his presidential goals, eliminating the national debt. The issue developed into a personal rivalry between the two men. For example, during a celebration of Thomas Jefferson's birthday on April 13, 1830, the attendees gave after-dinner toasts. Jackson toasted: "Our federal Union: It must be preserved!" – a clear challenge to nullification. Calhoun whose toast immediately followed, rebutted: "The Union: Next to our Liberty, the most dear!"
As a compromise, Jackson supported the Tariff of 1832, which reduced the duties from the Tariff of 1828 by almost half. The bill was signed on July 9, but failed to satisfy extremists on either side. On November 24, South Carolina had passed the Ordinance of Nullification, declaring both tariffs null and void and threatening to secede from the United States if the federal government tried to use force to collect the duties. In response, Jackson sent warships to Charleston harbor, and threatened to hang any man who worked to support nullification or secession.
On December 10, Jackson issued a proclamation against the "nullifiers", stating that he considered "the power to annul a law of the United States, assumed by one State, incompatible with the existence of the Union, contradicted expressly by the letter of the Constitution, unauthorized by its spirit, inconsistent with every principle on which it was founded, and destructive of the great object for which it was formed". South Carolina, the president declared, stood on "the brink of insurrection and treason", and he appealed to the people of the state to reassert their allegiance to that Union. Jackson also denied the right of secession: "The Constitution ... forms a government not a league ... To say that any State may at pleasure secede from the Union is to say that the United States are not a nation." On December 28, Calhoun, who had been elected to the U.S. Senate, resigned as vice president.
Jackson asked Congress to pass a "Force Bill" authorizing the military to enforce the tariff. It was attacked by Calhoun as despotism. Meanwhile, Calhoun and Clay began to work on a new compromise tariff. Jackson saw it as an effective way to end the confrontation, but insisted on the passage of the Force Bill before he signed. On March 2, he signed into law the Force Bill and the Tariff of 1833, both of which passed on March 1, 1833. The South Carolina Convention then met and rescinded its nullification ordinance, but nullified the Force Bill in a final act of defiance. Two months later, Jackson reflected on South Carolina's nullification: "the tariff was only the pretext, and disunion and southern confederacy the real object. The next pretext will be the negro, or slavery question".
Bank War and Election of 1832
Bank Veto
A few weeks after his inauguration, Jackson started looking into how he could replace the Second Bank of the United States. The Bank had been chartered by President Madison in 1816 to restore the United States economy after the War of 1812. Monroe had appointed Nicholas Biddle as the Bank's executive. The Bank was a repository for the country's public monies which also serviced the national debt; it was formed as a for-profit entity that looked after the concerns of its shareholders. Under the Bank's stewardship, the country was economically healthy and the currency was stable, but Jackson saw the Bank as a fourth branch of government run by an elite, what he called the "money power" that sought to control the labor and earnings of the "real people", who depend on their own efforts to succeed: the planters, farmers, mechanics, and laborers. Additionally, Jackson's own near bankruptcy in 1804 due to credit-fuelled land speculation had biased him against paper money and toward a policy favorable to hard money.
In his First Annual Address in December 1829, Jackson openly challenged the Bank by questioning its constitutionality and the soundness of its money. Jackson's supporters further alleged that it gave preferential loans to speculators and merchants over artisans and farmers, that it used its money to bribe congressmen and the press, and that it had ties with foreign creditors. Biddle responded to Jackson's challenge in early 1830 by using the Bank's vast financial holding to ensure the Bank's reputation, and his supporters argued that the Bank was the key to prosperity and stable commerce. By the time of the 1832 election, Biddle had spent over $250,000, (), in printing pamphlets, lobbying for pro-Bank legislation, hiring agents and giving loans to editors and congressmen.
On the surface, Jackson's and Biddle's positions did not appear irreconcilable. Jackson seemed open to keeping the Bank if it could include some degree of Federal oversight, limit its real estate holdings, and have its property subject to taxation by the states. Many of Jackson's cabinet members thought a compromise was possible. In 1831, Treasury Secretary Louis McLane told Biddle that Jackson was open to chartering a modified version of the Bank, but Biddle did not consult Jackson directly. Privately, Jackson expressed opposition to the Bank; publicly, he announced that he would leave the decision concerning the Bank in the hands of the people. Biddle was finally convinced to take open action by Henry Clay, who had decided to run for president against Jackson in the 1832 election. Biddle would agree to seek renewal of the charter two years earlier than scheduled. Clay argued that Jackson was in a bind. If he vetoed the charter, he would lose the votes of his pro-Bank constituents in Pennsylvania; but if he signed the charter, he would lose his anti-Bank constituents. After the recharter bill was passed, Jackson vetoed it on July 10, 1832, arguing that the country should not surrender the will of the majority to the desires of the wealthy.
Election of 1832
The 1832 presidential election demonstrated the rapid development of political parties during Jackson's presidency. The Democratic Party's first national convention, held in Baltimore, nominated Jackson's choice for vice president, Martin Van Buren. The National Republican Party, which had held its first convention in Baltimore earlier in December 1831, nominated Clay, now a senator from Kentucky, and John Sergeant of Pennsylvania. An Anti-Masonic Party, with a platform built around opposition to Freemasonry, supported neither Jackson nor Clay, who both were Masons. The party nominated William Wirt of Maryland and Amos Ellmaker of Pennsylvania.
In addition to the votes Jackson would lose because of the Bank veto, Clay hoped that Jackson's Indian Removal Act would alienate voters in the East; but Jackson's losses were offset by the Act's popularity in the West and Southwest. Clay had also expected that Jackson would lose votes because of his stand on internal improvements. Jackson had vetoed the Maysville Road bill, which funded an upgrade of a section of the National Road in Clay's state of Kentucky; as part of his justification, Jackson claimed it was unconstitutional to fund internal improvements using national funds for local projects.
Clay's strategy failed. Jackson was able to mobilize the Democratic Party's strong political networks. The Northeast supported Jackson because he was in favor of maintaining a stiff tariff; the West supported him because the Indian Removal Act reduced the number of Native Americans in the region and made available more public land. Except for South Carolina, which passed the Ordinance of Nullification during the election month and refused to support any party by giving its votes to the future Governor of Virginia John B. Floyd, the South supported Jackson for implementing the Indian Removal Act, as well as for his willingness to compromise by signing the Tariff of 1832. Jackson won the election by a landslide, receiving 55 percent of the popular vote and 219 electoral votes.
Removal of deposits and censure
Jackson saw his victory as a mandate to continue his war on the Bank's control over the national economy. In 1833, Jackson signed an executive order ending the deposit of Treasury receipts in the bank. When Secretary of the Treasury McLane refused to execute the order, Jackson replaced him with William J. Duane, who also refused. Jackson then appointed Roger B. Taney as acting secretary, who implemented Jackson's policy. With the loss of federal deposits, the Bank had to contract its credit. Biddle used this contraction to create an economic downturn in an attempt to get Jackson to compromise. Biddle wrote, "Nothing but the evidence of suffering abroad will produce any effect in Congress." The attempt did not succeed, the economy recovered and Biddle was blamed for the recession.
Jackson's actions led those who disagreed with him to form the Whig Party. They claimed to oppose Jackson's expansion of executive power, calling him "King Andrew the First", and naming their party after the English Whigs who opposed the British monarchy in the 17th century. In March 1832, the Senate censured Jackson for inappropriately taking authority for the Treasury Department when it was the responsibility of Congress and refused to confirm Taney's appointment as secretary of the treasury. In April, however, the House declared that the bank should not be rechartered. By July 1836, the Bank no longer held any federal deposits.
Jackson had Federal funds deposited into state banks friendly to the administration's policies, which critics called pet banks. The number of these state banks more than doubled during Jackson's administration, and investment patterns changed. The Bank, which had been the federal government's fiscal agent, invested heavily in trade and financed interregional and international trade. State banks were more responsive to state governments, and invested heavily in land development, land speculation, and state public works projects. In spite of the efforts of Taney's successor, Levi Woodbury, to control them, the pet banks expanded their loans, helping to create a speculative boom in the final years of Jackson's administration.
In January 1835, Jackson paid off the national debt, the only time in U.S. history that it had been accomplished. It was paid down through tariff revenues, carefully managing federal funding of internal improvements like roads and canals, and the sale of public lands. Between 1834 and 1836, the government had unprecedented spike in land sales: At its peak in 1836, the profits from land sales were eight to twelve times higher than a typical year. During Jackson's presidency, 63 million acres of public land—about the size of the state of Oklahoma—was sold. After Jackson stepped down from the presidency in 1837, a Democrat-majority Senate expunged Jackson's censure.
Panic of 1837
Despite the economic boom following Jackson's victory in the Bank War, land speculation in the west caused the Panic of 1837. Jackson's transfer of federal monies to state banks in 1833 caused western banks to relax their lending standards; the Indian Removal Act made large amounts of former Native American lands available for purchase and speculation. Two of Jackson's acts in 1836 contributed to the Panic of 1837. One was the Specie Circular, which mandated western lands only be purchased by money backed by specie. The act was intended to stabilize the economy by reducing speculation on credit, but it caused a drain of gold and silver from the Eastern banks to the Western banks to address the needs of financing land transactions. The other was the Deposit and Distribution Act, which transferred federal monies from eastern to western state banks. Together, they left Eastern banks unable to pay specie to the British when they recalled their loans to address their economic problems in international trade. The panic drove the U.S. economy into a depression that lasted until 1841.
Physical assault and assassination attempt
Jackson was the first president to be subjected to physical assault as well as an assassination attempt. On May 6, 1833, Robert B. Randolph struck Jackson in the face with his hand because Jackson had ordered Randolph's dismissal from the navy for embezzlement. Jackson declined to press charges. While leaving the United States Capitol on January 30, 1835, Richard Lawrence, an unemployed house painter from England, aimed a pistol at Jackson, which misfired. Lawrence pulled out a second pistol, which also misfired. Jackson attacked Lawrence with his cane until others intervened to restrain Lawrence, who was later found not guilty by reason of insanity and institutionalized.
Slavery
During Jackson's presidency, slavery remained a political issue. Though federal troops were used to crush Nat Turner's slave rebellion in 1831, Jackson ordered them withdrawn immediately afterwards despite the petition of local citizens for them to remain for protection. Jackson considered the issue too divisive to the nation and to the delicate alliances of the Democratic Party, while sympathetic newspapers argued for excluding slavery from federal politics and keeping it at the state level.
Jackson's view was challenged when the American Anti-Slavery Society formally agitated for abolition by sending anti-slavery tracts through the postal system into the South in 1835. Jackson condemned these agitators as "monsters" who should atone with their lives because they were attempting to destroy the Union by encouraging sectionalism. The act provoked riots in Charleston, and pro-slavery Southerners demanded that the postal service ban distribution of the materials. To address the issue, Jackson authorized that the tracts could be sent only to subscribers, whose names could be made publicly accountable. That December, Jackson called on Congress to prohibit the circulation through the South of "incendiary publications intended to instigate the slaves to insurrection".
Foreign affairs
The Jackson administration successfully negotiated trade agreements with Great Britain, Spain, Russia, the Ottoman Empire, and Siam. In his First Annual Message to Congress, Jackson addressed the issues of spoliation claims, demands of compensation for the capture of American ships and sailors by foreign nations during the Napoleonic Wars. Using a combination of bluster and tact, he successfully settled these claims with Denmark, Portugal, and Spain, but he had difficulty collecting spoliation claims from France, which was unwilling to pay an indemnity agreed to in an earlier treaty. Jackson asked Congress in 1834 to authorize reprisals against French property if the country failed to make payment, as well as to arm for defense. In response, France put its Caribbean fleet on a wartime footing. Both sides wanted to avoid a conflict, but the French wanted an apology for Jackson's belligerence. In his 1835 Annual Message to the Congress, Jackson asserted that he refused to apologize, but stated that he did not intend to "menace or insult the Government of France". The French were assuaged and agreed to pay $5,000,000 () to settle the claims.
Since the early 1820s, large numbers of Americans had been immigrating into Texas, a territory of the newly independent nation of Mexico. As early as 1824, Jackson had expressed a desire to acquire the region for the United States. In 1829, he attempted to purchase it, but Mexico did not want to sell. By 1830, there were twice as many settlers from the United States as from Mexico, leading to tensions with the Mexican government that started the Texas Revolution. During the conflict, Jackson covertly allowed the settlers to obtain weapons and money from the United States. They defeated the Mexican military in April 1836 and soon afterward declared the region an independent country, the Republic of Texas. The new Republic asked Jackson to recognize and annex it. Although Jackson wanted to do so, he was hesitant because he was unsure it could maintain independence from Mexico. He also was concerned because Texas had legalized slavery, which was an issue that could divide the Democrats during the 1836 election. Jackson recognized the Republic of Texas on the last full day of his presidency, March 3, 1837.
Judicial appointments
Jackson appointed six justices to the Supreme Court. Most were undistinguished. Jackson nominated Roger B. Taney in January 1835 to the Court in reward for his services, but the nomination failed to win Senate approval. When Chief Justice Marshall died in 1835, Jackson nominated Taney for Chief Justice; he was confirmed by the new Senate, serving as Chief Justice until 1864. He was regarded with respect during his career on the bench, but he is most remembered for his decision in Dred Scott v. Sandford.
States admitted to the Union
Two new states were admitted into the Union during Jackson's presidency: Arkansas (June 15, 1836) and Michigan (January 26, 1837). Both states increased Democratic power in Congress and helped Van Buren win the presidency in 1836, as new states tended to support the party that had done the most to admit them.
Later life and death (1837–1845)
In 1837, Jackson retired to the Hermitage and immediately began putting its affairs in order, as it had been poorly managed in his absence. Though Jackson was in ill health and had lost some of his popularity because he was blamed for the Panic of 1837, he remained influential in national and state politics.
Jackson supported an Independent Treasury system as a solution to the panic, which would hold the money balances of the government in the form of gold or silver and would be restricted from printing paper money to prevent further inflation. This system was implemented in 1846. The depression still continued, and Van Buren became unpopular. The Whig Party nominated war hero William Henry Harrison and former Democrat John Tyler for the 1840 presidential election. They used a campaign style similar to that of the Democrats: Van Buren was depicted as an uncaring aristocrat, while Harrison's war record was glorified, and he was portrayed as a man of the people. Jackson campaigned loyally for Van Buren in Tennessee. He favored James K. Polk as vice presidential candidate, but no candidate for that office was chosen.
To Jackson's dismay, Harrison won the 1840 election with the Whigs capturing majorities in both houses of Congress. Harrison died only a month into his term, and was replaced by Tyler. Jackson was encouraged because Tyler was not bound to party loyalties. Tyler angered the Whigs in 1841 when he vetoed two Whig-sponsored bills to establish a new national bank. Jackson and other Democrats praised Tyler, but Tyler's entire cabinet, except Daniel Webster, resigned.
Jackson lobbied for the annexation of Texas, insisting that it belonged to the United States as part of the Louisiana Purchase. He thought that annexation would cause national division over slavery, but feared the British could use Texas as a base to threaten the United States. Jackson wrote several letters to Texas president Sam Houston, urging him to wait for the Senate to approve annexation and explaining how much Texas would benefit as a part of the United States. Tyler signed a treaty of annexation in April 1844, but it became associated with the expansion of slavery and was not ratified. Henry Clay, the Whig nominee for the 1844 presidential election, and Van Buren, Jackson's preferred candidate for the Democratic Party, both opposed annexation. Disappointed by Van Buren, Jackson convinced Polk, who was to be Van Buren's running mate, to run as the Democratic Party's presidential nominee instead. Polk defeated Van Buren for the nomination, and Jackson convinced Tyler not to run as an independent by bringing him back into the Democratic Party. Polk won the election, the Senate passed a bill to annex Texas, and it was signed on March 1, 1845.
Jackson died of dropsy, tuberculosis and heart failure at 78 years of age on June 8, 1845. He was surrounded by family and friends at his deathbed, and his last words were, "Oh, do not cry. Be good children and we will all meet in Heaven." He was buried in the same tomb as his wife Rachel.
Personal life
Family
Jackson and Rachel had no children together but adopted Andrew Jackson Jr., the son of Rachel's deceased brother Severn Donelson. The Jacksons acted as guardians for Donelson's other children: John Samuel, Daniel Smith, and Andrew Jackson. They were also guardians for Andrew Jackson Hutchings, Rachel's orphaned grand nephew, and the orphaned children of a friend, Edward Butler – Caroline, Eliza, Edward, and Anthony – who lived with the Jacksons after their father died. Jackson also had three Creek children living with them: Lyncoya, a Creek orphan Jackson had adopted after the Battle of Tallushatchee, and two boys they called Theodore and Charley.
For the only time in U.S. history, two women acted simultaneously as unofficial first lady for the widower Jackson. Rachel's niece Emily Donelson was married to Andrew Jackson Donelson (who acted as Jackson's private secretary) and served as hostess at the White House. The president and Emily became estranged for over a year during the Petticoat affair, but they eventually reconciled and she resumed her duties as White House hostess. Sarah Yorke Jackson, the wife of Andrew Jackson Jr., became co-hostess of the White House in 1834, and took over all hostess duties after Emily died from tuberculosis in 1836.
Temperament
Jackson had a reputation for being short-tempered and violent, which terrified his opponents. He was able to use his temper strategically to accomplish what he wanted. He could keep it in check when necessary: his behavior was friendly and urbane when he went to Washington as senator during the campaign leading up to the 1824 election. According to Van Buren, he remained calm in times of difficulty and made his decisions deliberatively.
He had the tendency to take things personally. If someone crossed him, he would often become obsessed with crushing them. For example, on the last day of his presidency, Jackson declared he had only two regrets: that he had not hanged Henry Clay or shot John C. Calhoun. He also had a strong sense of loyalty. He considered threats to his friends as threats to himself, but he demanded unquestioning loyalty in return.
Jackson was self-confident, without projecting a sense of self-importance. This self-confidence gave him the ability to persevere in the face of adversity. Once he decided on a plan of action, he would adhere to it. His reputation for being both quick-tempered and confident worked to his advantage; it misled opponents to see him as simple and direct, leading them to often understimate his political shrewdness.
Religious faith
In 1838, Jackson became an official member of the First Presbyterian Church in Nashville. Both his mother and his wife had been devout Presbyterians all their lives, but Jackson stated that he had postponed officially entering the church until after his retirement to avoid accusations that he had done so for political reasons.
Legacy
Jackson's legacy is controversial and polarized. Jackson's contemporary, Alexis de Tocqueville, depicted Jackson as the spokesperson of the majority and their passions. He has been variously described as a frontiersman personifying the independence of the American West, a slave-owning member of the Southern gentry, and a populist who promoted faith in the wisdom of the ordinary citizen. He has been represented as a statesman who substantially advanced the spirit of democracy and upheld the foundations of American constitutionalism, as well as an autocratic demagogue who crushed political opposition and trampled the law.
In the 1920s, Jackson's rise to power became associated with the idea of the "common man". This idea defined the age as a populist rejection of social elites and a vindication of every person's value independent of class and status. Jackson was seen as its personification, an individual free of societal constraints who can achieve great things. In 1945, Arthur M. Schlesinger Jr.'s influential Age of Jackson redefined Jackson's legacy through the lens of Franklin D. Roosevelt's New Deal, describing the common man as a member of the working class struggling against exploitation by business concerns.
In the twenty-first century, Jackson's Indian Removal Act has been described as ethnic cleansing: the use of force, terror and violence to make an area ethnically homogeneous. To achieve the goal of separating Native Americans from the whites, coercive force such as threats and bribes were used to effect removal and unauthorized military force was used when there was resistance, as in the case of the Second Seminole War. The act has been discussed in the context of genocide, and its role in the long-term destruction of Native American societies and their cultures continues to be debated.
His legacy has been variously used by later presidents. Abraham Lincoln referenced Jackson's ideas when negotiating the challenges to the Union that he faced during 1861, including Jackson's understanding of the constitution during the nullification crisis and the president's right to interpret the constitution. Franklin D. Roosevelt used Jackson to redefine the Democratic Party, describing him as a defender of the exploited and downtrodden and as a fighter for social justice and human rights. Donald Trump used Jackson's legacy to present himself as the president of the common man, praising Jackson for saving the country from a rising aristocracy and protecting American workers with a tariff. In 2016, President Barack Obama's administration announced it was removing Jackson's portrait from the $20 bill and replacing it with one of Harriet Tubman. Though the plan was put on hold during Trump's presidency, President Joe Biden's administration resumed it in 2021.
Jackson is usually rated highly as a president, but his reputation is dropping. His contradictory legacy is shown in opinion polls. A 2014 survey of political scientists rated Jackson as the ninth-highest rated president but the third-most polarizing. He was also rated the third-most overrated president. In a C-SPAN poll, Jackson was ranked the 13th in 2009, 18th in 2017, and 22nd in 2021.
Writings
(11 volumes to date; 17 volumes projected). Ongoing project to print all of Jackson's papers.
Vol. I, (1770–1803); Vol. II, (1804–1813); Vol. III, (1814–1815); Vol. IV, (1816–1820); Vol. V, (1821–1824); Vol. VI, (1825–1828); Vol. VII, (1829); Vol. VIII, (1830); Vol. IX, (1831); Vol. X, (1832); Vol. XI, (1833)
(7 volumes; 2 available online).
Vol III, (1820-1828) ; Vol IV, (1829-1832)
Reprints Jackson's major messages and reports.
Notes
References
Bibliography
Biographies
Books
*
Journal articles and dissertations
Primary sources
External links
Scholarly coverage of Jackson at Miller Center, U of Virginia
The Papers of Andrew Jackson at the Avalon Project
The Hermitage, home of President Andrew Jackson
A digital archive providing access to manuscript images of many of Jackson's documents.
1767 births
1845 deaths
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19th-century American politicians
19th-century deaths from tuberculosis
19th-century presidents of the United States
United States Army personnel of the War of 1812
American militia generals
American planters
American Presbyterians
American prosecutors
American Revolutionary War prisoners of war held by Great Britain
American shooting survivors
Burials in Tennessee
Andrew Jackson family
Congressional Gold Medal recipients
Deaths from edema
Democratic Party presidents of the United States
Democratic Party (United States) presidential nominees
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American duellists
Florida Democratic-Republicans
American Freemasons
Governors of Florida Territory
Grand Masters of the Grand Lodge of Tennessee
Hall of Fame for Great Americans inductees
1830s in the United States
Infectious disease deaths in Tennessee
Negro Fort
Members of the American Antiquarian Society
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People of pre-statehood Tennessee
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Candidates in the 1832 United States presidential election
United States senators from Tennessee
Tuberculosis deaths in Tennessee
United States senators who owned slaves
Members of the United States House of Representatives who owned slaves
Native American genocide perpetrators
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Aleksandr Isayevich Solzhenitsyn (11 December 1918 – 3 August 2008) was a Russian writer. A prominent Soviet dissident, Solzhenitsyn was an outspoken critic of communism and helped to raise global awareness of political repression in the Soviet Union, in particular the Gulag system.
Solzhenitsyn was born into a family that defied the Soviet anti-religious campaign in the 1920s and remained devout members of the Russian Orthodox Church. However, Solzhenitsyn lost his faith in Christianity, became an atheist, and embraced Marxism–Leninism. While serving as a captain in the Red Army during World War II, Solzhenitsyn was arrested by SMERSH and sentenced to eight years in the Gulag and then internal exile for criticizing Soviet leader Joseph Stalin in a private letter. As a result of his experience in prison and the camps, he gradually became a philosophically minded Eastern Orthodox Christian.
As a result of the Khrushchev Thaw, Solzhenitsyn was released and exonerated. He pursued writing novels about repression in the Soviet Union and his experiences. He published his first novel, One Day in the Life of Ivan Denisovich in 1962, with approval from Soviet leader Nikita Khrushchev, which was an account of Stalinist repressions. Solzhenitsyn's last work to be published in the Soviet Union was Matryona's Place in 1963. Following the removal of Khrushchev from power, the Soviet authorities attempted to discourage Solzhenitsyn from continuing to write. He continued to work on further novels and their publication in other countries including Cancer Ward in 1966, In the First Circle in 1968, August 1914 in 1971, and The Gulag Archipelago in 1973, the publication of which outraged Soviet authorities. In 1974, Solzhenitsyn was stripped of his Soviet citizenship and flown to West Germany. In 1976, he moved with his family to the United States, where he continued to write. In 1990, shortly before the dissolution of the Soviet Union, his citizenship was restored, and four years later he returned to Russia, where he remained until his death in 2008.
He was awarded the 1970 Nobel Prize in Literature "for the ethical force with which he has pursued the indispensable traditions of Russian literature", and The Gulag Archipelago was a highly influential work that "amounted to a head-on challenge to the Soviet state", and sold tens of millions of copies.
Biography
Early years
Solzhenitsyn was born in Kislovodsk (now in Stavropol Krai, Russia). His father, Isaakiy Semyonovich Solzhenitsyn, was of Russian descent and his mother, Taisiya Zakharovna (née Shcherbak), was of Ukrainian descent. Taisiya's father had risen from humble beginnings to become a wealthy landowner, acquiring a large estate in the Kuban region in the northern foothills of the Caucasus and during World War I, Taisiya had gone to Moscow to study. While there she met and married Isaakiy, a young officer in the Imperial Russian Army of Cossack origin and fellow native of the Caucasus region. The family background of his parents is vividly brought to life in the opening chapters of August 1914, and in the later Red Wheel novels.
In 1918, Taisiya became pregnant with Aleksandr. On 15 June, shortly after her pregnancy was confirmed, Isaakiy was killed in a hunting accident. Aleksandr was raised by his widowed mother and his aunt in lowly circumstances. His earliest years coincided with the Russian Civil War. By 1930 the family property had been turned into a collective farm. Later, Solzhenitsyn recalled that his mother had fought for survival and that they had to keep his father's background in the old Imperial Army a secret. His educated mother encouraged his literary and scientific learnings and raised him in the Russian Orthodox faith; she died in 1944 having never remarried.
As early as 1936, Solzhenitsyn began developing the characters and concepts for planned epic work on World War I and the Russian Revolution. This eventually led to the novel August 1914; some of the chapters he wrote then still survive. Solzhenitsyn studied mathematics and physics at Rostov State University. At the same time, he took correspondence courses from the Moscow Institute of Philosophy, Literature and History, which by this time were heavily ideological in scope. As he himself makes clear, he did not question the state ideology or the superiority of the Soviet Union until he was sentenced to time in the camps.
World War II
During the war, Solzhenitsyn served as the commander of a sound-ranging battery in the Red Army, was involved in major action at the front, and was twice decorated. He was awarded the Order of the Red Star on 8 July 1944 for sound-ranging two German artillery batteries and adjusting counterbattery fire onto them, resulting in their destruction.
A series of writings published late in his life, including the early uncompleted novel Love the Revolution!, chronicle his wartime experience and growing doubts about the moral foundations of the Soviet regime.
While serving as an artillery officer in East Prussia, Solzhenitsyn witnessed war crimes against local German civilians by Soviet military personnel. Of the atrocities, Solzhenitsyn wrote: "You know very well that we've come to Germany to take our revenge" for Nazi atrocities committed in the Soviet Union. The noncombatants and the elderly were robbed of their meager possessions and women and girls were gang-raped. A few years later, in the forced labor camp, he memorized a poem titled "Prussian Nights" about a woman raped to death in East Prussia. In this poem, which describes the gang-rape of a Polish woman whom the Red Army soldiers mistakenly thought to be a German, the first-person narrator comments on the events with sarcasm and refers to the responsibility of official Soviet writers like Ilya Ehrenburg.
In The Gulag Archipelago, Solzhenitsyn wrote, "There is nothing that so assists the awakening of omniscience within us as insistent thoughts about one's own transgressions, errors, mistakes. After the difficult cycles of such ponderings over many years, whenever I mentioned the heartlessness of our highest-ranking bureaucrats, the cruelty of our executioners, I remember myself in my Captain's shoulder boards and the forward march of my battery through East Prussia, enshrouded in fire, and I say: 'So were we any better?'"
Imprisonment
In February 1945, while serving in East Prussia, Solzhenitsyn was arrested by SMERSH for writing derogatory comments in private letters to a friend, Nikolai Vitkevich, about the conduct of the war by Joseph Stalin, whom he called "Khozyain" ("the boss"), and "Balabos" (Yiddish rendering of Hebrew baal ha-bayit for "master of the house"). He also had talks with the same friend about the need for a new organization to replace the Soviet regime.
Solzhenitsyn was accused of anti-Soviet propaganda under Article 58, paragraph 10 of the Soviet criminal code, and of "founding a hostile organization" under paragraph 11. Solzhenitsyn was taken to the Lubyanka prison in Moscow, where he was interrogated. On 9 May 1945, it was announced that Germany had surrendered and all of Moscow broke out in celebrations with fireworks and searchlights illuminating the sky to celebrate the victory in the Great Patriotic War. From his cell in the Lubyanka, Solzhenitsyn remembered: "Above the muzzle of our window, and from all the other cells of the Lubyanka, and from all the windows of the Moscow prisons, we too, former prisoners of war and former front-line soldiers, watched the Moscow heavens, patterned with fireworks and crisscrossed with beams of searchlights. There was no rejoicing in our cells and no hugs and no kisses for us. That victory was not ours." On 7 July 1945, he was sentenced in his absence by Special Council of the NKVD to an eight-year term in a labour camp. This was the usual sentence for most crimes under Article 58 at the time.
The first part of Solzhenitsyn's sentence was served in several work camps; the "middle phase", as he later referred to it, was spent in a sharashka (a special scientific research facility run by Ministry of State Security), where he met Lev Kopelev, upon whom he based the character of Lev Rubin in his book The First Circle, published in a self-censored or "distorted" version in the West in 1968 (an English translation of the full version was eventually published by Harper Perennial in October 2009). In 1950, Solzhenitsyn was sent to a "Special Camp" for political prisoners. During his imprisonment at the camp in the town of Ekibastuz in Kazakhstan, he worked as a miner, bricklayer, and foundry foreman. His experiences at Ekibastuz formed the basis for the book One Day in the Life of Ivan Denisovich. One of his fellow political prisoners, Ion Moraru, remembers that Solzhenitsyn spent some of his time at Ekibastuz writing. While there, Solzhenitsyn had a tumor removed. His cancer was not diagnosed at the time.
In March 1953, after his sentence ended, Solzhenitsyn was sent to internal exile for life at Birlik, a village in Baidibek District of South Kazakhstan. His undiagnosed cancer spread until, by the end of the year, he was close to death. In 1954, Solzhenitsyn was permitted to be treated in a hospital in Tashkent, where his tumor went into remission. His experiences there became the basis of his novel Cancer Ward and also found an echo in the short story "The Right Hand."
It was during this decade of imprisonment and exile that Solzhenitsyn developed the philosophical and religious positions of his later life, gradually becoming a philosophically minded Eastern Orthodox Christian as a result of his experience in prison and the camps. He repented for some of his actions as a Red Army captain, and in prison compared himself to the perpetrators of the Gulag. His transformation is described at some length in the fourth part of The Gulag Archipelago ("The Soul and Barbed Wire"). The narrative poem The Trail (written without benefit of pen or paper in prison and camps between 1947 and 1952) and the 28 poems composed in prison, forced-labour camp, and exile also provide crucial material for understanding Solzhenitsyn's intellectual and spiritual odyssey during this period. These "early" works, largely unknown in the West, were published for the first time in Russian in 1999 and excerpted in English in 2006.
Marriages and children
On 7 April 1940, while at the university, Solzhenitsyn married Natalia Alekseevna Reshetovskaya. They had just over a year of married life before he went into the army, then to the Gulag. They divorced in 1952, a year before his release because the wives of Gulag prisoners faced the loss of work or residence permits. After the end of his internal exile, they remarried in 1957, divorcing a second time in 1972. Reshetovskaya wrote negatively of Solzhenitsyn in her memoirs, accusing him of having affairs, and said of the relationship that "[Solzhenitsyn]'s despotism ... would crush my independence and would not permit my personality to develop." In her 1974 memoir, Sanya: My Life with Aleksandr Solzhenitsyn, she wrote that she was "perplexed" that the West had accepted The Gulag Archipelago as "the solemn, ultimate truth", saying its significance had been "overestimated and wrongly appraised". Pointing out that the book's subtitle is "An Experiment in Literary Investigation", she said that her husband did not regard the work as "historical research, or scientific research". She contended that it was, rather, a collection of "camp folklore", containing "raw material" which her husband was planning to use in his future productions.
In 1973, Solzhenitsyn married his second wife, Natalia Dmitrievna Svetlova, a mathematician who had a son, Dmitri Turin, from a brief prior marriage. He and Svetlova (born 1939) had three sons: Yermolai (1970), Ignat (1972), and Stepan (1973). Dmitri Turin died on 18 March 1994, aged 32, at his home in New York City.
After prison
After Khrushchev's Secret Speech in 1956, Solzhenitsyn was freed from exile and exonerated. Following his return from exile, Solzhenitsyn was, while teaching at a secondary school during the day, spending his nights secretly engaged in writing. In his Nobel Prize acceptance speech he wrote that "during all the years until 1961, not only was I convinced I should never see a single line of mine in print in my lifetime, but, also, I scarcely dared allow any of my close acquaintances to read anything I had written because I feared this would become known."
In 1960, aged 42, Solzhenitsyn approached Aleksandr Tvardovsky, a poet and the chief editor of the Novy Mir magazine, with the manuscript of One Day in the Life of Ivan Denisovich. It was published in edited form in 1962, with the explicit approval of Nikita Khrushchev, who defended it at the presidium of the Politburo hearing on whether to allow its publication, and added: "There's a Stalinist in each of you; there's even a Stalinist in me. We must root out this evil." The book quickly sold out and became an instant hit. In the 1960s, while Solzhenitsyn was publicly known to be writing Cancer Ward, he was simultaneously writing The Gulag Archipelago. During Khrushchev's tenure, One Day in the Life of Ivan Denisovich was studied in schools in the Soviet Union, as were three more short works of Solzhenitsyn's, including his short story "Matryona's Home", published in 1963. These would be the last of his works published in the Soviet Union until 1990.
One Day in the Life of Ivan Denisovich brought the Soviet system of prison labour to the attention of the West. It caused as much of a sensation in the Soviet Union as it did in the West—not only by its striking realism and candour, but also because it was the first major piece of Soviet literature since the 1920s on a politically charged theme, written by a non-party member, indeed a man who had been to Siberia for "libelous speech" about the leaders, and yet its publication had been officially permitted. In this sense, the publication of Solzhenitsyn's story was almost unheard of instance of free, unrestrained discussion of politics through literature. However, after Khrushchev had been ousted from power in 1964, the time for such raw, exposing works came to an end.
Later years in the Soviet Union
Solzhenitsyn made an unsuccessful attempt, with the help of Tvardovsky, to have his novel Cancer Ward legally published in the Soviet Union. This required the approval of the Union of Writers. Though some there appreciated it, the work was ultimately denied publication unless it was to be revised and cleaned of suspect statements and anti-Soviet insinuations.
After Khrushchev's removal in 1964, the cultural climate again became more repressive. Publishing of Solzhenitsyn's work quickly stopped; as a writer, he became a non-person, and, by 1965, the KGB had seized some of his papers, including the manuscript of The First Circle. Meanwhile, Solzhenitsyn continued to secretly and feverishly work on the most well-known of his writings, The Gulag Archipelago. The seizing of his novel manuscript first made him desperate and frightened, but gradually he realized that it had set him free from the pretenses and trappings of being an "officially acclaimed" writer, a status which had become familiar but which was becoming increasingly irrelevant.
After the KGB had confiscated Solzhenitsyn's materials in Moscow, in the years 1965 to 1967, the preparatory drafts of The Gulag Archipelago were turned into finished typescript in hiding at his friends' homes in Soviet Estonia. Solzhenitsyn had befriended Arnold Susi, a lawyer and former Minister of Education of Estonia in a Lubyanka Building prison cell. After completion, Solzhenitsyn's original handwritten script was kept hidden from the KGB in Estonia by Arnold Susi's daughter Heli Susi until the collapse of the Soviet Union.
In 1969, Solzhenitsyn was expelled from the Union of Writers. In 1970, he was awarded the Nobel Prize in Literature. He could not receive the prize personally in Stockholm at that time, since he was afraid he would not be let back into the Soviet Union. Instead, it was suggested he should receive the prize in a special ceremony at the Swedish embassy in Moscow. The Swedish government refused to accept this solution because such a ceremony and the ensuing media coverage might upset the Soviet Union and damage Swedish-Soviet relations. Instead, Solzhenitsyn received his prize at the 1974 ceremony after he had been expelled from the Soviet Union. In 1973, another manuscript written by Solzhenitsyn was confiscated by the KGB after his friend Elizaveta Voronyanskaya was questioned non-stop for five days until she revealed its location, according to a statement by Solzhenitsyn to Western reporters on September 6, 1973. According to Solzhenitsyn, "When she returned home, she hanged herself."
The Gulag Archipelago was composed from 1958 to 1967, and has sold over thirty million copies in thirty-five languages. It was a three-volume, seven-part work on the Soviet prison camp system, which drew from Solzhenitsyn's experiences and the testimony of 256 former prisoners and Solzhenitsyn's own research into the history of the Russian penal system. It discusses the system's origins from the founding of the Communist regime, with Vladimir Lenin having responsibility, detailing interrogation procedures, prisoner transports, prison camp culture, prisoner uprisings and revolts such as the Kengir uprising, and the practice of internal exile. Soviet and Communist studies historian and archival researcher Stephen G. Wheatcroft wrote that the book was essentially a "literary and political work", and "never claimed to place the camps in a historical or social-scientific quantitative perspective" but that in the case of qualitative estimates, Solzhenitsyn gave his high estimate as he wanted to challenge the Soviet authorities to show that "the scale of the camps was less than this." Historian J. Arch Getty wrote of Solzhenitsyn's methodology that "such documentation is methodically unacceptable in other fields of history", which gives priority to vague hearsay and leads towards selective bias. According to journalist Anne Applebaum, who has made extensive research on the Gulag, The Gulag Archipelago'''s rich and varied authorial voice, its unique weaving together of personal testimony, philosophical analysis, and historical investigation, and its unrelenting indictment of Communist ideology made it one of the most influential books of the 20th century.
On 8 August 1971, the KGB allegedly attempted to assassinate Solzhenitsyn using an unknown chemical agent (most likely ricin) with an experimental gel-based delivery method. The attempt left him seriously ill but he survived.
Although The Gulag Archipelago was not published in the Soviet Union, it was extensively criticized by the Party-controlled Soviet press. An editorial in Pravda on 14 January 1974 accused Solzhenitsyn of supporting "Hitlerites" and making "excuses for the crimes of the Vlasovites and Bandera gangs." According to the editorial, Solzhenitsyn was "choking with pathological hatred for the country where he was born and grew up, for the socialist system, and for Soviet people."
During this period, he was sheltered by the cellist Mstislav Rostropovich, who suffered considerably for his support of Solzhenitsyn and was eventually forced into exile himself.
Expulsion from the Soviet Union
In a discussion of its options in dealing with Solzhenitsyn, the members of the Politburo considered his arrest and imprisonment and his expulsion to a capitalist country willing to take him. Guided by KGB chief Yuri Andropov, and following a statement from West German Chancellor Willy Brandt that Solzhenitsyn could live and work freely in West Germany, it was decided to deport the writer directly to that country.
In the West
On 12 February 1974, Solzhenitsyn was arrested and deported the next day from the Soviet Union to Frankfurt, West Germany and stripped of his Soviet citizenship. The KGB had found the manuscript for the first part of The Gulag Archipelago. U.S. military attaché William Odom managed to smuggle out a large portion of Solzhenitsyn's archive, including the author's membership card for the Writers' Union and his Second World War military citations. Solzhenitsyn paid tribute to Odom's role in his memoir Invisible Allies (1995).
In West Germany, Solzhenitsyn lived in Heinrich Böll's house in . He then moved to Zürich, Switzerland before Stanford University invited him to stay in the United States to "facilitate your work, and to accommodate you and your family". He stayed at the Hoover Tower, part of the Hoover Institution, before moving to Cavendish, Vermont, in 1976. He was given an honorary literary degree from Harvard University in 1978 and on 8 June 1978 he gave a commencement address, condemning, among other things, the press, the lack of spirituality and traditional values, and the anthropocentrism of Western culture. Solzhenitsyn also received an honorary degree from the College of the Holy Cross in 1984.
On 19 September 1974, Yuri Andropov approved a large-scale operation to discredit Solzhenitsyn and his family and cut his communications with Soviet dissidents. The plan was jointly approved by Vladimir Kryuchkov, Philipp Bobkov, and Grigorenko (heads of First, Second and Fifth KGB Directorates). The residencies in Geneva, London, Paris, Rome and other European cities participated in the operation. Among other active measures, at least three StB agents became translators and secretaries of Solzhenitsyn (one of them translated the poem Prussian Nights), keeping the KGB informed regarding all contacts by Solzhenitsyn.
The KGB also sponsored a series of hostile books about Solzhenitsyn, most notably a "memoir published under the name of his first wife, Natalia Reshetovskaya, but probably mostly composed by Service A", according to historian Christopher Andrew. Andropov also gave an order to create "an atmosphere of distrust and suspicion between Pauk and the people around him" by feeding him rumors that the people around him were KGB agents, and deceiving him at every opportunity. Among other things, he continually received envelopes with photographs of car crashes, brain surgery and other disturbing imagery. After the KGB harassment in Zürich, Solzhenitsyn settled in Cavendish, Vermont, reduced communications with others. His influence and moral authority for the West diminished as he became increasingly isolated and critical of Western individualism. KGB and CPSU experts finally concluded that he alienated American listeners by his "reactionary views and intransigent criticism of the US way of life", so no further active measures would be required.
Over the next 17 years, Solzhenitsyn worked on his dramatized history of the Russian Revolution of 1917, The Red Wheel. By 1992, four sections had been completed and he had also written several shorter works.
Solzhenitsyn's warnings about the dangers of Communist aggression and the weakening of the moral fiber of the West were generally well received in Western conservative circles (e.g. Ford administration staffers Dick Cheney and Donald Rumsfeld advocated on Solzhenitsyn's behalf for him to speak directly to President Gerald Ford about the Soviet threat), prior to and alongside the tougher foreign policy pursued by US President Ronald Reagan. At the same time, liberals and secularists became increasingly critical of what they perceived as his reactionary preference for Russian nationalism and the Russian Orthodox religion.
Solzhenitsyn also harshly criticised what he saw as the ugliness and spiritual vapidity of the dominant pop culture of the modern West, including television and much of popular music: "...the human soul longs for things higher, warmer, and purer than those offered by today's mass living habits... by TV stupor and by intolerable music." Despite his criticism of the "weakness" of the West, Solzhenitsyn always made clear that he admired the political liberty which was one of the enduring strengths of Western democratic societies. In a major speech delivered to the International Academy of Philosophy in Liechtenstein on 14 September 1993, Solzhenitsyn implored the West not to "lose sight of its own values, its historically unique stability of civic life under the rule of law—a hard-won stability which grants independence and space to every private citizen."
In a series of writings, speeches, and interviews after his return to his native Russia in 1994, Solzhenitsyn spoke about his admiration for the local self-government he had witnessed first hand in Switzerland and New England."The Cavendish Farewell" in Ericson (2009) pp. 606–07 He "praised 'the sensible and sure process of grassroots democracy, in which the local population solves most of its problems on its own, not waiting for the decisions of higher authorities.'" Solzhenitsyn's patriotism was inward-looking. He called for Russia to "renounce all mad fantasies of foreign conquest and begin the peaceful long, long long period of recuperation," as he put it in a 1979 BBC interview with Latvian-born BBC journalist Janis Sapiets.
Return to Russia
In 1990, his Soviet citizenship was restored, and, in 1994, he returned to Russia with his wife, Natalia, who had become a United States citizen. Their sons stayed behind in the United States (later, his eldest son Yermolai returned to Russia). From then until his death, he lived with his wife in a dacha in Troitse-Lykovo in west Moscow between the dachas once occupied by Soviet leaders Mikhail Suslov and Konstantin Chernenko. A staunch believer in traditional Russian culture, Solzhenitsyn expressed his disillusionment with post-Soviet Russia in works such as Rebuilding Russia, and called for the establishment of a strong presidential republic balanced by vigorous institutions of local self-government. The latter would remain his major political theme. Solzhenitsyn also published eight two-part short stories, a series of contemplative "miniatures" or prose poems, and a literary memoir on his years in the West The Grain Between the Millstones, translated and released as two works by the University of Notre Dame as part of the Kennan Institute's Solzhenitsyn Initiative. The first, Between Two Millstones, Book 1: Sketches of Exile (1974–1978), was translated by Peter Constantine and published in October 2018, the second, Book 2: Exile in America (1978–1994) translated by Clare Kitson and Melanie Moore and published in October 2020.
Once back in Russia Solzhenitsyn hosted a television talk show program. Its eventual format was Solzhenitsyn delivering a 15-minute monologue twice a month; it was discontinued in 1995. Solzhenitsyn became a supporter of Vladimir Putin, who said he shared Solzhenitsyn's critical view towards the Russian Revolution.
All of Solzhenitsyn's sons became U.S. citizens. One, Ignat, is a pianist and conductor. Another Solzhenitsyn son, Yermolai, works for the Moscow office of McKinsey & Company, a management consultancy firm, where he is a senior partner.
Death
Solzhenitsyn died of heart failure near Moscow on 3 August 2008, at the age of 89. A burial service was held at Donskoy Monastery, Moscow, on 6 August 2008. He was buried the same day in the monastery, in a spot he had chosen. Russian and world leaders paid tribute to Solzhenitsyn following his death.
Views on history and politics
On Christianity, Tsarism, and Russian nationalism
According to William Harrison, Solzhenitsyn was an "arch-reactionary", who argued that the Soviet State "suppressed" traditional Russian and Ukrainian culture, called for the creation of a united Slavic state encompassing Russia, Ukraine, and Belarus, and who was a fierce opponent of Ukrainian independence. It is well documented that his negative views on Ukrainian independence became more radical over the years. Harrison also alleged that Solzhenitsyn held Pan-Slavist and monarchist views. According to Harrison, "His historical writing is imbued with a hankering after an idealized Tsarist era when, seemingly, everything was rosy. He sought refuge in a dreamy past, where, he believed, a united Slavic state (the Russian empire) built on Orthodox foundations had provided an ideological alternative to western individualistic liberalism."
Solzhenitsyn also repeatedly denounced Tsar Alexis of Russia and Patriarch Nikon of Moscow for causing the Great Schism of 1666, which Solzhenitsyn said both divided and weakened the Russian Orthodox Church at a time when unity was desperately needed. Solzhenitsyn also attacked both the Tsar and the Patriarch for using excommunication, Siberian exile, imprisonment, torture, and even burning at the stake against the Old Believers, who rejected the liturgical changes which caused the Schism.
Solzhenitsyn also argued that the Dechristianization of Russian culture, which he considered most responsible for the Bolshevik Revolution, began in 1666, became much worse during the Reign of Tsar Peter the Great, and accelerated into an epidemic during The Enlightenment, the Romantic era, and the Silver Age.
Expanding upon this theme, Solzhenitsyn once declared, "Over a half century ago, while I was still a child, I recall hearing a number of old people offer the following explanation for the great disasters that had befallen Russia: 'Men have forgotten God; that's why all this has happened. Since then I have spent well-nigh 50 years working on the history of our revolution; in the process I have read hundreds of books, collected hundreds of personal testimonies, and have already contributed eight volumes of my own toward the effort of clearing away the rubble left by that upheaval. But if I were asked today to formulate as concisely as possible the main cause of the ruinous revolution that swallowed up some 60 million of our people, I could not put it more accurately than to repeat: 'Men have forgotten God; that's why all this has happened.'"
In an interview with Joseph Pearce, however, Solzhenitsyn commented, "[The Old Believers were] treated amazingly unjustly because some very insignificant, trifling differences in ritual which were promoted with poor judgment and without much sound basis. Because of these small differences, they were persecuted in very many cruel ways, they were suppressed, they were exiled. From the perspective of historical justice, I sympathise with them and I am on their side, but this in no way ties in with what I have just said about the fact that religion in order to keep up with mankind must adapt its forms toward modern culture. In other words, do I agree with the Old Believers that religion should freeze and not move at all? Not at all!"
When asked by Pearce for his opinions about the division within the Roman Catholic Church over the Second Vatican Council and the Mass of Paul VI, Solzhenitsyn replied, "A question peculiar to the Russian Orthodox Church is, should we continue to use Old Church Slavonic, or should we start to introduce more of the contemporary Russian language into the service? I understand the fears of both those in the Orthodox and in the Catholic Church, the wariness, the hesitation, and the fear that this is lowering the Church to the modern condition, the modern surroundings. I understand this, but alas, I fear that if religion does not allow itself to change, it will be impossible to return the world to religion because the world is incapable on its own of rising as high as the old demands of religion. Religion needs to come and meet it somewhat."
Surprised to hear Solzhenitsyn, "so often perceived as an arch-traditionalist, apparently coming down on the side of the reformers", Pearce then asked Solzhenitsyn what he thought of the division caused within the Anglican Communion by the decision to ordain female priests.
Solzhenitsyn replied, "Certainly there are many firm boundaries that should not be changed. When I speak of some sort of correlation between the cultural norms of the present, it is really only a small part of the whole thing." Solzhenitsyn then added, "Certainly, I do not believe that women priests is the way to go!"
On Russia and the Jews
In his 1974 essay "Repentance and Self-Limitation in the Life of Nations", Solzhenitsyn urged "Russian Gentiles" and Jews alike to take moral responsibility for the "renegades" from both communities who enthusiastically embraced atheism and Marxism–Leninism and participated in the Red Terror and many other acts of torture and mass murder following the October Revolution. Solzhenitsyn argued that both Russian Gentiles and Jews should be prepared to treat the atrocities committed by Jewish and Gentile Bolsheviks as though they were the acts of their own family members, before their consciences and before God. Solzhenitsyn said that if we deny all responsibility for the crimes of our national kin, "the very concept of a people loses all meaning."
In a review of Solzhenitsyn's novel August 1914 in The New York Times on 13 November 1985, Jewish American historian Richard Pipes wrote: "Every culture has its own brand of anti-Semitism. In Solzhenitsyn's case, it's not racial. It has nothing to do with blood. He's certainly not a racist; the question is fundamentally religious and cultural. He bears some resemblance to Fyodor Dostoyevsky, who was a fervent Christian and patriot and a rabid anti-Semite. Solzhenitsyn is unquestionably in the grip of the Russian extreme right's view of the Revolution, which is that it was the doing of the Jews". Award-winning Jewish novelist and the Holocaust survivor Elie Wiesel disagreed and wrote that Solzhenitsyn was "too intelligent, too honest, too courageous, too great a writer" to be an anti-Semite. In his 1998 book Russia in Collapse, Solzhenitsyn criticized the Russian far-right's obsession with anti-Semitic and anti-Masonic conspiracy theories.
In 2001, Solzhenitsyn published a two-volume work on the history of Russian-Jewish relations (Two Hundred Years Together 2001, 2002). The book triggered renewed accusations of anti-Semitism. In the book, he repeated his call for Russian Gentiles and Jews to share responsibility for everything that happened in the Soviet Union. He also downplayed the number of victims of an 1882 pogrom despite current evidence, and failed to mention the Beilis affair, a 1911 trial in Kiev where a Jew was accused of ritually murdering Christian children. He was also criticized for relying on outdated scholarship, ignoring current western scholarship, and for selectively quoting to strengthen his preconceptions, such as that the Soviet Union often treated Jews better than non-Jewish Russians. Similarities between Two Hundred Years Together and an anti-Semitic essay titled "Jews in the USSR and in the Future Russia", attributed to Solzhenitsyn, have led to the inference that he stands behind the anti-Semitic passages. Solzhenitsyn himself explained that the essay consists of manuscripts stolen from him by the KGB, and then carefully edited to appear anti-Semitic, before being published, 40 years before, without his consent.Cathy Young: Reply to Daniel J. Mahoney in Reason Magazine, August–September 2004. According to the historian Semyon Reznik, textological analyses have proven Solzhenitsyn's authorship.
Criticism of communism
Solzhenitsyn emphasized the significantly more oppressive character of the Soviet police state, in comparison to the Russian Empire of the House of Romanov. He asserted that Imperial Russia did not censor literature or the media to the extreme style of the Soviet Glavlit, that political prisoners typically were not forced into labor camps, and that the number of political prisoners and exiles was only one ten-thousandth of the numbers of prisoners and Exiles following the Bolshevik Revolution. He noted that the Tsar's secret police, the Okhrana, was only present in the three largest cities, and not at all in the Imperial Russian Army.
Shortly before his return to Russia, Solzhenitsyn delivered a speech in Les Lucs-sur-Boulogne to commemorate the 200th anniversary of the Vendée Uprising. During his speech, Solzhenitsyn compared Lenin's Bolsheviks with the Jacobin Club during the French Revolution. He also compared the Vendean rebels with the Russian, Ukrainian, and Cossack peasants who rebelled against the Bolsheviks, saying that both were destroyed mercilessly by revolutionary despotism. He commented that, while the French Reign of Terror ended with the Thermidorian reaction and the toppling of the Jacobins and the execution of Maximilien Robespierre, its Soviet equivalent continued to accelerate until the Khrushchev thaw of the 1950s.
According to Solzhenitsyn, Russians were not the ruling nation in the Soviet Union. He believed that all the traditional culture of all ethnic groups were equally oppressed in favor of atheism and Marxist–Leninism. Russian culture was even more repressed than any other culture in the Soviet Union, since the regime was more afraid of ethnic uprisings among Russian Christians than among any other ethnicity. Therefore, Solzhenitsyn argued, Russian nationalism and the Russian Orthodox Church should not be regarded as a threat by the West but rather as allies.
Solzhenitsyn made a speaking tour after Francisco Franco's death, and "told liberals not to push too hard for changes because Spain had more freedoms now than the Soviet Union had ever known." As reported by The New York Times, he "blamed Communism for the death of 110 million Russians and derided those in Spain who complained of dictatorship." Solzhenitsyn recalled: "I had to explain to the people of Spain in the most concise possible terms what it meant to have been subjugated by an ideology as we in the Soviet Union had been, and give the Spanish to understand what a terrible fate they escaped in 1939", a reference to the Spanish Civil War between the Nationalists and the Republicans, which was not a common view at that time among American diplomats. For Winston Lord, a protégé of the then United States Secretary of State Henry Kissinger, Solzhenitsyn was "just about a fascist." According to Elisa Kriza, Solzhenitsyn held "benevolent views" on Franco's dictatorship and Francoist Spain because it was a Christian one, and his Christian worldview operated ideologically. In The Little Grain Managed to Land Between Two Millstones, Franco's Spain is "held up as a model of a proper Christian response to the evil of Bolshevism." According to Peter Brooke, Solzhenitsyn approached the position argued by Christian Dmitri Panin, with whom he had a fall out in exile, namely that evil "must be confronted by force, and the centralised, spiritually independent Roman Catholic Church is better placed to do it than Orthodoxy with its otherworldliness and tradition of subservience to the state."
In "Rebuilding Russia", an essay first published in 1990 in Komsomolskaya Pravda, Solzhenitsyn urged the Soviet Union to grant independence to all the non-Slav republics, which he claimed were sapping the Russian nation and he called for the creation of a new Slavic state bringing together Russia, Ukraine, Belarus, and parts of Kazakhstan that he considered to be Russified. Regarding Ukraine he wrote “All the talk of a separate Ukrainian people existing since something like the ninth century and possessing its own non-Russian language is recently invented falsehood” and "we all sprang from precious Kiev".
On post-Soviet Russia
In some of his later political writings, such as Rebuilding Russia (1990) and Russia in Collapse (1998), Solzhenitsyn criticized the oligarchic excesses of the new Russian democracy, while opposing any nostalgia for Soviet Communism. He defended moderate and self-critical patriotism (as opposed to extreme nationalism). He also urged for local self-government similar to what he had seen in New England town meetings and in the cantons of Switzerland. He also expressed concern for the fate of the 25 million ethnic Russians in the "near abroad" of the former Soviet Union.
In an interview with Joseph Pearce, Solzhenitsyn was asked whether he felt that the socioeconomic theories of E.F. Schumacher were, "the key to society rediscovering its sanity". He replied, "I do believe that it would be the key, but I don't think this will happen, because people succumb to fashion, and they suffer from inertia and it is hard to them to come round to a different point of view."
Solzhenitsyn refused to accept Russia's highest honor, the Order of St. Andrew, in 1998. Solzhenitsyn later said: "In 1998, it was the country's low point, with people in misery; ... Yeltsin decreed I be honored the highest state order. I replied that I was unable to receive an award from a government that had led Russia into such dire straits." In a 2003 interview with Joseph Pearce, Solzhenitsyn said: "We are exiting from communism in a most unfortunate and awkward way. It would have been difficult to design a path out of communism worse than the one that has been followed."
In a 2007 interview with Der Spiegel, Solzhenitsyn expressed disappointment that the "conflation of 'Soviet' and 'Russian'", against which he spoke so often in the 1970s, had not passed away in the West, in the ex-socialist countries, or in the former Soviet republics. He commented, "The elder political generation in communist countries is not ready for repentance, while the new generation is only too happy to voice grievances and level accusations, with present-day Moscow [as] a convenient target. They behave as if they heroically liberated themselves and lead a new life now, while Moscow has remained communist. Nevertheless, I dare [to] hope that this unhealthy phase will soon be over, that all the peoples who have lived through communism will understand that communism is to blame for the bitter pages of their history."
In 2008, Solzhenitsyn praised Putin, saying Russia was rediscovering what it meant to be Russian. Solzhenitsyn also praised the Russian president Dmitry Medvedev as a "nice young man" who was capable of taking on the challenges Russia was facing.
Criticism of the West
Once in the United States, Solzhenitsyn sharply criticized the West.
Solzhenitsyn criticized the Allies for not opening a new front against Nazi Germany in the west earlier in World War II. This resulted in Soviet domination and control of the nations of Eastern Europe. Solzhenitsyn claimed the Western democracies apparently cared little about how many died in the East, as long as they could end the war quickly and painlessly for themselves in the West.
Delivering the commencement address at Harvard University in 1978, he called the United States "Dechristianized" and mired in boorish consumerism. The American people, he said, speaking in Russian through a translator, were also suffering from a "decline in courage" and a "lack of manliness." Few were willing to die for their ideals, he said. He also condemned the 1960s counterculture for forcing the United States federal government to accept a "hasty" capitulation in the Vietnam War.
In a reference to the Communist governments in Southeast Asia's use of re-education camps, politicide, human rights abuses, and genocide following the Fall of Saigon, Solzhenitsyn said: "But members of the U.S. antiwar movement wound up being involved in the betrayal of Far Eastern nations, in a genocide and in the suffering today imposed on 30 million people there. Do those convinced pacifists hear the moans coming from there?"
He also accused the Western news media of left-wing bias, of violating the privacy of celebrities, and of filling up the "immortal souls" of their readers with celebrity gossip and other "vain talk". He also said that the West erred in thinking that the whole world should embrace this as model. While faulting Soviet society for rejecting basic human rights and the rule of law, he also critiqued the West for being too legalistic: "A society which is based on the letter of the law and never reaches any higher is taking very scarce advantage of the high level of human possibilities." Solzhenitsyn also argued that the West erred in "denying [Russian culture's] autonomous character and therefore never understood it".
Solzhenitsyn criticized the 2003 invasion of Iraq and accused the United States of the "occupation" of Kosovo, Afghanistan and Iraq.
Solzhenitsyn was critical of NATO's eastward expansion towards Russia's borders. In 2006, Solzhenitsyn accused NATO of trying to bring Russia under its control; he claimed this was visible because of its "ideological support for the 'colour revolutions' and the paradoxical forcing of North Atlantic interests on Central Asia". In a 2006 interview with Der Spiegel he stated "This was especially painful in the case of Ukraine, a country whose closeness to Russia is defined by literally millions of family ties among our peoples, relatives living on different sides of the national border. At one fell stroke, these families could be torn apart by a new dividing line, the border of a military bloc."
On the Holodomor
Solzhenitsyn gave a speech to AFL–CIO in Washington, D.C., on 30 June 1975 in which he mentioned how the system created by the Bolsheviks in 1917 caused dozens of problems in the Soviet Union. He described how this system was responsible for the Holodomor: "It was a system which, in time of peace, artificially created a famine, causing 6 million people to die in the Ukraine in 1932 and 1933." Solzhenitsyn added, "they died on the very edge of Europe. And Europe didn't even notice it. The world didn't even notice it—6 million people!"
Shortly before his death, Solzhenitsyn opined in an interview published 2 April 2008 in Izvestia that, while the famine in Ukraine was both artificial and caused by the state, it was no different from the Russian famine of 1921–1922. Solzhenitsyn expressed the belief that both famines were caused by systematic armed robbery of the harvests from both Russian and Ukrainian peasants by Bolshevik units, which were under orders from the Politburo to bring back food for the starving urban population centers while refusing for ideological reasons to permit any private sale of food supplies in the cities or to give any payment to the peasants in return for the food that was seized. Solzhenitsyn further alleged that the theory that the Holodomor was a genocide which only victimized the Ukrainian people was created decades later by believers in an anti-Russian form of extreme Ukrainian nationalism. Solzhenitsyn also cautioned that the ultranationalists' claims risked being accepted without question in the West due to widespread ignorance and misunderstanding there of both Russian and Ukrainian history.
Legacy
The Aleksandr Solzhenitsyn Center in Worcester, Massachusetts promotes the author and hosts the official English-language website dedicated to him.
Television documentaries on Solzhenitsyn
In October 1983, French literary journalist Bernard Pivot made an hour-long television interview with Solzhenitsyn at his rural home in Vermont, US. Solzhenitsyn discussed his writing, the evolution of his language and style, his family and his outlook on the future—and stated his wish to return to Russia in his lifetime, not just to see his books eventually printed there.Apostrophes: Alexandre Soljenitsyne répond à Bernard Pivot | Archive INA Ina Talk Shows Earlier the same year, Solzhenitsyn was interviewed on separate occasions by two British journalists, Bernard Levin and Malcolm Muggeridge.
In 1998, Russian filmmaker Alexander Sokurov made a four-part television documentary, Besedy s Solzhenitsynym (The Dialogues with Solzhenitsyn). The documentary was shot in Solzhenitsyn's home depicting his everyday life and his reflections on Russian history and literature.
In December 2009, the Russian channel Rossiya K broadcast the French television documentary L'Histoire Secrète de l'Archipel du Goulag (The Secret History of the Gulag Archipelago) made by Jean Crépu and Nicolas Miletitch and translated into Russian under the title Taynaya Istoriya "Arkhipelaga Gulag" (Тайная история "Архипелага ГУЛАГ"). The documentary covers events related to creation and publication of The Gulag Archipelago.
Published works and speeches
Also known as The Prisoner and the Camp Hooker or The Tenderfoot and the Tart.
The beginning of a history of the birth of the USSR. Centers on the disastrous loss in the Battle of Tannenberg in August 1914, and the ineptitude of the military leadership. Other works, similarly titled, follow the story: see The Red Wheel (overall title).
(3 vols.), not a memoir, but a history of the entire process of developing and administering a police state in the Soviet Union.
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; separate publication of chapters on Vladimir Lenin, none of them published before this point, from The Red Wheel. The first of them was later incorporated into the 1984 edition of the expanded August 1914 (though it had been written at the same time as the original version of the novel) and the rest in November 1916 and March 1917.
on Russian-Jewish relations since 1772, aroused ambiguous public response.
See also
Literature covering the Gulag system
List of refugees
Ivan Bunin
Czesław Miłosz
Đoàn Văn Toại
Wei Jingsheng
Yevgeny Zamyatin
Notes
References
Sources
Kriza, Elisa (2014) Alexander Solzhenitsyn: Cold War Icon, Gulag Author, Russian Nationalist? A Study of the Western Reception of his Literary Writings, Historical Interpretations, and Political Ideas. Stuttgart: Ibidem Press.
Further reading
Biographies
Ostrovsky Alexander (2004). Солженицын: прощание с мифом (Solzhenitsyn: Farewell to the myth) – Moscow: «Yauza», Presscom.
Reference works
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; Prof. Vittorio Strada, Dott. Julija Dobrovol'skaja.
Anatoly Livry, « Soljénitsyne et la République régicide », Les Lettres et Les Arts, Cahiers suisses de critique littéraire et artistiques, Association de la revue Les Lettres et les Arts, Suisse, Vicques, 2011, pp. 70–72. http://anatoly-livry.e-monsite.com/medias/files/soljenitsine-livry-1.pdf
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External links
The Nobel Prize in Literature 1970
Negative Analysis of Alexander Solzhenitsyn by the Stalin Society''
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Vermont Recluse Aleksandr Solzhenitsyn
Der Spiegel interviews Alexander Solzhenitsyn: 'I Am Not Afraid of Death', 23 July 2007
As delivered text and video of Harvard Commencement Address at AmericanRhetoric.com
The Solzhenitsyn Reader: New and Essential Writings, 1947–2005
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Aberdeen (; ; ; ) is a city in North East Scotland, and is the third most populous Scottish city. Aberdeen is one of Scotland's 32 local government council areas (as Aberdeen City), and has a population estimate of for the city of Aberdeen, and for the local council area making it the United Kingdom's 39th most populous built-up area. The city is northeast of Edinburgh and north of London, and is the northernmost major city in the United Kingdom. Aberdeen has a long, sandy coastline and features an oceanic climate, with cool summers and mild, rainy winters.
During the mid-18th to mid-20th centuries, Aberdeen's buildings incorporated locally quarried grey granite, which may sparkle like silver because of its high mica content. Since the discovery of North Sea oil in 1969, Aberdeen has been known as the offshore oil capital of Europe. Based upon the discovery of prehistoric villages around the mouths of the rivers Dee and Don, the area around Aberdeen has been thought to have been settled for at least 6,000 years.
Aberdeen received royal burgh status from David I of Scotland (1124–1153), which transformed the city economically. The traditional industries of fishing, paper-making, shipbuilding, and textiles have been overtaken by the oil industry and Aberdeen's seaport. Aberdeen Heliport is one of the busiest commercial heliports in the world, and the seaport is the largest in the north-east part of Scotland. A university town, the city is known for the University of Aberdeen, founded in 1495 as the fifth oldest university in the English-speaking world and located in Old Aberdeen.
In 2012, HSBC named Aberdeen as a leading business hub and one of eight 'super cities' spearheading the UK's economy, marking it as the only city in Scotland so designated. In 2018, Aberdeen was found to be the best city in the UK to start a business in a study released by card payment firm Paymentsense.
History
The Aberdeen area has seen human settlement for at least 8,000 years. The city began as two separate burghs: Old Aberdeen at the mouth of the river Don; and New Aberdeen, a fishing and trading settlement, where the Denburn waterway entered the river Dee estuary. The earliest charter was granted by William the Lion in 1179 and confirmed the corporate rights granted by David I.
In 1319, the Great Charter of Robert the Bruce transformed Aberdeen into a property-owning and financially independent community. Granted with it was the nearby Forest of Stocket, whose income formed the basis for the city's Common Good Fund which still benefits Aberdonians.
During the Wars of Scottish Independence, Aberdeen was under English rule, so Robert the Bruce laid siege to Aberdeen Castle before destroying it in 1308, followed by executing the English garrison. The city was burned by Edward III of England in 1336, but was rebuilt and extended. The city was strongly fortified to prevent attacks by neighbouring lords, but the gates were removed by 1770.
Aberdeen's medieval council registers survive from 1398 onwards and are exceptional for their quantity and continuity among surviving Scottish burgh records. The earliest eight volumes, from 1398 to 1511, have been included in the UNESCO UK Memory of the World Register, and have been edited in a digital edition.
During the Wars of the Three Kingdoms of 1644 to 1647 the city was plundered by both sides. In 1644, it was taken and ransacked by Royalist troops after the Battle of Aberdeen and two years later it was stormed by a Royalist force under the command of the George Gordon, 2nd Marquis of Huntly. An outbreak of bubonic plague over 1687 and 1688 killed 8.5% of the population, adding to the economic and demographic damage caused by war. In the 18th century, a new Town Hall was built and the first social services appeared with the Aberdeen Infirmary at Woolmanhill in 1739 and the Aberdeen Lunatic Asylum in 1800.
The expensive infrastructure works led to the city becoming bankrupt in 1817 during the Post-Napoleonic depression, an economic downturn immediately after the Napoleonic Wars; but the city's prosperity later recovered. The increasing economic importance of Aberdeen and the development of the shipbuilding and fishing industries led to the construction of the present harbour including Victoria Dock and the South Breakwater, and the extension of the North Pier. Gas street lighting arrived in 1824 and an enhanced water supply appeared in 1830 when water was pumped from the Dee to a reservoir in Union Place. An underground sewer system replaced open sewers in 1865. The city was incorporated in 1891. Although Old Aberdeen has a separate history and still holds its ancient charter, it was annexed by the City of Aberdeen in 1891.
Over the course of the Second World War Aberdeen was attacked 32 times by the German Luftwaffe. One of the most devastating attacks was on Wednesday 21 April 1943 when 29 Luftwaffe Dornier 217s flying from Stavanger, Norway attacked the city between the hours of 22:17 and 23:04. A total of 98 civilians and 27 servicemen were killed, along with 12,000 houses damaged, after a mixture of 127 Incendiary, High Explosive and Cluster bombs were dropped on the city in one night.
Two books written in 2018 and 2022 using bombing records held in London identified that unexploded bombs from the 1943 raid were found in the 1950s and 1980s making the bombs dropped 129 in total. Damage from the raid can still be seen in some parts of Aberdeen.
Toponymy
The name given to Aberdeen translates as 'mouth of the river Don', and is recorded as Aberdon in 1172 and Aberden in . The first element of the name is the Pictish word 'river mouth'. The second element is from the Celtic river goddess Devona.
Aberdeen is usually described as within the historical Pictish territory, and became Gaelic-speaking at some time in the medieval period. Old Aberdeen is the approximate location of Aberdon, the first settlement of Aberdeen; this literally means "the mouth of the Don". The Celtic word means "river mouth", as in modern Welsh (Aberystwyth, Aberdare, Aberbeeg etc.). The Scottish Gaelic name is (variation: ; presumably being a loan from the earlier Pictish; the Gaelic term is ), and in Latin, the Romans referred to the river as . Medieval (or Ecclesiastical) Latin has it as .
Governance
Aberdeen is locally governed by Aberdeen City Council, which comprises forty-five councillors who represent the city's wards and is headed by the Lord Provost. The current Lord Provost is David Cameron. From May 2003 until May 2007 the council was run by a Liberal Democrat and Conservative Party coalition. Following the May 2007 local elections, the Liberal Democrats formed a new coalition with the Scottish National Party. After a later SNP by-election gain from the Conservatives, this coalition held 28 of the 43 seats. Following the election of 4 May 2017, the council was controlled by a coalition of Scottish Labour, Scottish Conservatives and independent councillors; the Labour councillors were subsequently suspended by Scottish Labour Party leader, Kezia Dugdale. Following Conservative losses in the May 2022 local elections, the Liberal Democrats and SNP agreed to work in partnership, agreed on a policy programme and formed the Council's administration.
Aberdeen is represented in the Parliament of the United Kingdom by three constituencies: Aberdeen North and Aberdeen South which are wholly within the Aberdeen City council area, and Gordon, which includes a large area of the Aberdeenshire Council area.
In the Scottish Parliament, the city is represented by three constituencies with different boundaries: Aberdeen Central and Aberdeen Donside are wholly within the Aberdeen City council area. Aberdeen South and North Kincardine includes the North Kincardine ward of Aberdeenshire Council. A further seven MSPs are elected as part of the North East Scotland electoral region. In the European Parliament the city was represented by six MEPs as part of the all-inclusive Scotland constituency.
Heraldry
The arms and banner of the city show three silver towers on red. This motif dates from at least the time of Robert the Bruce and represents the buildings that stood on the three hills of medieval Aberdeen: Aberdeen Castle on Castle Hill (today's Castlegate); the city gate on Port Hill; and a church on St Catherine's Hill (now levelled).
"Bon Accord" is the motto of the city and is French for "Good Agreement". Legend tells that its use dates from a password used by Robert the Bruce during the 14th century Wars of Scottish Independence, when he and his men laid siege to the English-held Aberdeen Castle before destroying it in 1308. It is still widely present in the city, throughout street names, business names and the city's Bon Accord shopping mall.
The shield in the coat of arms is supported by two leopards. A local magazine is called the "Leopard" and, when Union Bridge was widened in the 20th century, small statues of the creature in a sitting position were cast and placed on top of the railing posts (known locally as Kelly's Cats). The city's toast is "Happy to meet, sorry to part, happy to meet again"; this has been commonly misinterpreted as the translation of Bon Accord.
Geography
Being situated between two river mouths, the city has little natural exposure of bedrock. The small amount of geophysics done, and occasional building-related exposures, combined with small exposures in the banks of the River Don, suggest that it is actually sited on an inlier of Devonian "Old Red" sandstones and silts. The outskirts of the city spread beyond the (inferred) limits of the outlier onto the surrounding metamorphic/ igneous complexes formed during the Dalradian period (approximately 480–600 million years ago) with sporadic areas of igneous Diorite granites to be found, such as that at the Rubislaw quarry which was used to build much of the Victorian parts of the city.
The city extends to , and includes the former burghs of Old Aberdeen, New Aberdeen, Woodside and the Royal Burgh of Torry to the south of River Dee. In this gave the city a population density of . The city is built on many hills, with the original beginnings of the city growing from Castle Hill, St. Catherine's Hill and Windmill Hill. When compared to mainland Europe, Aberdeen is further north than almost all of Denmark and plenty of southern Sweden, being just south of Gothenburg in terms of latitude.
Climate
Aberdeen features an oceanic climate (Köppen Cfb), with far milder winter temperatures than one might expect for its northern location, although statistically, it is the coldest city in the UK. During the winter, especially throughout December, the length of the day is very short, averaging 6 hours and 41 minutes between sunrise and sunset at the winter solstice. As winter progresses, the length of the day grows fairly quickly, to 8 hours and 20 minutes by the end of January. Around summer solstice, the days will be around 18 hours long, having 17 hours and 55 minutes between sunrise and sunset. During this time of the year marginal nautical twilight lasts the entire night. Temperatures at this time of year hover around during the day in most of the urban area, though nearer directly on the coast, and around in the westernmost suburbs.
Two weather stations collect climate data for the area, Aberdeen/Dyce Airport, and Craibstone. Both are about to the northwest of the city centre, and given that they are in close proximity to each other, exhibit very similar climatic regimes. Dyce tends to have marginally warmer daytime temperatures year-round owing to its slightly lower elevation, though it is more susceptible to harsh frosts. The coldest temperature to occur in recent years was during December 2010, while the following winter, Dyce set a new February high-temperature station record on 28 February 2012 of , and a new March high temperature record of on 25 March 2012.
The average temperature of the sea ranges from in March to in August.
Demography
The Aberdeen locality population estimate is . For the wider settlement of Aberdeen including Cove Bay and Dyce, the population estimate is . For Aberdeen City council area, the population estimate is ().
In 1396, the population was about 3,000. By 1801, it had become 26,992, then 153,503 in 1901, and finally 182,467 in 1941.
The 2011 census showed that there are fewer young people in Aberdeen, with 16.4% under 16, as opposed to the national average of 19.2%. According to the 2011 census Aberdeen is 91.9% white, ethnically, 24.7% were born outside Scotland, higher than the national average of 16%. Of this population, 7.6% were born in other parts of the UK. 8.2% of Aberdonians stated to be from an ethnic minority (non-white) in the 2011 census, with 9,519 (4.3%) being Asian, with 3,385 (1.5%) coming from India and 2,187 (1.0%) being Chinese. The city has around 5,610 (2.6%) residents of African or Caribbean origin, which is a higher percentage than both Glasgow and Edinburgh.
In the household, there were 97,013 individual dwellings recorded in the city, of which 61% were privately owned, 9% privately rented and 23% rented from the council. The most popular type of dwellings are apartments which comprise 49% of residences followed by semi-detached at just below 22%.
The median income of a household in the city is £16,813 (the mean income is £20,292) (2005) which places approximately 18% households in the city below the poverty line (defined as 60% of the mean income). Conversely, an Aberdeen postcode has the second highest number of millionaires of any postcode in the UK.
Ethnicity
Religion
Christianity is the main religion practised in the city. Aberdeen's largest denominations are the Church of Scotland (through the Presbytery of Aberdeen) and the Roman Catholic Church, both with numerous churches across the city, with the Scottish Episcopal Church having the third-largest number. The most recent census in 2001 showed that Aberdeen has the highest proportion of non-religious residents of any city in Scotland, with nearly 43% of citizens claiming to have no religion and several former churches in the city have been converted into bars and restaurants. In the Middle Ages, the Kirk of St Nicholas was the only burgh kirk and one of Scotland's largest parish churches. Like a number of other Scottish kirks, it was subdivided after the Reformation, in this case into the East and West churches. At that time, the city also was home to houses of the Carmelites (Whitefriars) and Franciscans (Greyfriars). The latter of these survives in modified form as the chapel of Marischal College.
St Machar's Cathedral was built twenty years after David I (1124–1153) transferred the pre-Reformation diocese from Mortlach in Banffshire to Old Aberdeen in 1137. With the exception of the episcopate of William Elphinstone (1484–1511), building progressed slowly. Gavin Dunbar, who followed him in 1518, completed the structure by adding the two western spires and the southern transept. It is now a congregation of the Church of Scotland. Aberdeen has two other cathedrals: St. Mary's Cathedral is a Roman Catholic cathedral in Gothic style, erected in 1859. In addition, St. Andrew's Cathedral serves the Scottish Episcopal Church. It was constructed in 1817 as Archibald Simpson's first commission and contains a memorial to the consecration of the first bishop of the Episcopal Church in the United States of America, which took place nearby. In 1804, St Peter's Church, the first permanent Roman Catholic church in the city after the Reformation was built.
Numerous other Protestant denominations have a presence in Aberdeen. The Salvation Army citadel on the Castlegate dominates the view of east end of Union Street. In addition, there is a Unitarian church, established in 1833 and located in Skene Terrace. Christadelphians have been present in Aberdeen since at least 1844. Over the years, they have rented space to meet at a number of locations and currently meet in the Inchgarth Community Centre in Garthdee. There is also a Quaker meetinghouse on Crown Street, the only purpose built Friends meeting house in Scotland that is still in use today. In addition, there are a number of Baptist congregations in the city, and Evangelical congregations have been appearing in significant numbers since the late 2000s. The city also has two meeting houses of the Church of Jesus Christ of Latter-day Saints (LDS Church).
There are also four mosques in Aberdeen which serve the Islamic community in the city. There is an Orthodox Jewish Synagogue established in 1945. There is also a Thai Buddhist temple located in the Hazelhead area of the city. There are no formal Hindu buildings, although there is a fortnightly Hindu religious gathering on the first and third Sunday afternoons at Queens Cross Parish church hall. The University of Aberdeen has a small Baháʼí society.
Economy
Traditionally, Aberdeen was home to fishing, textile mills, shipbuilding and paper-making. These industries have been largely replaced. High technology developments in the electronics design and development industry, research in agriculture and fishing and the oil industry, which have been largely responsible for Aberdeen's economic growth, are now major parts of Aberdeen's economy.
Until the 1970s, most of Aberdeen's leading industries dated from the 18th century; mainly these were textiles, foundry work, shipbuilding and paper-making, the oldest industry in the city, with paper having been first made there in 1694. Paper-making has reduced in importance since the closures of Donside Paper Mill in 2001 and the Davidson Mill in 2005 leaving the Stoneywood Paper Mill with a workforce of approximately 500. Textile production ended in 2004 when Richards of Aberdeen closed.
Grey granite was quarried at Rubislaw quarry for more than 300 years, and used for paving setts, kerb and building stones, and monumental and other ornamental pieces. Aberdeen granite was used to build the terraces of the Houses of Parliament and Waterloo Bridge in London. Quarrying finally ceased in 1971. The current owners have begun pumping 40 years of rainwater from the quarry with the aim of developing a heritage centre on the site.
In-shore fishing was once the predominant industry but was surpassed by deep-sea fisheries, which derived a great impetus from improved technologies throughout the 20th century. Catches have fallen because of overfishing and the use of the harbour by oil support vessels, and so although still an important fishing port it is now eclipsed by the more northerly ports of Peterhead and Fraserburgh. The Fisheries Research Services are headquartered in Aberdeen, and there is a marine research laboratory there.
Aberdeen is well regarded for the agricultural and soil research carried out at The James Hutton Institute (formerly the Macaulay Land Use Research Institute), which has close links to the city's two universities. The Rowett Research Institute is a world-renowned research centre for studies into food and nutrition located in Aberdeen. It has produced three Nobel laureates and there is a high concentration of life scientists working in the city.
As oil reserves in the North Sea decrease there is an effort to rebrand Aberdeen as "Energy Capital of Europe" rather than "Oil Capital of Europe", and there is interest in the development of new energy sources, and technology transfer from oil into renewable energy and other industries is underway. The "Energetica" initiative led by Scottish Enterprise has been designed to accelerate this process. Aberdeen has become a major world centre for undersea petroleum technology.
North Sea oil and gas
Aberdeen had been a major maritime centre throughout the 19th century, when a group of local entrepreneurs launched the first steam-powered trawler. The steam trawling industry expanded and by 1933 Aberdeen was Scotland's top fishing port, employing nearly 3,000 men with 300 vessels sailing from its harbour. By the time oil was coming on stream, much of the trawling fleet had relocated to Peterhead.
Geologists had speculated about the existence of oil and gas in the North Sea since the middle of the 20th century, but tapping its deep and inhospitable waters was another story. With the Middle Eastern oil sheiks becoming more aware of the political and economic power of their oil reserves and government threats of rationing, the industry began to consider the North Sea as a viable source of oil. Exploration commenced in the 1960s and the first major find in the British sector was in November 1970 in the Forties field, east of Aberdeen.
By late 1975, after years of intense construction, the necessary infrastructure was in place. Oil flowed through the Forties pipeline system directly to the refinery at far-away Grangemouth.
Business
In 2011, the Centre for Cities named Aberdeen as the best placed city for growth in Britain, as the country looked to emerge from the recent economic downturn. With energy still providing the backbone of the local economy, recent years have seen very large new investment in the North Sea owing to rising oil prices and favourable government tax incentives. This has led to several oil majors and independents building new global offices in the city.
Five of Scotland's top ten businesses are based in Aberdeen with a collective turnover of £14 billion, yielding a profit in excess of £2.4 billion. Alongside this 29 of Scotland's top 100 businesses are located in Aberdeen with an employment rate of 77.9%, making it the second highest UK city for employment.
Figures released in 2016 ranked Aberdeen as having the second highest number of patents processed per person in the UK.
Shopping
The traditional shopping streets are Union Street and George Street, now complemented by shopping centres, including the Bon Accord Centre and the Trinity Shopping Centre. A £190 million retail development, Union Square, reached completion in late September/early October 2009. Major retail parks away from the city centre include the Berryden Retail Park, the Kittybrewster Retail Park and the Beach Boulevard Retail Park. Aberdeen Market has been rebuilt twice, but closed in 2020.
In March 2004, Aberdeen was awarded Fairtrade City status by the Fairtrade Foundation.
Landmarks
Aberdeen's architecture is known for its principal use during the Victorian era of granite, which has led to its local nickname of the Granite City.
Amongst the notable buildings in the city's main street, Union Street, are the Town and County Bank, the Music Hall, the Trinity Hall of the incorporated trades (originating between 1398 and 1527, although completely rebuilt in the 1860s), now a shopping mall; the former office of the Northern Assurance Company, and the National Bank of Scotland. In Castle Street, a continuation eastwards of Union Street, is the new Aberdeen Town House, a very prominent landmark in Aberdeen, built between 1868 and 1873 to a design by Peddie and Kinnear.
Alexander Marshall Mackenzie's extension to Marischal College on Broad Street, opened by King Edward VII in 1906, created the second largest granite building in the world (after the Escorial, Madrid).
In addition to the many fine landmark buildings, Aberdeen has many prominent public statues, three of the most notable being William Wallace at the junction between Union Terrace and Rosemount Viaduct, Robert Burns on Union Terrace above Union Terrace Gardens, and Robert the Bruce holding aloft the charter he issued to the city in 1319 on Broad Street, outside Marischal College.
Parks, gardens and open spaces
Aberdeen has long been famous for its 45 parks and gardens, and citywide floral displays which include two million roses, eleven million daffodils and three million crocuses. The city has won the Royal Horticultural Society's Britain in Bloom 'Best City' award ten times, the overall Scotland in Bloom competition twenty times and the large city category every year since 1968. However, despite recent spurious reports, Aberdeen has never been banned from the Britain in Bloom competition. The city won the 2006 Scotland in Bloom "Best City" award along with the International Cities in Bloom award. The suburb of Dyce also won the Small Towns award.
Duthie Park opened in 1899 on the north bank of the River Dee. It was named after and given to the city by Miss Elizabeth Crombie Duthie of Ruthrieston in 1881. Hazlehead Park, is large and forested, and located on the outskirts of the city.
Johnston Gardens is a small park of one hectare in the west end of the city. In 2002, the garden was named the best garden in the British Islands. Seaton Park, formerly the grounds of a private house, is on the edge of the grounds of St Machar's Cathedral and was acquired for the city in 1947.
Theatres and concert halls
Aberdeen has hosted several theatres throughout its history, some of which have subsequently been converted or destroyed. The most
famous include:
His Majesty's Theatre (HMT), on Rosemount Viaduct
The Tivoli, on Guild Street
Capitol Theatre, on Union Street
Aberdeen Arts Centre, on King Street
The Palace Theatre, on Bridge Street
The main concert hall is the Music Hall on Union Street, built in 1822.
Transport
Aberdeen Airport (ABZ), in Dyce in the north of the city, serves domestic and international destinations including France, the Netherlands, Spain, Ireland and Scandinavian countries. The heliport which serves the oil industry and rescue services is one of the world's busiest commercial heliports.
Aberdeen has two railway stations. Aberdeen railway station has frequent direct trains operated by ScotRail to major cities Edinburgh, Glasgow and Inverness. London North Eastern Railway and the Caledonian Sleeper operate direct trains to London. The UK's longest direct rail journey runs from Aberdeen to Penzance. It is operated by CrossCountry, leaving Aberdeen at 08:20 and taking 13 hours and 23 minutes. Today, all railway services to the south run via Dundee. The faster mainline from Aberdeen to Perth via Forfar and Strathmore closed in 1967 as a result of the Beeching cuts, and the faster main line from Perth to Edinburgh via Glenfarg also subsequently closed in 1970. The other railway station, Dyce railway station in Dyce to the north of the city centre, is on the Aberdeen–Inverness line.
There are six major roads in and out of the city. The A90 is the main arterial route into the city from the north and south, linking Aberdeen to Edinburgh (via the M90), Dundee, Brechin and Perth in the south and Ellon, Peterhead and Fraserburgh in the north. The A96 links Elgin and Inverness and the northwest. The A93 is the main route to the west, heading towards Royal Deeside and the Cairngorms. After Braemar, it turns south, providing an alternative tourist route to Perth. The A944 also heads west, through Westhill and on to Alford. The A92 was the original southerly road to Aberdeen prior to the building of the A90, and is now used as a tourist route, connecting the towns of Montrose and Arbroath and on the east coast. The A947 exits the city at Dyce and goes on to Newmachar, Oldmeldrum and Turriff finally ending at Banff and Macduff. In 2019, the Aberdeen Western Peripheral Route bypass was completed.
Aberdeen Harbour is important as the largest in the north of Scotland and serves the ferry route to Orkney and Shetland. Established in 1136, the harbour has been referred to as the oldest business in Britain.
FirstGroup operates the city buses under the name First Aberdeen, as the successor of Grampian Regional Transport (GRT) and Aberdeen Corporation Tramways. Aberdeen is the global headquarters of FirstGroup plc, having grown from the GRT Group. First is still based at the former Aberdeen Tramways depot on King Street, which has now been redeveloped into a new headquarters and bus depot.
National Express operate express coach services to London twice daily. The 590 service, operated by Bruce's Coaches of Salsburgh operates in the morning and runs through the day, calling at Dundee, Perth, Glasgow, Hamilton, Carlisle, Milton Keynes, Golders Green and Victoria Coach Station, whilst the 592 (operated by Parks of Hamilton) leaves in the evening and travels overnight, calling at Dundee, Glasgow, Hamilton, Carlisle, Heathrow Airport and Victoria Coach Station.
Aberdeen is connected to the UK National Cycle Network, and has a track to the south connecting to cities such as Dundee and Edinburgh and one to the north that forks about from the city into two different tracks heading to Inverness and Fraserburgh respectively. Two popular footpaths along old railway lines are the Deeside Way to Banchory (which will eventually connect to Ballater) and the Formartine and Buchan Way to Ellon, both used by a mixture of cyclists, walkers and occasionally horses.
The Dee Estuary, Aberdeen's harbour, has continually been improved. Starting out as a fishing port, moving onto steam trawlers, the oil industry, it is now a major port of departure for the Baltic and Scandinavia.
Education
Universities and colleges
Aberdeen has two universities, the ancient University of Aberdeen, and Robert Gordon University, a modern university often referred to as RGU. Aberdeen's student rate of 11.5% is higher than the national average of 7%.
The University of Aberdeen began as King's College, Aberdeen, which was founded in 1495 by William Elphinstone (1431–1514), Bishop of Aberdeen and Chancellor of Scotland. Marischal College, a separate institution, was founded in "New" Aberdeen by George Keith, fifth Earl Marischal of Scotland in 1593. These institutions were merged by order of Parliament in 1860 to form the University of Aberdeen. The university is the fifth oldest in the English-speaking world and offers degrees in a full range of disciplines. Its main campus is in Old Aberdeen in the north of the city and it currently has approximately 14,000 students. The university's debating society is the oldest in Scotland, founded in 1848 as the King's College Debating Society. Today, Aberdeen is consistently ranked among the top 200 universities in the world and is ranked within the top 20 universities in the United Kingdom. Aberdeen was also named the 2019 Scottish University of the Year by The Times and Sunday Times Good University Guide. In early 2022, Aberdeen opened the Science Teaching Hub.
Robert Gordon's College (originally Robert Gordon's Hospital) was founded in 1750 by the merchant Robert Gordon, grandson of the map maker Robert Gordon of Straloch, and was further endowed in 1816 by Alexander Simpson of Collyhill. Originally devoted to the instruction and maintenance of the sons of poor burgesses of guild and trade in the city, it was reorganised in 1881 as a day and night school for secondary and technical education. In 1903, the vocational education component of the college was designated a Central Institution and was renamed as the Robert Gordon Institute of Technology in 1965. In 1992, university status was awarded and it became Robert Gordon University. The university has expanded and developed significantly in recent years, and was named Best Modern University in the UK for 2012 by The Sunday Times. It was previously The Sunday Times Scottish University of the Year for 2011, primarily because of its record on graduate employment. The citation for the 2011 award read: "With a graduate unemployment rate that is lower than the most famous universities, including Oxford and Cambridge, plus a flourishing reputation for research, high student satisfaction rates and ambitious plans for its picturesque campus, the Robert Gordon University is The Sunday Times Scottish University of the Year".
Aberdeen is also home to two artistic schools: Gray's School of Art, founded in 1886, which is one of the oldest established colleges of art in the UK. Scott Sutherland School of Architecture and Built Environment, was one of the first architectural schools to have its training courses recognised by the Royal Institute of British Architects. Both are now part of Robert Gordon University and are based at its Garthdee campus. North East Scotland College has several campuses in the city and offers a wide variety of part-time and full-time courses leading to several different qualifications in science. The Scottish Agricultural College is based just outside Aberdeen, on the Craibstone Estate. This is situated beside the roundabout for Aberdeen Airport on the A96. The college provides three services—Learning, Research and Consultancy. The college features many land-based courses such as Agriculture, Countryside Management, Sustainable Environmental Management and Rural Business Management. There are a variety of courses from diplomas to master's degrees. The Marine Laboratory Aberdeen, which specialises in fisheries, Macaulay Land Use Research Institute (soil science), and the Rowett Research Institute (animal nutrition) are some other higher education institutions.
The Aberdeen College of Performing Arts also provides full-time Drama and Musical Theatre training at Further Education level.
Schools
There are currently 15 secondary schools and 54 primary schools which are run by the city council. There are a number of private schools in Aberdeen: Robert Gordon's College, Albyn School for Girls (co-educational as of October 2022), St Margaret's School for Girls, the International School of Aberdeen and a Waldorf/Steiner School.
State primary schools in Aberdeen include Airyhall Primary School, Ashley Road Primary School, Balgownie Primary School, Bramble Brae Primary School, Broomhill Primary School, Cornhill Primary School (the city's largest), Culter Primary School, Cults Primary School, Danestone Primary School, Fernielea Primary school, Ferryhill Primary School, Gilcomstoun Primary School, Glashieburn Primary School, Greenbrae School, Hamilton School, Kaimhill Primary School, Kingsford Primary School, Kittybrewster Primary School, Middleton Park Primary School, Mile End School, Muirfield Primary School, Skene Square Primary School, and St. Joseph's Primary School.
State secondary schools in Aberdeen include Aberdeen Grammar School, Albyn School, Bridge of Don Academy, Bucksburn Academy, Cults Academy, Dyce Academy, Harlaw Academy, Hazlehead Academy, Lochside Academy, Northfield Academy, Oldmachar Academy, Robert Gordon's College, St Machar Academy, St Margaret's School for Girls, and The International School Aberdeen.
Independent primary schools in Aberdeen include Albyn School, Robert Gordon's College, St Margaret's School for Girls, and the International School of Aberdeen.
Culture
The city has a wide range of cultural activities, amenities, and museums, and is regularly visited by Scotland's National Arts Companies.
It was awarded the Nicholson Trophy for the best-kept town at the Britain in Bloom contest in 1975.
Museums and galleries
The Aberdeen Art Gallery houses a collection of Impressionist, Victorian, Scottish and 20th-century British paintings as well as collections of silver and glass. It also includes The Alexander Macdonald Bequest, a collection of late 19th-century works donated by the museum's first benefactor and a constantly changing collection of contemporary work and regular visiting exhibitions. The Aberdeen Art Gallery reopened in 2019 after a four-year refurbishment costing £34.6m.
The Aberdeen Maritime Museum, located in Shiprow, tells the story of Aberdeen's links with the sea from the days of sail and clipper ships to the latest oil and gas exploration technology. It includes an model of the Murchison oil production platform and a 19th-century assembly taken from Rattray Head lighthouse
Provost Ross' House is the second oldest dwelling house in the city. It was built in 1593 and became the residence of Provost John Ross of Arnage in 1702. The house retains some original medieval features, including a kitchen, fireplaces and beam-and-board ceilings. The Gordon Highlanders Museum tells the story of one of Scotland's best known regiments.
Provost Skene's House on Flourmill Lane dates from 1545 and is the oldest surviving townhouse in the city. It reopened in October 2021 after significant refurbishment costing £3.8m. One of the new exhibitions is a Hall of Heroes featuring 100 Aberdonians who have made a significant contribution to the city.
The Tollbooth Museum on the Castlegate (currently closed to visitors) is a former jail, which first opened as a public museum in 1995.
The Aberdeen Treasure Hub is a storage facility for Aberdeen Museums and Galleries containing over 100,000 items. The store is open for infrequent tours, for example as part of Doors Open Day.
Marischal Museum holds the principal collections of the University of Aberdeen, comprising some 80,000 items in the areas of fine art, Scottish history and archaeology, and European, Mediterranean and Near Eastern archaeology. The permanent displays and reference collections are augmented by regular temporary exhibitions, and since its closure to the public it now has a virtual online presence It closed to the public in 2008. The King's Museum acts as the main museum of the university now.
Festivals and performing arts
Aberdeen is home to a number of events and festivals including the Aberdeen International Youth Festival (the world's largest arts festival for young performers), Aberdeen Jazz Festival, Aberdeen Alternative Festival, Rootin' Aboot (a folk and roots music event), Triptych, the University of Aberdeen's annual May Fest (formerly the Word festival) and DanceLive, Scotland's only festival of contemporary dance, produced by the city's Citymoves dance organisation.
The Aberdeen Student Show, performed annually without interruption since 1921, under the auspices of the Aberdeen Students' Charities Campaign, is the longest-running of its kind in the United Kingdom. It is written, produced and performed by students and graduates of Aberdeen's universities and higher education institutions. Since 1929—other than on a handful of occasions—it has been staged at His Majesty's Theatre.
National festivals which visited Aberdeen in 2012 included the British Science Festival in September, hosted by the University of Aberdeen but with events also taking place at Robert Gordon University and at other venues across the city. In February 2012 the University of Aberdeen also hosted the Inter Varsity Folk Dance Festival, the longest-running folk festival in the United Kingdom.
Aberdeen is home to Spectra, an annual light festival hosted in different locations across the city.
Aberdeen is home to Nuart, a festival showcasing street art around the city. The festival has run since 2017.
Music and film
Music venues include Aberdeen Music Hall and the P&J Live.
Dialect
The local dialect of Lowland Scots is often known as Doric and is spoken not just in the city, but across the northeast of Scotland. It differs somewhat from other Scots dialects: most noticeable are the pronunciation "f" for what is normally written "wh" and "ee" for what in standard English would usually be written "oo" (Scots "ui"). Every year the annual Doric Festival takes place in Aberdeenshire to celebrate the history of the north-east's language.
Media
Aberdeen is home to Scotland's oldest newspaper the Press and Journal, a local and regional newspaper first published in 1747. The Press and Journal and its sister paper the tabloid Evening Express are printed six days a week by Aberdeen Journals. There was one free newspaper, the Aberdeen Citizen. BBC Scotland has a network studio production base in the city's Beechgrove area, and BBC Aberdeen produces The Beechgrove Potting Shed for radio while Tern Television produces The Beechgrove Garden. The city is also home to STV North (formerly Grampian Television), which produces the regional news programmes such as STV News at Six, as well as local commercials. The station, based at Craigshaw Business Park in Tullos, was based at larger studios in Queens Cross from September 1961 until June 2003.
There are three commercial radio stations operating in the city, Northsound 1, Greatest Hits Radio North East Scotland, and independent station Original 106. Other radio stations include NECR FM (North-East Community Radio FM) DAB station, and shmu FM managed by Station House Media Unit which supports community members to run Aberdeen's full-time community radio station, broadcasting on 99.8 MHz FM.
Food
The Aberdeen region has given its name to a number of dishes, including the Aberdeen buttery (also known as "rowie") and Aberdeen Sausage.
In 2015, a study was published in The Scotsman which analysed the presence of branded fast food outlets in Scotland. Of the ten towns and cities analysed, Aberdeen was found to have the lowest per capita concentration, with just 0.12 stores per 1,000 inhabitants.
Sport
Football
The first ever recorded game of football, was outlined by teacher David Wedderburn in his book "Vocabula" written in 1633, during his time teaching at Aberdeen Grammar School.
There are two Aberdeen-based football clubs in the SPFL, the senior branch of Scottish football. Aberdeen F.C. (The Dons) play in the Scottish Premiership at Pittodrie Stadium. The club won the European Cup Winners Cup and the European Super Cup in 1983, the Scottish Premier League Championship four times (1955, 1980, 1984 and 1985), and the Scottish Cup seven times (1947, 1970, 1982, 1983, 1984, 1986 and 1990). Under the management of Alex Ferguson, Aberdeen was a major force in British football during the 1980s.
After 8 seasons in charge, the most recent of Managers Derek McInnes, was relieved of his duties, the club's failure to achieve anything more than 1 trophy in 24 competitions during his tenure and a recent run of games which saw 1 goal in ten matches ultimately proved costly for the Manager and his Assistant Tony Docherty. Under the management of McInnes the team won the 2014 Scottish League Cup and followed it up with a second-place league finish for the first time in more than 20 years in the following season. But it was over the last few seasons that results stagnated and McInnes was replaced by former Aberdeen and Newcastle player Stephen Glass.
The other senior team is Cove Rangers of League One, who play at Balmoral Stadium in the suburb of Cove Bay. Cove won the Highland Football League championship in 2001, 2008, 2009, 2013 and 2019, winning the League Two play-offs in 2019 and earning promotion. At the point at which the 2019/20 League Two season was curtailed due to the COVID-19 pandemic, Cove was sitting top of the League Two table and were promoted as Champions.
Local junior teams include Banks O' Dee F.C., Culter F.C., F.C. Stoneywood, Glentanar F.C., Sunnybank and Hermes F.C.
Rugby Union
Aberdeen hosted Caledonia Reds, a Scottish rugby team, before they merged with the Glasgow Warriors in 1998. The city is also home to the Scottish Premiership Division One rugby club Aberdeen GSFP RFC who play at Rubislaw Playing Fields, and Aberdeenshire RFC which was founded in 1875 and runs Junior, Senior Men's, Senior Ladies and Touch sections from the Woodside Sports Complex and also Aberdeen Wanderers RFC.
In 2005 the President of the SRU said it was hoped eventually to establish a professional team in Aberdeen. In November 2008 the city hosted a rugby international at Pittodrie between Scotland and Canada, with Scotland winning 41–0. In November 2010 the city once again hosted a rugby international at Pittodrie between Scotland and Samoa, with Scotland winning 19–16.
Rugby League
Aberdeen Warriors rugby league team play in the Rugby League Conference Division One. The Warriors also run Under 15's and 17's teams. Aberdeen Grammar School won the Saltire Schools Cup in 2011.
Golf
The Royal Aberdeen Golf Club, founded in 1780 is the sixth oldest golf club in the world, and hosted the Senior British Open in 2005, and the amateur team event the Walker Cup in 2011. Royal Aberdeen also hosted the Scottish Open in 2014, won by Justin Rose. The club has a second course, and there are public golf courses at Auchmill, Balnagask, Hazlehead and King's Links.
There are new courses planned for the area, including world-class facilities with major financial backing, the city and shire are set to become important in golf tourism. In Summer 2012, Donald Trump opened a new state of the art golf course at Menie, just north of the city, as the Trump International Golf Links, Scotland.
Swimming
The City of Aberdeen Swim Team (COAST) was based in Northfield swimming pool, but since the opening of the Aberdeen Aquatics Centre in 2014, it is now based there, as it has a 50 m pool as opposed to the 25 m pool at Northfield. It has been in operation since 1996. The team comprises several smaller swimming clubs and has enjoyed success throughout Scotland and in international competitions. Three of the team's swimmers qualified for the 2006 Commonwealth Games.
Rowing
There are four boat clubs that row on the River Dee: Aberdeen Boat Club (ABC), Aberdeen Schools Rowing Association (ASRA), Aberdeen University Boat Club (AUBC) and Robert Gordon University Boat Club (RGUBC).
Cricket
The city has one national league side, Stoneywood-Dyce. Local "Grades" cricket has been played in Aberdeen since 1884. Aberdeenshire were the 2009 and 2014 Scottish National Premier League and Scottish Cup Champions.
Ice hockey
Aberdeen Lynx are an ice hockey team that plays in the Scottish National League and is based at the Linx Ice Arena.
Shinty
Aberdeen University Shinty Club (Scottish Gaelic: Club Camanachd Oilthigh Obar Dheathain) is the oldest constituted shinty club in the world, dating back to 1861.
Other sports
The city council operates public tennis courts in various parks including an indoor tennis centre at Westburn Park. The Beach Leisure Centre is home to a climbing wall, gymnasium and a swimming pool. There are numerous swimming pools dotted around the city notably the largest, the Bon Accord Baths which closed down in 2008.
In common with many other major towns and cities in the UK, Aberdeen has an active roller derby league, Granite City Roller Derb.
American Football
The Aberdeen Roughnecks American football club is a new team that started in 2012 and is the first team that Aberdeen has witnessed since the Granite City Oilers that began in 1986 and were wound up in the mid-1990s.
Aberdeen Oilers Floorball Club was founded in 2007. The club initially attracted a range of experienced Scandinavian and other European players who were studying in Aberdeen. Since their formation, Aberdeen Oilers have played in the British Floorball Northern League and went on to win the league in the 2008/09 season. The club played a major role in setting up a ladies league in Scotland. The Oilers' ladies team ended up second in the first ladies league season (2008/09).
Public services
The public health service in Scotland, NHS Scotland provides for the people of Aberdeen through the NHS Grampian health board. Aberdeen Royal Infirmary is the largest hospital in the city and one of the largest in Europe (the location of the city's A&E department), Royal Aberdeen Children's Hospital, a paediatric hospital, Royal Cornhill Hospital for mental health, Aberdeen Maternity Hospital, an antenatal hospital, Woodend Hospital, which specialises in rehabilitation and long-term illnesses and conditions, and City Hospital and Woolmanhill Hospital, which host several out-patient clinics and offices. Albyn Hospital is a private hospital located in the west end of the city.
Aberdeen City Council is responsible for city-owned infrastructure which is paid for by a mixture of Council Tax and income from the Scottish Government. Infrastructure and services run by the council include: nursery, primary and secondary education, roads, clearing snow in winter, city wardens, maintaining parks, refuse collection, economic development, public analyst, public mortuary, street cleaning and street lighting. Infrastructure in private hands includes electricity, gas and telecoms. Water and sewerage services are provided by Scottish Water.
Police: Policing in Aberdeen is the responsibility of Police Scotland (the British Transport Police has responsibility for railways).
Ambulance: The North East divisional headquarters of the Scottish Ambulance Service is located in Aberdeen.
Fire and rescue: This is the responsibility of the Scottish Fire and Rescue Service.
Lifeboat: The Royal National Lifeboat Institution operates Aberdeen Lifeboat Station. It is located at Victoria Dock Entrance in York Place.
Twin cities
Aberdeen is twinned with
Stavanger, Norway, since 1990
Regensburg, Germany, since 1955
Clermont-Ferrand, France, since 1983
Gomel, Belarus, since 1990
Bulawayo, Zimbabwe, since 1986
Houston, Texas, US, since 1979, is twinned with the former region of Grampian of which Aberdeen is the regional centre
Kobe, Japan, since 2022, is twinned with Aberdeen for its hydrogen work.
Notable people and residents
William Alexander (1826 - 1894), journalist and author of Johnny Gibb of Gushetneuk.
Leslie Benzies, Former president of Rockstar North, creators of the critically acclaimed Grand Theft Auto series.
Scott Booth, former football player, played for Aberdeen F.C., FC Twente, Borussia Dortmund and the Scotland national football team.
Alf Burnett, footballer who played for Dundee United
Lord Byron FRS (1788–1824), poet, was raised (age 2–10) in Aberdeen.
Andrew Cant, (1584–1663) Presbyterian minister and leader of the Scottish Covenanters
David Carry, swimmer, 2x 2006 Commonwealth Games gold medallist.
Henry Cecil, one of the most successful horse trainers of all time.
Oswald Chambers, author of My Utmost for His Highest
Alexander Christie, portrait painter.
Dan Crenshaw, Member of the U.S. House of Representatives from Texas's 2nd district.
Andrew Cruickshank, actor famous for his role in Dr Finlay's Casebook
John Mathieson Dodds, apprentice and engineer with Metrovick, Manchester and radar pioneer in Chain Home defence system for 1940 Battle of Britain.
Neil Fachie, cyclist, 2012 Paralympic Games gold and silver medalist.
Simon Farquhar, playwright.
Graeme Garden, author, actor, comedian, artist, TV presenter, famous for The Goodies.
Martin Gatt, principal bassoonist English Chamber Orchestra, LPO and LSO.
Ryan Gauld, footballer who currently plays for Sporting Lisbon in the Portuguese Primeira Liga.
James Gibbs, 18th-century architect.
Quentin Gibson FRS (1918–2011), physiologist and biochemist
James Gregory FRS (1638–1675), Scottish mathematician and astronomer, born in the manse at Drumoak, just outside Aberdeen. Attended Aberdeen Grammar School and Marischal College, University of Aberdeen. Discovered diffraction gratings a year after Newton's prism experiments, and invented the Gregorian telescope design in 1663 which is used in telescopes such as the Arecibo Observatory.
David Gregory FRS (1659–1708), Scottish mathematician and astronomer. Attended Aberdeen Grammar School and Marischal College, University of Aberdeen. A professor of mathematics. Based on his uncle James Gregory's work, he extended or discovered the method of quadratures by infinite series. His principle work "Astronomiae physicae et geometricae elementa" (1702) was the first text-book on gravitational principles.
Michael Gove, politician and MP.
George Jamesone, Scotland's first eminent portrait-painter.
Reginald Victor Jones, physicist, Chair of Natural Philosophy at the University of Aberdeen, author.
John Michael Kosterlitz, physicist, professor of physics at Brown University. Awarded the Nobel Prize in physics in 2016.
Denis Law, former football player, played for Manchester City, Manchester United and the Scotland national team, joint all-time record Scotland goalscorer with 30 goals.
Paul Lawrie, golfer, winner of the 1999 Open Championship.
Annie Lennox, musician, winner of eight Brit Awards, grew up in Ellon.
Rose Leslie, actress, best known for playing Ygritte in HBO's Game of Thrones.
John Macleod FRSE FRS LLD (1876–1935) Biochemist and Physiologist. For his role in the discovery and isolation of insulin he was awarded the Nobel Prize for Physiology or Medicine in 1923.
John Alexander MacWilliam FRS (1857–1937), Professor of the Institutes of Medicine (later Physiology) at the University of Aberdeen. Pioneer in the field of cardiac electro-physiology & ventricular fibrillation of the heart. First to propose ventricular fibrillation as the most common cause of sudden death through heart attack. First to propose use of life saving electrical de-fibrilators. His work laid the frame work for the development of the pace maker.
Laura Main, actress, best known for playing Sister Bernadette/Shelagh Turner in the BBC's Call the Midwife
James Clerk Maxwell FRSE FRS (1831–1879), Chair of Natural Philosophy at Marischal College, University of Aberdeen from 1856 to 1860. Formulated the classical theory of electromagnetic radiation.
Robert Morison (1620–1683), a Scottish botanist and taxonomist. He elucidated and developed the first systematic classification of plants. Gained his Master of Arts from the University of Aberdeen at the age of eighteen. For ten years Director of Louis XIV's royal gardens at Blois, France, then physician, botanist & superintendent of all royal gardens for Charles II of Scotland.
Alberto Morrocco OBE FRSA FRSE RSW RP RGI LLD (1917–1998), Scottish artist and teacher famous for his landscapes of Scotland and abroad.
Andy Nisbet (1953–2019), a Scottish mountaineer, guide, climbing instructor, and editor of climbing guidebooks. A pioneer of mixed rock and ice climbing techniques over 45 years. Developed over 1,000 new winter climbing routes in Scotland.
Ara Paiaya, film producer and director of Skin Traffik, Instant Death and Purge of Kingdoms.
Robbie Renwick, swimmer, 1x 2010 Commonwealth Games gold medalist.
Professor Sir C. Duncan Rice, historian, former principal of the University of Aberdeen.
Lawson Robertson (1883–1951), born in Aberdeen, competed for the U.S. Olympic Team at the 1904 Olympics in St. Louis, winning the bronze medal in the standing high jump. Head coach of U.S. track team at 4 successive Olympic games, 1924, 1928, 1932, 1936.
Archibald Simpson, architect, one of Aberdeen's major architects.
John Smith, architect, Aberdeen's other major architect and official City Architect
Nicol Stephen, former Scottish Liberal Democrats leader, former Deputy First Minister of Scotland
John Strachan, first Anglican Bishop of Toronto.
Annie Wallace, actress in Hollyoaks.
Ron Yeats, former football player, captain of the first great Liverpool team of the 1960s, also played for the Scotland national team.
Aberdeen in popular culture
Stuart MacBride's crime novels Cold Granite, Dying Light, Broken Skin, Flesh House, Blind Eye and Dark Blood (a series with main protagonist, DS Logan McRae) are all set in Aberdeen.
A large part of the plot of the World War II thriller Eye of the Needle by Welsh author, Ken Follett, takes place in wartime Aberdeen, from which a German spy is trying to escape to a submarine waiting offshore.
A portion of Ian Rankin's novel Black and Blue (1997) is set in Aberdeen, where its nickname "Furry Boots" is noted.
Songs titled "Aberdeen" have been recorded by the music groups Danny Wilson, Royseven, and Cage the Elephant.
The Scottish rock band The Xcerts released the song "Aberdeen 1987" on their debut album In the Cold Wind We Smile, released on 30 March 2009. The first verse contains the line "15, sitting in a graveyard talking about their history". The graveyard referenced in the song is the graveyard of the Kirk of St Nicholas on Union Street.
See also
Aberdeen Bestiary
Aberdeen City Youth Council
Aberdeen Safer Community Trust
Aberdeen typhoid outbreak 1964
Aberdonia (disambiguation)
List of places in Aberdeen
List of places in Scotland
Our Lady of Aberdeen
Voluntary Service Aberdeen
Freedom of the City of Aberdeen
Notes
References
Further reading
Shepherd, Mike (2015). Oil Strike North Sea: A first-hand history of North Sea oil. Luath Press.
External links
Aberdeen City Council
A collection of historic maps of Aberdeen from the 1660s onward at National Library of Scotland
A selection of archive films relating to Aberdeen at the Scottish Screen Archive
Engraving of Aberdeen in 1693 by John Slezer at National Library of Scotland
Cities in Scotland
Council areas of Scotland
Fishing communities in Scotland
Lieutenancy areas of Scotland
Port cities and towns in Scotland
Port cities and towns of the North Sea
Royal burghs
Grampian
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Aquaculture (less commonly spelled aquiculture), also known as aquafarming, is the controlled cultivation ("farming") of aquatic organisms such as fish, crustaceans, mollusks, algae and other organisms of value such as aquatic plants (e.g. lotus). Aquaculture involves cultivating freshwater, brackish water and saltwater populations under controlled or semi-natural conditions, and can be contrasted with commercial fishing, which is the harvesting of wild fish. Mariculture, commonly known as marine farming, refers specifically to aquaculture practiced in seawater habitats and lagoons, as opposed to freshwater aquaculture. Pisciculture is a type of aquaculture that consists of fish farming to obtain fish products as food.
Aquaculture can also be defined as the breeding, growing, and harvesting of fish and other aquatic plants, also known as farming in water. It is an environmental source of food and commercial product which help to improve healthier habitats and used to reconstruct population of endangered aquatic species. Technology has increased the growth of fish in coastal marine waters and open oceans due to the increased demand for seafood.
Aquaculture can be conducted in completely artificial facilities built on land (onshore aquaculture), as in the case of fish tank, ponds, aquaponics or raceways, where the living conditions rely on human control such as water quality (oxygen), feed, temperature. Alternatively, they can be conducted on well-sheltered shallow waters nearshore of a body of water (inshore aquaculture), where the cultivated species are subjected to a relatively more naturalistic environments; or on fenced/enclosed sections of open water away from the shore (offshore aquaculture), where the species are either cultured in cages, racks or bags, and are exposed to more diverse natural conditions such as water currents (such as ocean currents), diel vertical migration and nutrient cycles.
According to the Food and Agriculture Organization (FAO), aquaculture "is understood to mean the farming of aquatic organisms including fish, molluscs, crustaceans and aquatic plants. Farming implies some form of intervention in the rearing process to enhance production, such as regular stocking, feeding, protection from predators, etc. Farming also implies individual or corporate ownership of the stock being cultivated." The reported output from global aquaculture operations in 2019 was over 120 million tonnes valued at US$274 billion. However, there are issues with the reliability of the reported figures. Further, in current aquaculture practice, products from several kilograms of wild fish are used to produce one kilogram of a piscivorous fish like salmon. Plant and insect-based feeds are also being developed to help reduce wild fish been used for aquaculture feed.
Particular kinds of aquaculture include fish farming, shrimp farming, oyster farming, mariculture, pisciculture, algaculture (such as seaweed farming), and the cultivation of ornamental fish. Particular methods include aquaponics and integrated multi-trophic aquaculture, both of which integrate fish farming and aquatic plant farming. The FAO describes aquaculture as one of the industries most directly affected by climate change and its impacts. Some forms of aquaculture have negative impacts on the environment, such as through nutrient pollution or disease transfer to wild populations.
Overview
Harvest stagnation in wild fisheries and overexploitation of popular marine species, combined with a growing demand for high-quality protein, encouraged aquaculturists to domesticate other marine species. At the outset of modern aquaculture, many were optimistic that a "Blue Revolution" could take place in aquaculture, just as the Green Revolution of the 20th century had revolutionized agriculture. Although land animals had long been domesticated, most seafood species were still caught from the wild. Concerned about the impact of growing demand for seafood on the world's oceans, prominent ocean explorer Jacques Cousteau wrote in 1973: "With earth's burgeoning human populations to feed, we must turn to the sea with new understanding and new technology."
About 430 (97%) of the species cultured were domesticated during the 20th and 21st centuries, of which an estimated 106 came in the decade to 2007. Given the long-term importance of agriculture, to date, only 0.08% of known land plant species and 0.0002% of known land animal species have been domesticated, compared with 0.17% of known marine plant species and 0.13% of known marine animal species. Domestication typically involves about a decade of scientific research. Domesticating aquatic species involves fewer risks to humans than do land animals, which took a large toll in human lives. Most major human diseases originated in domesticated animals, including diseases such as smallpox and diphtheria, that like most infectious diseases, move to humans from animals. No human pathogens of comparable virulence have yet emerged from marine species.
Biological control methods to manage parasites are already being used, such as cleaner fish (e.g. lumpsuckers and wrasse) to control sea lice populations in salmon farming. Models are being used to help with spatial planning and siting of fish farms in order to minimize impact.
The decline in wild fish stocks has increased the demand for farmed fish. However, finding alternative sources of protein and oil for fish feed is necessary so the aquaculture industry can grow sustainably; otherwise, it represents a great risk for the over-exploitation of forage fish.
Aquaculture production now exceeds capture fishery production and together the relative GDP contribution has ranged from 0.01 to 10%. Singling out aquaculture's relative contribution to GDP, however, is not easily derived due to lack of data.
Another recent issue following the banning in 2008 of organotins by the International Maritime Organization is the need to find environmentally friendly, but still effective, compounds with antifouling effects.
Many new natural compounds are discovered every year, but producing them on a large enough scale for commercial purposes is almost impossible.
It is highly probable that future developments in this field will rely on microorganisms, but greater funding and further research is needed to overcome the lack of knowledge in this field.
Species groups
Aquatic plants
Microalgae, also referred to as phytoplankton, microphytes, or planktonic algae, constitute the majority of cultivated algae. Macroalgae commonly known as seaweed also have many commercial and industrial uses, but due to their size and specific requirements, they are not easily cultivated on a large scale and are most often taken in the wild.
In 2016, aquaculture was the source of 96.5 percent by volume of the total 31.2 million tonnes of wild-collected and cultivated aquatic plants combined. Global production of farmed aquatic plants, overwhelmingly dominated by seaweeds, grew in output volume from 13.5 million tonnes in 1995 to just over 30 million tonnes in 2016.
Seaweed farming
Fish
The farming of fish is the most common form of aquaculture. It involves raising fish commercially in tanks, fish ponds, or ocean enclosures, usually for food. A facility that releases juvenile fish into the wild for recreational fishing or to supplement a species' natural numbers is generally referred to as a fish hatchery. Worldwide, the most important fish species used in fish farming are, in order, carp, salmon, tilapia, and catfish.
In the Mediterranean, young bluefin tuna are netted at sea and towed slowly towards the shore. They are then interned in offshore pens (sometimes made from floating HDPE pipe) where they are further grown for the market. In 2009, researchers in Australia managed for the first time to coax southern bluefin tuna to breed in landlocked tanks. Southern bluefin tuna are also caught in the wild and fattened in grow-out sea cages in southern Spencer Gulf, South Australia.
A similar process is used in the salmon-farming section of this industry; juveniles are taken from hatcheries and a variety of methods are used to aid them in their maturation. For example, as stated above, some of the most important fish species in the industry, salmon, can be grown using a cage system. This is done by having netted cages, preferably in open water that has a strong flow, and feeding the salmon a special food mixture that aids their growth. This process allows for year-round growth of the fish, thus a higher harvest during the correct seasons. An additional method, known sometimes as sea ranching, has also been used within the industry. Sea ranching involves raising fish in a hatchery for a brief time and then releasing them into marine waters for further development, whereupon the fish are recaptured when they have matured.
Crustaceans
Commercial shrimp farming began in the 1970s, and production grew steeply thereafter. Global production reached more than 1.6 million tonnes in 2003, worth about US$9 billion. About 75% of farmed shrimp is produced in Asia, in particular in China and Thailand. The other 25% is produced mainly in Latin America, where Brazil is the largest producer. Thailand is the largest exporter.
Shrimp farming has changed from its traditional, small-scale form in Southeast Asia into a global industry. Technological advances have led to ever higher densities per unit area, and broodstock is shipped worldwide. Virtually all farmed shrimp are penaeids (i.e., shrimp of the family Penaeidae), and just two species of shrimp, the Pacific white shrimp and the giant tiger prawn, account for about 80% of all farmed shrimp. These industrial monocultures are very susceptible to disease, which has decimated shrimp populations across entire regions. Increasing ecological problems, repeated disease outbreaks, and pressure and criticism from both nongovernmental organizations and consumer countries led to changes in the industry in the late 1990s and generally stronger regulations. In 1999, governments, industry representatives, and environmental organizations initiated a program aimed at developing and promoting more sustainable farming practices through the Seafood Watch program.
Freshwater prawn farming shares many characteristics with, including many problems with, marine shrimp farming. Unique problems are introduced by the developmental lifecycle of the main species, the giant river prawn.
The global annual production of freshwater prawns (excluding crayfish and crabs) in 2007 was about 460,000 tonnes, exceeding 1.86 billion dollars. Additionally, China produced about 370,000 tonnes of Chinese river crab.
In addition astaciculture is the freshwater farming of crayfish (mostly in the US, Australia, and Europe).
Molluscs
Aquacultured shellfish include various oyster, mussel, and clam species. These bivalves are filter and/or deposit feeders, which rely on ambient primary production rather than inputs of fish or other feed. As such, shellfish aquaculture is generally perceived as benign or even beneficial.
Depending on the species and local conditions, bivalve molluscs are either grown on the beach, on longlines, or suspended from rafts and harvested by hand or by dredging. In May 2017 a Belgian consortium installed the first of two trial mussel farms on a wind farm in the North Sea.
Abalone farming began in the late 1950s and early 1960s in Japan and China. Since the mid-1990s, this industry has become increasingly successful. Overfishing and poaching have reduced wild populations to the extent that farmed abalone now supplies most abalone meat. Sustainably farmed molluscs can be certified by Seafood Watch and other organizations, including the World Wildlife Fund (WWF). WWF initiated the "Aquaculture Dialogues" in 2004 to develop measurable and performance-based standards for responsibly farmed seafood. In 2009, WWF co-founded the Aquaculture Stewardship Council with the Dutch Sustainable Trade Initiative to manage the global standards and certification programs.
After trials in 2012, a commercial "sea ranch" was set up in Flinders Bay, Western Australia, to raise abalone. The ranch is based on an artificial reef made up of 5000 () separate concrete units called abitats (abalone habitats). The 900 kg abitats can host 400 abalone each. The reef is seeded with young abalone from an onshore hatchery. The abalone feed on seaweed that has grown naturally on the habitats, with the ecosystem enrichment of the bay also resulting in growing numbers of dhufish, pink snapper, wrasse, and Samson fish, among other species.
Brad Adams, from the company, has emphasised the similarity to wild abalone and the difference from shore-based aquaculture. "We're not aquaculture, we're ranching, because once they're in the water they look after themselves."
Other groups
Other groups include aquatic reptiles, amphibians, and miscellaneous invertebrates, such as echinoderms and jellyfish. They are separately graphed at the top right of this section, since they do not contribute enough volume to show clearly on the main graph.
Commercially harvested echinoderms include sea cucumbers and sea urchins. In China, sea cucumbers are farmed in artificial ponds as large as .
Global fish production
Global fish production peaked at about 171 million tonnes in 2016, with aquaculture representing 47 percent of the total and 53 percent if non-food uses (including reduction to fishmeal and fish oil) are excluded. With capture fishery production relatively static since the late 1980s, aquaculture has been responsible for the continuing growth in the supply of fish for human consumption. Global aquaculture production (including aquatic plants) in 2016 was 110.2 million tonnes, with the first-sale value estimated at US$244 billion. Three years later, in 2019 the reported output from global aquaculture operations was over 120 million tonnes valued at US$274 billion.
The contribution of aquaculture to the global production of capture fisheries and aquaculture combined has risen continuously, reaching 46.8 percent in 2016, up from 25.7 percent in 2000. With 5.8 percent annual growth rate during the period 2001–2016, aquaculture continues to grow faster than other major food production sectors, but it no longer has the high annual growth rates experienced in the 1980s and 1990s.
In 2012, the total world production of fisheries was 158 million tonnes, of which aquaculture contributed 66.6 million tonnes, about 42%. The growth rate of worldwide aquaculture has been sustained and rapid, averaging about 8% per year for over 30 years, while the take from wild fisheries has been essentially flat for the last decade. The aquaculture market reached $86 billion in 2009.
Aquaculture is an especially important economic activity in China. Between 1980 and 1997, the Chinese Bureau of Fisheries reports, aquaculture harvests grew at an annual rate of 16.7%, jumping from 1.9 million tonnes to nearly 23 million tonnes. In 2005, China accounted for 70% of world production. Aquaculture is also currently one of the fastest-growing areas of food production in the U.S.
About 90% of all U.S. shrimp consumption is farmed and imported. In recent years, salmon aquaculture has become a major export in southern Chile, especially in Puerto Montt, Chile's fastest-growing city.
A United Nations report titled The State of the World Fisheries and Aquaculture released in May 2014 maintained fisheries and aquaculture support the livelihoods of some 60 million people in Asia and Africa. FAO estimates that in 2016, overall, women accounted for nearly 14 percent of all people directly engaged in the fisheries and aquaculture primary sector.
Over-reporting by China
China overwhelmingly dominates the world in reported aquaculture output, reporting a total output which is double that of the rest of the world put together. However, there are some historical issues with the accuracy of China's returns.
In 2001, scientists Reg Watson and Daniel Pauly expressed concerns that China was over reporting its catch from wild fisheries in the 1990s. They said that made it appear that the global catch since 1988 was increasing annually by 300,000 tonnes, whereas it was really shrinking annually by 350,000 tonnes. Watson and Pauly suggested this may have been related to Chinese policies where state entities that monitored the economy were also tasked with increasing output. Also, until more recently, the promotion of Chinese officials was based on production increases from their own areas.
China disputed this claim. The official Xinhua News Agency quoted Yang Jian, director general of the Agriculture Ministry's Bureau of Fisheries, as saying that China's figures were "basically correct". However, the FAO accepted there were issues with the reliability of China's statistical returns, and for a period treated data from China, including the aquaculture data, apart from the rest of the world.
Aquacultural methods
Mariculture
Mariculture refers to the cultivation of marine organisms in seawater, usually in sheltered coastal or offshore waters. The farming of marine fish is an example of mariculture, and so also is the farming of marine crustaceans (such as shrimp), mollusks (such as oysters), and seaweed. Channel catfish (Ictalurus punctatus), hard clams (Mercenaria mercenaria) and Atlantic salmon (Salmo salar) are prominent in the U.S. mariculture.
Mariculture may consist of raising the organisms on or in artificial enclosures such as in floating netted enclosures for salmon and on racks for oysters. In the case of enclosed salmon, they are fed by the operators; oysters on racks filter feed on naturally available food. Abalone have been farmed on an artificial reef consuming seaweed which grows naturally on the reef units.
Integrated
Integrated multi-trophic aquaculture (IMTA) is a practice in which the byproducts (wastes) from one species are recycled to become inputs (fertilizers, food) for another. Fed aquaculture (for example, fish, shrimp) is combined with inorganic extractive and organic extractive (for example, shellfish) aquaculture to create balanced systems for environmental sustainability (biomitigation), economic stability (product diversification and risk reduction) and social acceptability (better management practices).
"Multi-trophic" refers to the incorporation of species from different trophic or nutritional levels in the same system. This is one potential distinction from the age-old practice of aquatic polyculture, which could simply be the co-culture of different fish species from the same trophic level. In this case, these organisms may all share the same biological and chemical processes, with few synergistic benefits, which could potentially lead to significant shifts in the ecosystem. Some traditional polyculture systems may, in fact, incorporate a greater diversity of species, occupying several niches, as extensive cultures (low intensity, low management) within the same pond. A working IMTA system can result in greater total production based on mutual benefits to the co-cultured species and improved ecosystem health, even if the production of individual species is lower than in a monoculture over a short-term period.
Sometimes the term "integrated aquaculture" is used to describe the integration of monocultures through water transfer. For all intents and purposes, however, the terms "IMTA" and "integrated aquaculture" differ only in their degree of descriptiveness. Aquaponics, fractionated aquaculture, integrated agriculture-aquaculture systems, integrated peri-urban-aquaculture systems, and integrated fisheries-aquaculture systems are other variations of the IMTA concept.
Urban aquaculture
Netting materials
Various materials, including nylon, polyester, polypropylene, polyethylene, plastic-coated welded wire, rubber, patented rope products (Spectra, Thorn-D, Dyneema), galvanized steel and copper are used for netting in aquaculture fish enclosures around the world. All of these materials are selected for a variety of reasons, including design feasibility, material strength, cost, and corrosion resistance.
Recently, copper alloys have become important netting materials in aquaculture because they are antimicrobial (i.e., they destroy bacteria, viruses, fungi, algae, and other microbes) and they therefore prevent biofouling (i.e., the undesirable accumulation, adhesion, and growth of microorganisms, plants, algae, tubeworms, barnacles, mollusks, and other organisms). By inhibiting microbial growth, copper alloy aquaculture cages avoid costly net changes that are necessary with other materials. The resistance of organism growth on copper alloy nets also provides a cleaner and healthier environment for farmed fish to grow and thrive.
Issues
If performed without consideration for potential local environmental impacts, aquaculture in inland waters can result in more environmental damage than wild fisheries, though with less waste produced per kg on a global scale. Local concerns with aquaculture in inland waters may include waste handling, side-effects of antibiotics, competition between farmed and wild animals, and the potential introduction of invasive plant and animal species, or foreign pathogens, particularly if unprocessed fish are used to feed more marketable carnivorous fish. If non-local live feeds are used, aquaculture may introduce exotic plants or animals with disastrous effects. Improvements in methods resulting from advances in research and the availability of commercial feeds has reduced some of these concerns since their greater prevalence in the 1990s and 2000s .
Fish waste is organic and composed of nutrients necessary in all components of aquatic food webs. In-ocean aquaculture often produces much higher than normal fish waste concentrations. The waste collects on the ocean bottom, damaging or eliminating bottom-dwelling life. Waste can also decrease dissolved oxygen levels in the water column, putting further pressure on wild animals. An alternative model to food being added to the ecosystem, is the installation of artificial reef structures to increase the habitat niches available, without the need to add any more than ambient feed and nutrient. This has been used in the "ranching" of abalone in Western Australia.
Impacts on wild fish
Some carnivorous and omnivorous farmed fish species are fed wild forage fish. Although carnivorous farmed fish represented only 13 percent of aquaculture production by weight in 2000, they represented 34 percent of aquaculture production by value.
Farming of carnivorous species like salmon and shrimp leads to a high demand for forage fish to match the nutrition they get in the wild. Fish do not actually produce omega-3 fatty acids, but instead accumulate them from either consuming microalgae that produce these fatty acids, as is the case with forage fish like herring and sardines, or, as is the case with fatty predatory fish, like salmon, by eating prey fish that have accumulated omega-3 fatty acids from microalgae. To satisfy this requirement, more than 50 percent of the world fish oil production is fed to farmed salmon.
Farmed salmon consume more wild fish than they generate as a final product, although the efficiency of production is improving. To produce one kilograms of farmed salmon, products from several kilograms of wild fish are fed to them – this can be described as the "fish-in-fish-out" (FIFO) ratio. In 1995, salmon had a FIFO ratio of 7.5 (meaning 7.5 kilograms of wild fish feed were required to produce one kilogram of salmon); by 2006 the ratio had fallen to 4.9. Additionally, a growing share of fish oil and fishmeal come from residues (byproducts of fish processing), rather than dedicated whole fish. In 2012, 34 percent of fish oil and 28 percent of fishmeal came from residues. However, fishmeal and oil from residues instead of whole fish have a different composition with more ash and less protein, which may limit its potential use for aquaculture.
As the salmon farming industry expands, it requires more wild forage fish for feed, at a time when seventy-five percent of the world's monitored fisheries are already near to or have exceeded their maximum sustainable yield. The industrial-scale extraction of wild forage fish for salmon farming then impacts the survivability of the wild predator fish who rely on them for food. An important step in reducing the impact of aquaculture on wild fish is shifting carnivorous species to plant-based feeds. Salmon feeds, for example, have gone from containing only fishmeal and oil to containing 40 percent plant protein. The USDA has also experimented with using grain-based feeds for farmed trout. When properly formulated (and often mixed with fishmeal or oil), plant-based feeds can provide proper nutrition and similar growth rates in carnivorous farmed fish.
Another impact aquaculture production can have on wild fish is the risk of fish escaping from coastal pens, where they can interbreed with their wild counterparts, diluting wild genetic stocks. Escaped fish can become invasive, out-competing native species.
Animal welfare
As with the farming of terrestrial animals, social attitudes influence the need for humane practices and regulations in farmed marine animals. Under the guidelines advised by the Farm Animal Welfare Council good animal welfare means both fitness and a sense of well-being in the animal's physical and mental state. This can be defined by the Five Freedoms:
Freedom from hunger & thirst
Freedom from discomfort
Freedom from pain, disease, or injury
Freedom to express normal behaviour
Freedom from fear and distress
However, the controversial issue in aquaculture is whether fish and farmed marine invertebrates are actually sentient, or have the perception and awareness to experience suffering. Although no evidence of this has been found in marine invertebrates, recent studies conclude that fish do have the necessary receptors (nociceptors) to sense noxious stimuli and so are likely to experience states of pain, fear and stress. Consequently, welfare in aquaculture is directed at vertebrates, finfish in particular.
Common welfare concerns
Welfare in aquaculture can be impacted by a number of issues such as stocking densities, behavioural interactions, disease and parasitism. A major problem in determining the cause of impaired welfare is that these issues are often all interrelated and influence each other at different times.
Optimal stocking density is often defined by the carrying capacity of the stocked environment and the amount of individual space needed by the fish, which is very species specific. Although behavioural interactions such as shoaling may mean that high stocking densities are beneficial to some species, in many cultured species high stocking densities may be of concern. Crowding can constrain normal swimming behaviour, as well as increase aggressive and competitive behaviours such as cannibalism, feed competition, territoriality and dominance/subordination hierarchies. This potentially increases the risk of tissue damage due to abrasion from fish-to-fish contact or fish-to-cage contact. Fish can suffer reductions in food intake and food conversion efficiency. In addition, high stocking densities can result in water flow being insufficient, creating inadequate oxygen supply and waste product removal. Dissolved oxygen is essential for fish respiration and concentrations below critical levels can induce stress and even lead to asphyxiation. Ammonia, a nitrogen excretion product, is highly toxic to fish at accumulated levels, particularly when oxygen concentrations are low.
Many of these interactions and effects cause stress in the fish, which can be a major factor in facilitating fish disease. For many parasites, infestation depends on the host's degree of mobility, the density of the host population and vulnerability of the host's defence system. Sea lice are the primary parasitic problem for finfish in aquaculture, high numbers causing widespread skin erosion and haemorrhaging, gill congestion, and increased mucus production. There are also a number of prominent viral and bacterial pathogens that can have severe effects on internal organs and nervous systems.
Improving welfare
The key to improving welfare of marine cultured organisms is to reduce stress to a minimum, as prolonged or repeated stress can cause a range of adverse effects. Attempts to minimise stress can occur throughout the culture process. Understanding and providing required environmental enrichment can be vital for reducing stress and benefit aquaculture objects such as improved growth body condition and reduced damage from aggression. During grow-out it is important to keep stocking densities at appropriate levels specific to each species, as well as separating size classes and grading to reduce aggressive behavioural interactions. Keeping nets and cages clean can assist positive water flow to reduce the risk of water degradation.
Not surprisingly disease and parasitism can have a major effect on fish welfare and it is important for farmers not only to manage infected stock but also to apply disease prevention measures. However, prevention methods, such as vaccination, can also induce stress because of the extra handling and injection. Other methods include adding antibiotics to feed, adding chemicals into water for treatment baths and biological control, such as using cleaner wrasse to remove lice from farmed salmon.
Many steps are involved in transport, including capture, food deprivation to reduce faecal contamination of transport water, transfer to transport vehicle via nets or pumps, plus transport and transfer to the delivery location. During transport water needs to be maintained to a high quality, with regulated temperature, sufficient oxygen and minimal waste products. In some cases anaesthetics may be used in small doses to calm fish before transport.
Aquaculture is sometimes part of an environmental rehabilitation program or as an aid in conserving endangered species.
Coastal ecosystems
Aquaculture is becoming a significant threat to coastal ecosystems. About 20 percent of mangrove forests have been destroyed since 1980, partly due to shrimp farming. An extended cost–benefit analysis of the total economic value of shrimp aquaculture built on mangrove ecosystems found that the external costs were much higher than the external benefits. Over four decades, of Indonesian mangroves have been converted to shrimp farms. Most of these farms are abandoned within a decade because of the toxin build-up and nutrient loss.
Pollution from sea cage aquaculture
Salmon farms are typically sited in pristine coastal ecosystems which they then pollute. A farm with 200,000 salmon discharges more fecal waste than a city of 60,000 people. This waste is discharged directly into the surrounding aquatic environment, untreated, often containing antibiotics and pesticides." There is also an accumulation of heavy metals on the benthos (seafloor) near the salmon farms, particularly copper and zinc.
In 2016, mass fish kill events impacted salmon farmers along Chile's coast and the wider ecology. Increases in aquaculture production and its associated effluent were considered to be possible contributing factors to fish and molluscan mortality.
Sea cage aquaculture is responsible for nutrient enrichment of the waters in which they are established. This results from fish wastes and uneaten feed inputs. Elements of most concern are nitrogen and phosphorus which can promote algal growth, including harmful algal blooms which can be toxic to fish. Flushing times, current speeds, distance from the shore and water depth are important considerations when locating sea cages in order to minimize the impacts of nutrient enrichment on coastal ecosystems.
The extent of the effects of pollution from sea-cage aquaculture varies depending on where the cages are located, which species are kept, how densely cages are stocked and what the fish are fed. Important species-specific variables include the species' food conversion ratio (FCR) and nitrogen retention.
Freshwater ecosystems
Whole-lake experiments carried out at the Experimental Lakes Area in Ontario, Canada, have displayed the potential for cage aquaculture to source numerous changes in freshwater ecosystems. Following the initiation of an experimental rainbow trout cage farm in a small boreal lake, dramatic reductions in mysis concentrations associated with a decrease in dissolved oxygen were observed. Significant increases in ammonium and total phosphorus, a driver for eutrophication in freshwater systems, were measured in the hypolimnion of the lake. Annual phosphorus inputs from aquaculture waste exceeded that of natural inputs from atmospheric deposition and inflows, and phytoplankton biomass has had a fourfold annual increase following the initiation of the experimental farm.
Genetic modification
A type of salmon called the AquAdvantage salmon has been genetically modified for faster growth, although it has not been approved for commercial use, due to controversy. The altered salmon incorporates a growth hormone from a Chinook salmon that allows it to reach full size in 16–28 months, instead of the normal 36 months for Atlantic salmon, and while consuming 25 percent less feed. The U.S. Food and Drug Administration reviewed the AquAdvantage salmon in a draft environmental assessment and determined that it "would not have a significant impact (FONSI) on the U.S. environment."
Fish diseases, parasites and vaccines
A major difficulty for aquaculture is the tendency towards monoculture and the associated risk of widespread disease. Aquaculture is also associated with environmental risks; for instance, shrimp farming has caused the destruction of important mangrove forests throughout southeast Asia.
In the 1990s, disease wiped out China's farmed Farrer's scallop and white shrimp and required their replacement by other species.
Needs of the aquaculture sector in vaccines
Aquaculture has an average annual growth rate of 9.2%, however, the success and continued expansion of the fish farming sector is highly dependent on the control of fish pathogens including a wide range of viruses, bacteria, fungi, and parasites. In 2014, it was estimated that these parasites cost the global salmon farming industry up to 400 million Euros. This represents 6–10% of the production value of the affected countries, but it can go up to 20% (Fisheries and Oceans Canada, 2014). Since pathogens quickly spread within a population of cultured fish, their control is vital for the sector.
Historically, the use of antibiotics was against bacterial epizootics but the production of animal proteins has to be sustainable, which means that preventive measures that are acceptable from a biological and environmental point of view should be used to keep disease problems in aquaculture at an acceptable level. So, this added to the efficiency of vaccines resulted in an immediate and permanent reduction in the use of antibiotics in the 90s. In the beginning, there were fish immersion vaccines efficient against the vibriosis but proved ineffective against the furunculosis, hence the arrival of injectable vaccines: first water-based and after oil-based, much more efficient (Sommerset, 2005).
Development of new vaccines
It is the important mortality in cages among farmed fish, the debates around DNA injection vaccines, although effective, their safety and their side effects but also societal expectations for cleaner fish and security, lead research on new vaccine vectors. Several initiatives are financed by the European Union to develop a rapid and cost-effective approach to using bacteria in feed to make vaccines, in particular thanks to lactic bacteria whose DNA is modified (Boudinot, 2006). In fact, vaccinating farmed fish by injection is time-consuming and costly, so vaccines can be administered orally or by immersion by being added to feed or directly into water. This allows vaccinating many individuals at the same time while limiting the associated handling and stress.
Indeed, many tests are necessary because the antigens of the vaccines must be adapted to each species or not present a certain level of variability or they will not have any effect. For example, tests have been done with two species: Lepeophtheirus salmonis (from which the antigens were collected) and Caligus rogercresseyi (which was vaccinated with the antigens), although the homology between the two species is important, the level of variability made the protection ineffective (Fisheries and Oceans Canada, 2014).
Recent vaccines development in aquaculture
There are 24 vaccines available and one for lobsters. The first vaccine was used in the USA against enteric red mouth in 1976. However, there are 19 companies and some small stakeholders are producing vaccines for aquaculture nowadays. The novel approaches are a way forward to prevent the loss of 10% of aquaculture through disease. Genetically modified vaccines are not being used in the EU due to societal concerns and regulations. Meanwhile, DNA vaccines are now authorised in the EU.
There are challenges in fish vaccine development, immune response due to lack of potent adjScientists are considering microdose application in future. But there are also exciting opportunities in aquaculture vaccinology due to the low cost of technology, regulations change and novel antigen expression and delivery systems.
In Norway subunit vaccine (VP2 peptide) against infectious pancreatic necrosis is being used. In Canada, a licensed DNA vaccine against Infectious hematopoietic necrosis has been launched for industry use.
Fish have large mucosal surfaces, so the preferred route is immersion, intraperitoneal and oral respectively. Nanoparticles are in progress for delivery purposes. The common antibodies produced are IgM and IgT. Normally booster is not required ifn Fish because more memory cells are produced in response to the booster rather than an increased level of antibodies.
mRNA vaccines are alternative to DNA vaccines because they are more safe, stable, easily producible at a large scale and mass immunization potential. Recently these are used in cancer prevention and therapeutics. Studies in rabies has shown that efficacy depends on dose and route of administration. These are still in infancy.
Economic gains
In 2014, the aquaculture produced fish overtook wild caught fish, in supply for human food. This means there is a huge demand for vaccines, in prevention of diseases. The reported annual loss fish, calculates to >10 billion USD. This is from approximately 10% of all fishes dying from infectious diseases.
The high annual losses increases the demand for vaccines. Even though there are about 24 traditionally used vaccines, there is still demand for more vaccines. The breakthrough of DNA-vaccines has sunk the cost of vaccines.
The alternative to vaccines would be antibiotics and chemotherapy, which are more expensive and with bigger drawbacks. DNA-vaccines have become the most cost-efficient method of preventing infectious diseases. This bouts well for DNA-vaccines becoming the new standard both in fish vaccines, and in general vaccines.
Salinization/acidification of soils
Sediment from abandoned aquaculture farms can remain hypersaline, acidic and eroded. This material can remain unusable for aquaculture purposes for long periods thereafter. Various chemical treatments, such as adding lime, can aggravate the problem by modify the physicochemical characteristics of the sediment.
Plastic pollution
Aquaculture produces a range of marine debris, depending on the product and location. The most frequently documented type of plastic is expanded polystyrene (EPS), used extensively in floats and sea cage collars (MEPC 2020). Other common waste items include cage nets and plastic harvest bins. A review of aquaculture as a source of marine litter in the North, Baltic and Mediterranean Seas identified 64 different items, 19 of which were unique to aquaculture . Estimates of the amount of aquaculture waste entering the oceans vary widely, depending on the methodologies used. For example, in the European Economic Area loss estimates have varied from a low of 3,000 tonnes to 41,000 tonnes per year.
Ecological benefits
While some forms of aquaculture can be devastating to ecosystems, such as shrimp farming in mangroves, other forms can be beneficial. Shellfish aquaculture adds substantial filter feeding capacity to an environment which can significantly improve water quality. A single oyster can filter 15 gallons of water a day, removing microscopic algal cells. By removing these cells, shellfish are removing nitrogen and other nutrients from the system and either retaining it or releasing it as waste which sinks to the bottom. By harvesting these shellfish, the nitrogen they retained is completely removed from the system. Raising and harvesting kelp and other macroalgae directly remove nutrients such as nitrogen and phosphorus. Repackaging these nutrients can relieve eutrophic, or nutrient-rich, conditions known for their low dissolved oxygen which can decimate species diversity and abundance of marine life. Removing algal cells from the water also increases light penetration, allowing plants such as eelgrass to reestablish themselves and further increase oxygen levels.
Aquaculture in an area can provide for crucial ecological functions for the inhabitants. Shellfish beds or cages can provide habitat structure. This structure can be used as shelter by invertebrates, small fish or crustaceans to potentially increase their abundance and maintain biodiversity. Increased shelter raises stocks of prey fish and small crustaceans by increasing recruitment opportunities in turn providing more prey for higher trophic levels. One study estimated that 10 square meters of oyster reef could enhance an ecosystem's biomass by 2.57 kg Herbivore shellfish will also be preyed on. This moves energy directly from primary producers to higher trophic levels potentially skipping out on multiple energetically costly trophic jumps which would increase biomass in the ecosystem.
Seaweed farming is a carbon negative crop, with a high potential for climate change mitigation. The IPCC Special Report on the Ocean and Cryosphere in a Changing Climate recommends "further research attention" as a mitigation tactic. Regenerative ocean farming is a polyculture farming system that grows a mix of seaweeds and shellfish while sequestering carbon, decreasing nitrogen in the water and increasing oxygen, helping to regenerate and restore local habitat like reef ecosystems.
Prospects
Global wild fisheries are in decline, with valuable habitat such as estuaries in critical condition. The aquaculture or farming of piscivorous fish, like salmon, does not help the problem because they need to eat products from other fish, such as fish meal and fish oil. Studies have shown that salmon farming has major negative impacts on wild salmon, as well as the forage fish that need to be caught to feed them. Fish that are higher on the food chain are less efficient sources of food energy.
Apart from fish and shrimp, some aquaculture undertakings, such as seaweed and filter-feeding bivalve mollusks like oysters, clams, mussels and scallops, are relatively benign and even environmentally restorative. Filter-feeders filter pollutants as well as nutrients from the water, improving water quality. Seaweeds extract nutrients such as inorganic nitrogen and phosphorus directly from the water, and filter-feeding mollusks can extract nutrients as they feed on particulates, such as phytoplankton and detritus.
Some profitable aquaculture cooperatives promote sustainable practices. New methods lessen the risk of biological and chemical pollution through minimizing fish stress, fallowing netpens, and applying integrated pest management. Vaccines are being used more and more to reduce antibiotic use for disease control.
Onshore recirculating aquaculture systems, facilities using polyculture techniques, and properly sited facilities (for example, offshore areas with strong currents) are examples of ways to manage negative environmental effects.
Recirculating aquaculture systems (RAS) recycle water by circulating it through filters to remove fish waste and food and then recirculating it back into the tanks. This saves water and the waste gathered can be used in compost or, in some cases, could even be treated and used on land. While RAS was developed with freshwater fish in mind, scientists associated with the Agricultural Research Service have found a way to rear saltwater fish using RAS in low-salinity waters. Although saltwater fish are raised in off-shore cages or caught with nets in water that typically has a salinity of 35 parts per thousand (ppt), scientists were able to produce healthy pompano, a saltwater fish, in tanks with a salinity of only 5 ppt. Commercializing low-salinity RAS are predicted to have positive environmental and economical effects. Unwanted nutrients from the fish food would not be added to the ocean and the risk of transmitting diseases between wild and farm-raised fish would greatly be reduced. The price of expensive saltwater fish, such as the pompano and cobia used in the experiments, would be reduced. However, before any of this can be done researchers must study every aspect of the fish's lifecycle, including the amount of ammonia and nitrate the fish will tolerate in the water, what to feed the fish during each stage of its lifecycle, the stocking rate that will produce the healthiest fish, etc.
Some 16 countries now use geothermal energy for aquaculture, including China, Israel, and the United States. In California, for example, 15 fish farms produce tilapia, bass, and catfish with warm water from underground. This warmer water enables fish to grow all year round and mature more quickly. Collectively these California farms produce 4.5 million kilograms of fish each year.
Global goals
The UN Sustainable Development Goal 14 ("life below water"), Target 14.7 includes aquaculture: "By 2030, increase the economic benefits to small island developing states and least developed countries from the sustainable use of marine resources, including through sustainable management of fisheries, aquaculture and tourism". Aquaculture's contribution to GDP is not included in SDG Target 14.7 but methods for quantifying this have been explored by FAO.
National laws, regulations, and management
Laws governing aquaculture practices vary greatly by country and are often not closely regulated or easily traceable.
In the United States, land-based and nearshore aquaculture is regulated at the federal and state levels; however, no national laws govern offshore aquaculture in U.S. exclusive economic zone waters. In June 2011, the Department of Commerce and National Oceanic and Atmospheric Administration released national aquaculture policies to address this issue and "to meet the growing demand for healthy seafood, to create jobs in coastal communities, and restore vital ecosystems." Large aquaculture facilities (i.e. those producing per year) which discharge wastewater are required to obtain permits pursuant to the Clean Water Act. Facilities that produce at least of fish, molluscs or crustaceans a year are subject to specific national discharge standards. Other permitted facilities are subject to effluent limitations that are developed on a case-by-case basis.
By country
Aquaculture by Country:
History
The Gunditjmara, the local Aboriginal Australian people in south-western Victoria, Australia, may have raised short-finned eels as early as about 4,580 BCE. Evidence indicates they developed about of volcanic floodplains in the vicinity of Lake Condah into a complex of channels and dams, and used woven traps to capture eels, and preserve them to eat all year round. The Budj Bim Cultural Landscape, a World Heritage Site, is thought to be one of the oldest aquaculture sites in the world.
Oral tradition in China tells of the culture of the common carp, Cyprinus carpio, as long ago as 2000–2100 BCE (around 4,000 years BP), but the earliest significant evidence lies in the literature, in the earliest monograph on fish culture called The Classic of Fish Culture, by Fan Li, written around 475 BCE ( BP). Another ancient Chinese guide to aquaculture was by Yang Yu Jing, written around 460 BCE, showing that carp farming was becoming more sophisticated. The Jiahu site in China has circumstantial archeological evidence as possibly the oldest aquaculture locations, dating from 6200BCE (about 8,200 years BP), but this is speculative. When the waters subsided after river floods, some fish, mainly carp, were trapped in lakes. Early aquaculturists fed their brood using nymphs and silkworm faeces, and ate them.
Ancient Egyptians might have farmed fish (especially gilt-head bream) from Lake Bardawil about 1,500 BCE (about 3,500 BP), and they traded them with Canaan.
Gim cultivation is the oldest aquaculture in Korea. Early cultivation methods used bamboo or oak sticks, which were replaced by newer methods that utilized nets in the 19th century. Floating rafts have been used for mass production since the 1920s.
Japanese cultivated seaweed by providing bamboo poles and, later, nets and oyster shells to serve as anchoring surfaces for spores.
Romans bred fish in ponds and farmed oysters in coastal lagoons before 100 CE.
In central Europe, early Christian monasteries adopted Roman aquacultural practices. Aquaculture spread in Europe during the Middle Ages since away from the seacoasts and the big rivers, fish had to be salted so they did not rot. Improvements in transportation during the 19th century made fresh fish easily available and inexpensive, even in inland areas, making aquaculture less popular. The 15th-century fishponds of the Trebon Basin in the Czech Republic are maintained as a UNESCO World Heritage Site.
Hawaiians constructed oceanic fish ponds. A remarkable example is the "Menehune" fishpond dating from at least 1,000 years ago, at Alekoko. Legend says that it was constructed by the mythical Menehune dwarf people.
In the first half of the 18th century, German Stephan Ludwig Jacobi experimented with external fertilization of brown trouts and salmon. He wrote an article "Von der künstlichen Erzeugung der Forellen und Lachse" (On the Artificial Production of Trout and Salmon) summarizing his findings, and is regarded as the founder of artificial fish rearing in Europe. By the latter decades of the 18th century, oyster farming had begun in estuaries along the Atlantic Coast of North America.
The word aquaculture appeared in an 1855 newspaper article in reference to the harvesting of ice. It also appeared in descriptions of the terrestrial agricultural practise of sub-irrigation in the late 19th century before becoming associated primarily with the cultivation of aquatic plant and animal species.
In 1859, Stephen Ainsworth of West Bloomfield, New York, began experiments with brook trout. By 1864, Seth Green had established a commercial fish-hatching operation at Caledonia Springs, near Rochester, New York. By 1866, with the involvement of Dr. W. W. Fletcher of Concord, Massachusetts, artificial fish hatcheries were underway in both Canada and the United States. When the Dildo Island fish hatchery opened in Newfoundland in 1889, it was the largest and most advanced in the world. The word aquaculture was used in descriptions of the hatcheries experiments with cod and lobster in 1890.
By the 1920s, the American Fish Culture Company of Carolina, Rhode Island, founded in the 1870s was one of the leading producers of trout. During the 1940s, they had perfected the method of manipulating the day and night cycle of fish so that they could be artificially spawned year around.
Californians harvested wild kelp and attempted to manage supply around 1900, later labeling it a wartime resource.
See also
Agroecology
Alligator farm
Certification for Aquaculture Professionals
Fisheries science
Fishery
Industrial aquaculture
List of commercially important fish species
Maggots used as food for fish
Oyster farming
Recirculating aquaculture system
Resource decoupling
References
Sources
podcast
GESAMP (2008) Assessment and communication of environmental risks in coastal aquaculture FAO Reports and Studies No 76.
Hepburn, J. 2002. Taking Aquaculture Seriously. Organic Farming, Winter 2002 © Soil Association.
The Scottish Association for Marine Science and Napier University. 2002. Review and synthesis of the environmental impacts of aquaculture
Higginbotham James Piscinae: Artificial Fishponds in Roman Italy University of North Carolina Press (June 1997)
Wyban, Carol Araki (1992) Tide and Current: Fishponds of Hawai'I University of Hawaiʻi Press::
Timmons, M.B., Ebeling, J.M., Wheaton, F.W., Summerfelt, S.T., Vinci, B.J., 2002. Recirculating Aquaculture Systems: 2nd edition. Cayuga Aqua Ventures.
Free content work
Further reading
Holmer, Marianne. Aquaculture in the Ecosystem. Dordrecht, Netherlands: Springer, 2008.
Molyneaux, Paul. Swimming in Circles: Aquaculture and the End of Wild Oceans. New York: Thunder’s Mouth Press, 2006.
Stickney, Robert R. Aquaculture: An Introductory Text. Oxford, UK; Cambridge, MA: CABI Publishing, 2005.
World Bank. Changing the Face of the Waters: The Promise and Challenge of Sustainable Aquaculture. Washington, DC: World Bank, 2007.
External links
Aquaculture topic page from Woods Hole Oceanographic Institution
The Coastal Resources Center
NOAA aquaculture
The University of Hawaiʻi's AquacultureHub
Domesticated animals
Buildings and structures used to confine animals
Sustainable food system
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In algorithmic information theory (a subfield of computer science and mathematics), the Kolmogorov complexity of an object, such as a piece of text, is the length of a shortest computer program (in a predetermined programming language) that produces the object as output. It is a measure of the computational resources needed to specify the object, and is also known as algorithmic complexity, Solomonoff–Kolmogorov–Chaitin complexity, program-size complexity, descriptive complexity, or algorithmic entropy. It is named after Andrey Kolmogorov, who first published on the subject in 1963 and is a generalization of classical information theory.
The notion of Kolmogorov complexity can be used to state and prove impossibility results akin to Cantor's diagonal argument, Gödel's incompleteness theorem, and Turing's halting problem.
In particular, no program P computing a lower bound for each text's Kolmogorov complexity can return a value essentially larger than P's own length (see section ); hence no single program can compute the exact Kolmogorov complexity for infinitely many texts.
Definition
Consider the following two strings of 32 lowercase letters and digits:
abababababababababababababababab , and
4c1j5b2p0cv4w1x8rx2y39umgw5q85s7
The first string has a short English-language description, namely "write ab 16 times", which consists of 17 characters. The second one has no obvious simple description (using the same character set) other than writing down the string itself, i.e., "write 4c1j5b2p0cv4w1x8rx2y39umgw5q85s7" which has 38 characters. Hence the operation of writing the first string can be said to have "less complexity" than writing the second.
More formally, the complexity of a string is the length of the shortest possible description of the string in some fixed universal description language (the sensitivity of complexity relative to the choice of description language is discussed below). It can be shown that the Kolmogorov complexity of any string cannot be more than a few bytes larger than the length of the string itself. Strings like the abab example above, whose Kolmogorov complexity is small relative to the string's size, are not considered to be complex.
The Kolmogorov complexity can be defined for any mathematical object, but for simplicity the scope of this article is restricted to strings. We must first specify a description language for strings. Such a description language can be based on any computer programming language, such as Lisp, Pascal, or Java. If P is a program which outputs a string x, then P is a description of x. The length of the description is just the length of P as a character string, multiplied by the number of bits in a character (e.g., 7 for ASCII).
We could, alternatively, choose an encoding for Turing machines, where an encoding is a function which associates to each Turing Machine M a bitstring <M>. If M is a Turing Machine which, on input w, outputs string x, then the concatenated string <M> w is a description of x. For theoretical analysis, this approach is more suited for constructing detailed formal proofs and is generally preferred in the research literature. In this article, an informal approach is discussed.
Any string s has at least one description. For example, the second string above is output by the pseudo-code:
function GenerateString2()
return "4c1j5b2p0cv4w1x8rx2y39umgw5q85s7"
whereas the first string is output by the (much shorter) pseudo-code:
function GenerateString1()
return "ab" × 16
If a description d(s) of a string s is of minimal length (i.e., using the fewest bits), it is called a minimal description of s, and the length of d(s) (i.e. the number of bits in the minimal description) is the Kolmogorov complexity of s, written K(s). Symbolically,
K(s) = |d(s)|.
The length of the shortest description will depend on the choice of description language; but the effect of changing languages is bounded (a result called the invariance theorem).
Invariance theorem
Informal treatment
There are some description languages which are optimal, in the following sense: given any description of an object in a description language, said description may be used in the optimal description language with a constant overhead. The constant depends only on the languages involved, not on the description of the object, nor the object being described.
Here is an example of an optimal description language. A description will have two parts:
The first part describes another description language.
The second part is a description of the object in that language.
In more technical terms, the first part of a description is a computer program (specifically: a compiler for the object's language, written in the description language), with the second part being the input to that computer program which produces the object as output.
The invariance theorem follows: Given any description language L, the optimal description language is at least as efficient as L, with some constant overhead.
Proof: Any description D in L can be converted into a description in the optimal language by first describing L as a computer program P (part 1), and then using the original description D as input to that program (part 2). The
total length of this new description D′ is (approximately):
|D′ | = |P| + |D|
The length of P is a constant that doesn't depend on D. So, there is at most a constant overhead, regardless of the object described. Therefore, the optimal language is universal up to this additive constant.
A more formal treatment
Theorem: If K1 and K2 are the complexity functions relative to Turing complete description languages L1 and L2, then there is a constant c – which depends only on the languages L1 and L2 chosen – such that
∀s. −c ≤ K1(s) − K2(s) ≤ c.
Proof: By symmetry, it suffices to prove that there is some constant c such that for all strings s
K1(s) ≤ K2(s) + c.
Now, suppose there is a program in the language L1 which acts as an interpreter for L2:
function InterpretLanguage(string p)
where p is a program in L2. The interpreter is characterized by the following property:
Running InterpretLanguage on input p returns the result of running p.
Thus, if P is a program in L2 which is a minimal description of s, then InterpretLanguage(P) returns the string s. The length of this description of s is the sum of
The length of the program InterpretLanguage, which we can take to be the constant c.
The length of P which by definition is K2(s).
This proves the desired upper bound.
History and context
Algorithmic information theory is the area of computer science that studies Kolmogorov complexity and other complexity measures on strings (or other data structures).
The concept and theory of Kolmogorov Complexity is based on a crucial theorem first discovered by Ray Solomonoff, who published it in 1960, describing it in "A Preliminary Report on a General Theory of Inductive Inference" as part of his invention of algorithmic probability. He gave a more complete description in his 1964 publications, "A Formal Theory of Inductive Inference," Part 1 and Part 2 in Information and Control.
Andrey Kolmogorov later independently published this theorem in Problems Inform. Transmission in 1965. Gregory Chaitin also presents this theorem in J. ACM – Chaitin's paper was submitted October 1966 and revised in December 1968, and cites both Solomonoff's and Kolmogorov's papers.
The theorem says that, among algorithms that decode strings from their descriptions (codes), there exists an optimal one. This algorithm, for all strings, allows codes as short as allowed by any other algorithm up to an additive constant that depends on the algorithms, but not on the strings themselves. Solomonoff used this algorithm and the code lengths it allows to define a "universal probability" of a string on which inductive inference of the subsequent digits of the string can be based. Kolmogorov used this theorem to define several functions of strings, including complexity, randomness, and information.
When Kolmogorov became aware of Solomonoff's work, he acknowledged Solomonoff's priority. For several years, Solomonoff's work was better known in the Soviet Union than in the Western World. The general consensus in the scientific community, however, was to associate this type of complexity with Kolmogorov, who was concerned with randomness of a sequence, while Algorithmic Probability became associated with Solomonoff, who focused on prediction using his invention of the universal prior probability distribution. The broader area encompassing descriptional complexity and probability is often called Kolmogorov complexity. The computer scientist Ming Li considers this an example of the Matthew effect: "...to everyone who has, more will be given..."
There are several other variants of Kolmogorov complexity or algorithmic information. The most widely used one is based on self-delimiting programs, and is mainly due to Leonid Levin (1974).
An axiomatic approach to Kolmogorov complexity based on Blum axioms (Blum 1967) was introduced by Mark Burgin in the paper presented for publication by Andrey Kolmogorov.
Basic results
In the following discussion, let K(s) be the complexity of the string s.
It is not hard to see that the minimal description of a string cannot be too much larger than the string itself — the program GenerateString2 above that outputs s is a fixed amount larger than s.
Theorem: There is a constant c such that
∀s. K(s) ≤ |s| + c.
Uncomputability of Kolmogorov complexity
A naive attempt at a program to compute K
At first glance it might seem trivial to write a program which can compute K(s) for any s, such as the following:
function KolmogorovComplexity(string s)
for i = 1 to infinity:
for each string p of length exactly i
if isValidProgram(p) and evaluate(p) == s
return i
This program iterates through all possible programs (by iterating through all possible strings and only considering those which are valid programs), starting with the shortest. Each program is executed to find the result produced by that program, comparing it to the input s. If the result matches then the length of the program is returned.
However this will not work because some of the programs p tested will not terminate, e.g. if they contain infinite loops. There is no way to avoid all of these programs by testing them in some way before executing them due to the non-computability of the halting problem.
What is more, no program at all can compute the function K, be it ever so sophisticated. This is proven in the following.
Formal proof of uncomputability of K
Theorem: There exist strings of arbitrarily large Kolmogorov complexity. Formally: for each natural number n, there is a string s with K(s) ≥ n.
Proof: Otherwise all of the infinitely many possible finite strings could be generated by the finitely many programs with a complexity below n bits.
Theorem: K is not a computable function. In other words, there is no program which takes any string s as input and produces the integer K(s) as output.
The following proof by contradiction uses a simple Pascal-like language to denote programs; for sake of proof simplicity assume its description (i.e. an interpreter) to have a length of bits.
Assume for contradiction there is a program
function KolmogorovComplexity(string s)
which takes as input a string s and returns K(s). All programs are of finite length so, for sake of proof simplicity, assume it to be bits.
Now, consider the following program of length bits:
function GenerateComplexString()
for i = 1 to infinity:
for each string s of length exactly i
if KolmogorovComplexity(s) ≥ 8000000000
return s
Using KolmogorovComplexity as a subroutine, the program tries every string, starting with the shortest, until it returns a string with Kolmogorov complexity at least bits, i.e. a string that cannot be produced by any program shorter than bits. However, the overall length of the above program that produced s is only bits, which is a contradiction. (If the code of KolmogorovComplexity is shorter, the contradiction remains. If it is longer, the constant used in GenerateComplexString can always be changed appropriately.)
The above proof uses a contradiction similar to that of the Berry paradox: "The smallest positive integer that cannot be defined in fewer than twenty English words". It is also possible to show the non-computability of K by reduction from the non-computability of the halting problem H, since K and H are Turing-equivalent.
There is a corollary, humorously called the "full employment theorem" in the programming language community, stating that there is no perfect size-optimizing compiler.
Chain rule for Kolmogorov complexity
The chain rule for Kolmogorov complexity states that
K(X,Y) = K(X) + K(Y|X) + O(log(K(X,Y))).
It states that the shortest program that reproduces X and Y is no more than a logarithmic term larger than a program to reproduce X and a program to reproduce Y given X. Using this statement, one can define an analogue of mutual information for Kolmogorov complexity.
Compression
It is straightforward to compute upper bounds for K(s) – simply compress the string s with some method, implement the corresponding decompressor in the chosen language, concatenate the decompressor to the compressed string, and measure the length of the resulting string – concretely, the size of a self-extracting archive in the given language.
A string s is compressible by a number c if it has a description whose length does not exceed |s| − c bits. This is equivalent to saying that K(s) ≤ |s| − c. Otherwise, s is incompressible by c. A string incompressible by 1 is said to be simply incompressible – by the pigeonhole principle, which applies because every compressed string maps to only one uncompressed string, incompressible strings must exist, since there are 2n bit strings of length n, but only 2n − 1 shorter strings, that is, strings of length less than n, (i.e. with length 0, 1, ..., n − 1).
For the same reason, most strings are complex in the sense that they cannot be significantly compressed – their K(s) is not much smaller than |s|, the length of s in bits. To make this precise, fix a value of n. There are 2n bitstrings of length n. The uniform probability distribution on the space of these bitstrings assigns exactly equal weight 2−n to each string of length n.
Theorem: With the uniform probability distribution on the space of bitstrings of length n, the probability that a string is incompressible by c is at least 1 − 2−c+1 + 2−n.
To prove the theorem, note that the number of descriptions of length not exceeding n − c is given by the geometric series:
1 + 2 + 22 + ... + 2n − c = 2n−c+1 − 1.
There remain at least
2n − 2n−c+1 + 1
bitstrings of length n that are incompressible by c. To determine the probability, divide by 2n.
Chaitin's incompleteness theorem
By the above theorem (), most strings are complex in the sense that they cannot be described in any significantly "compressed" way. However, it turns out that the fact that a specific string is complex cannot be formally proven, if the complexity of the string is above a certain threshold. The precise formalization is as follows. First, fix a particular axiomatic system S for the natural numbers. The axiomatic system has to be powerful enough so that, to certain assertions A about complexity of strings, one can associate a formula FA in S. This association must have the following property:
If FA is provable from the axioms of S, then the corresponding assertion A must be true. This "formalization" can be achieved based on a Gödel numbering.
Theorem: There exists a constant L (which only depends on S and on the choice of description language) such that there does not exist a string s for which the statementK(s) ≥ L (as formalized in S)
can be proven within S.
Proof Idea: The proof of this result is modeled on a self-referential construction used in Berry's paradox. We firstly obtain a program which enumerates the proofs within S and we specify a procedure P which takes as an input an integer L and prints the strings x which are within proofs within S of the statement K(x) ≥ L. By then setting L to greater than the length of this procedure P, we have that the required length of a program to print x as stated in K(x) ≥ L as being at least L is then less than the amount L since the string x was printed by the procedure P. This is a contradiction. So it is not possible for the proof system S to prove K(x) ≥ L for L arbitrarily large, in particular, for L larger than the length of the procedure P, (which is finite).
Proof:
We can find an effective enumeration of all the formal proofs in S by some procedure
function NthProof(int n)
which takes as input n and outputs some proof. This function enumerates all proofs. Some of these are proofs for formulas we do not care about here, since every possible proof in the language of S is produced for some n. Some of these are complexity formulas of the form K(s) ≥ n where s and n are constants in the language of S. There is a procedure
function NthProofProvesComplexityFormula(int n)
which determines whether the nth proof actually proves a complexity formula K(s) ≥ L. The strings s, and the integer L in turn, are computable by procedure:
function StringNthProof(int n)
function ComplexityLowerBoundNthProof(int n)
Consider the following procedure:
function GenerateProvablyComplexString(int n)
for i = 1 to infinity:
if NthProofProvesComplexityFormula(i) and ComplexityLowerBoundNthProof(i) ≥ n return StringNthProof(i)
Given an n, this procedure tries every proof until it finds a string and a proof in the formal system S of the formula K(s) ≥ L for some L ≥ n; if no such proof exists, it loops forever.
Finally, consider the program consisting of all these procedure definitions, and a main call:
GenerateProvablyComplexString(n0)
where the constant n0 will be determined later on. The overall program length can be expressed as U+log2(n0), where U is some constant and log2(n0) represents the length of the integer value n0, under the reasonable assumption that it is encoded in binary digits. We will choose n0 to be greater than the program length, that is, such that n0 > U+log2(n0). This is clearly true for n0 sufficiently large, because the left hand side grows linearly in n0 whilst the right hand side grows logarithmically in n0 up to the fixed constant U.
Then no proof of the form "K(s)≥L" with L≥n0 can be obtained in S, as can be seen by an indirect argument:
If ComplexityLowerBoundNthProof(i) could return a value ≥n0, then the loop inside GenerateProvablyComplexString would eventually terminate, and that procedure would return a string s such that
This is a contradiction, Q.E.D.
As a consequence, the above program, with the chosen value of n0, must loop forever.
Similar ideas are used to prove the properties of Chaitin's constant.
Minimum message length
The minimum message length principle of statistical and inductive inference and machine learning was developed by C.S. Wallace and D.M. Boulton in 1968. MML is Bayesian (i.e. it incorporates prior beliefs) and information-theoretic. It has the desirable properties of statistical invariance (i.e. the inference transforms with a re-parametrisation, such as from polar coordinates to Cartesian coordinates), statistical consistency (i.e. even for very hard problems, MML will converge to any underlying model) and efficiency (i.e. the MML model will converge to any true underlying model about as quickly as is possible). C.S. Wallace and D.L. Dowe (1999) showed a formal connection between MML and algorithmic information theory (or Kolmogorov complexity).
Kolmogorov randomnessKolmogorov randomness defines a string (usually of bits) as being random if and only if every computer program that can produce that string is at least as long as the string itself. To make this precise, a universal computer (or universal Turing machine) must be specified, so that "program" means a program for this universal machine. A random string in this sense is "incompressible" in that it is impossible to "compress" the string into a program that is shorter than the string itself. For every universal computer, there is at least one algorithmically random string of each length. Whether a particular string is random, however, depends on the specific universal computer that is chosen. This is because a universal computer can have a particular string hard-coded in itself, and a program running on this universal computer can then simply refer to this hard-coded string using a short sequence of bits (i.e. much shorter than the string itself).
This definition can be extended to define a notion of randomness for infinite sequences from a finite alphabet. These algorithmically random sequences can be defined in three equivalent ways. One way uses an effective analogue of measure theory; another uses effective martingales. The third way defines an infinite sequence to be random if the prefix-free Kolmogorov complexity of its initial segments grows quickly enough — there must be a constant c such that the complexity of an initial segment of length n is always at least n−c. This definition, unlike the definition of randomness for a finite string, is not affected by which universal machine is used to define prefix-free Kolmogorov complexity.
Relation to entropy
For dynamical systems, entropy rate and algorithmic complexity of the trajectories are related by a theorem of Brudno, that the equality holds for almost all .
It can be shown that for the output of Markov information sources, Kolmogorov complexity is related to the entropy of the information source. More precisely, the Kolmogorov complexity of the output of a Markov information source, normalized by the length of the output, converges almost surely (as the length of the output goes to infinity) to the entropy of the source.
Conditional versions
The conditional Kolmogorov complexity of two strings is, roughly speaking, defined as the Kolmogorov complexity of x given y as an auxiliary input to the procedure.
There is also a length-conditional complexity , which is the complexity of x given the length of x'' as known/input.
See also
Berry paradox
Code golf
Data compression
Descriptive complexity theory
Grammar induction
Inductive reasoning
Kolmogorov structure function
Levenshtein distance
Solomonoff's theory of inductive inference
Sample entropy
Notes
References
Further reading
External links
The Legacy of Andrei Nikolaevich Kolmogorov
Chaitin's online publications
Solomonoff's IDSIA page
Generalizations of algorithmic information by J. Schmidhuber
Tromp's lambda calculus computer model offers a concrete definition of K()]
Universal AI based on Kolmogorov Complexity by M. Hutter:
David Dowe's Minimum Message Length (MML) and Occam's razor pages.
Computability theory
Descriptive complexity
Measures of complexity
Computational complexity theory
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Alfred the Great (also spelled Ælfred; – 26 October 899) was King of the West Saxons from 871 to 886, and King of the Anglo-Saxons from 886 until his death in 899. He was the youngest son of King Æthelwulf and his first wife Osburh, who both died when Alfred was young. Three of Alfred's brothers, Æthelbald, Æthelberht and Æthelred, reigned in turn before him. Under Alfred's rule, considerable administrative and military reforms were introduced, prompting lasting change in England.
After ascending the throne, Alfred spent several years fighting Viking invasions. He won a decisive victory in the Battle of Edington in 878 and made an agreement with the Vikings, dividing England between Anglo-Saxon territory and the Viking-ruled Danelaw, composed of Scandinavian York, the north-east Midlands and East Anglia. Alfred also oversaw the conversion of Viking leader Guthrum to Christianity. He defended his kingdom against the Viking attempt at conquest, becoming the dominant ruler in England. Alfred began styling himself as "King of the Anglo-Saxons" after reoccupying London from the Vikings. Details of his life are described in a work by 9th-century Welsh scholar and bishop Asser.
Alfred had a reputation as a learned and merciful man of a gracious and level-headed nature who encouraged education, proposing that primary education be conducted in English, rather than Latin, and improving the legal system and military structure and his people's quality of life. He was given the epithet "the Great" in the 16th century and is the only English monarch to be labelled as such.
Family
Alfred was a son of Æthelwulf, king of Wessex, and his wife Osburh. According to his biographer, Asser, writing in 893, "In the year of our Lord's Incarnation 849 Alfred, King of the Anglo-Saxons", was born at the royal estate called Wantage, in the district known as Berkshire (which is so called from Berroc Wood, where the box tree grows very abundantly)." This date has been accepted by the editors of Asser's biography, Simon Keynes and Michael Lapidge, and by other historians such as David Dumville and Richard Huscroft. West Saxon genealogical lists state that Alfred was 23 when he became king in April 871, implying that he was born between April 847 and April 848. This dating is adopted in the biography of Alfred by Alfred Smyth, who regards Asser's biography as fraudulent, an allegation which is rejected by other historians. Richard Abels in his biography discusses both sources but does not decide between them and dates Alfred's birth as 847/849, while Patrick Wormald in his Oxford Dictionary of National Biography article dates it 848/849. Berkshire had been historically disputed between Wessex and the midland kingdom of Mercia, and as late as 844, a charter showed that it was part of Mercia, but Alfred's birth in the county is evidence that, by the late 840s, control had passed to Wessex.
He was the youngest of six children. His eldest brother, Æthelstan, was old enough to be appointed sub-king of Kent in 839, almost 10 years before Alfred was born. He died in the early 850s. Alfred's next three brothers were successively kings of Wessex. Æthelbald (858–60) and Æthelberht (860–65) were also much older than Alfred, but Æthelred (865–71) was only a year or two older. Alfred's only known sister, Æthelswith, married Burgred, king of Mercia in 853. Most historians think that Osburh was the mother of all Æthelwulf's children, but some suggest that the older ones were born to an unrecorded first wife. Osburh was descended from the rulers of the Isle of Wight. She was described by Alfred's biographer Asser as "a most religious woman, noble by temperament and noble by birth". She had died by 856 when Æthelwulf married Judith, daughter of Charles the Bald, king of West Francia.
In 868, Alfred married Ealhswith, daughter of the Mercian nobleman Æthelred Mucel, ealdorman of the Gaini, and his wife Eadburh, who was of royal Mercian descent. Their children were Æthelflæd, who married Æthelred, Lord of the Mercians; Edward the Elder, Alfred's successor as king; Æthelgifu, abbess of Shaftesbury; Ælfthryth, who married Baldwin, count of Flanders; and Æthelweard.
Background
Alfred's grandfather, Ecgberht, became king of Wessex in 802, and in the view of the historian Richard Abels, it must have seemed very unlikely to contemporaries that he would establish a lasting dynasty. For 200 years, three families had fought for the West Saxon throne, and no son had followed his father as king. No ancestor of Ecgberht had been a king of Wessex since Ceawlin in the late sixth century, but he was believed to be a paternal descendant of Cerdic, the founder of the West Saxon dynasty. This made Ecgberht an ætheling – a prince eligible for the throne. But after Ecgberht's reign, descent from Cerdic was no longer sufficient to make a man an ætheling. When Ecgberht died in 839, he was succeeded by his son Æthelwulf; all subsequent West Saxon kings were descendants of Ecgberht and Æthelwulf, and were also sons of kings.
At the beginning of the ninth century, England was almost wholly under the control of the Anglo-Saxons. Mercia dominated southern England, but its supremacy came to an end in 825 when it was decisively defeated by Ecgberht at the Battle of Ellendun. The two kingdoms became allies, which was important in the resistance to Viking attacks. In 853, King Burgred of Mercia requested West Saxon help to suppress a Welsh rebellion, and Æthelwulf led a West Saxon contingent in a successful joint campaign. In the same year Burgred married Æthelwulf's daughter, Æthelswith.
In 825, Ecgberht sent Æthelwulf to invade the Mercian sub-kingdom of Kent, and its sub-king, Baldred, was driven out shortly afterwards. By 830, Essex, Surrey and Sussex had submitted to Ecgberht, and he had appointed Æthelwulf to rule the south-eastern territories as king of Kent. The Vikings ravaged the Isle of Sheppey in 835, and the following year they defeated Ecgberht at Carhampton in Somerset, but in 838 he was victorious over an alliance of Cornishmen and Vikings at the Battle of Hingston Down, reducing Cornwall to the status of a client kingdom. When Æthelwulf succeeded, he appointed his eldest son Æthelstan as sub-king of Kent. Ecgberht and Æthelwulf may not have intended a permanent union between Wessex and Kent because they both appointed sons as sub-kings, and charters in Wessex were attested (witnessed) by West Saxon magnates, while Kentish charters were witnessed by the Kentish elite; both kings kept overall control, and the sub-kings were not allowed to issue their own coinage.
Viking raids increased in the early 840s on both sides of the English Channel, and in 843 Æthelwulf was defeated at Carhampton. In 850, Æthelstan defeated a Danish fleet off Sandwich in the first recorded naval battle in English history. In 851 Æthelwulf and his second son, Æthelbald, defeated the Vikings at the Battle of Aclea and, according to the Anglo-Saxon Chronicle, "there made the greatest slaughter of a heathen raiding-army that we have heard tell of up to this present day, and there took the victory". Æthelwulf died in 858 and was succeeded by his oldest surviving son, Æthelbald, as king of Wessex and by his next oldest son, Æthelberht, as king of Kent. Æthelbald only survived his father by two years, and Æthelberht then for the first time united Wessex and Kent into a single kingdom.
Childhood
According to Asser, in his childhood Alfred won a beautifully decorated book of English poetry, offered as a prize by his mother to the first of her sons able to memorise it. He must have had it read to him because his mother died when he was about six and he did not learn to read until he was 12. In 853, Alfred is reported by the Anglo-Saxon Chronicle to have been sent to Rome where he was confirmed by Pope Leo IV, who "anointed him as king". Victorian writers later interpreted this as an anticipatory coronation in preparation for his eventual succession to the throne of Wessex. This is unlikely; his succession could not have been foreseen at the time because Alfred had three living elder brothers. A letter of Leo IV shows that Alfred was made a "consul" and a misinterpretation of this investiture, deliberate or accidental, could explain later confusion. It may be based upon the fact that Alfred later accompanied his father on a pilgrimage to Rome where he spent some time at the court of Charles the Bald, king of the Franks, around 854–855. On their return from Rome in 856, Æthelwulf was deposed by his son Æthelbald. With civil war looming, the magnates of the realm met in council to form a compromise. Æthelbald retained the western shires (i.e. historical Wessex), and Æthelwulf ruled in the east. After King Æthelwulf died in 858, Wessex was ruled by three of Alfred's brothers in succession: Æthelbald, Æthelberht and Æthelred.
The reigns of Alfred's brothers
Alfred is not mentioned during the short reigns of his older brothers Æthelbald and Æthelberht. The Anglo-Saxon Chronicle describes the Great Heathen Army of Danes landing in East Anglia with the intent of conquering the four kingdoms which constituted Anglo-Saxon England in 865. Alfred's public life began in 865 at age 16 with the accession of his third brother, 18-year-old Æthelred. During this period, Bishop Asser gave Alfred the unique title of secundarius, which may indicate a position similar to the Celtic tanist, a recognised successor closely associated with the reigning monarch. This arrangement may have been sanctioned by Alfred's father or by the Witan to guard against the danger of a disputed succession should Æthelred fall in battle. It was a well known tradition among other Germanic peoples – such as the Swedes and Franks to whom the Anglo-Saxons were closely related – to crown a successor as royal prince and military commander.
Viking invasion
In 868, Alfred was recorded as fighting beside Æthelred in a failed attempt to keep the Great Heathen Army led by Ivar the Boneless out of the adjoining Kingdom of Mercia. The Danes arrived in his homeland at the end of 870, and nine engagements were fought in the following year, with mixed results; the places and dates of two of these battles have not been recorded. A successful skirmish at the Battle of Englefield in Berkshire on 31 December 870 was followed by a severe defeat at the siege and the Battle of Reading by Ivar's brother Halfdan Ragnarsson on 5 January 871. Four days later, the Anglo-Saxons won a victory at the Battle of Ashdown on the Berkshire Downs, possibly near Compton or Aldworth. The Saxons were defeated at the Battle of Basing on 22 January. They were defeated again on 22 March at the Battle of Merton (perhaps Marden in Wiltshire or Martin in Dorset). Æthelred died shortly afterwards in April.
King at war
Early struggles
In April 871 King Æthelred died and Alfred acceded to the throne of Wessex and the burden of its defence, even though Æthelred left two under-age sons, Æthelhelm and Æthelwold. This was in accordance with the agreement that Æthelred and Alfred had made earlier that year in an assembly at an unidentified place called Swinbeorg. The brothers had agreed that whichever of them outlived the other would inherit the personal property that King Æthelwulf had left jointly to his sons in his will. The deceased's sons would receive only whatever property and riches their father had settled upon them and whatever additional lands their uncle had acquired. The unstated premise was that the surviving brother would be king. Given the Danish invasion and the youth of his nephews, Alfred's accession probably went uncontested.
While he was busy with the burial ceremonies for his brother, the Danes defeated the Saxon army in his absence at an unnamed spot and then again in his presence at Wilton in May. The defeat at Wilton smashed any remaining hope that Alfred could drive the invaders from his kingdom. Alfred was forced instead to make peace with them. Although the terms of the peace are not recorded, Bishop Asser wrote that the pagans agreed to vacate the realm and made good their promise.
The Viking army withdrew from Reading in the autumn of 871 to take up winter quarters in Mercian London. Although not mentioned by Asser or by the Anglo-Saxon Chronicle, Alfred probably paid the Vikings silver to leave, much as the Mercians were to do in the following year. Hoards dating to the Viking occupation of London in 871/872 have been excavated at Croydon, Gravesend and Waterloo Bridge. These finds hint at the cost involved in making peace with the Vikings. For the next five years, the Danes occupied other parts of England.
In 876, under Guthrum, Oscetel and Anwend, the Danes slipped past the Saxon army and attacked and occupied Wareham in Dorset. Alfred blockaded them but was unable to take Wareham by assault. He negotiated a peace that involved an exchange of hostages and oaths, which the Danes swore on a "holy ring" associated with the worship of Thor. The Danes broke their word, and after killing all the hostages, slipped away under cover of night to Exeter in Devon.
Alfred blockaded the Viking ships in Devon, and with a relief fleet having been scattered by a storm, the Danes were forced to submit. The Danes withdrew to Mercia. In January 878, the Danes made a sudden attack on Chippenham, a royal stronghold in which Alfred had been staying over Christmas "and most of the people they killed, except the King Alfred, and he with a little band made his way by wood and swamp, and after Easter he made a fort at Athelney in the marshes of Somerset, and from that fort kept fighting against the foe". From his fort at Athelney, an island in the marshes near North Petherton, Alfred was able to mount a resistance campaign, rallying the local militias from Somerset, Wiltshire and Hampshire. 878 was the nadir of the history of the Anglo-Saxon kingdoms. With all the other kingdoms having fallen to the Vikings, Wessex alone was resisting.
The cake legend
A legend tells how when Alfred first fled to the Somerset Levels, he was given shelter by a peasant woman who, unaware of his identity, left him to watch some wheaten cakes she had left cooking on the fire. Preoccupied with the problems of his kingdom, Alfred accidentally let the cakes burn and was roundly scolded by the woman upon her return. There is no contemporary evidence for the legend, but it is possible that there was an early oral tradition. The first known written account of the incident is from about 100 years after Alfred's death.
Counter-attack and victory
In the seventh week after Easter (4–10 May 878), around Whitsuntide, Alfred rode to Egbert's Stone east of Selwood where he was met by "all the people of Somerset and of Wiltshire and of that part of Hampshire which is on this side of the sea (that is, west of Southampton Water), and they rejoiced to see him". Alfred's emergence from his marshland stronghold was part of a carefully planned offensive that entailed raising the fyrds of three shires. This meant not only that the king had retained the loyalty of ealdormen, royal reeves and king's thegns, who were charged with levying and leading these forces, but that they had maintained their positions of authority in these localities well enough to answer his summons to war. Alfred's actions also suggest a system of scouts and messengers.
Alfred won a decisive victory in the ensuing Battle of Edington which may have been fought near Westbury, Wiltshire. He then pursued the Danes to their stronghold at Chippenham and starved them into submission. One of the terms of the surrender was that Guthrum convert to Christianity. Three weeks later, the Danish king and 29 of his chief men were baptised at Alfred's court at Aller, near Athelney, with Alfred receiving Guthrum as his spiritual son.
According to Asser,
At Wedmore, Alfred and Guthrum negotiated what some historians have called the Treaty of Wedmore, but it was to be some years after the cessation of hostilities that a formal treaty was signed. Under the terms of the so-called Treaty of Wedmore, the converted Guthrum was required to leave Wessex and return to East Anglia. Consequently, in 879 the Viking army left Chippenham and made its way to Cirencester. The formal Treaty of Alfred and Guthrum, preserved in Old English in Corpus Christi College, Cambridge (Manuscript 383), and in a Latin compilation known as Quadripartitus, was negotiated later, perhaps in 879 or 880, when King Ceolwulf II of Mercia was deposed.
That treaty divided up the kingdom of Mercia. By its terms, the boundary between Alfred's and Guthrum's kingdoms was to run up the River Thames to the River Lea, follow the Lea to its source (near Luton), from there extend in a straight line to Bedford, and from Bedford follow the River Ouse to Watling Street.
Alfred succeeded to Ceolwulf's kingdom consisting of western Mercia, and Guthrum incorporated the eastern part of Mercia into an enlarged Kingdom of East Anglia (henceforward known as the Danelaw). By terms of the treaty, moreover, Alfred was to have control over the Mercian city of London and its mints—at least for the time being. In 825, the Anglo-Saxon Chronicle had recorded that the people of Essex, Sussex, Kent and Surrey surrendered to Egbert, Alfred's grandfather. From then until the arrival of the Great Heathen Army, Essex had formed part of Wessex. After the foundation of Danelaw, it appears that some of Essex would have been ceded to the Danes, but how much is not clear.
880s
With the signing of the Treaty of Alfred and Guthrum, an event most commonly held to have taken place around 880 when Guthrum's people began settling East Anglia, Guthrum was neutralised as a threat. The Viking army, which had stayed at Fulham during the winter of 878–879, sailed for Ghent and was active on the continent from 879 to 892.
There were local raids on the coast of Wessex throughout the 880s. In 882, Alfred fought a small sea battle against four Danish ships. Two of the ships were destroyed, and the others surrendered. This was one of four sea battles recorded in the Anglo-Saxon Chronicle, three of which involved Alfred. Similar small skirmishes with independent Viking raiders would have occurred for much of the period as they had for decades.
In 883, Pope Marinus exempted the Saxon quarter in Rome from taxation, probably in return for Alfred's promise to send alms annually to Rome, which may be the origin of the medieval tax called Peter's Pence. The pope sent gifts to Alfred, including what was reputed to be a piece of the True Cross.
After the signing of the treaty with Guthrum, Alfred was spared any large-scale conflicts for some time. Despite this relative peace, the king was forced to deal with a number of Danish raids and incursions. Among these was a raid in Kent, an allied kingdom in South East England, during the year 885, which was possibly the largest raid since the battles with Guthrum. Asser's account of the raid places the Danish raiders at the Saxon city of Rochester, where they built a temporary fortress in order to besiege the city. In response to this incursion, Alfred led an Anglo-Saxon force against the Danes who, instead of engaging the army of Wessex, fled to their beached ships and sailed to another part of Britain. The retreating Danish force supposedly left Britain the following summer.
Not long after the failed Danish raid in Kent, Alfred dispatched his fleet to East Anglia. The purpose of this expedition is debated, but Asser claims that it was for the sake of plunder. After travelling up the River Stour, the fleet was met by Danish vessels that numbered 13 or 16 (sources vary on the number), and a battle ensued. The Anglo-Saxon fleet emerged victorious, and as Henry of Huntingdon writes, "laden with spoils". The victorious fleet was surprised when attempting to leave the River Stour and was attacked by a Danish force at the mouth of the river. The Danish fleet defeated Alfred's fleet, which may have been weakened in the previous engagement.
King of the Anglo-Saxons
A year later, in 886, Alfred reoccupied the city of London and set out to make it habitable again. Alfred entrusted the city to the care of his son-in-law Æthelred, ealdorman of Mercia. Soon afterwards, Alfred restyled himself as "King of the Anglo-Saxons". The restoration of London progressed through the latter half of the 880s and is believed to have revolved around a new street plan; added fortifications in addition to the existing Roman walls; and, some believe, the construction of matching fortifications on the south bank of the River Thames.
This is also the period in which almost all chroniclers agree that the Saxon people of pre-unification England submitted to Alfred. In 888, Æthelred, the archbishop of Canterbury, also died. One year later Guthrum, or Athelstan by his baptismal name, Alfred's former enemy and king of East Anglia, died and was buried in Hadleigh, Suffolk. Guthrum's death changed the political landscape for Alfred. The resulting power vacuum stirred other power-hungry warlords eager to take his place in the following years.
Viking attacks (890s)
After another lull, in the autumn of 892 or 893, the Danes attacked again. Finding their position in mainland Europe precarious, they crossed to England in 330 ships in two divisions. They entrenched themselves, the larger body at Appledore, Kent, and the lesser under Hastein, at Milton, also in Kent. The invaders brought their wives and children with them, indicating a meaningful attempt at conquest and colonisation. Alfred, in 893 or 894, took up a position from which he could observe both forces.
While he was in talks with Hastein, the Danes at Appledore broke out and struck north-westwards. They were overtaken by Alfred's eldest son Edward, and were defeated at the Battle of Farnham in Surrey. They took refuge on an island at Thorney, on the River Colne between Buckinghamshire and Middlesex, where they were blockaded and forced to give hostages and promise to leave Wessex. They then went to Essex and after suffering another defeat at Benfleet, joined with Hastein's force at Shoebury.
Alfred had been on his way to relieve his son at Thorney when he heard that the Northumbrian and East Anglian Danes were besieging Exeter and an unnamed stronghold on the North Devon shore. Alfred at once hurried westward and raised the Siege of Exeter. The fate of the other place is not recorded.
The force under Hastein set out to march up the Thames Valley, possibly with the idea of assisting their friends in the west. They were met by a large force under the three great ealdormen of Mercia, Wiltshire and Somerset and forced to head off to the north-west, being finally overtaken and blockaded at Buttington. (Some identify this with Buttington Tump at the mouth of the River Wye, others with Buttington near Welshpool.) An attempt to break through the English lines failed. Those who escaped retreated to Shoebury. After collecting reinforcements, they made a sudden dash across England and occupied the ruined Roman walls of Chester. The English did not attempt a winter blockade but contented themselves with destroying all the supplies in the district.
Early in 894 or 895 lack of food obliged the Danes to retire once more to Essex. At the end of the year, the Danes drew their ships up the River Thames and the River Lea and fortified themselves north of London. A frontal attack on the Danish lines failed but later in the year, Alfred saw a means of obstructing the river to prevent the egress of the Danish ships. The Danes realised that they were outmanoeuvred, struck off north-westwards and wintered at Cwatbridge near Bridgnorth. The next year, 896 (or 897), they gave up the struggle. Some retired to Northumbria, some to East Anglia. Those who had no connections in England returned to the continent.
Military reorganisation
The Germanic tribes who invaded Britain in the fifth and sixth centuries relied upon the unarmoured infantry supplied by their tribal levy, or fyrd, and it was upon this system that the military power of the several kingdoms of early Anglo-Saxon England depended. The fyrd was a local militia in the Anglo-Saxon shire in which all freemen had to serve; those who refused military service were subject to fines or loss of their land. According to the law code of King Ine of Wessex, issued in ,
Wessex's history of failures preceding Alfred's success in 878 emphasised to him that the traditional system of battle he had inherited played to the Danes' advantage. While the Anglo-Saxons and the Danes attacked settlements for plunder, they employed different tactics. In their raids the Anglo-Saxons traditionally preferred to attack head-on by assembling their forces in a shield wall, advancing against their target and overcoming the oncoming wall marshalled against them in defence. The Danes preferred to choose easy targets, mapping cautious forays to avoid risking their plunder with high-stake attacks for more. Alfred determined their tactic was to launch small attacks from a secure base to which they could retreat should their raiders meet strong resistance.
The bases were prepared in advance, often by capturing an estate and augmenting its defences with ditches, ramparts and palisades. Once inside the fortification, Alfred realised, the Danes enjoyed the advantage, better situated to outlast their opponents or crush them with a counter-attack because the provisions and stamina of the besieging forces waned.
The means by which the Anglo-Saxons marshalled forces to defend against marauders also left them vulnerable to the Vikings. It was the responsibility of the shire fyrd to deal with local raids. The king could call up the national militia to defend the kingdom but in the case of the Viking raids, problems with communication and raising supplies meant that the national militia could not be mustered quickly enough. It was only after the raids had begun that a call went out to landowners to gather their men for battle. Large regions could be devastated before the fyrd could assemble and arrive. Although the landowners were obliged to the king to supply these men when called, during the attacks in 878 many of them abandoned their king and collaborated with Guthrum.
With these lessons in mind Alfred capitalised on the relatively peaceful years following his victory at Edington with an ambitious restructuring of Saxon defences. On a trip to Rome Alfred had stayed with Charles the Bald, and it is possible that he may have studied how the Carolingian kings had dealt with Viking raiders. Learning from their experiences he was able to establish a system of taxation and defence for Wessex. There had been a system of fortifications in pre-Viking Mercia that may have been an influence. When the Viking raids resumed in 892 Alfred was better prepared to confront them with a standing, mobile field army, a network of garrisons and a small fleet of ships navigating the rivers and estuaries.
Administration and taxation
Tenants in Anglo-Saxon England had a threefold obligation based on their landholding: the so-called "common burdens" of military service, fortress work, and bridge repair. This threefold obligation has traditionally been called trinoda necessitas or trimoda necessitas. The Old English name for the fine due for neglecting military service was . To maintain the burhs, and to reorganise the fyrd as a standing army, Alfred expanded the tax and conscription system based on the productivity of a tenant's landholding. The hide was the basic unit of the system on which the tenant's public obligations were assessed. A hide is thought to represent the amount of land required to support one family. The hide differed in size according to the value and resources of the land and the landowner would have to provide service based on how many hides he owned.
Burghal system
The foundation of Alfred's new military defence system was a network of burhs, distributed at tactical points throughout the kingdom. There were thirty-three burhs, about apart, enabling the military to confront attacks anywhere in the kingdom within a day.
Alfred's burhs (of which 22 developed into boroughs) ranged from former Roman towns, such as Winchester, where the stone walls were repaired and ditches added, to massive earthen walls surrounded by wide ditches, probably reinforced with wooden revetments and palisades, such as at Burpham in West Sussex. The size of the burhs ranged from tiny outposts such as Pilton in Devon, to large fortifications in established towns, the largest being at Winchester.
A document now known as the Burghal Hidage provides an insight into how the system worked. It lists the hidage for each of the fortified towns contained in the document. Wallingford had a hidage of 2,400, which meant that the landowners there were responsible for supplying and feeding 2,400 men, the number sufficient for maintaining of wall. A total of 27,071 soldiers were needed, approximately one in four of all the free men in Wessex. Many of the burhs were twin towns that straddled a river and were connected by a fortified bridge, like those built by Charles the Bald a generation before. The double-burh blocked passage on the river, forcing Viking ships to navigate under a garrisoned bridge lined with men armed with stones, spears or arrows. Other burhs were sited near fortified royal villas, allowing the king better control over his strongholds.
The burhs were connected by a road system maintained for army use (known as herepaths). The roads allowed an army quickly to be assembled, sometimes from more than one burh, to confront the Viking invader. The road network posed significant obstacles to Viking invaders, especially those laden with booty. The system threatened Viking routes and communications making it far more dangerous for them. The Vikings lacked the equipment for a siege against a burh and a developed doctrine of siegecraft, having tailored their methods of fighting to rapid strikes and unimpeded retreats to well-defended fortifications. The only means left to them was to starve the burh into submission but this gave the king time to send his field army or garrisons from neighbouring burhs along the army roads. In such cases, the Vikings were extremely vulnerable to pursuit by the king's joint military forces. Alfred's burh system posed such a formidable challenge against Viking attack that when the Vikings returned in 892 and stormed a half-built, poorly garrisoned fortress up the Lympne estuary in Kent, the Anglo-Saxons were able to limit their penetration to the outer frontiers of Wessex and Mercia. Alfred's burghal system was revolutionary in its strategic conception and potentially expensive in its execution. His contemporary biographer Asser wrote that many nobles balked at the demands placed upon them even though they were for "the common needs of the kingdom".
English navy
Alfred also tried his hand at naval design. In 896 he ordered the construction of a small fleet, perhaps a dozen or so longships that, at 60 oars, were twice the size of Viking warships. This was not, as the Victorians asserted, the birth of the English Navy. Wessex had possessed a royal fleet before this. Alfred's older brother sub-king Æthelstan of Kent and Ealdorman Ealhhere had defeated a Viking fleet in 851 capturing nine ships and Alfred had conducted naval actions in 882. The year 897 marked an important development in the naval power of Wessex. The author of the Anglo-Saxon Chronicle related that Alfred's ships were larger, swifter, steadier and rode higher in the water than either Danish or Frisian ships. It is probable that, under the classical tutelage of Asser, Alfred used the design of Greek and Roman warships, with high sides, designed for fighting rather than for navigation.
Alfred had seapower in mind; if he could intercept raiding fleets before they landed, he could spare his kingdom from being ravaged. Alfred's ships may have been superior in conception, but in practice they proved to be too large to manoeuvre well in the close waters of estuaries and rivers, the only places in which a naval battle could be fought. The warships of the time were not designed to be ship killers but rather troop carriers. It has been suggested that, like sea battles in late Viking age Scandinavia, these battles may have entailed a ship coming alongside an opposing vessel, lashing the two ships together and then boarding the craft. The result was a land battle involving hand-to-hand fighting on board the two lashed vessels.
In the one recorded naval engagement in 896, Alfred's new fleet of nine ships intercepted six Viking ships at the mouth of an unidentified river in the south of England. The Danes had beached half their ships and gone inland. Alfred's ships immediately moved to block their escape. The three Viking ships afloat attempted to break through the English lines. Only one made it; Alfred's ships intercepted the other two. Lashing the Viking boats to their own, the English crew boarded and proceeded to kill the Vikings. One ship escaped because Alfred's heavy ships became grounded when the tide went out. A land battle ensued between the crews. The Danes were heavily outnumbered, but as the tide rose, they returned to their boats which, with shallower drafts, were freed first. The English watched as the Vikings rowed past them but they suffered so many casualties (120 dead against 62 Frisians and English) that they had difficulty putting out to sea. All were too damaged to row around Sussex, and two were driven against the Sussex coast (possibly at Selsey Bill). The shipwrecked crew were brought before Alfred at Winchester and hanged.
Legal reform
In the late 880s or early 890s, Alfred issued a long domboc or law code consisting of his own laws, followed by a code issued by his late seventh-century predecessor King Ine of Wessex. Together these laws are arranged into 120 chapters. In his introduction Alfred explains that he gathered together the laws he found in many "synod-books" and "ordered to be written many of the ones that our forefathers observed—those that pleased me; and many of the ones that did not please me, I rejected with the advice of my councillors, and commanded them to be observed in a different way".
Alfred singled out in particular the laws that he "found in the days of Ine, my kinsman, or Offa, king of the Mercians, or King Æthelberht of Kent who first among the English people received baptism". He appended, rather than integrated, the laws of Ine into his code and although he included, as had Æthelbert, a scale of payments in compensation for injuries to various body parts, the two injury tariffs are not aligned. Offa is not known to have issued a law code, leading historian Patrick Wormald to speculate that Alfred had in mind the legatine capitulary of 786 that was presented to Offa by the papal legate George of Ostia.
About a fifth of the law code is taken up by Alfred's introduction which includes translations into English of the Ten Commandments, a few chapters from the Book of Exodus, and the Apostolic Letter from the Acts of the Apostles (15:23–29). The introduction may best be understood as Alfred's meditation upon the meaning of Christian law. It traces the continuity between God's gift of law to Moses to Alfred's own issuance of law to the West Saxon people. By doing so, it linked the holy past to the historical present and represented Alfred's law-giving as a type of divine legislation.
Similarly Alfred divided his code into 120 chapters because 120 was the age at which Moses died and, in the number-symbolism of early medieval biblical exegetes, 120 stood for law. The link between Mosaic law and Alfred's code is the Apostolic Letter which explained that Christ "had come not to shatter or annul the commandments but to fulfill them; and he taught mercy and meekness" (Intro, 49.1). The mercy that Christ infused into Mosaic law underlies the injury tariffs that figure so prominently in barbarian law codes since Christian synods "established, through that mercy which Christ taught, that for almost every misdeed at the first offence secular lords might with their permission receive without sin the monetary compensation which they then fixed".
The only crime that could not be compensated with a payment of money was treachery to a lord "since Almighty God adjudged none for those who despised Him, nor did Christ, the Son of God, adjudge any for the one who betrayed Him to death; and He commanded everyone to love his lord as Himself". Alfred's transformation of Christ's commandment, from "Love your neighbour as yourself" (Matt. 22:39–40) to love your secular lord as you would love the Lord Christ himself, underscores the importance that Alfred placed upon lordship which he understood as a sacred bond instituted by God for the governance of man.
When one turns from the domboc introduction to the laws themselves, it is difficult to uncover any logical arrangement. The impression is of a hodgepodge of miscellaneous laws. The law code, as it has been preserved, is singularly unsuitable for use in lawsuits. In fact, several of Alfred's laws contradicted the laws of Ine that form an integral part of the code. Patrick Wormald's explanation is that Alfred's law code should be understood not as a legal manual but as an ideological manifesto of kingship "designed more for symbolic impact than for practical direction". In practical terms the most important law in the code may well have been the first: "We enjoin, what is most necessary, that each man keep carefully his oath and his pledge" which expresses a fundamental tenet of Anglo-Saxon law.
Alfred devoted considerable attention and thought to judicial matters. Asser underscores his concern for judicial fairness. Alfred, according to Asser, insisted upon reviewing contested judgments made by his ealdormen and reeves and "would carefully look into nearly all the judgements which were passed [issued] in his absence anywhere in the realm to see whether they were just or unjust". A charter from the reign of his son Edward the Elder depicts Alfred as hearing one such appeal in his chamber while washing his hands.
Asser represents Alfred as a Solomonic judge, painstaking in his own judicial investigations and critical of royal officials who rendered unjust or unwise judgments. Although Asser never mentions Alfred's law code he does say that Alfred insisted that his judges be literate so that they could apply themselves "to the pursuit of wisdom". The failure to comply with this royal order was to be punished by loss of office.
The Anglo-Saxon Chronicle, commissioned at the time of Alfred, was probably written to promote unification of England, whereas Asser's The Life of King Alfred promoted Alfred's achievements and personal qualities. It was possible that the document was designed this way so that it could be disseminated in Wales because Alfred had acquired overlordship of that country.
Foreign relations
Asser speaks grandiosely of Alfred's relations with foreign powers but little definite information is available. His interest in foreign countries is shown by the insertions which he made in his translation of Orosius. He corresponded with Elias III, the patriarch of Jerusalem, and embassies to Rome conveying the English alms to the pope were fairly frequent. Around 890, Wulfstan of Hedeby undertook a journey from Hedeby on Jutland along the Baltic Sea to the Prussian trading town of Truso. Alfred personally collected details of this trip.
Alfred's relations with the Celtic princes in the western half of Great Britain are clearer. Comparatively early in his reign, according to Asser, the southern Welsh princes, owing to the pressure on them from North Wales and Mercia, commended themselves to Alfred. Later in his reign, the North Welsh followed their example and the latter cooperated with the English in the campaign of 893 (or 894). That Alfred sent alms to Irish and Continental monasteries may be taken on Asser's authority. The visit of three pilgrim "Scots" (i.e., Irish) to Alfred in 891 is undoubtedly authentic. The story that, in his childhood, he was sent to Ireland to be healed by Saint Modwenna may show Alfred's interest in that island.
Religion, education and culture
In the 880s, at the same time that he was "cajoling and threatening" his nobles to build and man the burhs, Alfred, perhaps inspired by the example of Charlemagne almost a century before, undertook an equally ambitious effort to revive learning. During this period, the Viking raids were often seen as a divine punishment, and Alfred may have wished to revive religious awe in order to appease God's wrath.
This revival entailed the recruitment of clerical scholars from Mercia, Wales and abroad to enhance the tenor of the court and of the episcopacy; the establishment of a court school to educate his own children, the sons of his nobles, and intellectually promising boys of lesser birth; an attempt to require literacy in those who held offices of authority; a series of translations into the vernacular of Latin works the king deemed "most necessary for all men to know"; the compilation of a chronicle detailing the rise of Alfred's kingdom and house, with a genealogy that stretched back to Adam, thus giving the West Saxon kings a biblical ancestry.
Very little is known of the church under Alfred. The Danish attacks had been particularly damaging to the monasteries. Although Alfred founded monasteries at Athelney and Shaftesbury, these were the first new monastic houses in Wessex since the beginning of the eighth century. According to Asser, Alfred enticed foreign monks to England for his monastery at Athelney because there was little interest for the locals to take up the monastic life.
Alfred undertook no systematic reform of ecclesiastical institutions or religious practices in Wessex. For him, the key to the kingdom's spiritual revival was to appoint pious, learned, and trustworthy bishops and abbots. As king, he saw himself as responsible for both the temporal and spiritual welfare of his subjects. Secular and spiritual authority were not distinct categories for Alfred.
He was equally comfortable distributing his translation of Gregory the Great's Pastoral Care to his bishops so that they might better train and supervise priests and using those same bishops as royal officials and judges. Nor did his piety prevent him from expropriating strategically sited church lands, especially estates along the border with the Danelaw, and transferring them to royal thegns and officials who could better defend them against Viking attacks.
Effect of Danish raids on education
The Danish raids had a devastating effect on learning in England. Alfred lamented in the preface to his translation of Gregory's Pastoral Care that "learning had declined so thoroughly in England that there were very few men on this side of the Humber who could understand their divine services in English or even translate a single letter from Latin into English: and I suppose that there were not many beyond the Humber either". Alfred undoubtedly exaggerated, for dramatic effect, the abysmal state of learning in England during his youth. That Latin learning had not been obliterated is evidenced by the presence in his court of learned Mercian and West Saxon clerics such as Plegmund, Wæferth, and Wulfsige.
Manuscript production in England dropped off precipitously around the 860s when the Viking invasions began in earnest, not to be revived until the end of the century. Numerous Anglo-Saxon manuscripts burnt along with the churches that housed them. A solemn diploma from Christ Church, Canterbury, dated 873, is so poorly constructed and written that historian Nicholas Brooks posited a scribe who was either so blind he could not read what he wrote or who knew little or no Latin. "It is clear", Brooks concludes, "that the metropolitan church [of Canterbury] must have been quite unable to provide any effective training in the scriptures or in Christian worship".
Establishment of a court school
Alfred established a court school for the education of his own children, those of the nobility, and "a good many of lesser birth". There they studied books in both English and Latin and "devoted themselves to writing, to such an extent… they were seen to be devoted and intelligent students of the liberal arts". He recruited scholars from the Continent and from Britain to aid in the revival of Christian learning in Wessex and to provide the king personal instruction. Grimbald and John the Saxon came from Francia; Plegmund (whom Alfred appointed archbishop of Canterbury in 890), Bishop Wærferth of Worcester, Æthelstan, and the royal chaplains Werwulf, from Mercia; and Asser, from St David's in southwestern Wales.
Advocacy of education in English
Alfred's educational ambitions seem to have extended beyond the establishment of a court school. Believing that without Christian wisdom there can be neither prosperity nor success in war, Alfred aimed "to set to learning (as long as they are not useful for some other employment) all the free-born young men now in England who have the means to apply themselves to it". Conscious of the decay of Latin literacy in his realm, Alfred proposed that primary education be taught in English, with those wishing to advance to holy orders to continue their studies in Latin.
There were few "books of wisdom" written in English. Alfred sought to remedy this through an ambitious court-centred programme of translating into English the books he deemed "most necessary for all men to know". It is unknown when Alfred launched this programme, but it may have been during the 880s when Wessex was enjoying a respite from Viking attacks. Alfred was, until recently, often considered to have been the author of many of the translations, but this is now considered doubtful in almost all cases. Scholars more often refer to translations as "Alfredian", indicating that they probably had something to do with his patronage, but are unlikely to be his own work.
Apart from the lost Handboc or Encheiridio, which seems to have been a commonplace book kept by the king, the earliest work to be translated was the Dialogues of Gregory the Great, a book greatly popular in the Middle Ages. The translation was undertaken at Alfred's command by Wærferth, Bishop of Worcester, with the king merely furnishing a preface. Remarkably, Alfred – undoubtedly with the advice and aid of his court scholars – translated four works himself: Gregory the Great's Pastoral Care, Boethius's Consolation of Philosophy, St. Augustine's Soliloquies and the first fifty psalms of the Psalter.
One might add to this list the translation, in Alfred's law code, of excerpts from the Vulgate Book of Exodus. The Old English versions of Orosius's Histories against the Pagans and Bede's Ecclesiastical History of the English People are no longer accepted by scholars as Alfred's own translations because of lexical and stylistic differences. Nonetheless, the consensus remains that they were part of the Alfredian programme of translation. Simon Keynes and Michael Lapidge suggest this also for Bald's Leechbook and the anonymous Old English Martyrology.
The preface of Alfred's translation of Pope Gregory the Great's Pastoral Care explained why he thought it necessary to translate works such as this from Latin into English. Although he described his method as translating "sometimes word for word, sometimes sense for sense", the translation keeps very close to the original although, through his choice of language, he blurred throughout the distinction between spiritual and secular authority. Alfred meant the translation to be used, and circulated it to all his bishops. Interest in Alfred's translation of Pastoral Care was so enduring that copies were still being made in the 11th century.
Boethius's Consolation of Philosophy was the most popular philosophical handbook of the Middle Ages. Unlike the translation of the Pastoral Care, the Alfredian text deals very freely with the original and, though the late Dr. G. Schepss showed that many of the additions to the text are to be traced not to the translator himself but to the glosses and commentaries which he used, still there is much in the work which is distinctive to the translation and has been taken to reflect philosophies of kingship in Alfred's milieu. It is in the Boethius that the oft-quoted sentence occurs: "To speak briefly: I desired to live worthily as long as I lived, and after my life to leave to them that should come after, my memory in good works." The book has come down to us in two manuscripts only. In one of these the writing is prose, in the other a combination of prose and alliterating verse. The latter manuscript was severely damaged in the 18th and 19th centuries.
The last of the Alfredian works is one which bears the name Blostman ('Blooms') or Anthology. The first half is based mainly on the Soliloquies of St Augustine of Hippo, the remainder is drawn from various sources. The material has traditionally been thought to contain much that is Alfred's own and highly characteristic of him. The last words of it may be quoted; they form a fitting epitaph for the noblest of English kings. "Therefore, he seems to me a very foolish man, and truly wretched, who will not increase his understanding while he is in the world, and ever wish and long to reach that endless life where all shall be made clear." Alfred appears as a character in the twelfth- or 13th-century poem The Owl and the Nightingale where his wisdom and skill with proverbs is praised. The Proverbs of Alfred, a 13th-century work, contains sayings that are not likely to have originated with Alfred but attest to his posthumous medieval reputation for wisdom.
The Alfred jewel, discovered in Somerset in 1693, has long been associated with King Alfred because of its Old English inscription AELFRED MEC HEHT GEWYRCAN ('Alfred ordered me to be made'). The jewel is about long, made of filigreed gold, enclosing a highly polished piece of quartz crystal beneath which is set in a cloisonné enamel plaque with an enamelled image of a man holding floriate sceptres, perhaps personifying Sight or the Wisdom of God.
It was at one time attached to a thin rod or stick based on the hollow socket at its base. The jewel certainly dates from Alfred's reign. Although its function is unknown, it has been often suggested that the jewel was one of the æstels – pointers for reading – that Alfred ordered sent to every bishopric accompanying a copy of his translation of the Pastoral Care. Each æstel was worth the princely sum of 50 mancuses which fits in well with the quality workmanship and expensive materials of the Alfred jewel.
Historian Richard Abels sees Alfred's educational and military reforms as complementary. Restoring religion and learning in Wessex, Abels contends, was to Alfred's mind as essential to the defence of his realm as the building of the burhs. As Alfred observed in the preface to his English translation of Gregory the Great's Pastoral Care, kings who fail to obey their divine duty to promote learning can expect earthly punishments to befall their people. The pursuit of wisdom, he assured his readers of the Boethius, was the surest path to power: "Study wisdom, then, and, when you have learned it, condemn it not, for I tell you that by its means you may without fail attain to power, yea, even though not desiring it".
The portrayal of the West-Saxon resistance to the Vikings by Asser and the chronicler as a Christian holy war was more than mere rhetoric or propaganda. It reflected Alfred's own belief in a doctrine of divine rewards and punishments rooted in a vision of a hierarchical Christian world order in which God is the Lord to whom kings owe obedience and through whom they derive their authority over their followers. The need to persuade his nobles to undertake work for the 'common good' led Alfred and his court scholars to strengthen and deepen the conception of Christian kingship that he had inherited by building upon the legacy of earlier kings including Offa, clerical writers including Bede, and Alcuin and various participants in the Carolingian renaissance. This was not a cynical use of religion to manipulate his subjects into obedience but an intrinsic element in Alfred's worldview. He believed, as did other kings in ninth-century England and Francia, that God had entrusted him with the spiritual as well as physical welfare of his people. If the Christian faith fell into ruin in his kingdom, if the clergy were too ignorant to understand the Latin words they butchered in their offices and liturgies, if the ancient monasteries and collegiate churches lay deserted out of indifference, he was answerable before God, as Josiah had been. Alfred's ultimate responsibility was the pastoral care of his people.
Appearance and character
Asser wrote of Alfred in his Life of King Alfred,
It is also written by Asser that Alfred did not learn to read until he was 12 years old or later, which is described as "shameful negligence" of his parents and tutors. Alfred was an excellent listener and had an incredible memory and he retained poetry and psalms very well. A story is told by Asser about how his mother held up a book of Saxon poetry to him and his brothers, and said; "I shall give this book to whichever one of you can learn it the fastest." After excitedly asking, "Will you really give this book to the one of us who can understand it the soonest and recite it to you?" Alfred then took it to his teacher, learned it, and recited it back to his mother.
Alfred is noted as carrying around a small book, probably a medieval version of a small pocket notebook, that contained psalms and many prayers that he often collected. Asser writes: these "he collected in a single book, as I have seen for myself; amid all the affairs of the present life he took it around with him everywhere for the sake of prayer, and was inseparable from it." An excellent hunter in every branch of the sport, Alfred is remembered as an enthusiastic huntsman against whom nobody's skills could compare.
He was the youngest of his brothers, and he was probably the most open-minded. He was an early advocate for education. His desire for learning could have come from his early love of English poetry and inability to read or physically record it until later in life. Asser writes that Alfred "could not satisfy his craving for what he desired the most, namely the liberal arts; for, as he used to say, there were no good scholars in the entire kingdom of the West Saxons at that time".
Family
In 868, Alfred married Ealhswith, daughter of a Mercian nobleman, Æthelred Mucel, Ealdorman of the Gaini. The Gaini were probably one of the tribal groups of the Mercians. Ealhswith's mother, Eadburh, was a member of the Mercian royal family.
They had five or six children together, including Edward the Elder who succeeded his father as king; Æthelflæd who became lady of the Mercians; and Ælfthryth who married Baldwin II, Count of Flanders. Alfred's mother was Osburga, daughter of Oslac of the Isle of Wight, Chief Butler of England. Asser, in his Vita Ælfredi asserts that this shows his lineage from the Jutes of the Isle of Wight.
Osferth was described as a relative in King Alfred's will and he attested charters in a high position until 934. A charter of King Edward's reign described him as the king's brother – mistakenly according to Keynes and Lapidge, but in the view of Janet Nelson, he probably was an illegitimate son of King Alfred.
Death and burial
Alfred died on 26 October 899 at the age of 50 or 51. How he died is unknown, but he suffered throughout his life with a painful and unpleasant illness. His biographer Asser gave a detailed description of Alfred's symptoms, and this has allowed modern doctors to provide a possible diagnosis. It is thought that he had either Crohn's disease or haemorrhoids. His grandson King Eadred seems to have had a similar illness.
Alfred was temporarily buried at the Old Minster in Winchester with his wife Ealhswith and later, his son Edward the Elder. Before his death he had ordered the construction of the New Minster hoping that it would become a mausoleum for him and his family. Four years after his death, the bodies of Alfred and his family were exhumed and moved to their new resting place in the New Minster and remained there for 211 years. When William the Conqueror rose to the English throne after the Norman conquest in 1066, many Anglo-Saxon abbeys were demolished and replaced with Norman cathedrals. One of those unfortunate abbeys was the very New Minster abbey where Alfred was laid to rest. Before demolition, the monks at the New Minster exhumed the bodies of Alfred and his family to safely transfer them to a new location. The New Minster monks moved to Hyde in 1110 a little north of the city, and they transferred to Hyde Abbey along with Alfred's body and those of his wife and children, which were interred before the high altar.
In 1536, many Roman Catholic churches were vandalized by the people of England spurred by disillusionment with the church during the Dissolution of the Monasteries. One such Catholic church was the site of Alfred's burial, Hyde Abbey. Once again, Alfred's place of rest was disturbed for the now 3rd time. Hyde Abbey was dissolved in 1538 during the reign of Henry VIII, the church site was demolished and treated like a quarry, as the stones that made up the abbey were then re-used in local architecture. The stone graves housing Alfred and his family stayed underground, and the land returned to farming. These graves remained intact until 1788 when the site was acquired by the county for the construction of a town jail.
Before construction began, convicts that would later be imprisoned at the site were sent in to prepare the ground, to ready it for building. While digging the foundation trenches, the convicts discovered the coffins of Alfred and his family. The local Catholic priest, Dr. Milner recounts this event:The convicts broke the stone coffins into pieces, the lead, which lined the coffins, was sold for two guineas, and the bones within scattered around the area.
The prison was demolished between 1846 and 1850. Further excavations were inconclusive in 1866 and 1897. In 1866, amateur antiquarian John Mellor claimed to have recovered a number of bones from the site which he said were those of Alfred. These came into the possession of the vicar of nearby St Bartholomew's Church who reburied them in an unmarked grave in the church graveyard.
Excavations conducted by the Winchester Museums Service of the Hyde Abbey site in 1999 located a second pit dug in front of where the high altar would have been located, which was identified as probably dating to Mellor's 1866 excavation. The 1999 archeological excavation uncovered the foundations of the abbey buildings and some bones, suggested at the time to be those of Alfred; they proved instead to belong to an elderly woman. In March 2013, the Diocese of Winchester exhumed the bones from the unmarked grave at St Bartholomew's and placed them in secure storage. The diocese made no claim that they were the bones of Alfred, but intended to secure them for later analysis, and from the attentions of people whose interest may have been sparked by the recent identification of the remains of Richard III. The bones were radiocarbon-dated but the results showed that they were from the 1300s and therefore not of Alfred. In January 2014, a fragment of pelvis that had been unearthed in the 1999 excavation of the Hyde site, and had subsequently lain in a Winchester museum store room, was radiocarbon-dated to the correct period. It has been suggested that this bone may belong to either Alfred or his son Edward, but this remains unproven.
Legacy
Henry VI of England attempted unsuccessfully to have Alfred canonized by Pope Eugene IV in 1441. The current "Roman Martyrology" does not mention Alfred. The Anglican Communion venerates him as a Christian hero, with a Lesser Festival on 26 October, and he may often be found depicted in stained glass in Church of England parish churches.
In 2007 the Holy Synod of the Russian Orthodox Church canonised "All Saints of the British Isles" including King Alfred. He is honoured during the Feast of all Saints of the British Isles on the third Sunday after Pentecost and on his feast day of 26 October. There is an Orthodox Mission named after St Alfred in Middleburg, Florida.
Alfred commissioned Bishop Asser to write his biography, which inevitably emphasised Alfred's positive aspects. Later medieval historians such as Geoffrey of Monmouth also reinforced Alfred's favourable image. By the time of the Reformation, Alfred was seen as a pious Christian ruler who promoted the use of English rather than Latin, and so the translations that he commissioned were viewed as untainted by the later Roman Catholic influences of the Normans. Consequently, it was writers of the 16th century who gave Alfred his epithet as "the Great", not any of Alfred's contemporaries. The epithet was retained by succeeding generations who admired Alfred's patriotism, success against barbarism, promotion of education, and establishment of the rule of law.
A number of educational establishments are named in Alfred's honour:
The University of Winchester created from the former King Alfred's College, Winchester (1928 to 2004)
Alfred University and Alfred State College in Alfred, New York; the local telephone exchange for Alfred University is 871 in commemoration of the year of Alfred's ascension to the throne. Additionally, the mascot of Alfred University is named Lil' Alf and is modeled after the king
The University of Liverpool created a King Alfred Chair of English Literature
King Alfred's Academy, a secondary school in Wantage, Oxfordshire, the birthplace of Alfred
King's Lodge School in Chippenham, Wiltshire, so named because King Alfred's hunting lodge is reputed to have stood on or near the site of the school
The King Alfred School and Specialist Sports Academy, Burnham Road, Highbridge, so named due to its rough proximity to Brent Knoll (a Beacon site) and Athelney
The King Alfred School in Barnet, North London, UK
King Alfred's house in Bishop Stopford's School at Enfield
King Alfred Swimming Pool & Leisure complex in Hove, Brighton UK
The Royal Navy named one ship and two shore establishments HMS King Alfred, and one of the early ships of the U.S. Navy was named USS Alfred in his honour. In 2002, Alfred was ranked number 14 in the BBC's list of the 100 Greatest Britons following a UK-wide vote.
Statues
Pewsey
A prominent statue of King Alfred the Great stands in the middle of Pewsey. It was unveiled in June 1913 to commemorate the coronation of King George V.
Southwark
A statue of Alfred the Great located in Trinity Church Square, Southwark is considered to be the oldest outdoor statue in London, and part of it has been found to date to Roman times. The sculpture was thought to be medieval until 2021 conservation work. The lower half was then discovered to be Bath Stone and part of a colossal ancient sculpture dedicated to the goddess Minerva. It is typical of the 2nd Century, dating to around the reign of Hadrian. The lower older half is likely to have been carved by a continental craftsman used to working with British stone. The upper half dates to the late 18th or early 19th century, cast to fit the lower portion from Coade stone.
Wantage
A statue of Alfred the Great, situated in the Wantage market place, was sculpted by Count Gleichen, a relative of Queen Victoria, and unveiled on 14 July 1877 by the Prince and Princess of Wales. The statue was vandalised on New Year's Eve 2007, losing part of its right arm and axe. After the arm and axe were replaced, the statue was again vandalised on Christmas Eve 2008, losing its axe.
Winchester
A bronze statue of Alfred the Great stands at the eastern end of The Broadway, close to the site of Winchester's medieval East Gate. The statue was designed by Hamo Thornycroft, cast in bronze by Singer & Sons of Frome and erected in 1899 to mark one thousand years since Alfred's death. The statue is placed on a pedestal consisting of two immense blocks of grey Cornish granite.
Alfred University, New York
The centerpiece of Alfred University's quad is a bronze statue of the king, created in 1990 by then-professor William Underhill. It features the king as a young man, holding a shield in his left hand and an open book in his right.
Cleveland, Ohio
A marble statue of Alfred the Great stands on the North side of the Cuyahoga County Courthouse in Cleveland, Ohio. It was sculpted by Isidore Konti in 1910.
Chronology
Notes
Citations
Sources
— "Note: This electronic edition [of the Anglo-Saxon Chronicle] is a collation of material from nine diverse extant versions of the Chronicle. It contains primarily the translation of Rev. James Ingram, as published in the [1847] Everyman edition". It was "Originally compiled on the orders of King Alfred the Great, approximately A.D. 890, and subsequently maintained and added to by generations of anonymous scribes until the middle of the 12th Century".
Attribution:
Further reading
External links
Alfred the Great at the official website of the British monarchy
Alfred the Great at BBC History
840s births
899 deaths
Year of birth uncertain
9th-century Christians
9th-century English monarchs
9th-century translators
Boat and ship designers
English Christians
House of Wessex
Medieval legislators
Monarchs of England before 1066
Patrons of literature
People from Wantage
Translators from Latin
Translators of philosophy
West Saxon monarchs
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Algiers ( ; ; , ) is the capital and largest city of Algeria. The city's population at the 2008 census was 2,988,145 and in 2020 was estimated to be around 4,500,000. Algiers is in the north-central part of Algeria.
Algiers is situated on the west side of the Bay of Algiers, in the Mediterranean Sea. The modern part of the city is built on the level ground by the seashore; the old part, the ancient city of the deys, climbs the steep hill behind the modern town and is crowned by the Casbah or citadel (a UNESCO World Heritage Site), above the sea. The Casbah and the two quays form a triangle.
Names
The city's name is derived via French and Catalan from the Arabic name (), "The Islands". This name refers to the four former islands which lay off the city's coast before becoming part of the mainland in 1525. is itself a truncated form of the city's older name (), "islands of Mazghanna", used by early medieval geographers such as Muhammad al-Idrisi and Yaqut al-Hamawi. The name was given by Buluggin ibn Ziri after he established the city on the ruins of the Phoenician city of Icosium in 950. During Ottoman rule, the name of the capital, al-Jazā'ir, was extended over the entire country, giving it the English name Algeria derived from the French name Algérie.
In classical antiquity, the ancient Greeks knew the town as (), which was Latinized as Icosium under Roman rule. The Greeks explained the name as coming from their word for "twenty" (, ), supposedly because it had been founded by 20 companions of Hercules when he visited the Atlas Mountains during his labors.
Algiers is also known as (, "The Joyous") or "Algiers the White" () for its whitewashed buildings.
History
Early history
The city's earliest history was as a small port in Carthage where Phoenicians were trading with other Mediterraneans. After the Punic Wars, the Roman Republic eventually took over administration of the town, which they called Icosium. Its ruins now form part of the modern city's marine quarter, with the Rue de la Marine following a former Roman road. Roman cemeteries existed near Bab-el-Oued and Bab Azoun. The city was given Latin rights by the emperor Vespasian. The bishops of Icosium are mentioned as late as the 5th century, but the ancient town fell into obscurity during the Muslim conquest of the Maghreb.
The present city was founded in 944 by Buluggin ibn Ziri, the founder of the Berber Zirid dynasty. He had built his own house and a Sanhaja center at Ashir in 935 just south of Algiers. Although the Zirid dynasty was overthrown by Roger II of Sicily in 1148, the Zirids had already lost control of Algiers to their cousins the Hammadids in 1014.
The city was wrested from the Hammadids by the Almohad Caliphate in 1159, and in the 13th century came under the dominion of the Ziyanid sultans of the Kingdom of Tlemcen. Nominally part of the sultanate of Tlemcen, Algiers had a large measure of independence under Thaaliba amirs of its own due to Oran being the chief seaport of the Ziyanids.
The Peñón of Algiers, an islet in front of Algiers harbour, had been occupied by the Spaniards as early as 1302. Thereafter, a considerable amount of trade began to flow between Algiers and Spain. However, Algiers continued to be of comparatively little importance until after the expulsion of the Moors from Spain, many of whom sought asylum in the city. In 1510, following their occupation of Oran and other towns on the coast of Africa, the Spaniards fortified the islet of Peñon and imposed a levy intended to suppress the Barbary pirates.
Ottoman rule
In 1516, the amir of Algiers, Selim b. Teumi, invited the corsair brothers Oruç Reis and Hayreddin Barbarossa to expel the Spaniards. Oruç Reis came to Algiers, ordered the assassination of Selim, and seized the town and ousted the Spanish in the Capture of Algiers (1516). Hayreddin, succeeding Aruj after the latter was killed in battle against the Spaniards in the 1518 fall of Tlemcen, was the founder of the pashaluk, which subsequently became the beylik, of Algeria. Barbarossa lost Algiers in 1524 but regained it with the 1529 Capture of Peñón of Algiers, and then formally invited the Sultan Suleiman the Magnificent to accept sovereignty over the territory and to annex Algiers to the Ottoman Empire.
Algiers from this time became the chief seat of the Barbary pirates. In October 1541 in the Algiers expedition, the King of Spain and Charles V, Holy Roman Emperor sought to capture the city, but a storm destroyed a great number of his ships, and his army of some 30,000, chiefly made up of Spaniards, was defeated by the Algerians under their pasha, Hassan.
Formally part of the Ottoman Empire but essentially free from Ottoman control, starting in the 16th century Algiers turned to piracy and ransoming. Due to its location on the periphery of both the Ottoman and European economic spheres, and depending for its existence on a Mediterranean that was increasingly controlled by European shipping, backed by European navies, piracy became the primary economic activity. Repeated attempts were made by various nations to subdue the pirates that disturbed shipping in the western Mediterranean and engaged in slave raids as far north as Iceland. By the 17th century, up to 40% of the city's 100,000 inhabitants were enslaved Europeans. The United States fought two wars (the First and Second Barbary Wars) over Algiers' attacks on shipping.
Among the notable people held for ransom was the future Spanish novelist, Miguel de Cervantes, who was held captive in Algiers for almost five years, and wrote two plays set in Algiers of the period. The primary source for knowledge of Algiers of this period, since there are no contemporary local sources, is the Topografía e historia general de Argel (1612, but written earlier), published by Diego de Haedo, but whose authorship is disputed. This work describes in detail the city, the behavior of its inhabitants, and its military defenses, with the unsuccessful hope of facilitating an attack by Spain so as to end the piracy.
A significant number of renegades lived in Algiers at the time, Christians converted voluntarily to Islam, many fleeing the law or other problems at home. Once converted to Islam, they were safe in Algiers. Many occupied positions of authority, such as Samson Rowlie, an Englishman who became Treasurer of Algiers.
The city under Ottoman control was enclosed by a wall on all sides, including along the seafront. In this wall, five gates allowed access to the city, with five roads from each gate dividing the city and meeting in front of the Ketchaoua Mosque. In 1556, a citadel was constructed at the highest point in the wall. A major road running north to south divided the city in two: The upper city (al-Gabal, or 'the mountain') which consisted of about fifty small quarters of Andalusian, Jewish, Moorish and Kabyle communities, and the lower city (al-Wata, or 'the plains') which was the administrative, military and commercial centre of the city, mostly inhabited by Ottoman Turkish dignitaries and other upper-class families.
In August 1816, the city was bombarded by a British squadron under Lord Exmouth (a descendant of Thomas Pellew, taken in an Algerian slave raid in 1715), assisted by men-of-war from the Kingdom of the Netherlands, destroying the corsair fleet harboured in Algiers.
French rule
The history of Algiers from 1830 to 1962 is bound to the larger history of Algeria and its relationship to France. On July 4, 1830, under the pretext of an affront to the French consul—whom the dey had hit with a fly-whisk when the consul said the French government was not prepared to pay its large outstanding debts to two Algerian merchants—a French army under General de Bourmont attacked the city in the 1830 invasion of Algiers. The city capitulated the following day. Algiers became the capital of French Algeria.
Many Europeans settled in Algiers, and by the early 20th century they formed a majority of the city's population. During the 1930s, the architect Le Corbusier drew up plans for a complete redesign of the colonial city. Le Corbusier was highly critical of the urban style of Algiers, describing the European district as "nothing but crumbling walls and devastated nature, the whole a sullied blot". He also criticised the difference in living standards he perceived between the European and African residents of the city, describing a situation in which "the 'civilised' live like rats in holes" whereas "the 'barbarians' live in solitude, in well-being". However, these plans were ultimately ignored by the French administration.
During World War II, Algiers was the first city to be seized from the Axis by the Allies in Operation Terminal, a part of Operation Torch.
In 1962, after a bloody independence struggle in which hundreds of thousands (estimates range between 350,000 and 1,500,000) died (mostly Algerians but also French and Pieds-Noirs) during fighting between the French Army and the Algerian Front de Libération Nationale, Algeria gained its independence, with Algiers as its capital. Since then, despite losing its entire pied-noir population, the city has expanded massively. It now has about five million inhabitants, or 10 percent of Algeria's population—and its suburbs now cover most of the surrounding Mitidja plain.
Algerian War
Algiers also played a pivotal role in the Algerian War (1954–1962), particularly during the Battle of Algiers when the 10th Parachute Division of the French Army, starting on January 7, 1957, and on the orders of the French Minister of Justice François Mitterrand (who authorized any means "to eliminate the insurrectionists"), led attacks against the Algerian fighters for independence. Algiers remains marked by this battle, which was characterized by merciless fighting between FLN forces which carried out a guerrilla campaign against the French military and police and pro-French Algerian soldiers, and the French Army which responded with a bloody repression, torture and blanket terrorism against the native population. The demonstrations of May 13 during the crisis of 1958 provoked the fall of the Fourth Republic in France, as well as the return of General de Gaulle to power.
Independence
Algeria achieved independence on July 5, 1962. Run by the FLN that had secured independence, Algiers became a member of Non-Aligned Movement during the Cold War. In October 1988, one year before the fall of the Berlin Wall, Algiers was the site of demonstrations demanding the end of the single-party system and the creation of a real democracy baptized the "Spring of Algier". The demonstrators were repressed by the authorities (more than 300 dead), but the movement constituted a turning point in the political history of modern Algeria. In 1989, a new constitution was adopted that put an end to the one-party rule and saw the creation of more than fifty political parties, as well as official freedom of the press.
Crisis of the 1990s
The city became the theatre of many political demonstrations of all descriptions until 1993. In 1991, a political entity dominated by religious conservatives called the Islamic Salvation Front engaged in a political test of wills with the authorities. In the 1992 elections for the Algerian National Assembly, the Islamists garnered a large amount of support in the first round. Fearing an eventual win by the Islamists, the army canceled the election process, setting off a civil war between the State and armed religious conservatives which would last for a decade.
On December 11, 2007, two car bombs exploded in Algiers. One bomb targeted two United Nations office buildings and the other targeted a government building housing the Supreme Court. The death toll was at least 62, with over two hundred injured in the attacks. However, only 26 remained hospitalized the following day. , it is speculated that the attack was carried out by the Al Qaida cell within the city.
Indigenous terrorist groups have been actively operating in Algeria since around 2002.
Geography
Districts of Algiers
The Casbah (of Al Qasbah, "the Citadel"), Ier District of Algiers: called Al-Djazaïr Al Mahroussa ("Well Kept Algiers"), is founded on the ruins of old Icosium. It is a small city which, built on a hill, goes down towards the sea, divided in two: the High city and the Low city. One finds there masonries and mosques of the 17th century; Ketchaoua mosque (built in 1794 by the Dey Baba Hassan) flanked by two minarets, mosque el Djedid (built in 1660, at the time of Turkish regency) with its large finished ovoid cupola points some and its four coupolettes, mosque El Kébir (oldest of the mosques, it was built by Almoravid Youssef Ibn Tachfin and rebuilt later in 1794), mosque Ali Betchnin (Raïs, 1623), Dar Aziza, palate of Jénina. In the Kasbah, there are also labyrinths of lanes and houses that are very picturesque, and if one gets lost there, it is enough to go down again towards the sea to reposition oneself.
Bab El Oued: Literally the River's Gate, the popular district which extends from the Casbah beyond "the gate of the river". It is the capital's darling and best liked borough. Famous for its square with "the three clocks" and for its "market Triplet", it is also a district of workshops and manufacturing plants.
Edge of sea: from 1840, the architects Pierre-August Guiauchain and Charles Frédéric Chassériau designed new buildings apart from the Casbah, town hall, law courts, buildings, theatre, palace of the Governor, and casino, to form an elegant walk bordered by arcades which is today the boulevard Che Guevara (formerly the Boulevard of the Republic).
Kouba (will daira of Hussein-dey): Kouba is an old village which was absorbed by the expansion of the town of Algiers. Kouba quickly developed under the French colonial era then continued growing due to formidable demographic expansion that Algiers saw after the independence of Algeria in 1962. It is today a district of Algiers which is largely made up of houses, villas, and buildings not exceeding five stories.
El Harrach, a suburb of Algiers, is located about to the east of the city.
The communes of Hydra, Ben Aknoun, El-Biar and Bouzareah form what the inhabitants of Algiers call the "Heights of Algiers". These communes shelter the majority of the foreign embassies of Algiers, of many ministries and university centres, which makes it one of the administrative and policy centres of the country.
The Didouche Mourad street is located in the 3rd district Of Algiers. It extends from the Grande Post office to the Heights of Algiers. It crosses in particular the place Audin, the Faculty of Algiers, The Crowned Heart and the Freedom Park (formerly Galland). It is bordered by smart stores and restaurants along most of its length. It is regarded as the heart of the capital.
Climate
Algiers has a Mediterranean climate (Köppen climate classification Csa). Its proximity to the Mediterranean Sea aids in moderating the city's temperatures. As a result, Algiers usually does not see the extreme temperatures that are experienced in the adjacent interior. Algiers on average receives roughly of rain per year, the bulk of which is seen between October and April. The precipitation is higher than in most of coastal Mediterranean Spain, and similar to most of coastal Mediterranean France, as opposed to the interior North African semi-arid or arid climate.
Snow is very rare; in 2012, the city received of snowfall, its first snowfall in eight years.
Climate change
A 2019 paper published in PLOS One estimated that under Representative Concentration Pathway 4.5, a "moderate" scenario of climate change where global warming reaches ~ by 2100, the climate of Algiers in the year 2050 would most closely resemble the current climate of Perth in Australia. The annual temperature would increase by , and the temperature of the warmest month by , while the temperature of the coldest month would be higher. According to Climate Action Tracker, the current warming trajectory appears consistent with , which closely matches Representative Concentration Pathway (RCP) 4.5.
Moreover, according to the 2022 IPCC Sixth Assessment Report, Algiers is one of 12 major African cities (Abidjan, Alexandria, Algiers, Cape Town, Casablanca, Dakar, Dar es Salaam, Durban, Lagos, Lomé, Luanda and Maputo) which would be the most severely affected by the future sea level rise. It estimates that they would collectively sustain cumulative damages of U$65 billion under RCP 4.5 and US$86.5 billion for the high-emission scenario RCP 8.5 by the year 2050. Additionally, RCP 8.5 combined with the hypothetical impact from marine ice sheet instability at high levels of warming would involve up to US$137.5 billion in damages, while the additional accounting for the "low-probability, high-damage events" may increase aggregate risks to $187 billion for the "moderate" RCP 4.5, $206 billion for RCP 8.5 and $397 billion under the high-end ice sheet instability scenario. Since sea level rise would continue for about 10,000 years under every scenario of climate change, future costs of sea level rise would only increase, especially without adaptation measures. The Casbah is on a list of 10 African World Heritage Site most threatened by sea level rise.
Government
The city (and province) of Algiers is composed of 13 administrative districts, sub-divided into 57 communes listed below with their populations at the 1998 and 2008 Censuses:
Local architecture
There are many public buildings of interest, including the whole Kasbah quarter, Martyrs Square (Sahat ech-Chouhada ساحة الشهداء), the government offices (formerly the British consulate), the "Grand", "New", and Ketchaoua Mosques, the Roman Catholic cathedral of Notre Dame d'Afrique, the Bardo Museum, the old Bibliothèque Nationale d'Alger—a moorish palace built in 1799–1800 and the new National Library, built in a style reminiscent of the British Library.
The main building in the Kasbah was begun in 1516 on the site of an older building, and served as the palace of the deys until the French conquest. A road has been cut through the centre of the building, the mosque turned into barracks, and the hall of audience allowed to fall into ruin. There still remain a minaret and some marble arches and columns. Traces exist of the vaults in which were stored the treasures of the dey.
Djamaa el Kebir (Jamaa-el-Kebir الجامع الكبير) is the oldest mosque in Algiers. It was first built by Yusuf ibn Tashfin, but reconstructed many times. The pulpit (minbar منبر) bears an inscription showing that the building existed in 1097. The minaret was built by the sultan of Tlemcen, in 1324. The interior of the mosque is square and is divided into aisles by columns joined by Moorish arches.
The New Mosque (Jamaa-el-Jedid الجامع الجديد), dating from the 17th century, is in the form of a Greek cross, surmounted by a large white cupola, with four small cupolas at the corners. The minaret is high. The interior resembles that of the Grand Mosque.
The church of the Holy Trinity (built in 1870) stands at the southern end of the rue d'Isly near the site of the demolished Fort Bab Azoun باب عزون. The interior is richly decorated with various coloured marbles. Many of these marbles contain memorial inscriptions relating to the British residents (voluntary and involuntary) of Algiers from the time of John Tipton, the first English consul, in 1580 (NB Some sources give 1585). One tablet records that in 1631 two Algerine pirate crews landed in Ireland, sacked Baltimore, and enslaved its inhabitants.
The Ketchaoua Mosque (Djamaa Ketchaoua جامع كتشاوة), at the foot of the Casbah, was before independence in 1962 the cathedral of St Philippe, itself made in 1845 from a mosque dating from 1612. The principal entrance, reached by a flight of 23 steps, is ornamented with a portico supported by four black-veined marble columns. The roof of the nave is of Moorish plaster work. It rests on a series of arcades supported by white marble columns. Several of these columns belonged to the original mosque. In one of the chapels was a tomb containing the bones of Geronimo. The building seems a curious blend of Moorish and Byzantine styles.
Algiers possesses a college with schools of law, medicine, science and letters. The college buildings are large and handsome. The Bardo Museum holds some of the ancient sculptures and mosaics discovered in Algeria, together with medals and Algerian money.
The port of Algiers is sheltered from all winds. There are two harbours, both artificial—the old or northern harbour and the southern or Agha harbour. The northern harbour covers an area of . An opening in the south jetty affords an entrance into Agha harbour, constructed in Agha Bay. Agha harbour has also an independent entrance on its southern side. The inner harbour was begun in 1518 by Khair-ad-Din Barbarossa (see History, below), who, to accommodated his pirate vessels, caused the island on which was Fort Penon to be connected with the mainland by a mole. The lighthouse which occupies the site of Fort Penon was built in 1544.
Algiers was a walled city from the time of the deys until the close of the 19th century. The French, after their occupation of the city (1830), built a rampart, parapet and ditch, with two terminal forts, Bab Azoun باب عزون to the south and Bab-el-Oued اد to the north. The forts and part of the ramparts were demolished at the beginning of the 20th century, when a line of forts occupying the heights of Bouzareah بوزريعة (at an elevation of above the sea) took their place.
Notre Dame d'Afrique, a church built (1858–1872) in a mixture of the Roman and Byzantine styles, is conspicuously situated overlooking the sea, on the shoulder of the Bouzareah hills,
to the north of the city. Above the altar is a statue of the Virgin depicted as a black woman. The church also contains a solid silver statue of the archangel Michael, belonging to the confraternity of Neapolitan fishermen.
Villa Abd-el-Tif, former residence of the dey, was used during the French period, to accommodate French artists, chiefly painters, and winners of the Abd-el-Tif prize, among whom Maurice Boitel, for a while of two years. Nowadays, Algerian artists are back in the villa's studios.
Monuments
Notre Dame d'Afrique, accessible by one cable car, is one of the city's most outstanding monuments: located in the district of Z' will ghara, the basilica was built around 1858.
Monument des Martyrs (Marquand E' chahid): an iconic concrete monument commemorating the Algerian war for independence. The monument was opened in 1982 on the 20th anniversary of Algeria's independence. It is fashioned in the shape of three standing palm leaves which shelter the "Eternal Flame" beneath. At the edge of each palm leaf stands a statue of a soldier, each representing a stage of Algeria's struggle.
The El Jedid mosque at the Place des Martyrs near the port.
Place of the Emir Abdelkader (formerly Bugeaud): in memory of the famous emir Abd El-Kader, resistant during French conquest of Algeria.
Grand Post Office (1910, by Voinot and Tondoire): construction of the neo-Moorish type which is in full centre town of Algiers.
The Jardin d'essai (Garden of Test; El-Hamma): situated in the east of Algiers, it extends over and contains exotic plants and gardens. It was created in 1832 by A. Hardy.
Villa Abd-el-Hair, with the top of the Garden of test, one of the old residences of the dey, where until 1962, were placed the artists prizes winner of Price Abd-el-Hair, and in particular Maurice Boitel and Andre Hamburg.
Citadel.
Riadh El-Feth (shopping centre and art gallery).
Ketchaoua Mosque (This mosque became the Saint-Philippe cathedral during colonization before becoming again a mosque).
National Library, is in the district of El HAMMA and was built in the 1990s.
Djamaa el Kebir at the Rue de la Marine. It is the oldest mosque of Algiers and was built during the reign of the Almoravid sultan Yusuf ibn Tashfin.
Le Bastion 23 – Palais des Rais, built in 1576 by Dey Ramdhan Pacha and located in the lower Casbah in the Bab El Oued neighborhood.
Demographics
As of 2012, Algiers has a population of about 3,335,418.
The ethnic distribution is 53% from an Arabic-speaking background, 44% from a Berber-speaking background and 3% foreign-born.
Economy
Algiers is an important economic, commercial and financial center, with a stock exchange capitalized at 60 million euros. The city has the highest cost of living of any city in North Africa, as well as the 50th highest worldwide, as of March 2007, having gained one position compared to the previous year.
Mohamed Ben Ali El Abbar, president of the Council of Administration of the Emirate Group EMAAR, presented five "megaprojects" to Algerian President Abdelaziz Bouteflika, during a ceremony which took place Saturday, July 15, in the People's Palace of Algiers. These projects will transform the city of Algiers and its surroundings by equipping them with a retail area and restoration and leisure facilities.
The first project will concentrate on the reorganization and the development of the infrastructures of the railway station "Aga" located in the downtown area. The ultramodern station intended to accommodate more than 80.000 passengers per day, will become a centre of circulation in the heart of the grid system, surrounded by commercial offices and buildings and hotels intended for travellers in transit. A shopping centre and three high-rise office buildings rising with the top of the commercial zone will accompany the project.
The second project will not relate to the bay of Algiers and aims to revitalize the sea front. The development of the sea front will include marinas, channels, luxury hotels, offices, apartments of great standing, luxury stores and leisure amenities. A crescent-shaped peninsula will be set up on the open sea. The project of the bay of Algiers will also comprise six small islands, of which four of round form, connected to each other by bridges and marinas and will include tourist and residential complexes.
The third project will relate to restructuring an area of Algiers, qualified by the originators of the project of "city of wellness". El Abbar indicated to the journalists that the complex would be "agreeable for all those which will want to combine tourism and well-being or tourism and relaxation". The complex will include a university, a research center and a medical centre. It should also include a hospital complex, a care centre, a hotel zone, an urban centre and a thermal spa with villas and apartments. The university will include a medical school and a school for care male nurses which will be able to accommodate 500 students. The university campus will have the possibility of seeing setting up broad ranges of buildings of research laboratories and residences.
Another project relates to technological implantation of a campus in Sidi Abdellah, south-east from Algiers. This site will include shopping centres, residential zones with high standard apartments and a golf course surrounded by villas and hotels. Two other residential zones, including 1.800 apartments and 40 high standard villas, will be built on the surrounding hills.
The fifth project is that of the tourist complex Colonel Abbès, which will be located west from Algiers. This complex will include several retail zones, meeting places, and residential zones composed of apartments and villas with views of the sea.
There is another project under construction, by the name of Algiers Medina. The first step of the project is nearly complete.
A Hewlett-Packard office for French-speaking countries in Africa is in Algiers.
Tourist installations
Some to the west of Algiers are such seaside resorts as Sidi Fredj (ex-Sidi Ferruch), Palm Beach, Douaouda, Zéralda, and the Club of the Pines (residence of State); there are tourist complexes, Algerian and other restaurants, souvenir shops, supervised beaches, and other amenities. The city is also equipped with important hotel complexes such as the hotel Hilton, El-Aurassi or El Djazair. Algiers also has the first water park in the country. The tourism of Algiers is growing but is not as developed as that of the larger cities in Morocco or Tunisia.
Education
The presence of a large diplomatic community in Algiers prompted the creation of multiple international educational institutions. These schools include :
American International School of Algiers;
British School Algiers
El Kalimat School (English-language school);
Lycée International Alexandre-Dumas d'Alger (French school);
Roma Italian School of Algiers;
Russian Embassy School in Algiers.
There was formerly the École japonaise d'Alger (アルジェ日本人学校 Aruje Nihonjin Gakkō), a school for Japanese children.
Public transport
ETUSA (urban and suburban bus transportation for Algiers) operates bus service in Algiers and the surrounding suburbs. 54 lines are operating, with service from 5:30 a.m. to 12:45 a.m.
SNTF (national railroad company) operates commuter-rail lines connecting the capital to the surrounding suburbs.
Algiers Metro, opened November 1, 2011.
Algiers tramway, opened on May 8, 2011.
Houari Boumediene Airport is located from the city. The airport serves domestics, many European cities, West Africa, the Middle East, Asia and North America. On July 5, 2006, a new international air terminal was opened for service. The terminal is managed by Aéroports de Paris.
4 urban beltways:
El Madania – Belouizdad
Notre Dame d'Afrique – Bologhine
Memorial des Martyres/Riad el Feth – Jardin d'essais
Palais de la culture – Oued Kniss
Sports
Algiers is the sporting centre of Algeria. The city has a number of professional clubs in the variety of sports, which have won national and international titles. Among the sports facilities within the city, there is an enormous sporting complex – Complex of OCO – Mohamed Boudiaf. This includes the Stade 5 Juillet 1962 (capacity ), a venue for athletics, an Olympic swimming pool, a multisports room (the Cupola), an 18-hole golf course, and several tennis courts.
The following major sporting events have been held in Algiers (not-exhaustive list):
Football clubs
Major association football club based in Algiers include:
International relations
Twin towns – sister cities
Algiers is twinned with:
Montreal, Canada
Moscow, Russia
Sofia, Bulgaria
In addition, many of the wards and cities within Algiers maintain sister-city relationships with other foreign cities.
Cooperation agreements
Algiers has cooperation agreements with:
Lisbon, Portugal
Paris, France
Films about Algiers
Algiers, 1938, starring Charles Boyer and Hedy Lamarr, and directed by John Cromwell;
The Battle of Algiers, 1966, directed by Gillo Pontecorvo;
Tahya ya Didou, Alger Insolite, 1970, Mohammed Zinet;
Bab El-Oued City, 1994, directed by Merzak Allouache;
Viva Laldjérie, 2003, directed by Nadir Moknèche, with Biyouna and Lubna Azabal;
Bab el Web, 2004, directed by Merzak Allouache, with Samy Naceri, Julie Gayet, Faudel;
Once upon a time in the Oued, 2005, directed by Djamel Bensalah;
Beur, White, Red, 2005, directed by Mahmoud Zemmouri.
Delice Paloma, 2007, directed by Nadir Moknèche, with Biyouna and Nadia Kaci.
Abbott and Costello in the Foreign Legion, 1950, starring Bud Abbott and Lou Costello.
Carry on Spying 1964, directed by Gerald Thomas with Kenneth Williams, Charles Hawtrey, Barbara Windsor & Renee Houston
Notable people
See also
Barbary pirates
Botanical Garden Hamma
List of Ottoman governors of Algiers
References
Citations
Bibliography
Carroll, David. Albert Camus the Algerian (Columbia University Press, 2007).
Emerson, Charles. 1913: In Search of the World Before the Great War (2013) compares Algiers to 20 major world cities; pp 267–79.
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External links
944 establishments
Barbary Wars
Capitals in Africa
Former Spanish colonies
Mediterranean port cities and towns in Algeria
Populated coastal places in Algeria
World Heritage Sites in Algeria
Coastal cities in Algeria
Populated places in Algiers Province
Province seats of Algeria
Populated places established in the 10th century
10th-century establishments in Africa
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Ḥasan Ibn al-Haytham (Latinized as Alhazen; ; full name ; ) was a medieval mathematician, astronomer, and physicist of the Islamic Golden Age from present-day Iraq. Referred to as "the father of modern optics", he made significant contributions to the principles of optics and visual perception in particular. His most influential work is titled Kitāb al-Manāẓir (Arabic: , "Book of Optics"), written during 1011–1021, which survived in a Latin edition. The works of Alhazen were frequently cited during the scientific revolution by Isaac Newton, Johannes Kepler, Christiaan Huygens, and Galileo Galilei.
Ibn al-Haytham was the first to correctly explain the theory of vision, and to argue that vision occurs in the brain, pointing to observations that it is subjective and affected by personal experience. He also stated the principle of least time for refraction which would later become the Fermat's principle. He made major contributions to catoptrics and dioptrics by studying reflection, refraction and nature of images formed by light rays. Ibn al-Haytham was an early proponent of the concept that a hypothesis must be supported by experiments based on confirmable procedures or mathematical reasoning—an early pioneer in the scientific method five centuries before Renaissance scientists. On account of this, he is sometimes described as the world's "first true scientist". He was also a polymath, writing on philosophy, theology and medicine.
Born in Basra, he spent most of his productive period in the Fatimid capital of Cairo and earned his living authoring various treatises and tutoring members of the nobilities. Ibn al-Haytham is sometimes given the byname al-Baṣrī after his birthplace, or al-Miṣrī ("the Egyptian"). Al-Haytham was dubbed the "Second Ptolemy" by Abu'l-Hasan Bayhaqi and "The Physicist" by John Peckham. Ibn al-Haytham paved the way for the modern science of physical optics.
Biography
Ibn al-Haytham (Alhazen) was born c. 965 to a family of Arab or Persian origin in Basra, Iraq, which was at the time part of the Buyid emirate. His initial influences were in the study of religion and service to the community. At the time, society had a number of conflicting views of religion that he ultimately sought to step aside from religion. This led to him delving into the study of mathematics and science. He held a position with the title vizier in his native Basra, and made a name for himself on his knowledge of applied mathematics. As he claimed to be able to regulate the flooding of the Nile, he was invited to meet the Fatimid Caliph al-Hakim in order to realise a hydraulic project at Aswan. However, Ibn al-Haytham was forced to concede the impracticability of his project.
Upon his return to Cairo, he was given an administrative post. After he proved unable to fulfill this task as well, he contracted the ire of the caliph al-Hakim, and is said to have been forced into hiding until the caliph's death in 1021, after which his confiscated possessions were returned to him.
Legend has it that Alhazen feigned madness and was kept under house arrest during this period. During this time, he wrote his influential Book of Optics. Alhazen continued to live in Cairo, in the neighborhood of the famous University of al-Azhar, and lived from the proceeds of his literary production until his death in c. 1040. (A copy of Apollonius' Conics, written in Ibn al-Haytham's own handwriting exists in Aya Sofya: (MS Aya Sofya 2762, 307 fob., dated Safar 415 A.H. [1024]).)
Among his students were Sorkhab (Sohrab), a Persian from Semnan, and Abu al-Wafa Mubashir ibn Fatek, an Egyptian prince.
Book of Optics
Alhazen's most famous work is his seven-volume treatise on optics Kitab al-Manazir (Book of Optics), written from 1011 to 1021. In it, Ibn al-Haytham was the first to explain that vision occurs when light reflects from an object and then passes to one's eyes, and to argue that vision occurs in the brain, pointing to observations that it is subjective and affected by personal experience.
Optics was translated into Latin by an unknown scholar at the end of the 12th century or the beginning of the 13th century.
This work enjoyed a great reputation during the Middle Ages. The Latin version of De aspectibus was translated at the end of the 14th century into Italian vernacular, under the title De li aspecti.
It was printed by Friedrich Risner in 1572, with the title Opticae thesaurus: Alhazeni Arabis libri septem, nuncprimum editi; Eiusdem liber De Crepusculis et nubium ascensionibus (English: Treasury of Optics: seven books by the Arab Alhazen, first edition; by the same, on twilight and the height of clouds).
Risner is also the author of the name variant "Alhazen"; before Risner he was known in the west as Alhacen.
Works by Alhazen on geometric subjects were discovered in the Bibliothèque nationale in Paris in 1834 by E. A. Sedillot. In all, A. Mark Smith has accounted for 18 full or near-complete manuscripts, and five fragments, which are preserved in 14 locations, including one in the Bodleian Library at Oxford, and one in the library of Bruges.
Theory of optics
Two major theories on vision prevailed in classical antiquity. The first theory, the emission theory, was supported by such thinkers as Euclid and Ptolemy, who believed that sight worked by the eye emitting rays of light. The second theory, the intromission theory supported by Aristotle and his followers, had physical forms entering the eye from an object. Previous Islamic writers (such as al-Kindi) had argued essentially on Euclidean, Galenist, or Aristotelian lines. The strongest influence on the Book of Optics was from Ptolemy's Optics, while the description of the anatomy and physiology of the eye was based on Galen's account. Alhazen's achievement was to come up with a theory that successfully combined parts of the mathematical ray arguments of Euclid, the medical tradition of Galen, and the intromission theories of Aristotle. Alhazen's intromission theory followed al-Kindi (and broke with Aristotle) in asserting that "from each point of every colored body, illuminated by any light, issue light and color along every straight line that can be drawn from that point". This left him with the problem of explaining how a coherent image was formed from many independent sources of radiation; in particular, every point of an object would send rays to every point on the eye.
What Alhazen needed was for each point on an object to correspond to one point only on the eye. He attempted to resolve this by asserting that the eye would only perceive perpendicular rays from the object—for any one point on the eye, only the ray that reached it directly, without being refracted by any other part of the eye, would be perceived. He argued, using a physical analogy, that perpendicular rays were stronger than oblique rays: in the same way that a ball thrown directly at a board might break the board, whereas a ball thrown obliquely at the board would glance off, perpendicular rays were stronger than refracted rays, and it was only perpendicular rays which were perceived by the eye. As there was only one perpendicular ray that would enter the eye at any one point, and all these rays would converge on the centre of the eye in a cone, this allowed him to resolve the problem of each point on an object sending many rays to the eye; if only the perpendicular ray mattered, then he had a one-to-one correspondence and the confusion could be resolved. He later asserted (in book seven of the Optics) that other rays would be refracted through the eye and perceived as if perpendicular. His arguments regarding perpendicular rays do not clearly explain why only perpendicular rays were perceived; why would the weaker oblique rays not be perceived more weakly? His later argument that refracted rays would be perceived as if perpendicular does not seem persuasive. However, despite its weaknesses, no other theory of the time was so comprehensive, and it was enormously influential, particularly in Western Europe. Directly or indirectly, his De Aspectibus (Book of Optics) inspired much activity in optics between the 13th and 17th centuries. Kepler's later theory of the retinal image (which resolved the problem of the correspondence of points on an object and points in the eye) built directly on the conceptual framework of Alhazen.
Alhazen showed through experiment that light travels in straight lines, and carried out various experiments with lenses, mirrors, refraction, and reflection. His analyses of reflection and refraction considered the vertical and horizontal components of light rays separately.
Alhazen studied the process of sight, the structure of the eye, image formation in the eye, and the visual system. Ian P. Howard argued in a 1996 Perception article that Alhazen should be credited with many discoveries and theories previously attributed to Western Europeans writing centuries later. For example, he described what became in the 19th century Hering's law of equal innervation. He wrote a description of vertical horopters 600 years before Aguilonius that is actually closer to the modern definition than Aguilonius's—and his work on binocular disparity was repeated by Panum in 1858. Craig Aaen-Stockdale, while agreeing that Alhazen should be credited with many advances, has expressed some caution, especially when considering Alhazen in isolation from Ptolemy, with whom Alhazen was extremely familiar. Alhazen corrected a significant error of Ptolemy regarding binocular vision, but otherwise his account is very similar; Ptolemy also attempted to explain what is now called Hering's law. In general, Alhazen built on and expanded the optics of Ptolemy.
In a more detailed account of Ibn al-Haytham's contribution to the study of binocular vision based on Lejeune and Sabra, Raynaud showed that the concepts of correspondence, homonymous and crossed diplopia were in place in Ibn al-Haytham's optics. But contrary to Howard, he explained why Ibn al-Haytham did not give the circular figure of the horopter and why, by reasoning experimentally, he was in fact closer to the discovery of Panum's fusional area than that of the Vieth-Müller circle. In this regard, Ibn al-Haytham's theory of binocular vision faced two main limits: the lack of recognition of the role of the retina, and obviously the lack of an experimental investigation of ocular tracts.
Alhazen's most original contribution was that, after describing how he thought the eye was anatomically constructed, he went on to consider how this anatomy would behave functionally as an optical system. His understanding of pinhole projection from his experiments appears to have influenced his consideration of image inversion in the eye, which he sought to avoid. He maintained that the rays that fell perpendicularly on the lens (or glacial humor as he called it) were further refracted outward as they left the glacial humor and the resulting image thus passed upright into the optic nerve at the back of the eye. He followed Galen in believing that the lens was the receptive organ of sight, although some of his work hints that he thought the retina was also involved.
Alhazen's synthesis of light and vision adhered to the Aristotelian scheme, exhaustively describing the process of vision in a logical, complete fashion.
His research in catoptrics (the study of optical systems using mirrors) was centred on spherical and parabolic mirrors and spherical aberration. He made the observation that the ratio between the angle of incidence and refraction does not remain constant, and investigated the magnifying power of a lens.
Law of reflection
Alhazen was the first physicist to give complete statement of the law of reflection. He was first to state that the incident ray, the reflected ray, and the normal to the surface all lie in a same plane perpendicular to reflecting plane.
Alhazen's problem
His work on catoptrics in Book V of the Book of Optics contains a discussion of what is now known as Alhazen's problem, first formulated by Ptolemy in 150 AD. It comprises drawing lines from two points in the plane of a circle meeting at a point on the circumference and making equal angles with the normal at that point. This is equivalent to finding the point on the edge of a circular billiard table at which a player must aim a cue ball at a given point to make it bounce off the table edge and hit another ball at a second given point. Thus, its main application in optics is to solve the problem, "Given a light source and a spherical mirror, find the point on the mirror where the light will be reflected to the eye of an observer." This leads to an equation of the fourth degree. This eventually led Alhazen to derive a formula for the sum of fourth powers, where previously only the formulas for the sums of squares and cubes had been stated. His method can be readily generalized to find the formula for the sum of any integral powers, although he did not himself do this (perhaps because he only needed the fourth power to calculate the volume of the paraboloid he was interested in). He used his result on sums of integral powers to perform what would now be called an integration, where the formulas for the sums of integral squares and fourth powers allowed him to calculate the volume of a paraboloid. Alhazen eventually solved the problem using conic sections and a geometric proof. His solution was extremely long and complicated and may not have been understood by mathematicians reading him in Latin translation.
Later mathematicians used Descartes' analytical methods to analyse the problem. An algebraic solution to the problem was finally found in 1965 by Jack M. Elkin, an actuarian. Other solutions were discovered in 1989, by Harald Riede and in 1997 by the Oxford mathematician Peter M. Neumann.
Recently, Mitsubishi Electric Research Laboratories (MERL) researchers solved the extension of Alhazen's problem to general rotationally symmetric quadric mirrors including hyperbolic, parabolic and elliptical mirrors.
Camera Obscura
The camera obscura was known to the ancient Chinese, and was described by the Han Chinese polymath Shen Kuo in his scientific book Dream Pool Essays, published in the year 1088 C.E. Aristotle had discussed the basic principle behind it in his Problems, but Alhazen's work contained the first clear description of camera obscura. and early analysis of the device.
Ibn al-Haytham used a camera obscura mainly to observe a partial solar eclipse.
In his essay, Ibn al-Haytham writes that he observed the sickle-like shape of the sun at the time of an eclipse. The introduction reads as follows: "The image of the sun at the time of the eclipse, unless it is total, demonstrates that when its light passes through a narrow, round hole and is cast on a plane opposite to the hole it takes on the form of a moonsickle."
It is admitted that his findings solidified the importance in the history of the camera obscura but this treatise is important in many other respects.
Ancient optics and medieval optics were divided into optics and burning mirrors. Optics proper mainly focused on the study of vision, while burning mirrors focused on the properties of light and luminous rays. On the shape of the eclipse is probably one of the first attempts made by Ibn al-Haytham to articulate these two sciences.
Very often Ibn al-Haytham's discoveries benefited from the intersection of mathematical and experimental contributions. This is the case with On the shape of the eclipse. Besides the fact that this treatise allowed more people to study partial eclipses of the sun, it especially allowed to better understand how the camera obscura works. This treatise is a physico-mathematical study of image formation inside the camera obscura. Ibn al-Haytham takes an experimental approach, and determines the result by varying the size and the shape of the aperture, the focal length of the camera, the shape and intensity of the light source.
In his work he explains the inversion of the image in the camera obscura, the fact that the image is similar to the source when the hole is small, but also the fact that the image can differ from the source when the hole is large. All these results are produced by using a point analysis of the image.
Refractometer
In the seventh tract of his book of optics, Alhazen described an apparatus for experimenting with various cases of refraction, in order to investigate the relations between the angle of incidence, the angle of refraction and the angle of deflection. This apparatus was a modified version of an apparatus used by Ptolemy for similar purpose.
Unconscious inference
Alhazen basically states the concept of unconscious inference in his discussion of colour before adding that the inferential step between sensing colour and differentiating it is shorter than the time taken between sensing and any other visible characteristic (aside from light), and that "time is so short as not to be clearly apparent to the beholder." Naturally, this suggests that the colour and form are perceived elsewhere. Alhazen goes on to say that information must travel to the central nerve cavity for processing and:the sentient organ does not sense the forms that reach it from the visible objects until
after it has been affected by these forms; thus it does not sense color as color or light as light until after it has been affected by the form of color or light. Now the affectation received by the sentient organ from the form of color or of light is a certain change; and change must take place in time; …..and it is in the time during which the form extends from the sentient organ's surface to the cavity of the common nerve, and in (the time) following that, that the sensitive faculty, which exists in the whole of the sentient body will perceive color as color…Thus the last sentient's perception of color as such and of light as such takes place at a time following that in which the form arrives from the surface of the sentient organ to the cavity of the common nerve.
Color constancy
Alhazen explained color constancy by observing that the light reflected from an object is modified by the object's color. He explained that the quality of the light and the color of the object are mixed, and the visual system separates light and color. In Book II, Chapter 3 he writes:Again the light does not travel from the colored object to the eye unaccompanied by the color, nor does the form of the color pass from the colored object to the eye unaccompanied by the light. Neither the form of the light nor that of the color existing in the colored object can pass except as mingled together and the last sentient can only
perceive them as mingled together. Nevertheless, the sentient perceives that the visible object is luminous and that the light seen in the object is other than the color and that these are two properties.
Other contributions
The Kitab al-Manazir (Book of Optics) describes several experimental observations that Alhazen made and how he used his results to explain certain optical phenomena using mechanical analogies. He conducted experiments with projectiles and concluded that only the impact of perpendicular projectiles on surfaces was forceful enough to make them penetrate, whereas surfaces tended to deflect oblique projectile strikes. For example, to explain refraction from a rare to a dense medium, he used the mechanical analogy of an iron ball thrown at a thin slate covering a wide hole in a metal sheet. A perpendicular throw breaks the slate and passes through, whereas an oblique one with equal force and from an equal distance does not. He also used this result to explain how intense, direct light hurts the eye, using a mechanical analogy: Alhazen associated 'strong' lights with perpendicular rays and 'weak' lights with oblique ones. The obvious answer to the problem of multiple rays and the eye was in the choice of the perpendicular ray, since only one such ray from each point on the surface of the object could penetrate the eye.
Sudanese psychologist Omar Khaleefa has argued that Alhazen should be considered the founder of experimental psychology, for his pioneering work on the psychology of visual perception and optical illusions. Khaleefa has also argued that Alhazen should also be considered the "founder of psychophysics", a sub-discipline and precursor to modern psychology. Although Alhazen made many subjective reports regarding vision, there is no evidence that he used quantitative psychophysical techniques and the claim has been rebuffed.
Alhazen offered an explanation of the Moon illusion, an illusion that played an important role in the scientific tradition of medieval Europe. Many authors repeated explanations that attempted to solve the problem of the Moon appearing larger near the horizon than it does when higher up in the sky. Alhazen argued against Ptolemy's refraction theory, and defined the problem in terms of perceived, rather than real, enlargement. He said that judging the distance of an object depends on there being an uninterrupted sequence of intervening bodies between the object and the observer. When the Moon is high in the sky there are no intervening objects, so the Moon appears close. The perceived size of an object of constant angular size varies with its perceived distance. Therefore, the Moon appears closer and smaller high in the sky, and further and larger on the horizon. Through works by Roger Bacon, John Pecham and Witelo based on Alhazen's explanation, the Moon illusion gradually came to be accepted as a psychological phenomenon, with the refraction theory being rejected in the 17th century. Although Alhazen is often credited with the perceived distance explanation, he was not the first author to offer it. Cleomedes ( 2nd century) gave this account (in addition to refraction), and he credited it to Posidonius ( 135–50 BCE). Ptolemy may also have offered this explanation in his Optics, but the text is obscure. Alhazen's writings were more widely available in the Middle Ages than those of these earlier authors, and that probably explains why Alhazen received the credit.
Scientific method
An aspect associated with Alhazen's optical research is related to systemic and methodological reliance on experimentation (i'tibar)(Arabic: اختبار) and controlled testing in his scientific inquiries. Moreover, his experimental directives rested on combining classical physics (ilm tabi'i) with mathematics (ta'alim; geometry in particular). This mathematical-physical approach to experimental science supported most of his propositions in Kitab al-Manazir (The Optics; De aspectibus or Perspectivae) and grounded his theories of vision, light and colour, as well as his research in catoptrics and dioptrics (the study of the reflection and refraction of light, respectively).
According to Matthias Schramm, Alhazen "was the first to make a systematic use of the method of varying the experimental conditions in a constant and uniform manner, in an experiment showing that the intensity of the light-spot formed by the projection of the moonlight through two small apertures onto a screen diminishes constantly as one of the apertures is gradually blocked up." G. J. Toomer expressed some skepticism regarding Schramm's view, partly because at the time (1964) the Book of Optics had not yet been fully translated from Arabic, and Toomer was concerned that without context, specific passages might be read anachronistically. While acknowledging Alhazen's importance in developing experimental techniques, Toomer argued that Alhazen should not be considered in isolation from other Islamic and ancient thinkers. Toomer concluded his review by saying that it would not be possible to assess Schramm's claim that Ibn al-Haytham was the true founder of modern physics without translating more of Alhazen's work and fully investigating his influence on later medieval writers.
Other works on physics
Optical treatises
Besides the Book of Optics, Alhazen wrote several other treatises on the same subject, including his Risala fi l-Daw (Treatise on Light). He investigated the properties of luminance, the rainbow, eclipses, twilight, and moonlight. Experiments with mirrors and the refractive interfaces between air, water, and glass cubes, hemispheres, and quarter-spheres provided the foundation for his theories on catoptrics.
Celestial physics
Alhazen discussed the physics of the celestial region in his Epitome of Astronomy, arguing that Ptolemaic models must be understood in terms of physical objects rather than abstract hypotheses—in other words that it should be possible to create physical models where (for example) none of the celestial bodies would collide with each other. The suggestion of mechanical models for the Earth centred Ptolemaic model "greatly contributed to the eventual triumph of the Ptolemaic system among the Christians of the West". Alhazen's determination to root astronomy in the realm of physical objects was important, however, because it meant astronomical hypotheses "were accountable to the laws of physics", and could be criticised and improved upon in those terms.
He also wrote Maqala fi daw al-qamar (On the Light of the Moon).
Mechanics
In his work, Alhazen discussed theories on the motion of a body. In his Treatise on Place, Alhazen disagreed with Aristotle's view that nature abhors a void, and he used geometry in an attempt to demonstrate that place (al-makan) is the imagined three-dimensional void between the inner surfaces of a containing body.
Astronomical works
On the Configuration of the World
In his On the Configuration of the World Alhazen presented a detailed description of the physical structure of the earth:
The book is a non-technical explanation of Ptolemy's Almagest, which was eventually translated into Hebrew and Latin in the 13th and 14th centuries and subsequently had an influence on astronomers such as Georg von Peuerbach during the European Middle Ages and Renaissance.
Doubts Concerning Ptolemy
In his Al-Shukūk ‛alā Batlamyūs, variously translated as Doubts Concerning Ptolemy or Aporias against Ptolemy, published at some time between 1025 and 1028, Alhazen criticized Ptolemy's Almagest, Planetary Hypotheses, and Optics, pointing out various contradictions he found in these works, particularly in astronomy. Ptolemy's Almagest concerned mathematical theories regarding the motion of the planets, whereas the Hypotheses concerned what Ptolemy thought was the actual configuration of the planets. Ptolemy himself acknowledged that his theories and configurations did not always agree with each other, arguing that this was not a problem provided it did not result in noticeable error, but Alhazen was particularly scathing in his criticism of the inherent contradictions in Ptolemy's works. He considered that some of the mathematical devices Ptolemy introduced into astronomy, especially the equant, failed to satisfy the physical requirement of uniform circular motion, and noted the absurdity of relating actual physical motions to imaginary mathematical points, lines and circles:
Having pointed out the problems, Alhazen appears to have intended to resolve the contradictions he pointed out in Ptolemy in a later work. Alhazen believed there was a "true configuration" of the planets that Ptolemy had failed to grasp. He intended to complete and repair Ptolemy's system, not to replace it completely. In the Doubts Concerning Ptolemy Alhazen set out his views on the difficulty of attaining scientific knowledge and the need to question existing authorities and theories:
He held that the criticism of existing theories—which dominated this book—holds a special place in the growth of scientific knowledge.
Model of the Motions of Each of the Seven Planets
Alhazen's The Model of the Motions of Each of the Seven Planets was written 1038. Only one damaged manuscript has been found, with only the introduction and the first section, on the theory of planetary motion, surviving. (There was also a second section on astronomical calculation, and a third section, on astronomical instruments.) Following on from his Doubts on Ptolemy, Alhazen described a new, geometry-based planetary model, describing the motions of the planets in terms of spherical geometry, infinitesimal geometry and trigonometry. He kept a geocentric universe and assumed that celestial motions are uniformly circular, which required the inclusion of epicycles to explain observed motion, but he managed to eliminate Ptolemy's equant. In general, his model didn't try to provide a causal explanation of the motions, but concentrated on providing a complete, geometric description that could explain observed motions without the contradictions inherent in Ptolemy's model.
Other astronomical works
Alhazen wrote a total of twenty-five astronomical works, some concerning technical issues such as Exact Determination of the Meridian, a second group concerning accurate astronomical observation, a third group concerning various astronomical problems and questions such as the location of the Milky Way; Alhazen made the first systematic effort of evaluating the Milky Way's parallax, combining Ptolemy's data and his own. He concluded that the parallax is (probably very much) smaller than Lunar parallax, and the Milky way should be a celestial object. Though he was not the first who argued that the Milky Way does not belong to the atmosphere, he is the first who did quantitative analysis for the claim.
The fourth group consists of ten works on astronomical theory, including the Doubts and Model of the Motions discussed above.
Mathematical works
In mathematics, Alhazen built on the mathematical works of Euclid and Thabit ibn Qurra and worked on "the beginnings of the link between algebra and geometry".
He developed a formula for summing the first 100 natural numbers, using a geometric proof to prove the formula.
Geometry
Alhazen explored what is now known as the Euclidean parallel postulate, the fifth postulate in Euclid's Elements, using a proof by contradiction, and in effect introducing the concept of motion into geometry. He formulated the Lambert quadrilateral, which Boris Abramovich Rozenfeld names the "Ibn al-Haytham–Lambert quadrilateral". He was criticised by Omar Khayyam who pointed that Aristotle had condemned the use of motion in geometry.
In elementary geometry, Alhazen attempted to solve the problem of squaring the circle using the area of lunes (crescent shapes), but later gave up on the impossible task. The two lunes formed from a right triangle by erecting a semicircle on each of the triangle's sides, inward for the hypotenuse and outward for the other two sides, are known as the lunes of Alhazen; they have the same total area as the triangle itself.
Number theory
Alhazen's contributions to number theory include his work on perfect numbers. In his Analysis and Synthesis, he may have been the first to state that every even perfect number is of the form 2n−1(2n − 1) where 2n − 1 is prime, but he was not able to prove this result; Euler later proved it in the 18th century, and it is now called the Euclid–Euler theorem.
Alhazen solved problems involving congruences using what is now called Wilson's theorem. In his Opuscula, Alhazen considers the solution of a system of congruences, and gives two general methods of solution. His first method, the canonical method, involved Wilson's theorem, while his second method involved a version of the Chinese remainder theorem.
Calculus
Alhazen discovered the sum formula for the fourth power, using a method that could be generally used to determine the sum for any integral power. He used this to find the volume of a paraboloid. He could find the integral formula for any polynomial without having developed a general formula.
Other works
Influence of Melodies on the Souls of Animals
Alhazen also wrote a Treatise on the Influence of Melodies on the Souls of Animals, although no copies have survived. It appears to have been concerned with the question of whether animals could react to music, for example whether a camel would increase or decrease its pace.
Engineering
In engineering, one account of his career as a civil engineer has him summoned to Egypt by the Fatimid Caliph, Al-Hakim bi-Amr Allah, to regulate the flooding of the Nile River. He carried out a detailed scientific study of the annual inundation of the Nile River, and he drew plans for building a dam, at the site of the modern-day Aswan Dam. His field work, however, later made him aware of the impracticality of this scheme, and he soon feigned madness so he could avoid punishment from the Caliph.
Philosophy
In his Treatise on Place, Alhazen disagreed with Aristotle's view that nature abhors a void, and he used geometry in an attempt to demonstrate that place (al-makan) is the imagined three-dimensional void between the inner surfaces of a containing body. Abd-el-latif, a supporter of Aristotle's philosophical view of place, later criticized the work in Fi al-Radd 'ala Ibn al-Haytham fi al-makan (A refutation of Ibn al-Haytham's place) for its geometrization of place.
Alhazen also discussed space perception and its epistemological implications in his Book of Optics. In "tying the visual perception of space to prior bodily experience, Alhazen unequivocally rejected the intuitiveness of spatial perception and, therefore, the autonomy of vision. Without tangible notions of distance and size for
correlation, sight can tell us next to nothing about such things." Alhazen came up with many theories that shattered what was known of reality at the time. These ideas of optics and perspective did not just tie into physical science, rather existential philosophy. This led to religious viewpoints being upheld to the point that there is an observer and their perspective, which in this case is reality.
Theology
Alhazen was a Muslim and most sources report that he was a Sunni and a follower of the Ash'ari school.Kaminski, Joseph J. "The Trajectory of the Development of Islamic ThoughtA Comparison Between Two Earlier and Two Later Scholars." The Contemporary Islamic Governed State. Palgrave Macmillan, Cham, 2017. 31–70. "For example, Ibn al-Haytham and Abū Rayhān al-Bīrūnī were among the most important medieval scholars who used the scientific method in their approach to natural science, and they were both Ash'arites" Ziauddin Sardar says that some of the greatest Muslim scientists, such as Ibn al-Haytham and Abū Rayhān al-Bīrūnī, who were pioneers of the scientific method, were themselves followers of the Ashʿari school of Islamic theology. Like other Ashʿarites who believed that faith or taqlid should apply only to Islam and not to any ancient Hellenistic authorities, Ibn al-Haytham's view that taqlid should apply only to prophets of Islam and not to any other authorities formed the basis for much of his scientific skepticism and criticism against Ptolemy and other ancient authorities in his Doubts Concerning Ptolemy and Book of Optics.
Alhazen wrote a work on Islamic theology in which he discussed prophethood and developed a system of philosophical criteria to discern its false claimants in his time.
He also wrote a treatise entitled Finding the Direction of Qibla by Calculation in which he discussed finding the Qibla, where prayers (salat) are directed towards, mathematically.
There are occasional references to theology or religious sentiment in his technical works, e.g.
in Doubts Concerning Ptolemy:
In The Winding Motion:
Regarding the relation of objective truth and God:
Legacy
Alhazen made significant contributions to optics, number theory, geometry, astronomy and natural philosophy. Alhazen's work on optics is credited with contributing a new emphasis on experiment.
His main work, Kitab al-Manazir (Book of Optics), was known in the Muslim world mainly, but not exclusively, through the thirteenth-century commentary by Kamāl al-Dīn al-Fārisī, the Tanqīḥ al-Manāẓir li-dhawī l-abṣār wa l-baṣā'ir. In al-Andalus, it was used by the eleventh-century prince of the Banu Hud dynasty of Zaragossa and author of an important mathematical text, al-Mu'taman ibn Hūd. A Latin translation of the Kitab al-Manazir was made probably in the late twelfth or early thirteenth century. This translation was read by and greatly influenced a number of scholars in Christian Europe including: Roger Bacon, Robert Grosseteste, Witelo, Giambattista della Porta, Leonardo da Vinci, Galileo Galilei, Christiaan Huygens, René Descartes, and Johannes Kepler. Meanwhile, in the Islamic world, Alhazen's work influenced Averroes' writings on optics, and his legacy was further advanced through the 'reforming' of his Optics by Persian scientist Kamal al-Din al-Farisi (died c. 1320) in the latter's Kitab Tanqih al-Manazir (The Revision of [Ibn al-Haytham's] Optics). Alhazen wrote as many as 200 books, although only 55 have survived. Some of his treatises on optics survived only through Latin translation. During the Middle Ages his books on cosmology were translated into Latin, Hebrew and other languages.
Although only one commentary on Alhazen's optics has survived the Islamic Middle Ages, Geoffrey Chaucer mentions the work in The Canterbury Tales:
"They spoke of Alhazen and Vitello,
And Aristotle, who wrote, in their lives,
On strange mirrors and optical instruments."
The impact crater Alhazen on the Moon is named in his honour, as was the asteroid 59239 Alhazen. In honour of Alhazen, the Aga Khan University (Pakistan) named its Ophthalmology endowed chair as "The Ibn-e-Haitham Associate Professor and Chief of Ophthalmology". Alhazen, by the name Ibn al-Haytham, is featured on the obverse of the Iraqi 10,000-dinar banknote issued in 2003, and on 10-dinar notes from 1982.
The 2015 International Year of Light celebrated the 1000th anniversary of the works on optics by Ibn Al-Haytham.
Commemorations
In 2014, the "Hiding in the Light" episode of Cosmos: A Spacetime Odyssey, presented by Neil deGrasse Tyson, focused on the accomplishments of Ibn al-Haytham. He was voiced by Alfred Molina in the episode.
Over forty years previously, Jacob Bronowski presented Alhazen's work in a similar television documentary (and the corresponding book), The Ascent of Man. In episode 5 (The Music of the Spheres), Bronowski remarked that in his view, Alhazen was "the one really original scientific mind that Arab culture produced", whose theory of optics was not improved on till the time of Newton and Leibniz.
H. J. J. Winter, a British historian of science, summing up the importance of Ibn al-Haytham in the history of physics wrote:
After the death of Archimedes no really great physicist appeared until Ibn al-Haytham. If, therefore, we confine our interest only to the history of physics, there is a long period of over twelve hundred years during which the Golden Age of Greece gave way to the era of Muslim Scholasticism, and the experimental spirit of the noblest physicist of Antiquity lived again in the Arab Scholar from Basra.
UNESCO declared 2015 the International Year of Light and its Director-General Irina Bokova dubbed Ibn al-Haytham 'the father of optics'. Amongst others, this was to celebrate Ibn Al-Haytham's achievements in optics, mathematics and astronomy. An international campaign, created by the 1001 Inventions organisation, titled 1001 Inventions and the World of Ibn Al-Haytham featuring a series of interactive exhibits, workshops and live shows about his work, partnering with science centers, science festivals, museums, and educational institutions, as well as digital and social media platforms. The campaign also produced and released the short educational film 1001 Inventions and the World of Ibn Al-Haytham.
List of works
According to medieval biographers, Alhazen wrote more than 200 works on a wide range of subjects, of which at least 96 of his scientific works are known. Most of his works are now lost, but more than 50 of them have survived to some extent. Nearly half of his surviving works are on mathematics, 23 of them are on astronomy, and 14 of them are on optics, with a few on other subjects. Not all his surviving works have yet been studied, but some of the ones that have are given below.
Book of Optics (كتاب المناظر)
Analysis and Synthesis (مقالة في التحليل والتركيب)
Balance of Wisdom (ميزان الحكمة)
Corrections to the Almagest (تصويبات على المجسطي)
Discourse on Place (مقالة في المكان)
Exact Determination of the Pole (التحديد الدقيق للقطب)
Exact Determination of the Meridian (رسالة في الشفق)
Finding the Direction of Qibla by Calculation (كيفية حساب اتجاه القبلة)
Horizontal Sundials (المزولة الأفقية)
Hour Lines (خطوط الساعة)
Doubts Concerning Ptolemy (شكوك على بطليموس)
Maqala fi'l-Qarastun (مقالة في قرسطون)
On Completion of the Conics (إكمال المخاريط)
On Seeing the Stars (رؤية الكواكب)
On Squaring the Circle (مقالة فی تربیع الدائرة)
On the Burning Sphere (المرايا المحرقة بالدوائر)
On the Configuration of the World (تكوين العالم)
On the Form of Eclipse (مقالة فی صورة الکسوف)
On the Light of Stars (مقالة في ضوء النجوم)
On the Light of the Moon (مقالة في ضوء القمر)
On the Milky Way (مقالة في درب التبانة)
On the Nature of Shadows (كيفيات الإظلال)
On the Rainbow and Halo (مقالة في قوس قزح)
Opuscula (Minor Works)
Resolution of Doubts Concerning the Almagest (تحليل شكوك حول الجست)
Resolution of Doubts Concerning the Winding Motion
The Correction of the Operations in Astronomy (تصحيح العمليات في الفلك)
The Different Heights of the Planets (اختلاف ارتفاع الكواكب)
The Direction of Mecca (اتجاه القبلة)
The Model of the Motions of Each of the Seven Planets (نماذج حركات الكواكب السبعة)
The Model of the Universe (نموذج الكون)
The Motion of the Moon (حركة القمر)
The Ratios of Hourly Arcs to their Heights
The Winding Motion (الحركة المتعرجة)
Treatise on Light (رسالة في الضوء)
Treatise on Place (رسالة في المكان)
Treatise on the Influence of Melodies on the Souls of Animals (تأثير اللحون الموسيقية في النفوس الحيوانية)
كتاب في تحليل المسائل الهندسية (A book in engineering analysis)
الجامع في أصول الحساب (The whole in the assets of the account)
قول فی مساحة الکرة (Say in the sphere)
القول المعروف بالغریب فی حساب المعاملات (Saying the unknown in the calculation of transactions)
خواص المثلث من جهة العمود (Triangle properties from the side of the column)
رسالة فی مساحة المسجم المکافی (A message in the free space)
شرح أصول إقليدس (Explain the origins of Euclid)
المرايا المحرقة بالقطوع (The burning mirrors of the rainbow)
مقالة في القرصتن (Treatise on Centers of Gravity)
Lost works
A Book in which I have Summarized the Science of Optics from the Two Books of Euclid and Ptolemy, to which I have added the Notions of the First Discourse which is Missing from Ptolemy's Book
Treatise on Burning Mirrors
Treatise on the Nature of [the Organ of] Sight and on How Vision is Achieved Through It
See also
"Hiding in the Light"
History of mathematics
Theoretical physics
History of optics
History of physics
History of science
History of scientific method
Hockney–Falco thesis
Mathematics in medieval Islam
Physics in medieval Islam
Science in the medieval Islamic world
Fatima al-Fihri
Islamic Golden Age
Notes
References
Sources
Reprinted in
(Books I-III (2001) Vol 1 Commentary and Latin text via JSTOR; Vol 2 English translation I: TOC pp. 339–41, II: TOC pp. 415–16, III: TOC pp. 559–60, Notes 681ff, Bibl. via JSTOR)
(Books 4–5 (2006) 95 4 – Vol 1 Commentary and Latin text via JSTOR; 95 5 – Vol 2 English translation IV: TOC pp. 289–94, V: TOC pp. 377–84, Notes, Bibl. via JSTOR)
(Book 6 (2008) 98 (#1, section 1) – Vol 1 Commentary and Latin text via JSTOR; 98 (#1, section 2) – Vol 2 English translation VI:TOC pp. 155–160, Notes, Bibl. via JSTOR)
(Book 7 (2010) 100(#3, section 1) – Vol 1 Commentary and Latin text via JSTOR; 100(#3, section 2) – Vol 2 English translation VII: TOC pp. 213–18, Notes, Bibl. via JSTOR)
Further reading
Primary
2 vols: . (Philadelphia: American Philosophical Society), 2006 – 95(#2) Books 4–5 Vol 1 Commentary and Latin text via JSTOR; 95(#3) Vol 2 English translation, Notes, Bibl. via JSTOR
Smith, A. Mark, ed. and trans. (2008) Alhacen on Image-formation and distortion in mirrors : a critical edition, with English translation and commentary, of Book 6 of Alhacen's De aspectibus, [the Medieval Latin version of Ibn al-Haytham's Kitāb al-Manāzir], Transactions of the American Philosophical Society, 2 vols: Vol 1 98(#1, section 1 – Vol 1 Commentary and Latin text); 98(#1, section 2 – Vol 2 English translation). (Philadelphia: American Philosophical Society), 2008. Book 6 (2008) Vol 1 Commentary and Latin text via JSTOR; Vol 2 English translation, Notes, Bibl. via JSTOR
Smith, A. Mark, ed. and trans. (2010) Alhacen on Refraction : a critical edition, with English translation and commentary, of Book 7 of Alhacen's De aspectibus, [the Medieval Latin version of Ibn al-Haytham's Kitāb al-Manāzir], Transactions of the American Philosophical Society, 2 vols: 100(#3, section 1 – Vol 1, Introduction and Latin text); 100'''(#3, section 2 – Vol 2 English translation). (Philadelphia: American Philosophical Society), 2010. Book 7 (2010) Vol 1 Commentary and Latin text via JSTOR;Vol 2 English translation, Notes, Bibl. via JSTOR
Secondary
Belting, Hans, Afterthoughts on Alhazen's Visual Theory and Its Presence in the Pictorial Theory of Western Perspective, in: Variantology 4. On Deep Time Relations of Arts, Sciences and Technologies in the Arabic-Islamic World and Beyond, ed. by Siegfried Zielinski and Eckhard Fürlus in cooperation with Daniel Irrgang and Franziska Latell (Cologne: Verlag der Buchhandlung Walther König, 2010), pp. 19–42.
Graham, Mark. How Islam Created the Modern World. Amana Publications, 2006.
Roshdi Rashed, Optics and Mathematics: Research on the history of scientific thought in Arabic, Variorum reprints, Aldershot, 1992.
Roshdi Rashed, Geometry and Dioptrics the tenth century: Ibn Sahl al-Quhi and Ibn al-Haytham (in French), Les Belles Lettres, Paris, 1993
Roshdi Rashed, Infinitesimal Mathematics, vols. 1–5, al-Furqan Islamic Heritage Foundation, London, 1993–2006
Siegfried Zielinski & Franziska Latell, How One Sees'', in: Variantology 4. On Deep Time Relations of Arts, Sciences and Technologies in the Arabic-Islamic World and Beyond, ed. by Siegfried Zielinski and Eckhard Fürlus in cooperation with Daniel Irrgang and Franziska Latell (Cologne: Verlag der Buchhandlung Walther König, 2010), pp. 19–42. Buchhandlung Walther-König - KWB 45: Variantology 4
External links
(PDF version)
'A Brief Introduction on Ibn al-Haytham' based on a lecture delivered at the Royal Society in London by Nader El-Bizri
Ibn al-Haytham on two Iraqi banknotes
The Miracle of Light – a UNESCO article on Ibn al-Haytham
Biography from Malaspina Global Portal
Short biographies on several "Muslim Heroes and Personalities" including Ibn al-Haytham
Biography from Trinity College (Connecticut)
Biography from Molecular Expressions
The First True Scientist from BBC News
Over the Moon From The UNESCO Courier on the occasion of the International Year of Astronomy 2009
The Mechanical Water Clock Of Ibn Al-Haytham, Muslim Heritage
Alhazen's (1572) Opticae thesaurus (English) – digital facsimile from the Linda Hall Library
960s births
1040 deaths
10th-century mathematicians
11th-century astronomers
11th-century mathematicians
Scholars under the Buyid dynasty
Mathematicians from the Fatimid Caliphate
Iraqi astronomers
Mathematicians under the Buyid dynasty
Iraqi scientists
Engineers of the medieval Islamic world
Medieval physicists
Philosophers of the medieval Islamic world
Philosophers of science
Natural philosophers
People from Basra
Precursors of photography
Scientists who worked on qibla determination
Inventors of the medieval Islamic world
History of scientific method
History of optics
11th-century inventors
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The age of consent is the age at which a person is considered to be legally competent to consent to sexual acts. Consequently, an adult who engages in sexual activity with a person younger than the age of consent is unable to legally claim that the sexual activity was consensual, and such sexual activity may be considered child sexual abuse or statutory rape. The person below the minimum age is considered the victim, and their sex partner the offender, although some jurisdictions provide exceptions through "Romeo and Juliet laws" if one or both participants are underage, and are close in age.
The term age of consent typically does not appear in legal statutes. Generally, a law will establish the age below which it is illegal to engage in sexual activity with that person. It has sometimes been used with other meanings, such as the age at which a person becomes competent to consent to marriage, but consent to sexual activity is the meaning now generally understood. It should not be confused with other laws regarding age minimums including, but not limited to, the age of majority, age of criminal responsibility, voting age, drinking age, and driving age.
Age of consent laws vary widely from jurisdiction to jurisdiction, though most jurisdictions set the age of consent in the range 14 to 18 (with the exceptions of Argentina and Niger which set the age of consent for 13, Mexico which sets the age of consent between 12 and 15, and 14 Muslim states and the Vatican City that set the consent by marriage only). The laws may also vary by the type of sexual act, the gender of the participants or other considerations, such as involving a position of trust; some jurisdictions may also make allowances for minors engaged in sexual acts with each other, rather than a single age. Charges and penalties resulting from a breach of these laws may range from a misdemeanor, such as corruption of a minor, to what is popularly called statutory rape.
There are many "grey areas" in this area of law, some regarding unspecific and untried legislation, others brought about by debates regarding changing societal attitudes, and others due to conflicts between federal and state laws. These factors all make age of consent an often confusing subject and a topic of highly charged debates.
By continent
Africa
Ages of consent in Africa
Americas
Ages of consent in North America
Ages of consent in the United States
Ages of consent in South America
Asia
Ages of consent in Asia
Europe
Ages of consent in Europe
Oceania
Ages of consent in Oceania
History and social attitudes
Traditional attitudes
In traditional societies, the age of consent for a sexual union was a matter for the family to decide, or a tribal custom. In most cases, this coincided with signs of puberty, menstruation for a woman, and pubic hair for a man.
Reliable data for ages at marriage is scarce. In England, for example, the only reliable data in the early modern period comes from property records made after death. Not only were the records relatively rare, but not all bothered to record the participants' ages, and it seems that the more complete the records are, the more likely they are to reveal young marriages. Modern historians have sometimes shown reluctance to accept evidence of young ages of marriage, dismissing it as a 'misreading' by a later copier of the records.
In the 12th century, Gratian, the influential compiler of canon law in medieval Europe, accepted the age of puberty for marriage to be around twelve for girls and around fourteen for boys but acknowledged consent to be meaningful if both children were older than seven years of age. There were authorities that said that such consent for entering marriage could take place earlier. Marriage would then be valid as long as neither of the two parties annulled the marital agreement before reaching puberty, or if they had already consummated the marriage. Judges sometimes honored marriages based on mutual consent at ages younger than seven: in contrast to established canon, there are recorded marriages of two- and three-year-olds.
In China, 慶元條法事類 (Law Code of the Qingyuan Reign), published in 1202 which catelogued laws that came into effect from 1127 to 1195, introduced statutory rape in the following decree '諸強姦者，女十歲以下雖和也同，流三千里，配遠惡州；未成，配五百里；折傷者，絞。 Successful intercourse with girls younger than 10 is considered rape in all circumstances, punishable by exile 3000 li (miles) away into the uncivilized provinces; if the rape was unsuccessful, exile by 500 li; If injury occurs in process, death by hanging'.
From 1275 in England; as part of its provisions on rape, the Statute of Westminster 1275 made it a misdemeanor to "ravish" a "maiden within age," whether with or without her consent. The phrase "within age" was later interpreted by jurist Sir Edward Coke (England, 17th century) as meaning the age of marriage, which at the time was twelve years of age.
大明律·集解附例卷之二十五·刑律·犯姦, (Great Ming Code, 25th section, Criminal Code on Rape) came into effect from 1373, raised the age of consent to 12 by stating '十二歲以下幼女未有欲心故雖和同強論成姦者亦坐絞罪。 Girls younger than 12 lack rational sexual desires, therefore any intercourse with them is considered the same as rape and therefore punishable by death with hanging.'
The American colonies followed the English tradition, and the law was more of a guide. For example, Mary Hathaway (Virginia, 1689) was only nine when she was married to William Williams. Sir Edward Coke "made it clear that the marriage of girls under 12 was normal, and the age at which a girl who was a wife was eligible for a dower from her husband's estate was 9 even though her husband be only four years old."
In the 16th century, a small number of Italian and German states set the minimum age for sexual intercourse for girls, setting it at twelve years. Towards the end of the 18th century, other European countries also began to enact similar laws. The first French Constitution of 1791 established the minimum age at eleven years. Portugal, Spain, Denmark and the Swiss cantons initially set the minimum age at ten to twelve years.
Age of consent laws were historically difficult to follow and enforce. Legal norms based on age were not, in general, common until the 19th century, because clear proof of exact age and precise date of birth were often unavailable.
In 18th century Australia it was thought that children were inherently sinful and vulnerable to sexual temptations. Punishment for "giving in" to these temptations was generally left to parents and was not seen as a government matter, except in the case of rape. Australian children had few rights and were legally considered the chattel of their parents. From the late 18th century, and especially in the 19th century, attitudes started to change. By the mid-19th century there was increased concern over child sexual abuse.
Reforms in the 19th and 20th century
A general shift in social and legal attitudes toward issues of sex occurred during the modern era. Attitudes on the appropriate age of permission for females to engage in sexual activity drifted toward adulthood. While ages from ten to thirteen years were typically regarded as acceptable ages for sexual consent in Western countries during the mid-19th century, by the end of the 19th century changing attitudes towards sexuality and childhood resulted in the raising of the age of consent.
English common law had traditionally set the age of consent within the range of ten to twelve years old, but the Offences Against the Person Act 1875 raised this to thirteen in Great Britain and Ireland. Early feminists of the Social Purity movement, such as Josephine Butler and others, instrumental in securing the repeal of the Contagious Diseases Acts, began to turn towards the problem of child prostitution by the end of the 1870s. Sensational media revelations about the scourge of child prostitution in London in the 1880s then caused outrage among the respectable middle-classes, leading to pressure for the age of consent to be raised again.
The investigative journalist William Thomas Stead of the Pall Mall Gazette was pivotal in exposing the problem of child prostitution in the London underworld through a publicity stunt. In 1885 he "purchased" one victim, Eliza Armstrong, the thirteen-year-old daughter of a chimney sweep, for five pounds and took her to a brothel where she was drugged. He then published a series of four exposés entitled The Maiden Tribute of Modern Babylon, which shocked its readers with tales of child prostitution and the abduction, procurement, and sale of young English virgins to Continental "pleasure palaces". The "Maiden Tribute" was an instant sensation with the reading public, and Victorian society was thrown into an uproar about prostitution. Fearing riots on a national scale, the Home Secretary, Sir William Harcourt, pleaded in vain with Stead to cease publication of the articles. A wide variety of reform groups held protest meetings and marched together to Hyde Park demanding that the age of consent be raised. The government was forced to propose the Criminal Law Amendment Act 1885, which raised the age of consent from thirteen to sixteen and clamped down on prostitution.
In the United States, as late as the 1880s most states set the minimum age at ten to twelve (in Delaware, it was seven in 1895). Inspired by the "Maiden Tribute" articles, female reformers in the U.S. initiated their own campaign, which petitioned legislators to raise the legal minimum age to at least sixteen, with the ultimate goal to raise the age to eighteen. The campaign was successful, with almost all states raising the minimum age to sixteen to eighteen years by 1920.
In France, Portugal, Denmark, the Swiss cantons and other countries, the minimum age was raised to between thirteen and sixteen years in the following decades. Though the original arguments for raising the age of consent were based on morality, since then the raison d'être of the laws has changed to child welfare and a so-called right to childhood or innocence.
In France, under the Napoleonic Code, the age of consent was set in 1832 at eleven, and was raised to thirteen in 1863. It was increased to fifteen in 1945. In the 1970s, a group of prominent French intellectuals advocated for the repeal of the age of consent laws, but did not succeed.
In Spain, it was set in 1822 at "puberty age", and changed to twelve in 1870, which was kept until 1999, when it became 13; and in 2015 it was raised to 16.
21st century
In the 21st century, concerns about child sex tourism and commercial sexual exploitation of children gained prominence, resulting in legislative changes in multiple jurisdictions, as well as the adoption of international laws.
The Council of Europe Convention on the Protection of Children against Sexual Exploitation and Sexual Abuse (Lanzarote, 25 October 2007), and the European Union's Directive 2011/92/EU of the European Parliament and of the Council of 13 December 2011 on combating the sexual abuse and sexual exploitation of children and child pornography were adopted.
The Optional Protocol on the Sale of Children, Child Prostitution and Child Pornography came into force in 2002.
The Protocol to Prevent, Suppress and Punish Trafficking in Persons, especially Women and Children, which came into force in 2003, prohibits commercial sexual exploitation of children.
The Council of Europe Convention on Action against Trafficking in Human Beings (which came into force in 2008) also deals with commercial sexual exploitation of children.
Several Western countries have raised their ages of consent in recent decades. These include Canada (in 2008—from 14 to 16); and in Europe, Iceland (in 2007—from 14 to 15), Lithuania (in 2010—from 14 to 16), Croatia (in 2013—from 14 to 15), Spain (in 2015—from 13 to 16), Romania (in 2020 from 15 to 16) and Estonia (in 2022—from 14 to 16).
The International Criminal Court Statute does not provide a specific age of consent in its rape/sexual violence statute, but makes reference to sexual acts committed against persons "incapable of giving genuine consent"; and the explicative footnote states, "It is understood that a person may be incapable of giving genuine consent if affected by natural, induced or age-related incapacity." (see note 51)
Law
Sexual relations with a person under the age of consent is a crime in most countries; Jurisdictions use a variety of terms for the offense, including child sexual abuse, statutory rape, illegal carnal knowledge, corruption of a minor, besides others.
The enforcement practices of age-of-consent laws vary depending on the social sensibilities of the particular culture (see above). Often, enforcement is not exercised to the letter of the law, with legal action being taken only when a sufficiently socially-unacceptable age gap exists between the two individuals, or if the perpetrator is in a position of power over the minor (e.g. a teacher, minister, or doctor). The sex of each participant can also influence perceptions of an individual's guilt and therefore enforcement.
Age
The threshold age for engaging in sexual activity varies between jurisdictions. Most jurisdictions have set a fixed age of consent. However, some jurisdictions permit sex with a person after the onset of their puberty, such as Yemen, but only in marriage. Ages can also vary based on the type of calendar used, such as the lunar calendar, how birth dates in leap years are handled, or even the method by which birth date is calculated.
Defenses and exceptions
The age of consent is a legal barrier to the minor's ability to consent and therefore obtaining consent is not in general a defense to having sexual relations with a person under the prescribed age, for example:
Reasonable belief that the victim is over the age of consent
In some jurisdictions it is a defense if the accused can show their reasonable belief that the victim was over the age of consent. However, where such a defense is provided, it normally applies only when the victim is close to the age of consent or the accused can show due diligence in determining the age of the victim (e.g. an underage person who used a fake identification document claiming to be of legal age).
Marriage
In various jurisdictions, age of consent laws do not apply if the parties are legally married to each other. Ruhollah Khomeini, First Supreme Leader of Iran, in Tahrir al-Wasilah apart from sexual penetration, which he said a girl must be at least 9 years old to do it; he considered other sexual pleasures to be unobjection, whether after 9 years old or before 9 years old, even if those sexual acts done with a suckling infant.
Close-in-age exemptions
Similar age
Some jurisdictions have laws explicitly allowing sexual acts with minors under the age of consent if their partner is close in age. In Canada, the age of consent is 16, but there are three close-in-age exemptions: sex with minors aged 14–15 is permitted if the partner is less than five years older, sex with minors aged 12–13 is permitted if the partner is less than two years older, and sex with minors aged 0–11 is permitted if the partner is 12 or 13 years of age, as long as the partner is not in a position of trust over the other minor.
Age under threshold
Another approach takes the form of a stipulation that sexual intercourse between a minor and an older partner is legal under the condition that the latter does not exceed a certain age. For example, the age of consent in the US state of Delaware is 18, but it is allowed for teenagers aged 16 and 17 to engage in sexual intercourse as long as the older partner is younger than 30. The law in Canada for sex between minors aged 0–11 with a partner younger than 14 also takes this form.
Similar maturity
Other countries state that the sexual conduct with the minor is not to be punished if the partners are of a similar age and development: for instance, the age of consent in Finland is 16, but the law states that the act will not be punished if "there is no great difference in the ages or the mental and physical maturity of the persons involved". In Slovenia, the age of consent is 15, but the activity is only deemed criminal if there is "a marked discrepancy between the maturity of the perpetrator and that of the victim".
Homosexual and heterosexual age discrepancies
Some jurisdictions, such as the Bahamas, UK overseas territory of the Cayman Islands, Chile, Paraguay and Suriname have a higher age of consent for same-sex sexual activity. However, such discrepancies are increasingly being challenged. Within Bermuda for example (since 1 November 2019 under section 177 of the Criminal Code Act 1907) the age of consent for vaginal and oral sex is 16, but for anal sex it is 18. In Canada, the United Kingdom and Western Australia, for example, the age of consent was formerly 21 for same-sex sexual activity between males (with no laws regarding lesbian sexual activities), while it was 16 for heterosexual sexual activity; this is no longer the case and the age of consent for all sexual activity is 16. In June 2019, the Canadian government repealed the section of the criminal code that set a higher age of consent for anal intercourse.
Gender-age differentials In some jurisdictions (such as Indonesia), there are different ages of consent for heterosexual sexual activity that are based on the gender of each person. In countries where there are gender-age differentials, the age of consent may be higher for girls—for example in Papua New Guinea, where the age of consent for heterosexual sex is 16 for girls and 14 for boys, or they may be higher for males, such as in Indonesia, where males must be 19 years old and females must be 16 years old. There are also numerous jurisdictions—such as Kuwait and the Palestinian Territories—in which marriage laws govern the gender-age differential. In these jurisdictions, it is illegal to have sexual intercourse outside of marriage, so the de facto age of consent is the marriageable age. In Kuwait, this means that boys must be at least 17 and girls at least 15 years old.
Position of authority/trust
In most jurisdictions where the age of consent is below 18 (such as England and Wales), in cases where a person aged 18 or older is in a position of trust over a person under 18, the age of consent usually rises to 18 or higher. Examples of such positions of trust include relationships between teachers and students. For example, in England and Wales the age of consent is 16, but if the person is a student of the older person it becomes 18.
Circumstances of the relationship
In several jurisdictions, it is illegal to engage in sexual activity with a person under a certain age under certain circumstances regarding the relationship in question, such as if it involves taking advantage of or corrupting the morals of the young person. For example, while the age of consent is 14 in Germany and 16 in Canada, it is illegal in both countries to engage in sexual activity with a person under 18 if the activity exploits the younger person. Another example is in Mexico, where there is a crime called "estupro" defined as sexual activity with a person over the age of consent but under a certain age limit (generally 18) in which consent of the younger person was obtained through seduction and/or deceit. In Pennsylvania, the age of consent is officially 16, but if the older partner is 18 or older, they may still be prosecuted for corruption of minors for their corruption or tending to corrupt the morals of the younger person.
Extraterritoriality
A growing number of countries have specific extraterritorial legislation that prosecutes their citizens in their homeland should they engage in illicit sexual conduct in a foreign country with children. In 2008, ECPAT reported that 44 countries had extraterritorial child sex legislation. For example, PROTECT Act of 2003, a federal United States law bans sexual activity by its citizens with foreigners or with U.S. citizens from another state, if the partner is under 18 and the activity is illegal under the federal, state, or local law. This applies in cases where any of the partners travels into or out of the United States, or from one state into another, for the purpose of an illegal sexual encounter.
Other issues
Gender of participants
There is debate as to whether the gender of those involved should lead to different treatment of the sexual encounter, in law or in practice. Traditionally, age of consent laws regarding vaginal intercourse were often meant to protect the chastity of unmarried girls. Many feminists and social campaigners in the 1970s have objected to the social importance of virginity, and have also attempted to change the stereotypes of female passivity and male aggression; demanding that the law protect children from exploitation regardless of their gender, rather than dealing with concerns of chastity. This has led to gender-neutral laws in many jurisdictions. On the other hand, there is an opposing view which argues that the act of vaginal intercourse is an "unequal act" for males and females, due to issues such as pregnancy, increased risk of STDs, and risk of physical injury if the girl is too young and not physically ready. In the US, in Michael M. v. Superior Ct.450 U.S. 464 (1981) it was ruled that the double standard of offering more legal protection to girls is valid because "the Equal Protection Clause does not mean that the physiological differences between men and women must be disregarded".
Traditionally, many age of consent laws dealt primarily with men engaging in sexual acts with underage girls and boys (the latter acts often falling under sodomy and buggery laws). This means that in some legal systems, issues of women having sexual contact with underage partners were rarely acknowledged. For example, until 2000, in the UK, before the Sexual Offences (Amendment) Act 2000, there was no statutory age of consent for lesbian sex. In New Zealand, before 2005, there were no age of consent laws dealing with women having sex with underage boys. Previously, in Fiji, male offenders of child sexual abuse could receive up to life imprisonment, whilst female offenders would receive up to seven years. Situations like these have been attributed to societal views on traditional gender roles, and to constructs of male sexuality and female sexuality; according to E Martellozzo, "[V]iewing females as perpetrators of sexual abuse goes against every stereotype that society has of women: women as mothers and caregivers and not as people who abuse and harm". Alissa Nutting argues that women are not acknowledged as perpetrators of sex crimes because society does not accept that women have an autonomous sexuality of their own.
Marriage and the age of consent
The age at which a person can be legally married can differ from the age of consent. In jurisdictions where the marriageable age is lower than the age of consent, those laws usually override the age of consent laws in the case of a married couple where one or both partners are below the age of consent. Some jurisdictions prohibit all sex outside of marriage irrespective of age, as in the case of Yemen.
Prostitution
In many countries, there are specific laws dealing with child prostitution.
Pornography and "jailbait" images
In some countries, states, or other jurisdictions, the age of consent may be lower than the age at which a person can appear in pornographic images and films. In many jurisdictions, the minimum age for participation and even viewing such material is 18. As such, in some jurisdictions, films and images showing individuals under the age of 18, but above the age of consent, that meet the legal definition of child pornography are prohibited despite the fact that the sexual acts depicted are legal to engage in otherwise under that jurisdiction's age of consent laws. In those cases, it is only the filming of the sex act that is the crime as the act itself would not be considered a sex crime. For example, in the United States under federal law it is a crime to film minors below 18 in sexual acts, even in states where the age of consent is below 18. In those states, charges such as child pornography can be used to prosecute someone having sex with a minor, who could not otherwise be prosecuted for statutory rape, provided they filmed or photographed the act.
Jailbait images can be differentiated from child pornography, as they do not feature minors before the onset of puberty, nor do they contain nudity. The images are, however, usually sexualized, often featuring tween or young teenagers in bikinis, skirts, underwear or lingerie. Whether or not these images are legal is debated. When questioned regarding their legality legal analyst Jeffrey Toobin stated he thought it was not illegal, though legal expert Sunny Hostin was more skeptical, describing jailbait images as "borderline" child pornography which may be illegal.
Health
The human immune system continues to develop after puberty. The age of exposure has an influence upon if the immune system can fend off infections in general, and this is also true in the case of some sexually transmitted diseases. For example, a risk factor for HPV strains causing genital warts is sexual debut at a young age; if this extends to the cancer causing strains, then sexual debut at a young age would potentially also increase risk of persistence of HPV infections that cause the very HPV induced cancers that are being diagnosed in spiking numbers of relatively young people.
Initiatives to change the age of consent
Age-of-consent reform refers to the efforts of some individuals or groups, for different reasons, to alter or abolish age-of-consent laws. These efforts advocate positions such as:
Introductions of close-in-age exceptions.
Reducing the age-of-consent for homosexual activity to match that of heterosexual activity.
A change in the way that age-of-consent laws are examined in court.
Either increases in the ages of consent or more severe penalties or both.
Either decreases in the ages of consent or less severe penalties or both.
Abolition of the age-of-consent laws either permanently or as a temporary, practical expedient.
See also
Adult film industry regulations
Age disparity in sexual relationships
Age of accountability
Age of candidacy
Age of Consent Act, 1891 (British India)
Age of consent reform (UK)
Age of consent by country
Age of majority
Age of reason (canon law)
Child sexual abuse
Comprehensive sex education
Convention on the Rights of the Child
Emancipation of minors
Fitness to plead, law of England and Wales
French petition against age of consent laws
Gillick competence
Legal age
Mature minor doctrine
Minors and abortion
Sex-positive movement
Sodomy law
The Maiden Tribute of Modern Babylon
Youth
Youth suffrage
Youth rights
References
Further reading
Brewer, Holly. By Birth or Consent: Children, Law, & the Anglo-American Revolution in Authority ; Univ. of North Carolina Press (Chapel Hill, 2005)
Robertson, Stephen (University of Sydney). "Age of Consent Laws." In: Children & Youth in History, Roy Rosenzweig Center for History and New Media (CHNM) at George Mason University and the University of Missouri–Kansas City.—Includes links to primary sources.
Waites, Matthew (2005). The Age of Consent: Young People, Sexuality and Citizenship, (New York [United States] and Houndmills, Basingstoke [United Kingdom]: Palgrave Macmillan)
External links
(Some information may be out of date)
Adolescent sexuality
Age and society
Minimum ages
Sex laws
Sexuality and age
Statutory law
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The Amazon River (, ; , ) in South America is the largest river by discharge volume of water in the world, and the disputed longest river system in the world in comparison to the Nile.
The headwaters of the Apurímac River on Nevado Mismi had been considered for nearly a century the Amazon basin's most distant source until a 2014 study found it to be the headwaters of the Mantaro River on the Cordillera Rumi Cruz in Peru. The Mantaro and Apurímac rivers join, and with other tributaries form the Ucayali River, which in turn meets the Marañón River upstream of Iquitos, Peru, forming what countries other than Brazil consider to be the main stem of the Amazon. Brazilians call this section the Solimões River above its confluence with the Rio Negro forming what Brazilians call the Amazon at the Meeting of Waters () at Manaus, the largest city on the river.
The Amazon River has an average discharge of about —approximately per year, greater than the next seven largest independent rivers combined. Two of the top ten rivers by discharge are tributaries of the Amazon river. The Amazon represents 20% of the global riverine discharge into oceans. The Amazon basin is the largest drainage basin in the world, with an area of approximately . The portion of the river's drainage basin in Brazil alone is larger than any other river's basin. The Amazon enters Brazil with only one-fifth of the flow it finally discharges into the Atlantic Ocean, yet already has a greater flow at this point than the discharge of any other river.
Etymology
The Amazon was initially known by Europeans as the Marañón, and the Peruvian part of the river is still known by that name today. It later became known as Rio Amazonas in Spanish and Portuguese.
The name Rio Amazonas was reportedly given after native warriors attacked a 16th-century expedition by Francisco de Orellana. The warriors were led by women, reminding de Orellana of the Amazon warriors, a tribe of women warriors related to Iranian Scythians and Sarmatians mentioned in Greek mythology.
The word Amazon itself may be derived from the Iranian compound *ha-maz-an- "(one) fighting together" or ethnonym *ha-mazan- "warriors", a word attested indirectly through a derivation, a denominal verb in Hesychius of Alexandria's gloss (": 'to make war' in Persian"), where it appears together with the Indo-Iranian root *kar- "make" (from which Sanskrit karma is also derived).
Other scholars claim that the name is derived from the Tupi word amassona, meaning "boat destroyer".
History
Geological history
Recent geological studies suggest that for millions of years the Amazon River used to flow in the opposite direction - from east to west. Eventually the Andes Mountains formed, blocking its flow to the Pacific Ocean, and causing it to switch directions to its current mouth in the Atlantic Ocean.
Pre-Columbian era
During what many archaeologists called the formative stage, Amazonian societies were deeply involved in the emergence of South America's highland agrarian systems. The trade with Andean civilizations in the terrains of the headwaters in the Andes formed an essential contribution to the social and religious development of higher-altitude civilizations like the Muisca and Incas. Early human settlements were typically based on low-lying hills or mounds.
Shell mounds were the earliest evidence of habitation; they represent piles of human refuse (waste) and are mainly dated between 7500 BC and 4000 BC. They are associated with ceramic age cultures; no preceramic shell mounds have been documented so far by archaeologists. Artificial earth platforms for entire villages are the second type of mounds. They are best represented by the Marajoara culture. Figurative mounds are the most recent types of occupation.
There is ample evidence that the areas surrounding the Amazon River were home to complex and large-scale indigenous societies, mainly chiefdoms who developed towns and cities. Archaeologists estimate that by the time the Spanish conquistador De Orellana traveled across the Amazon in 1541, more than 3 million indigenous people lived around the Amazon. These pre-Columbian settlements created highly developed civilizations. For instance, pre-Columbian indigenous people on the island of Marajó may have developed social stratification and supported a population of 100,000 people. To achieve this level of development, the indigenous inhabitants of the Amazon rainforest altered the forest's ecology by selective cultivation and the use of fire. Scientists argue that by burning areas of the forest repeatedly, the indigenous people caused the soil to become richer in nutrients. This created dark soil areas known as terra preta de índio ("Indian dark earth"). Because of the terra preta, indigenous communities were able to make land fertile and thus sustainable for the large-scale agriculture needed to support their large populations and complex social structures. Further research has hypothesized that this practice began around 11,000 years ago. Some say that its effects on forest ecology and regional climate explain the otherwise inexplicable band of lower rainfall through the Amazon basin.
Many indigenous tribes engaged in constant warfare. According to James S. Olson, "The Munduruku expansion (in the 18th century) dislocated and displaced the Kawahíb, breaking the tribe down into much smaller groups ... [Munduruku] first came to the attention of Europeans in 1770 when they began a series of widespread attacks on Brazilian settlements along the Amazon River."
Arrival of Europeans
In March 1500, Spanish conquistador Vicente Yáñez Pinzón was the first documented European to sail up the Amazon River. Pinzón called the stream Río Santa María del Mar Dulce, later shortened to Mar Dulce, literally, sweet sea, because of its freshwater pushing out into the ocean. Another Spanish explorer, Francisco de Orellana, was the first European to travel from the origins of the upstream river basins, situated in the Andes, to the mouth of the river. In this journey, Orellana baptized some of the affluents of the Amazonas like Rio Negro, Napo and Jurua.
The name Amazonas is thought to be taken from the native warriors that attacked this expedition, mostly women, that reminded De Orellana of the mythical female Amazon warriors from the ancient Hellenic culture in Greece (see also Origin of the name).
Exploration
Gonzalo Pizarro set off in 1541 to explore east of Quito into the South American interior in search of El Dorado, the "city of gold" and La Canela, the "valley of cinnamon". He was accompanied by his second-in-command Francisco de Orellana. After , the Coca River joined the Napo River (at a point now known as Puerto Francisco de Orellana); the party stopped for a few weeks to build a boat just upriver from this confluence. They continued downriver through an uninhabited area, where they could not find food. Orellana offered and was ordered to follow the Napo River, then known as Río de la Canela ("Cinnamon River"), and return with food for the party. Based on intelligence received from a captive native chief named Delicola, they expected to find food within a few days downriver by ascending another river to the north.
De Orellana took about 57 men, the boat, and some canoes and left Pizarro's troops on 26 December 1541. However, De Orellana missed the confluence (probably with the Aguarico) where he was searching supplies for his men. By the time he and his men reached another village, many of them were sick from hunger and eating "noxious plants", and near death. Seven men died in that village. His men threatened to mutiny if the expedition turned back to attempt to rejoin Pizarro, the party being over 100 leagues downstream at this point. He accepted to change the purpose of the expedition to discover new lands in the name of the king of Spain, and the men built a larger boat in which to navigate downstream. After a journey of down the Napo River, they reached a further major confluence, at a point near modern Iquitos, and then followed the upper Amazon, now known as the Solimões, for a further to its confluence with the Rio Negro (near modern Manaus), which they reached on 3 June 1542.
Regarding the initial mission of finding cinnamon, Pizarro reported to the king that they had found cinnamon trees, but that they could not be profitably harvested. True cinnamon (Cinnamomum Verum) is not native to South America. Other related cinnamon-containing plants (of the family Lauraceae) are fairly common in that part of the Amazon and Pizarro probably saw some of these. The expedition reached the mouth of the Amazon on 24 August 1542, demonstrating the practical navigability of the Great River.
In 1560, another Spanish conquistador, Lope de Aguirre, may have made the second descent of the Amazon. Historians are uncertain whether the river he descended was the Amazon or the Orinoco River, which runs more or less parallel to the Amazon further north.
Portuguese explorer Pedro Teixeira was the first European to travel up the entire river. He arrived in Quito in 1637, and returned via the same route.
From 1648 to 1652, Portuguese Brazilian bandeirante António Raposo Tavares led an expedition from São Paulo overland to the mouth of the Amazon, investigating many of its tributaries, including the Rio Negro, and covering a distance of over .
In what is currently in Brazil, Ecuador, Bolivia, Colombia, Peru, and Venezuela, several colonial and religious settlements were established along the banks of primary rivers and tributaries for trade, slaving, and evangelization among the indigenous peoples of the vast rainforest, such as the Urarina. In the late 1600s, Czech Jesuit Father Samuel Fritz, an apostle of the Omagus established some forty mission villages. Fritz proposed that the Marañón River must be the source of the Amazon, noting on his 1707 map that the Marañón "has its source on the southern shore of a lake that is called Lauricocha, near Huánuco." Fritz reasoned that the Marañón is the largest river branch one encounters when journeying upstream, and lies farther to the west than any other tributary of the Amazon. For most of the 18th–19th centuries and into the 20th century, the Marañón was generally considered the source of the Amazon.
Scientific exploration
Early scientific, zoological, and botanical exploration of the Amazon River and basin took place from the 18th century through the first half of the 19th century.
Charles Marie de La Condamine explored the river in 1743.
Alexander von Humboldt, 1799–1804
Johann Baptist von Spix and Carl Friedrich Philipp von Martius, 1817–1820
Georg von Langsdorff, 1826–1828
Henry Walter Bates and Alfred Russel Wallace, 1848–1859
Richard Spruce, 1849–1864
Post-colonial exploitation and settlement
The Cabanagem revolt (1835–1840) was directed against the white ruling class. It is estimated that from 30% to 40% of the population of Grão-Pará, estimated at 100,000 people, died.
The population of the Brazilian portion of the Amazon basin in 1850 was perhaps 300,000, of whom about 175,000 were Europeans and 25,000 were slaves. The Brazilian Amazon's principal commercial city, Pará (now Belém), had from 10,000 to 12,000 inhabitants, including slaves. The town of Manáos, now Manaus, at the mouth of the Rio Negro, had a population between 1,000 and 1,500. All the remaining villages, as far up as Tabatinga, on the Brazilian frontier of Peru, were relatively small.
On 6 September 1850, Emperor Pedro II of Brazil sanctioned a law authorizing steam navigation on the Amazon and gave the Viscount of Mauá (Irineu Evangelista de Sousa) the task of putting it into effect. He organised the "Companhia de Navegação e Comércio do Amazonas" in Rio de Janeiro in 1852; in the following year it commenced operations with four small steamers, the Monarca ('Monarch'), the Cametá, the Marajó and the Rio Negro.
At first, navigation was principally confined to the main river; and even in 1857 a modification of the government contract only obliged the company to a monthly service between Pará and Manaus, with steamers of 200 tons cargo capacity, a second line to make six round voyages a year between Manaus and Tabatinga, and a third, two trips a month between Pará and Cametá. This was the first step in opening up the vast interior.
The success of the venture called attention to the opportunities for economic exploitation of the Amazon, and a second company soon opened commerce on the Madeira, Purús, and Negro; a third established a line between Pará and Manaus, and a fourth found it profitable to navigate some of the smaller streams. In that same period, the Amazonas Company was increasing its fleet. Meanwhile, private individuals were building and running small steam craft of their own on the main river as well as on many of its tributaries.
On 31 July 1867, the government of Brazil, constantly pressed by the maritime powers and by the countries encircling the upper Amazon basin, especially Peru, decreed the opening of the Amazon to all countries, but they limited this to certain defined points: Tabatinga – on the Amazon; Cametá – on the Tocantins; Santarém – on the Tapajós; Borba – on the Madeira, and Manaus – on the Rio Negro. The Brazilian decree took effect on 7 September 1867.
Thanks in part to the mercantile development associated with steamboat navigation coupled with the internationally driven demand for natural rubber, the Peruvian city of Iquitos became a thriving, cosmopolitan center of commerce. Foreign companies settled in Iquitos, from where they controlled the extraction of rubber. In 1851 Iquitos had a population of 200, and by 1900 its population reached 20,000. In the 1860s, approximately 3,000 tons of rubber were being exported annually, and by 1911 annual exports had grown to 44,000 tons, representing 9.3% of Peru's exports. During the rubber boom it is estimated that diseases brought by immigrants, such as typhus and malaria, killed 40,000 native Amazonians.
The first direct foreign trade with Manaus commenced around 1874. Local trade along the river was carried on by the English successors to the Amazonas Company—the Amazon Steam Navigation Company—as well as numerous small steamboats, belonging to companies and firms engaged in the rubber trade, navigating the Negro, Madeira, Purús, and many other tributaries, such as the Marañón, to ports as distant as Nauta, Peru.
By the turn of the 20th century, the exports of the Amazon basin were India-rubber, cacao beans, Brazil nuts and a few other products of minor importance, such as pelts and exotic forest produce (resins, barks, woven hammocks, prized bird feathers, live animals) and extracted goods, such as lumber and gold.
20th-century development
Since colonial times, the Portuguese portion of the Amazon basin has remained a land largely undeveloped by agriculture and occupied by indigenous people who survived the arrival of European diseases.
Four centuries after the European discovery of the Amazon river, the total cultivated area in its basin was probably less than , excluding the limited and crudely cultivated areas among the mountains at its extreme headwaters. This situation changed dramatically during the 20th century.
Wary of foreign exploitation of the nation's resources, Brazilian governments in the 1940s set out to develop the interior, away from the seaboard where foreigners owned large tracts of land. The original architect of this expansion was president Getúlio Vargas, with the demand for rubber from the Allied forces in World War II providing funding for the drive.
In the 1960s, economic exploitation of the Amazon basin was seen as a way to fuel the "economic miracle" occurring at the time. This resulted in the development of "Operation Amazon", an economic development project that brought large-scale agriculture and ranching to Amazonia. This was done through a combination of credit and fiscal incentives.
However, in the 1970s the government took a new approach with the National Integration Program (PIN). A large-scale colonization program saw families from northeastern Brazil relocated to the "land without people" in the Amazon Basin. This was done in conjunction with infrastructure projects mainly the Trans-Amazonian Highway (Transamazônica).
The Trans-Amazonian Highway's three pioneering highways were completed within ten years but never fulfilled their promise. Large portions of the Trans-Amazonian and its accessory roads, such as BR-317 (Manaus-Porto Velho), are derelict and impassable in the rainy season. Small towns and villages are scattered across the forest, and because its vegetation is so dense, some remote areas are still unexplored.
Many settlements grew along the road from Brasília to Belém with the highway and National Integration Program, however, the program failed as the settlers were unequipped to live in the delicate rainforest ecosystem. This, although the government believed it could sustain millions, instead could sustain very few.
With a population of 1.9 million people in 2014, Manaus is the largest city on the Amazon. Manaus alone makes up approximately 50% of the population of the largest Brazilian state of Amazonas. The racial makeup of the city is 64% pardo (mulatto and mestizo) and 32% white.
Although the Amazon river remains undammed, around 412 dams are in operation in the Amazon's tributary rivers. From these 412 dams, 151 are constructed over six of the main tributary rivers that drain into the Amazon. Since only 4% of the Amazon's hydropower potential has been developed in countries like Brazil, more damming projects are underway and hundreds more are planned. After witnessing the negative effects of environmental degradation, sedimentation, navigation and flood control caused by the Three Gorges Dam in the Yangtze River, scientists are worried that constructing more dams in the Amazon will harm its biodiversity in the same way by "blocking fish-spawning runs, reducing the flows of vital oil nutrients and clearing forests". Damming the Amazon River could potentially bring about the "end of free flowing rivers" and contribute to an "ecosystem collapse" that will cause major social and environmental problems.
Course
Origins
The most distant source of the Amazon was thought to be in the Apurímac river drainage for nearly a century. Such studies continued to be published even recently, such as in 1996, 2001, 2007, and 2008, where various authors identified the snowcapped Nevado Mismi peak, located roughly west of Lake Titicaca and southeast of Lima, as the most distant source of the river. From that point, Quebrada Carhuasanta emerges from Nevado Mismi, joins Quebrada Apacheta and soon forms Río Lloqueta which becomes Río Hornillos and eventually joins the Río Apurímac.
A 2014 study by Americans James Contos and Nicolas Tripcevich in Area, a peer-reviewed journal of the Royal Geographical Society, however, identifies the most distant source of the Amazon as actually being in the Río Mantaro drainage. A variety of methods were used to compare the lengths of the Mantaro river vs. the Apurímac river from their most distant source points to their confluence, showing the longer length of the Mantaro. Then distances from Lago Junín to several potential source points in the uppermost Mantaro river were measured, which enabled them to determine that the Cordillera Rumi Cruz was the most distant source of water in the Mantaro basin (and therefore in the entire Amazon basin). The most accurate measurement method was direct GPS measurement obtained by kayak descent of each of the rivers from their source points to their confluence (performed by Contos). Obtaining these measurements was difficult given the class IV–V nature of each of these rivers, especially in their lower "Abyss" sections. Ultimately, they determined that the most distant point in the Mantaro drainage is nearly 80 km farther upstream compared to Mt. Mismi in the Apurímac drainage, and thus the maximal length of the Amazon river is about 80 km longer than previously thought. Contos continued downstream to the ocean and finished the first complete descent of the Amazon river from its newly identified source (finishing November 2012), a journey repeated by two groups after the news spread.
After about , the Apurímac then joins Río Mantaro to form the Ene, which joins the Perene to form the Tambo, which joins the Urubamba River to form the Ucayali. After the confluence of Apurímac and Ucayali, the river leaves Andean terrain and is surrounded by floodplain. From this point to the confluence of the Ucayali and the Marañón, some , the forested banks are just above the water and are inundated long before the river attains its maximum flood stage. The low river banks are interrupted by only a few hills, and the river enters the enormous Amazon rainforest.
The Upper Amazon or Solimões
Although the Ucayali–Marañón confluence is the point at which most geographers place the beginning of the Amazon River proper, in Brazil the river is known at this point as the Solimões das Águas. The river systems and flood plains in Brazil, Peru, Ecuador, Colombia, and Venezuela, whose waters drain into the Solimões and its tributaries, are called the "Upper Amazon".
The Amazon proper runs mostly through Brazil and Peru, and is part of the border between Colombia and Perú. It has a series of major tributaries in Colombia, Ecuador and Peru, some of which flow into the Marañón and Ucayali, and others directly into the Amazon proper. These include rivers Putumayo, Caquetá, Vaupés, Guainía, Morona, Pastaza, Nucuray, Urituyacu, Chambira, Tigre, Nanay, Napo, and Huallaga.
At some points, the river divides into anabranches, or multiple channels, often very long, with inland and lateral channels, all connected by a complicated system of natural canals, cutting the low, flat igapó lands, which are never more than above low river, into many islands.
From the town of Canaria at the great bend of the Amazon to the Negro, vast areas of land are submerged at high water, above which only the upper part of the trees of the sombre forests appear. Near the mouth of the Rio Negro to Serpa, nearly opposite the river Madeira, the banks of the Amazon are low, until approaching Manaus, they rise to become rolling hills.
The Lower Amazon
The Lower Amazon begins where the darkly colored waters of the Rio Negro meets the sandy-colored Rio Solimões (the upper Amazon), and for over these waters run side by side without mixing. At Óbidos, a bluff above the river is backed by low hills. The lower Amazon seems to have once been a gulf of the Atlantic Ocean, the waters of which washed the cliffs near Óbidos.
Only about 10% of the Amazon's water enters downstream of Óbidos, very little of which is from the northern slope of the valley. The drainage area of the Amazon basin above Óbidos city is about , and, below, only about (around 20%), exclusive of the of the Tocantins basin. The Tocantins River enters the southern portion of the Amazon delta.
In the lower reaches of the river, the north bank consists of a series of steep, table-topped hills extending for about from opposite the mouth of the Xingu as far as Monte Alegre. These hills are cut down to a kind of terrace which lies between them and the river.
On the south bank, above the Xingu, a line of low bluffs bordering the floodplain extends nearly to Santarém in a series of gentle curves before they bend to the southwest, and, abutting upon the lower Tapajós, merge into the bluffs which form the terrace margin of the Tapajós river valley.
Mouth
Belém is the major city and port at the mouth of the river at the Atlantic Ocean. The definition of where exactly the mouth of the Amazon is located, and how wide it is, is a matter of dispute, because of the area's peculiar geography. The Pará and the Amazon are connected by a series of river channels called furos near the town of Breves; between them lies Marajó, the world's largest combined river/sea island.
If the Pará river and the Marajó island ocean frontage are included, the Amazon estuary is some wide. In this case, the width of the mouth of the river is usually measured from Cabo Norte, the cape located straight east of Pracuúba in the Brazilian state of Amapá, to Ponta da Tijoca near the town of Curuçá, in the state of Pará.
A more conservative measurement excluding the Pará river estuary, from the mouth of the Araguari River to Ponta do Navio on the northern coast of Marajó, would still give the mouth of the Amazon a width of over . If only the river's main channel is considered, between the islands of Curuá (state of Amapá) and Jurupari (state of Pará), the width falls to about .
The plume generated by the river's discharge covers up to 1.3 million km2 and is responsible for muddy bottoms influencing a wide area of the tropical north Atlantic in terms of salinity, pH, light penetration, and sedimentation.
Lack of bridges
There are no bridges across the entire width of the river. This is not because the river would be too wide to bridge; for most of its length, engineers could build a bridge across the river easily. For most of its course, the river flows through the Amazon Rainforest, where there are very few roads and cities. Most of the time, the crossing can be done by a ferry. The Manaus Iranduba Bridge linking the cities of Manaus and Iranduba spans the Rio Negro, the second-largest tributary of the Amazon, just before their confluence.
Dispute regarding length
While debate as to whether the Amazon or the Nile is the world's longest river has gone on for many years, the historic consensus of geographic authorities has been to regard the Amazon as the second longest river in the world, with the Nile being the longest. However, the Amazon has been reported as being anywhere between and long. It is often said to be "at least" long. The Nile is reported to be anywhere from . Often it is said to be "about" long. There are several factors that can affect these measurements, such as the position of the geographical source and the mouth, the scale of measurement, and the length measuring techniques (for details see also List of rivers by length).
In July 2008, the Brazilian Institute for Space Research (INPE) published a news article on their webpage, claiming that the Amazon River was longer than the Nile. The Amazon's length was calculated as , taking the Apacheta Creek as its source. Using the same techniques, the length of the Nile was calculated as , which is longer than previous estimates but still shorter than the Amazon. The results were reached by measuring the Amazon downstream to the beginning of the tidal estuary of Canal do Sul and then, after a sharp turn back, following tidal canals surrounding the isle of Marajó and finally including the marine waters of the Río Pará bay in its entire length. According to an earlier article on the webpage of the National Geographic, the Amazon's length was calculated as by a Brazilian scientist. In June 2007, Guido Gelli, director of science at the Brazilian Institute of Geography and Statistics (IBGE), told London's Telegraph Newspaper that it could be considered that the Amazon was the longest river in the world. However, according to the above sources, none of the two results was published, and questions were raised about the researchers' methodology. In 2009, a peer-reviewed article, was published, concluding that the Nile is longer than the Amazon by stating a length of for the Nile and for the Amazon, measured by using a combination of satellite image analysis and field investigations to the source regions.
According to the Encyclopædia Britannica, the final length of the Amazon remains open to interpretation and continued debate.
Watershed
The Amazon basin, the largest in the world, covers about 40% of South America, an area of approximately . It drains from west to east, from Iquitos in Peru, across Brazil to the Atlantic. It gathers its waters from 5 degrees north latitude to 20 degrees south latitude. Its most remote sources are found on the inter-Andean plateau, just a short distance from the Pacific Ocean.
The Amazon River and its tributaries are characterised by extensive forested areas that become flooded every rainy season. Every year, the river rises more than , flooding the surrounding forests, known as várzea ("flooded forests"). The Amazon's flooded forests are the most extensive example of this habitat type in the world. In an average dry season, of land are water-covered, while in the wet season, the flooded area of the Amazon basin rises to .
The quantity of water released by the Amazon to the Atlantic Ocean is enormous: up to in the rainy season, with an average of from 1973 to 1990. The Amazon is responsible for about 20% of the Earth's fresh water entering the ocean. The river pushes a vast plume of fresh water into the ocean. The plume is about long and between wide. The fresh water, being lighter, flows on top of the seawater, diluting the salinity and altering the colour of the ocean surface over an area up to in extent. For centuries ships have reported fresh water near the Amazon's mouth yet well out of sight of land in what otherwise seemed to be the open ocean.
The Atlantic has sufficient wave and tidal energy to carry most of the Amazon's sediments out to sea, thus the Amazon does not form a true delta. The great deltas of the world are all in relatively protected bodies of water, while the Amazon empties directly into the turbulent Atlantic.
There is a natural water union between the Amazon and the Orinoco basins, the so-called Casiquiare canal. The Casiquiare is a river distributary of the upper Orinoco, which flows southward into the Rio Negro, which in turn flows into the Amazon. The Casiquiare is the largest river on earth that links two major river systems, a so-called bifurcation.
Discharge
Average discharge at the estuary; Period from 2003 to 2015:
Average discharge at Óbidos gauge station; Period from 1969 to 2018:
Average discharge (Q - 173,000 m3/s) and sediment load (S - 754 x 106 ton/year) at Óbidos gauge station (period from 1996 to 2007)
Average, minimum and maximum discharge at Itacoatiara and Santarém (Lower Amazon). Period from 1998/01/01 to 2022/12/31 (Source: The Flood Observatory):
Flooding
Not all of the Amazon's tributaries flood at the same time of the year. Many branches begin flooding in November and might continue to rise until June. The rise of the Rio Negro starts in February or March and begins to recede in June. The Madeira River rises and falls two months earlier than most of the rest of the Amazon river.
The depth of the Amazon between Manacapuru and Óbidos has been calculated as between . At Manacapuru, the Amazon's water level is only about above mean sea level. More than half of the water in the Amazon downstream of Manacapuru is below sea level. In its lowermost section, the Amazon's depth averages , in some places as much as .
The main river is navigable for large ocean steamers to Manaus, upriver from the mouth. Smaller ocean vessels below 9000 tons and with less than draft can reach as far as Iquitos, Peru, from the sea. Smaller riverboats can reach higher, as far as Achual Point. Beyond that, small boats frequently ascend to the Pongo de Manseriche, just above Achual Point in Peru.
Annual flooding occurs in late northern latitude winter at high tide when the incoming waters of the Atlantic are funnelled into the Amazon delta. The resulting undular tidal bore is called the pororoca, with a leading wave that can be up to high and travel up to inland.
Geology
The Amazon River originated as a transcontinental river in the Miocene epoch between 11.8 million and 11.3 million years ago and took its present shape approximately 2.4 million years ago in the Early Pleistocene.
The proto-Amazon during the Cretaceous flowed west, as part of a proto-Amazon-Congo river system, from the interior of present-day Africa when the continents were connected, forming western Gondwana. 80 million years ago, the two continents split. Fifteen million years ago, the main tectonic uplift phase of the Andean chain started. This tectonic movement is caused by the subduction of the Nazca Plate underneath the South American Plate. The rise of the Andes and the linkage of the Brazilian and Guyana bedrock shields, blocked the river and caused the Amazon Basin to become a vast inland sea. Gradually, this inland sea became a massive swampy, freshwater lake and the marine inhabitants adapted to life in freshwater.
Eleven to ten million years ago, waters worked through the sandstone from the west and the Amazon began to flow eastward, leading to the emergence of the Amazon rainforest. During glacial periods, sea levels dropped and the great Amazon lake rapidly drained and became a river, which would eventually become the disputed world's longest, draining the most extensive area of rainforest on the planet.
Paralleling the Amazon River is a large aquifer, dubbed the Hamza River, the discovery of which was made public in August 2011.
Protected areas
Flora and fauna
Flora
Fauna
More than one-third of all known species in the world live in the Amazon rainforest. It is the richest tropical forest in the world in terms of biodiversity. In addition to thousands of species of fish, the river supports crabs, algae, and turtles.
Mammals
Along with the Orinoco, the Amazon is one of the main habitats of the boto, also known as the Amazon river dolphin (Inia geoffrensis). It is the largest species of river dolphin, and it can grow to lengths of up to . The colour of its skin changes with age; young animals are gray, but become pink and then white as they mature. The dolphins use echolocation to navigate and hunt in the river's tricky depths. The boto is the subject of a legend in Brazil about a dolphin that turns into a man and seduces maidens by the riverside.
The tucuxi (Sotalia fluviatilis), also a dolphin species, is found both in the rivers of the Amazon basin and in the coastal waters of South America. The Amazonian manatee (Trichechus inunguis), also known as "seacow", is found in the northern Amazon River basin and its tributaries. It is a mammal and a herbivore. Its population is limited to freshwater habitats, and, unlike other manatees, it does not venture into saltwater. It is classified as vulnerable by the International Union for Conservation of Nature.
The Amazon and its tributaries are the main habitat of the giant otter (Pteronura brasiliensis). Sometimes known as the "river wolf," it is one of South America's top carnivores. Because of habitat destruction and hunting, its population has dramatically decreased. It is now listed on Appendix I of the Convention on International Trade in Endangered Species (CITES), which effectively bans international trade.
Reptiles
The Anaconda is found in shallow waters in the Amazon basin. One of the world's largest species of snake, the anaconda spends most of its time in the water with just its nostrils above the surface. Species of caimans, that are related to alligators and other crocodilians, also inhabit the Amazon as do varieties of turtles.
Birds
Fish
The Amazonian fish fauna is the centre of diversity for neotropical fishes, some of which are popular aquarium specimens like the neon tetra and the freshwater angelfish. More than 5,600 species were known , and approximately fifty new species are discovered each year. The arapaima, known in Brazil as the pirarucu, is a South American tropical freshwater fish, one of the largest freshwater fish in the world, with a length of up to . Another Amazonian freshwater fish is the arowana (or aruanã in Portuguese), such as the silver arowana (Osteoglossum bicirrhosum), which is a predator and very similar to the arapaima, but only reaches a length of . Also present in large numbers is the notorious piranha, an omnivorous fish that congregates in large schools and may attack livestock. There are approximately 30 to 60 species of piranha. The candirú, native to the Amazon River, is a species of parasitic fresh water catfish in the family Trichomycteridae, just one of more than 1200 species of catfish in the Amazon basin. Other catfish 'walk' overland on their ventral fins, while the kumakuma (Brachyplatystoma filamentosum), aka piraiba or "goliath catfish", can reach in length and in weight.
The electric eel (Electrophorus electricus) and more than 100 species of electric fishes (Gymnotiformes) inhabit the Amazon basin. River stingrays (Potamotrygonidae) are also known. The bull shark (Carcharhinus leucas) has been reported up the Amazon River at Iquitos in Peru.
Butterflies
Microbiota
Freshwater microbes are generally not very well known, even less so for a pristine ecosystem like the Amazon. Recently, metagenomics has provided answers to what kind of microbes inhabit the river. The most important microbes in the Amazon River are Actinomycetota, Alphaproteobacteria, Betaproteobacteria, Gammaproteobacteria and Thermoproteota.
Major tributaries
The Amazon has over 1,100 tributaries, twelve of which are over long. Some of the more notable ones are:
Branco
Casiquiare canal
Caquetá
Huallaga
Putumayo (or Içá River)
Javary (or Yavarí)
Juruá
Madeira
Marañón
Morona
Nanay
Napo
Negro
Pastaza
Purús
Tambo
Tapajós
Tigre
Tocantins
Trombetas
Ucayali
Xingu
Yapura
List of major tributaries
The main river and tributaries are (sorted in order from the confluence of Ucayali and Marañón rivers to the mouth):
List by length
() – Amazon, South America
– Madeira, Bolivia/Brazil
– Purús, Peru/Brazil
– Japurá or Caquetá, Colombia/Brazil
– Tocantins, Brazil
– Araguaia, Brazil (tributary of Tocantins)
– Juruá, Peru/Brazil
– Rio Negro, Brazil/Venezuela/Colombia
– Tapajós, Brazil
– Xingu, Brazil
– Ucayali River, Peru
– Guaporé, Brazil/Bolivia (tributary of Madeira)
– Içá (Putumayo), Ecuador/Colombia/Peru
– Marañón, Peru
– Teles Pires, Brazil (tributary of Tapajós)
– Iriri, Brazil (tributary of Xingu)
– Juruena, Brazil (tributary of Tapajós)
– Madre de Dios, Peru/Bolivia (tributary of Madeira)
– Huallaga, Peru (tributary of Marañón)
List by inflow to the Amazon
See also
Amazon natural region, in Colombia
Peruvian Amazonia in Peru
Nile
Notes
References
Bibliography
Garfield, Seth. In search of the Amazon: Brazil, the United States and the nature of a region (Duke University Press, 2013) online
Hecht, Susanna, et al. "The Amazon in motion: Changing politics, development strategies, peoples, landscapes, and livelihoods." Amazon Assessment Report 2021, Part II (2021): ch 14 pp 1-65. online, with long bibliography
Nugent, Stephen L. The rise and fall of the Amazon rubber industry: an historical anthropology (Routledge, 2017) online.
Schulze, Frederik, and Georg Fischer. "Brazilian history as global history." Bulletin of Latin American Research 38.4 (2019): 408–422. online
External links
Information on the Amazon from Extreme Science
A photographic journey up the Amazon River from its mouth to its source
Amazon Alive: Light & Shadow documentary film about the Amazon river
Amazon River Ecosystem
Research on the influence of the Amazon River on the Atlantic Ocean at the University of Southern California
Amazon basin
Amazon rainforest
Upper Amazon
Rivers of South America
International rivers of South America
Rivers of Colombia
Rivers of Peru
Colombia–Peru border
Rivers of Amapá
Rivers of Amazonas (Brazilian state)
Rivers of Loreto Region
Rivers of Pará
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Ānanda (Pali and Sanskrit: आनन्द; 5th4th century BCE) was the primary attendant of the Buddha and one of his ten principal disciples. Among the Buddha's many disciples, Ānanda stood out for having the best memory. Most of the texts of the early Buddhist Sutta-Piṭaka (; , Sūtra-Piṭaka) are attributed to his recollection of the Buddha's teachings during the First Buddhist Council. For that reason, he is known as the Treasurer of the Dhamma, with Dhamma (, dharma) referring to the Buddha's teaching. In Early Buddhist Texts, Ānanda was the first cousin of the Buddha. Although the early texts do not agree on many parts of Ānanda's early life, they do agree that Ānanda was ordained as a monk and that Puṇṇa Mantānīputta (, Pūrṇa Maitrāyaṇīputra) became his teacher. Twenty years in the Buddha's ministry, Ānanda became the attendant of the Buddha, when the Buddha selected him for this task. Ānanda performed his duties with great devotion and care, and acted as an intermediary between the Buddha and the laypeople, as well as the saṅgha (). He accompanied the Buddha for the rest of his life, acting not only as an assistant, but also a secretary and a mouthpiece.
Scholars are skeptical about the historicity of many events in Ānanda's life, especially the First Council, and consensus about this has yet to be established. A traditional account can be drawn from early texts, commentaries, and post-canonical chronicles. Ānanda had an important role in establishing the order of bhikkhunīs (), when he requested the Buddha on behalf of the latter's foster-mother Mahāpajāpati Gotamī (, Mahāprajāpatī Gautamī) to allow her to be ordained. Ānanda also accompanied the Buddha in the last year of his life, and therefore was witness to many tenets and principles that the Buddha conveyed before his death, including the well-known principle that the Buddhist community should take his teaching and discipline as their refuge, and that he would not appoint a new leader. The final period of the Buddha's life also shows that Ānanda was very much attached to the Buddha's person, and he saw the Buddha's passing with great sorrow.
Shortly after the Buddha's death, the First Council was convened, and Ānanda managed to attain enlightenment just before the council started, which was a requirement. He had a historical role during the council as the living memory of the Buddha, reciting many of the Buddha's discourses and checking them for accuracy. During the same council, however, he was chastised by Mahākassapa (, Mahākāśyapa) and the rest of the saṅgha for allowing women to be ordained and failing to understand or respect the Buddha at several crucial moments. Ānanda continued to teach until the end of his life, passing on his spiritual heritage to his pupils Sāṇavāsī (, Śāṇakavāsī) and Majjhantika (, Madhyāntika), among others, who later assumed leading roles in the Second and Third Councils. Ānanda died 20 years after the Buddha, and stūpas (monuments) were erected at the river where he died.
Ānanda is one of the most loved figures in Buddhism. He was known for his memory, erudition and compassion, and was often praised by the Buddha for these matters. He functioned as a foil to the Buddha, however, in that he still had worldly attachments and was not yet enlightened, as opposed to the Buddha. In the Sanskrit textual traditions, Ānanda is considered the patriarch of the Dhamma who stood in a spiritual lineage, receiving the teaching from Mahākassapa and passing them on to his own pupils. Ānanda has been honored by bhikkhunīs since early medieval times for his merits in establishing the nun's order. In recent times, the composer Richard Wagner and Indian poet Rabindranath Tagore were inspired by stories about Ānanda in their work.
Name
The word ānanda (आनन्द) means 'bliss, joy' in Pāli and in Sanskrit. Pāli commentaries explain that when Ānanda was born, his relatives were joyous about this. Texts from the Mūlasarvāstivāda tradition, however, state that since Ānanda was born on the day of the Buddha's enlightenment, there was great rejoicing in the cityhence the name.
Accounts
Previous lives
According to the texts, in a previous life, Ānanda made an aspiration to become a Buddha's attendant. He made this aspiration in the time of a previous Buddha called Padumuttara, many eons (, Sanskrit: ) before the present age. He met the attendant of Padumuttara Buddha and aspired to be like him in a future life. After having done many good deeds, he made his resolution known to the Padumuttara Buddha, who confirmed that his wish will come true in a future life. After having been born and reborn throughout many lifetimes, and doing many good deeds, he was born as Ānanda in the time of the current Buddha Gotama.
Early life
Ānanda was born in the same time period as the Buddha (formerly Prince Siddhattha), which scholars place at 5th4th centuries BCE. Tradition says that Ānanda was the first cousin of the Buddha, his father being the brother of Suddhodana (), the Buddha's father. In the Pāli and Mūlasarvāstivāda textual traditions, his father was Amitodana (), but the Mahāvastu states that his father was Śuklodanaboth are brothers of Suddhodana. The Mahāvastu also mentions that Ānanda's mother's name was Mṛgī (Sanskrit; lit. 'little deer'; Pāli is unknown). The Pāli tradition has it that Ānanda was born on the same day as Prince Siddhatta (), but texts from the Mūlasarvāstivāda and subsequent Mahāyāna traditions state Ānanda was born at the same time the Buddha attained enlightenment (when Prince Siddhattha was 35 years old), and was therefore much younger than the Buddha. The latter tradition is corroborated by several instances in the Early Buddhist Texts, in which Ānanda appears younger than the Buddha, such as the passage in which the Buddha explained to Ānanda how old age was affecting him in body and mind. It is also corroborated by a verse in the Pāli text called Theragāthā, in which Ānanda stated he was a "learner" for 25 years, after which he attended to the Buddha for another 25 years.Following the Pāli, Mahīśasaka and Dharmaguptaka textual traditions, Ānanda became a monk in the second year of the Buddha's ministry, during the Buddha's visit to Kapilavatthu (). He was ordained by the Buddha himself, together with many other princes of the Buddha's clan (, ), in the mango grove called Anupiya, part of Malla territory. According to a text from the Mahāsaṅghika tradition, King Suddhodana wanted the Buddha to have more followers of the khattiya caste (), and less from the brahmin (priest) caste. He therefore ordered that any khattiya who had a brother follow the Buddha as a monk, or had his brother do so. Ānanda used this opportunity, and asked his brother Devadatta to stay at home, so that he could leave for the monkhood. The later timeline from the Mūlasarvāstivāda texts and the Pāli Theragāthā, however, have Ānanda ordain much later, about twenty-five years before the Buddha's deathin other words, twenty years in the Buddha's ministry. Some Sanskrit sources have him ordain even later. The Mūlasarvāstivāda texts on monastic discipline (Pāli and ) relate that soothsayers predicted Ānanda would be the Buddha's attendant. In order to prevent Ānanda from leaving the palace to ordain, his father brought him to Vesālī () during the Buddha's visit to Kapilavatthu, but later the Buddha met and taught Ānanda nonetheless. On a similar note, the Mahāvastu relates, however, that Mṛgī was initially opposed to Ānanda joining the holy life, because his brother Devadatta had already ordained and left the palace. Ānanda responded to his mother's resistance by moving to Videha () and lived there, taking a vow of silence. This led him to gain the epithet Videhamuni (), meaning 'the silent wise one from Videha'. When Ānanda did become ordained, his father had him ordain in Kapilavatthu in the Nigrodhārāma monastery () with much ceremony, Ānanda's preceptor (; Sanskrit: ) being a certain Daśabāla Kāśyapa.
According to the Pāli tradition, Ānanda's first teachers were Belaṭṭhasīsa and Puṇṇa Mantānīputta. It was Puṇṇa's teaching that led Ānanda to attain the stage of sotāpanna (), an attainment preceding that of enlightenment. Ānanda later expressed his debt to Puṇṇa. Another important figure in the life of Ānanda was Sāriputta (), one of the Buddha's main disciples. Sāriputta often taught Ānanda about the finer points of Buddhist doctrine; they were in the habit of sharing things with one another, and their relationship is described as a good friendship. In some Mūlasarvāstivāda texts, an attendant of Ānanda is also mentioned who helped motivate Ānanda when he was banned from the First Buddhist Council. He was a "Vajjiputta" (), i.e. someone who originated from the Vajji confederacy. According to later texts, an enlightened monk also called Vajjiputta () had an important role in Ānanda's life. He listened to a teaching of Ānanda and realized that Ānanda was not enlightened yet. Vajjiputta encouraged Ānanda to talk less to laypeople and deepen his meditation practice by retreating in the forest, advice that very much affected Ānanda.
Attending to the Buddha
In the first twenty years of the Buddha's ministry, the Buddha had several personal attendants. However, after these twenty years, when the Buddha was aged 55, the Buddha announced that he had need for a permanent attendant. The Buddha had been growing older, and his previous attendants had not done their job very well. Initially, several of the Buddha's foremost disciples responded to his request, but the Buddha did not accept them. All the while Ānanda remained quiet. When he was asked why, he said that the Buddha would know best whom to choose, upon which the Buddha responded by choosing Ānanda. Ānanda agreed to take on the position, on the condition that he did not receive any material benefits from the Buddha. Accepting such benefits would open him up to criticism that he chose the position because of ulterior motives. He also requested that the Buddha allow him to accept invitations on his behalf, allow him to ask questions about his doctrine, and repeat any teaching that the Buddha had taught in Ānanda's absence. These requests would help people trust Ānanda and show that the Buddha was sympathetic to his attendant. Furthermore, Ānanda considered these the real advantages of being an attendant, which is why he requested them.
The Buddha agreed to Ānanda's conditions, and Ānanda became the Buddha's attendant, accompanying the Buddha on most of his wanderings. Ānanda took care of the Buddha's daily practical needs, by doing things such as bringing water and cleaning the Buddha's dwelling place. He is depicted as observant and devoted, even guarding the dwelling place at night. Ānanda takes the part of interlocutor in many of the recorded dialogues. He tended the Buddha for a total of 25 years, a duty which entailed much work. His relationship with the Buddha is depicted as warm and trusting: when the Buddha grew ill, Ānanda had a sympathetic illness; when the Buddha grew older, Ānanda kept taking care of him with devotion.
Ānanda sometimes literally risked his life for his teacher. At one time, the rebellious monk Devadatta tried to kill the Buddha by having a drunk and wild elephant released in the Buddha's presence. Ānanda stepped in front of the Buddha to protect him. When the Buddha told him to move, he refused, although normally he always obeyed the Buddha. Through a supernatural accomplishment (; ) the Buddha then moved Ānanda aside and subdued the elephant, by touching it and speaking to it with loving-kindness.
Ānanda often acted as an intermediary and secretary, passing on messages from the Buddha, informing the Buddha of news, invitations, or the needs of lay people, and advising lay people who wanted to provide gifts to the saṅgha. At one time, Mahāpajāpatī, the Buddha's foster-mother, requested to offer robes for personal use for the Buddha. She said that even though she had raised the Buddha in his youth, she never gave anything in person to the young prince; she now wished to do so. The Buddha initially insisted that she give the robe to the community as a whole rather than to be attached to his person. However, Ānanda interceded and mediated, suggesting that the Buddha had better accept the robe. Eventually the Buddha did, but not without pointing out to Ānanda that good deeds like giving should always be done for the sake of the action itself, not for the sake of the person.
The texts say that the Buddha sometimes asked Ānanda to substitute for him as teacher, and was often praised by the Buddha for his teachings. Ānanda was often given important teaching roles, such as regularly teaching Queen Mallikā, Queen Sāmāvatī, () and other people from the ruling class. Once Ānanda taught a number of King Udena ()'s concubines. They were so impressed by Ānanda's teaching, that they gave him five hundred robes, which Ānanda accepted. Having heard about this, King Udena criticized Ānanda for being greedy; Ānanda responded by explaining how every single robe was carefully used, reused and recycled by the monastic community, prompting the king to offer another five hundred robes. Ānanda also had a role in the Buddha's visit to Vesālī. In this story, the Buddha taught the well-known text Ratana Sutta to Ānanda, which Ānanda then recited in Vesālī, ridding the city from illness, drought and evil spirits in the process. Another well-known passage in which the Buddha taught Ānanda is the passage about spiritual friendship (). In this passage, Ānanda stated that spiritual friendship is half of the holy life; the Buddha corrected Ānanda, stating that such friendship is the entire holy life. In summary, Ānanda worked as an assistant, intermediary and a mouthpiece, helping the Buddha in many ways, and learning his teachings in the process.
Resisting temptations
Ānanda was attractive in appearance. A Pāli account related that a bhikkhunī (nun) became enamored with Ānanda, and pretended to be ill to have Ānanda visit her. When she realized the error of her ways, she confessed her mistakes to Ānanda. Other accounts relate that a low-caste woman called Prakṛti (also known in China as ) fell in love with Ānanda, and persuaded her mother Mātaṅgī to use a black magic spell to enchant him. This succeeded, and Ānanda was lured into her house, but came to his senses and called upon the help of the Buddha. The Buddha then taught Prakṛti to reflect on the repulsive qualities of the human body, and eventually Prakṛti was ordained as a bhikkhunī, giving up her attachment for Ānanda. In an East Asian version of the story in the Śūraṃgamasūtra, the Buddha sent Mañjuśrī to help Ānanda, who used recitation to counter the magic charm. The Buddha then continued by teaching Ānanda and other listeners about the Buddha nature.
Establishing the nun's order
In the role of mediator between the Buddha and the lay communities, Ānanda sometimes made suggestions to the Buddha for amendments in the monastic discipline. Most importantly, the early texts attribute the inclusion of women in the early saṅgha (monastic order) to Ānanda. Fifteen years after the Buddha's enlightenment, his foster mother Mahāpajāpatī came to see him to ask him to be ordained as the first Buddhist bhikkhunī. Initially, the Buddha refused this. Five years later, Mahāpajāpatī came to request the Buddha again, this time with a following of other Sākiya women, including the Buddha's former wife Yasodharā (). They had walked , looked dirty, tired and depressed, and Ānanda felt pity for them. Ānanda therefore confirmed with the Buddha whether women could become enlightened as well. Although the Buddha conceded this, he did not allow the Sākiya women to be ordained yet. Ānanda then discussed with the Buddha how Mahāpajāpatī took care of him during his childhood, after the death of his real mother. Ānanda also mentioned that previous Buddhas had also ordained bhikkhunīs. In the end, the Buddha allowed the Sākiya women to be ordained, being the start of the bhikkhunī order. Ānanda had Mahāpajāpati ordained by her acceptance of a set of rules, set by the Buddha. These came to be known as the garudhamma, and they describe the subordinate relation of the bhikkhunī community to that of the bhikkhus or monks. Scholar of Asian religions Reiko Ohnuma argues that the debt the Buddha had toward his foster-mother Mahāpajāpati may have been the main reason for his concessions with regard to the establishment of a bhikkhunī order.
Many scholars interpret this account to mean that the Buddha was reluctant in allowing women to be ordained, and that Ānanda successfully persuaded the Buddha to change his mind. For example, Indologist and translator I.B. Horner wrote that "this is the only instance of his [the Buddha] being over-persuaded in argument". However, some scholars interpret the Buddha's initial refusal rather as a test of resolve, following a widespread pattern in the Pāli Canon and in monastic procedure of repeating a request three times before final acceptance. Some also argue that the Buddha was believed by Buddhists to be omniscient, and therefore is unlikely to have been depicted as changing his mind. Other scholars argue that other passages in the texts indicate the Buddha intended all along to establish a bhikkhunī order. Regardless, during the acceptance of women into the monastic order, the Buddha told Ānanda that the Buddha's Dispensation would last shorter because of this. At the time, the Buddhist monastic order consisted of wandering celibate males, without many monastic institutions. Allowing women to join the Buddhist celibate life might have led to dissension, as well as temptation between the sexes. The garudhamma, however, were meant to fix these problems, and prevent the dispensation from being curtailed.
There are some chronological discrepancies in the traditional account of the setting up of the bhikkhunī order. According to the Pāli and Mahīśasaka textual traditions, the bhikkhunī order was set up five years after the Buddha's enlightenment, but, according to most textual traditions, Ānanda only became attendant twenty years after the Buddha's enlightenment. Furthermore, Mahāpajāpati was the Buddha's foster mother, and must therefore have been considerably older than him. However, after the bhikkhunī order was established, Mahāpajāpati still had many audiences with the Buddha, as reported in Pāli and Chinese Early Buddhist Texts. Because of this and other reasons, it could be inferred that establishment of the bhikkhunī order actually took place early in the Buddha's ministry. If this is the case, Ānanda's role in establishing the order becomes less likely. Some scholars therefore interpret the names in the account, such as Ānanda and Mahāpajāpati, as symbols, representing groups rather than specific individuals.
According to the texts, Ānanda's role in founding the bhikkhunī order made him popular with the bhikkhunī community. Ānanda often taught bhikkhunīs, often encouraged women to ordain, and when he was criticized by the monk Mahākassapa, several bhikkhunīs tried to defend him. According to Indologist Oskar von Hinüber, Ānanda's pro-bhikkhunī attitude may well be the reason why there was frequent discussion between Ānanda and Mahākassapa, eventually leading Mahākasapa to charge Ānanda with several offenses during the First Buddhist Council. Von Hinüber further argues that the establishment of the bhikkhunī order may have well been initiated by Ānanda the Buddha's death, and the introduction of Mahāpajāpati as the person requesting to do so is merely a literary device to connect the ordination of women with the person of the Buddha, through his foster mother. Von Hinüber concludes this based on several patterns in the early texts, including the apparent distance between the Buddha and the bhikkhunī order, and the frequent discussions and differences of opinion that take place between Ānanda and Mahākassapa. Some scholars have seen merits in von Hinüber's argument with regard to the pro- and anti-factions, but as of 2017, no definitive evidence has been found for the theory of establishment of the bhikkhuni order after the Buddha's death. Buddhist studies scholar Bhikkhu Anālayo has responded to most of von Hinuber's arguments, writing: "Besides requiring too many assumptions, this hypothesis conflicts with nearly 'all the evidence preserved in the texts together'", arguing that it was monastic discipline that created a distance between the Buddha and the bhikkhunīs, and even so, there were many places in the early texts where the Buddha did address bhikkhunīs directly.
The Buddha's death
Despite his long association with and close proximity to the Buddha, the texts describe that Ānanda had not become enlightened yet. Because of that, a fellow monk Udāyī () ridiculed Ānanda. However, the Buddha reprimanded Udāyī in response, saying that Ānanda would certainly be enlightened in this life.
The Pāli Mahā-parinibbāna Sutta related the last year-long trip the Buddha took with Ānanda from Rājagaha () to the small town of Kusināra () before the Buddha died there. Before reaching Kusināra, the Buddha spent the retreat during the monsoon (, ) in Veḷugāma (), getting out of the Vesālī area which suffered from famine. Here, the eighty-year old Buddha expressed his wish to speak to the saṅgha once more. The Buddha had grown seriously ill in Vesālī, much to the concern of some of his disciples. Ānanda understood that the Buddha wished to leave final instructions before his death. The Buddha stated, however, that he had already taught everything needed, without withholding anything secret as a teacher with a "closed fist" would. He also impressed upon Ānanda that he did not think the saṅgha should be reliant too much on a leader, not even himself. He then continued with the well-known statement to take his teaching as a refuge, and oneself as a refuge, without relying on any other refuge, also after he would be gone. Bareau argued that this is one of the most ancient parts of the text, found in slight variation in five early textual traditions:
The same text contains an account in which the Buddha, at numerous occasions, gave a hint that he could prolong his life to a full eon through a supernatural accomplishment, but this was a power that he would have to be to exercise. Ānanda was distracted, however, and did not take the hint. Later, Ānanda did make the request, but the Buddha replied that it was already too late, as he would die soon. Māra, the Buddhist personification of evil, had visited the Buddha, and the Buddha had decided to die in three months. When Ānanda heard this, he wept. The Buddha consoled him, however, pointing out that Ānanda had been a great attendant, being sensitive to the needs of different people. If he was earnest in his efforts, he would attain enlightenment soon. He then pointed out to Ānanda that all conditioned things are impermanent: all people must die.
In the final days of the Buddha's life, the Buddha traveled to Kusināra. The Buddha had Ānanda prepare a place for lying down between two sal trees, the same type of tree under which the mother of the Buddha gave birth. The Buddha then had Ānanda invite the Malla clan from Kusināra to pay their final respects. Having returned, Ānanda asked the Buddha what should be done with his body after his death, and he replied that it should be cremated, giving detailed instructions on how this should be done. Since the Buddha prohibited Ānanda from being involved himself, but rather had him instruct the Mallas to perform the rituals, these instructions have by many scholars been interpreted as a prohibition that monastics should not be involved in funerals or worship of stūpas (structures with relics). Buddhist studies scholar Gregory Schopen has pointed out, however, that this prohibition only held for Ānanda, and only with regard to the Buddha's funeral ceremony. It has also been shown that the instructions on the funeral are quite late in origin, in both composition and insertion into the text, and are not found in parallel texts, apart from the Mahāparinibbāna Sutta. Ānanda then continued by asking how devotees should honor the Buddha after his death. The Buddha responded by listing four important places in his life that people could pay their respects to, which later became the four main places of Buddhist pilgrimage. Before the Buddha died, Ānanda recommended the Buddha to move to a more meaningful city instead, but the Buddha pointed out that the town was once a great capital. Ānanda then asked who will be next teacher after the Buddha would be gone, but the Buddha replied that his teaching and discipline would be the teacher instead. This meant that decisions should be made by reaching consensus within the saṅgha, and more generally, that now the time had come for the Buddhist monastics and devotees to take the Buddhist texts as authority, now that the Buddha was dying.
The Buddha gave several instructions before his death, including a directive that his former charioteer Channa () be shunned by his fellow monks, to humble his pride. In his final moments, the Buddha asked if anyone had any questions they wished to pose to him, as a final chance to allay any doubts. When no-one responded, Ānanda expressed joy that all of the Buddha's disciples present had attained a level beyond doubts about the Buddha's teaching. However, the Buddha pointed out that Ānanda spoke out of faith and not out of meditative insighta final reproach. The Buddha added that, of all the five hundred monks that are surrounding him now, even the "latest" or "most backward" () had attained the initial stage of sotapanna. Meant as an encouragement, the Buddha was referring to Ānanda. During the Buddha's final Nirvana, Anuruddha was able to use his meditative powers to understand which stages the Buddha underwent before attaining final Nirvana. However, Ānanda was unable to do so, indicating his lesser spiritual maturity. After the Buddha's death, Ānanda recited several verses, expressing a sense of urgency (), deeply moved by the events and their bearing: "Terrible was the quaking, men's hair stood on end, / When the all-accomplished Buddha passed away."
Shortly after the council, Ānanda brought the message with regard to the Buddha's directive to Channa personally. Channa was humbled and changed his ways, attained enlightenment, and the penalty was withdrawn by the saṅgha. Ānanda traveled to Sāvatthī (), where he was met with a sad populace, who he consoled with teachings on impermanence. After that, Ānanda went to the quarters of the Buddha and went through the motions of the routine he formerly performed when the Buddha was still alive, such as preparing water and cleaning the quarters. He then saluted and talked to the quarters as though the Buddha was still there. The Pāli commentaries state that Ānanda did this out of devotion, but also because he was "not yet free from the passions".
The First Council
Ban
According to the texts, the First Buddhist Council was held in Rājagaha. In the first vassa after the Buddha had died, the presiding monk Mahākassapa () called upon Ānanda to recite the discourses he had heard, as a representative on this council. There was a rule issued that only enlightened disciples (arahants) were allowed to attend the council, to prevent mental afflictions from clouding the disciples' memories. Ānanda had, however, not attained enlightenment yet, in contrast with the rest of the council, consisting of 499 arahants. Mahākassapa therefore did not allow Ānanda to attend yet. Although he knew that Ānanda's presence in the council was required, he did not want to be biased by allowing an exception to the rule. The Mūlasarvāstivāda tradition adds that Mahākassapa initially allowed Ānanda to join as a sort of servant assisting during the council, but then was forced to remove him when the disciple Anuruddha saw that Ānanda was not yet enlightened.
Ānanda felt humiliated, but was prompted to focus his efforts to reach enlightenment before the council started. The Mūlasarvāstivāda texts add that he felt motivated when he remembered the Buddha's words that he should be his own refuge, and when he was consoled and advised by Anuruddha and Vajjiputta, the latter being his attendant. On the night before the event, he tried hard to attain enlightenment. After a while, Ānanda took a break and decided to lie down for a rest. He then attained enlightenment right there, right then, halfway between standing and lying down. Thus, Ānanda was known as the disciple who attained awakening "in none of the four traditional poses" (walking, standing, sitting, or lying down). The next morning, to prove his enlightenment, Ānanda performed a supernatural accomplishment by diving into the earth and appearing on his seat at the council (or, according to some sources, by flying through the air). Scholars such as Buddhologist André Bareau and scholar of religion Ellison Banks Findly have been skeptical about many details in this account, including the number of participants on the council, and the account of Ānanda's enlightenment just before the council. Regardless, today, the story of Ānanda's struggle on the evening before the council is still told among Buddhists as a piece of advice in the practice of meditation: neither to give up, nor to interpret the practice too rigidly.
Recitations
The First Council began when Ānanda was consulted to recite the discourses and to determine which were authentic and which were not. Mahākassapa asked of each discourse that Ānanda listed where, when, and to whom it was given, and at the end of this, the assembly agreed that Ānanda's memories and recitations were correct, after which the discourse collection (, ) was considered finalized and closed. Ānanda therefore played a crucial role in this council, and texts claim he remembered 84,000 teaching topics, among which 82,000 taught by the Buddha and another 2,000 taught by disciples. Many early Buddhist discourses started with the words "Thus have I heard" (, ), which according to most Buddhist traditions, were Ānanda's words, indicating that he, as the person reporting the text (), had first-hand experience and did not add anything to it. Thus, the discourses Ānanda remembered later became the collection of discourses of the Canon, and according to the Haimavāta, Dharmaguptaka and Sarvāstivāda textual traditions (and implicitly, post-canonical Pāli chronicles), the collection of Abhidhamma (Abhidhamma Piṭaka) as well. Scholar of religion Ronald Davidson notes, however, that this is not preceded by any account of Ānanda learning Abhidhamma. According to some later Mahāyāna accounts, Ānanda also assisted in reciting Mahāyāna texts, held in a different place in Rājagaha, but in the same time period. The Pāli commentaries state that after the council, when the tasks for recitation and memorizing the texts were divided, Ānanda and his pupils were given the task to remember the Dīgha Nikāya.
Charges
During the same council, Ānanda was charged for an offense by members of the saṅgha for having enabled women to join the monastic order. Besides this, he was charged for having forgotten to request the Buddha to specify which offenses of monastic discipline could be disregarded; for having stepped on the Buddha's robe; for having allowed women to honor the Buddha's body after his death, which was not properly dressed, and during which his body was sullied by their tears; and for having failed to ask the Buddha to continue to live on. Ānanda did not acknowledge these as offenses, but he conceded to do a formal confession anyway, "... in faith of the opinion of the venerable elder monks"Ānanda wanted to prevent disruption in the saṅgha. With regard to having women ordained, Ānanda answered that he had done this with great effort, because Mahāpajāpati was the Buddha's foster-mother who had long provided for him. With regard to not requesting the Buddha to continue to live, many textual traditions have Ānanda respond by saying he was distracted by Māra, though one early Chinese text has Ānanda reply he did not request the Buddha to prolong his life, for fear that this would interfere with the next Buddha Maitreya's ministry.
According to the Pāli tradition, the charges were laid after Ānanda had become enlightened and done all the recitations; but the Mūlasarvāstivāda tradition has it that the charges were laid before Ānanda became enlightened and started the recitations. In this version, when Ānanda heard that he was banned from the council, he objected that he had not done anything that went against the teaching and discipline of the Buddha. Mahākassapa then listed seven charges to counter Ānanda's objection. The charges were similar to the five given in Pāli. Other textual traditions list slightly different charges, amounting to a combined total of eleven charges, some of which are only mentioned in one or two textual traditions. Considering that an enlightened disciple was seen to have overcome all faults, it seems more likely that the charges were laid before Ānanda's attainment than after.
Indologists von Hinüber and Jean Przyluski argue that the account of Ānanda being charged with offenses during the council indicate tensions between competing early Buddhist schools, i.e. schools that emphasized the discourses (, ) and schools that emphasized monastic discipline. These differences have affected the scriptures of each tradition: e.g. the Pāli and Mahīśāsaka textual traditions portray a Mahākassapa that is more critical of Ānanda than that the Sarvāstivāda tradition depicts him, reflecting a preference for discipline above discourse on the part of the former traditions, and a preference for discourse for the latter. Another example is the recitations during the First Council. The Pāli texts state that Upāli, the person who was responsible for the recitation of the monastic discipline, recited Ānanda does: again, monastic discipline above discourse. Analyzing six recensions of different textual traditions of the Mahāparinibbāna Sutta extensively, Bareau distinguished two layers in the text, an older and a newer one, the former belonging to the compilers that emphasized discourse, the latter to the ones that emphasized discipline; the former emphasizing the figure of Ānanda, the latter Mahākassapa. He further argued that the passage on Māra obstructing the Buddha was inserted in the fourth century BCE, and that Ānanda was blamed for Māra's doing by inserting the passage of Ānanda's forgetfulness in the third century BCE. The passage in which the Buddha was ill and reminded Ānanda to be his own refuge, on the other hand, Bareau regarded as very ancient, pre-dating the passages blaming Māra and Ānanda. In conclusion, Bareau, Przyluski and Horner argued that the offenses Ānanda were charged with were a later interpolation. Findly disagrees, however, because the account in the texts of monastic discipline fits in with the Mahāparinibbāna Sutta and with Ānanda's character as generally depicted in the texts.
Historicity
Tradition states that the First Council lasted for seven months. Scholars doubt, however, whether the entire canon was really recited during the First Council, because the early texts contain different accounts on important subjects such as meditation. It may be, though, that early versions were recited of what is now known as the Vinaya-piṭaka and Sutta-piṭaka. Nevertheless, many scholars, from the late 19th century onward, have considered the historicity of the First Council improbable. Some scholars, such as orientalists Louis de La Vallée-Poussin and D.P. Minayeff, thought there must have been assemblies after the Buddha's death, but considered only the main characters and some events before or after the First Council historical. Other scholars, such as Bareau and Indologist Hermann Oldenberg, considered it likely that the account of the First Council was written after the Second Council, and based on that of the Second, since there were not any major problems to solve after the Buddha's death, or any other need to organize the First Council. Much material in the accounts, and even more so in the more developed later accounts, deal with Ānanda as the unsullied intermediary who passes on the legitimate teaching of the Buddha. On the other hand, archaeologist Louis Finot, Indologist E. E. Obermiller and to some extent Indologist Nalinaksha Dutt thought the account of the First Council was authentic, because of the correspondences between the Pāli texts and the Sanskrit traditions. Indologist Richard Gombrich, following Bhikkhu Sujato and Bhikkhu Brahmali's arguments, states that "it makes good sense to believe ... that large parts of the Pali Canon do preserve for us the Buddha-vacana, 'the Buddha's words', transmitted to us via his disciple Ānanda and the First Council".
Role and character
Ānanda was recognized as one of the most important disciples of the Buddha. In the lists of the disciples given in the Aṅguttara Nikāya and Saṃyutta Nikāya, each of the disciples is declared to be foremost in some quality. Ānanda is mentioned more often than any other disciple: he is named foremost in conduct, in attention to others, in power of memory, in erudition and in resoluteness. Ānanda was the subject of a sermon of praise delivered by the Buddha just before the Buddha's death, as described in the Mahāparinibbāna Sutta: it is a sermon about a man who is kindly, unselfish, popular, and thoughtful toward others. In the texts he is depicted as compassionate in his relations with lay people, a compassion he learnt from the Buddha. The Buddha relays that both monastics and lay people were pleased to see Ānanda, and were pleased to hear him recite and teach the Buddha's teaching. Moreover, Ānanda was known for his organizational skills, assisting the Buddha with secretary-like duties. In many ways, Ānanda did not only serve the personal needs of the Buddha, but also the needs of the still young, growing institute of the saṅgha.
Moreover, because of his ability to remember the many teachings of the Buddha, he is described as foremost in "having heard much" (, Sanskrit: , ). Ānanda was known for his exceptional memory, which is essential in helping him to remember the Buddha's teachings. He also taught other disciples to memorize Buddhist doctrine. For these reasons, Ānanda became known as the "Treasurer of the Dhamma" (, Sanskrit: ), Dhamma (Sanskrit: ) referring to the doctrine of the Buddha. Being the person who had accompanied the Buddha throughout a great part of his life, Ānanda was in many ways the living memory of the Buddha, without which the saṅgha would be much worse off. Besides his memory skills, Ānanda also stood out in that, as the Buddha's cousin, he dared to ask the Buddha direct questions. For example, after the death of Mahāvira and the depicted subsequent conflicts among the Jain community, Ānanda asked the Buddha how such problems could be prevented after the Buddha's death. However, Findly argues that Ānanda's duty to memorize the Buddha's teachings accurately and without distortion, was "both a gift and a burden". Ānanda was able to remember many discourses verbatim, but this also went hand-in-hand with a habit of not reflecting on those teachings, being afraid that reflection might distort the teachings as he heard them. At multiple occasions, Ānanda was warned by other disciples that he should spend less time on conversing to lay people, and more time on his own practice. Even though Ānanda regularly practiced meditation for long hours, he was less experienced in meditative concentration than other leading disciples. Thus, judgment of Ānanda's character depends on whether one judges his accomplishments as a monk or his accomplishments as an attendant, and person memorizing the discourses.
From a literary and didactic point of view, Ānanda often functioned as a kind of foil in the texts, being an unenlightened disciple attending to an enlightened Buddha. Because the run-of the-mill person could identify with Ānanda, the Buddha could through Ānanda convey his teachings to the mass easily. Ānanda's character was in many ways a contradiction to that of the Buddha: being unenlightened and someone who made mistakes. At the same time, however, he was completely devoted to service to the Buddha. The Buddha is depicted in the early texts as both a father and a teacher to Ānanda, stern but compassionate. Ānanda was very fond of and attached to the Buddha, willing to give his life for him. He mourned the deaths of both the Buddha and Sāriputta, with whom he enjoyed a close friendship: in both cases Ānanda was very shocked. Ānanda's faith in the Buddha, however, constituted more of a faith in a person, especially the Buddha's person, as opposed to faith in the Buddha's teaching. This is a pattern which comes back in the accounts which lead to the offenses Ānanda was charged with during the First Council. Moreover, Ānanda's weaknesses described in the texts were that he was sometimes slow-witted and lacked mindfulness, which became noticeable because of his role as attendant to the Buddha: this involved minor matters like deportment, but also more important matters, such as ordaining a man with no future as a pupil, or disturbing the Buddha at the wrong time. For example, one time Mahākassapa chastised Ānanda in strong words, criticizing the fact that Ānanda was travelling with a large following of young monks who appeared untrained and who had built up a bad reputation. In another episode described in a Sarvāstivāda text, Ānanda is the only disciple who was willing to teach psychic powers to Devadatta, who later would use these in an attempt to destroy the Buddha. According to a Mahīśāsaka text, however, when Devadatta had turned against the Buddha, Ānanda was not persuaded by him, and voted against him in a formal meeting. Ānanda's late spiritual growth is much discussed in Buddhist texts, and the general conclusion is that Ānanda was slower than other disciples due to his worldly attachments and his attachment to the person of the Buddha, both of which were rooted in his mediating work between the Buddha and the lay communities.
Passing on the teaching
After the Buddha's death, some sources say Ānanda stayed mostly in the West of India, in the area of Kosambī (), where he taught most of his pupils. Other sources say he stayed in the monastery at Veḷuvana (). Several pupils of Ānanda became well-known in their own right. According to post-canonical Sanskrit sources such as the Divyavadāna and the Aśokavadāna, before the Buddha's death, the Buddha confided to Ānanda that the latter's student Majjhantika () would travel to Udyāna, Kashmir, to bring the teaching of the Buddha there. Mahākassapa made a prediction that later would come true that another of Ānanda's future pupils, Sāṇavāsī (), would make many gifts to the saṅgha at Mathurā, during a feast held from profits of successful business. After this event, Ānanda would successfully persuade Sāṇavāsī to become ordained and be his pupil. Ānanda later persuaded Sāṇavāsī by pointing out that the latter had now made many material gifts, but had not given "the gift of the Dhamma". When asked for explanation, Ānanda replied that Sāṇavāsī would give the gift of Dhamma by becoming ordained as a monk, which was reason enough for Sāṇavāsī to make the decision to get ordained.
Death and relics
Though no Early Buddhist Text provides a date for Ānanda's death, according to the Chinese pilgrim monk Faxian (337422 CE), Ānanda went on to live 120 years. Following the later timeline, however, Ānanda may have lived to 7585 years. Buddhist studies scholar L. S. Cousins dated Ānanda's death twenty years after the Buddha's.
Ānanda was teaching till the end of his life. According to Mūlasarvāstivāda sources, Ānanda heard a young monk recite a verse incorrectly, and advised him. When the monk reported this to his teacher, the latter objected that "Ānanda has grown old and his memory is impaired ..." This prompted Ānanda to attain final Nirvana. He passed on the "custody of the [Buddha's] doctrine" to his pupil Sāṇavāsī and left for the river Ganges. However, according to Pāli sources, when Ānanda was about to die, he decided to spend his final moments in Vesālī instead, and traveled to the river Rohīni. The Mūlasarvāstivāda version expands and says that before reaching the river, he met with a seer called Majjhantika (following the prediction earlier) and five hundred of his followers, who converted to Buddhism. Some sources add that Ānanda passed the Buddha's message on to him. When Ānanda was crossing the river, he was followed by King Ajātasattu (), who wanted to witness his death and was interested in his remains as relics. Ānanda had once promised Ajāsattu that he would let him know when he would die, and accordingly, Ānanda had informed him. On the other side of the river, however, a group of Licchavis from Vesālī awaited him for the same reason. In the Pāli, there were also two parties interested, but the two parties were the Sākiyan and the Koliyan clans instead. Ānanda realized that his death on either side of the river could anger one of the parties involved. Through a supernatural accomplishment, he therefore surged into the air to levitate and meditate in mid-air, making his body go up in fire, with his relics landing on both banks of the river, or in some versions of the account, splitting in four parts. In this way, Ānanda had pleased all the parties involved. In some other versions of the account, including the Mūlasarvāstivāda version, his death took place on a barge in the middle of the river, however, instead of in mid-air. The remains were divided in two, following the wishes of Ānanda.
Majjhantika later successfully carried out the mission following the Buddha's prediction. The latter's pupil Upagupta was described to be the teacher of King Aśoka (3rd century BCE). Together with four or five other pupils of Ānanda, Sāṇavāsī and Majjhantika formed the majority of the Second Council, with Majjhantika being Ānanda's last pupil. Post-canonical Pāli sources add that Sāṇavāsī had a leading role in the Third Buddhist Council as well. Although little is historically certain, Cousins thought it likely at least one of the leading figures on the Second Council was a pupil of Ānanda, as nearly all the textual traditions mention a connection with Ānanda.
Ajāsattu is said to have built a stūpa on top of the Ānanda's relics, at the river Rohīni, or according to some sources, the Ganges; the Licchavis had also built a stūpa at their side of the river. The Chinese pilgrim Xuan Zang (60264 CE) later visited stūpas on both sides of the river Rohīni. Faxian also reported having visited stūpas dedicated to Ānanda at the river Rohīni, but also in Mathurā. Moreover, according to the Mūlasarvāstivāda version of the Saṃyukta Āgama, King Aśoka visited and made the most lavish offerings he ever made to a stūpa: He explained to his ministers that he did this because "[t]he body of the Tathāgata is the body of dharma(s), pure in nature. He [Ānanda] was able to retain it/them all; for this reason the offerings [to him] surpass [all others]"body of dharma here referred to the Buddha's teachings as a whole.
In Early Buddhist Texts, Ānanda had reached final Nirvana and would no longer be reborn. But, in contrast with the early texts, according to the Mahāyāna Lotus Sūtra, Ānanda would be born as a Buddha in the future. He would accomplish this slower than the present Buddha, Gotama Buddha, had accomplished this, because Ānanda aspired to becoming a Buddha by applying "great learning". Because of this long trajectory and great efforts, however, his enlightenment would be extraordinary and with great splendor.
Legacy
Ānanda is depicted as an eloquent speaker, who often taught about the self and about meditation. There are numerous Buddhist texts attributed to Ānanda, including the Atthakanāgara Sutta, about meditation methods to attain Nirvana; a version of the Bhaddekaratta Sutta (, ), about living in the present moment; the Sekha Sutta, about the higher training of a disciple of the Buddha; the Subha Suttanta, about the practices the Buddha inspired others to follow. In the Gopaka-Mogallānasutta, a conversation took place between Ānanda, the brahmin Gopaka-Mogallāna and the minister Vassakara, the latter being the highest official of the Magadha region. During this conversation, which occurred shortly after the Buddha's death, Vassakara asked whether it was decided yet who would succeed the Buddha. Ānanda replied that no such successor had been appointed, but that the Buddhist community took the Buddha's teaching and discipline as a refuge instead. Furthermore, the saṅgha did not have the Buddha as a master anymore, but they would honor those monks who were virtuous and trustworthy. Besides these suttas, a section of the Theragāthā is attributed to Ānanda. Even in the texts attributed to the Buddha himself, Ānanda is sometimes depicted giving a name to a particular text, or suggesting a simile to the Buddha to use in his teachings.
In East Asian Buddhism, Ānanda is considered one of the ten principal disciples. In many Indian Sanskrit and East Asian texts, Ānanda is considered the second patriarch of the lineage which transmitted the teaching of the Buddha, with Mahākassapa being the first and Majjhantika or Saṇavāsī being the third. There is an account dating back from the Sarvāstivāda and Mūlasarvāstivāda textual traditions which states that before Mahākassapa died, he bestowed the Buddha's teaching on Ānanda as a formal passing on of authority, telling Ānanda to pass the teaching on to Ānanda's pupil Saṇavāsī. Later, just before Ānanda died, he did as Mahākassapa had told him to. Buddhist studies scholars Akira Hirakawa and Bibhuti Baruah have expressed skepticism about the teacherstudent relationship between Mahākassapa and Ānanda, arguing that there was discord between the two, as indicated in the early texts. Regardless, it is clear from the texts that a relationship of transmission of teachings is meant, as opposed to an upajjhāyastudent relationship in a lineage of ordination: no source indicates Mahākassapa was Ānanda's upajjhāya. In Mahāyāna iconography, Ānanda is often depicted flanking the Buddha at the right side, together with Mahākassapa at the left. In Theravāda iconography, however, Ānanda is usually not depicted in this manner, and the motif of transmission of the Dhamma through a list of patriarchs is not found in Pāli sources.
Because Ānanda was instrumental in founding the bhikkhunī community, he has been honored by bhikkhunīs for this throughout Buddhist history. The earliest traces of this can be found in the writings of Faxian and Xuan Zang, who reported that bhikkhunīs made offerings to a stūpa in Ānanda's honor during celebrations and observance days. On a similar note, in 5th6th-century China and 10th-century Japan, Buddhist texts were composed recommending women to uphold the semi-monastic eight precepts in honor and gratitude of Ānanda. In Japan, this was done through the format of a penance ritual called keka (). By the 13th century, in Japan a cult-like interest for Ānanda had developed in a number of convents, in which images and stūpas were used and ceremonies were held in his honor. Presently, opinion among scholars is divided as to whether Ānanda's cult among bhikkhunīs was an expression of their dependence on male monastic tradition, or the opposite, an expression of their legitimacy and independence.
Pāli Vinaya texts attribute the design of the Buddhist monk's robe to Ānanda. As Buddhism prospered, more laypeople started to donate expensive cloth for robes, which put the monks at risk for theft. To decrease its commercial value, monks therefore cut up the cloth offered, before they sew a robe from it. The Buddha asked Ānanda to think of a model for a Buddhist robe, made from small pieces of cloth. Ānanda designed a standard robe model, based on the rice fields of Magadha, which were divided in sections by banks of earth. Another tradition that is connected to Ānanda is paritta recitation. Theravāda Buddhists explain that the custom of sprinkling water during paritta chanting originates in Ānanda's visit to Vesālī, when he recited the Ratana Sutta and sprinkled water from his alms bowl. A third tradition sometimes attributed to Ānanda is the use of Bodhi trees in Buddhism. It is described in the text Kāliṅgabodhi Jātaka that Ānanda planted a Bodhi tree as a symbol of the Buddha's enlightenment, to give people the chance to pay their respects to the Buddha. This tree and shrine came to be known as the Ānanda Bodhi Tree, said to have grown from a seed from the original Bodhi Tree under which the Buddha is depicted to have attained enlightenment. Many of this type of Bodhi Tree shrines in Southeast Asia were erected following this example. Presently, the Ānanda Bodhi Tree is sometimes identified with a tree at the ruins of Jetavana, Sāvatthi, based on the records of Faxian.
In art
Between 1856 and 1858 Richard Wagner wrote a draft for an opera libretto based on the legend about Ānanda and the low-caste girl Prakṛti. He left only a fragmentary prose sketch of a work to be called Die Sieger, but the topic inspired his later opera Parsifal. Furthermore, the draft was used by composer Jonathan Harvey in his 2007 opera Wagner Dream. In Wagner's version of the legend, which he based on orientalist Eugène Burnouf's translations, the magical spell of Prakṛti's mother does not work on Ānanda, and Prakṛti turns to the Buddha to explain her desires for Ānanda. The Buddha replies that a union between Prakṛti and Ānanda is possible, but Prakṛti must agree to the Buddha's conditions. Prakṛti agrees, and it is revealed that the Buddha means something else than she does: he asks Prakṛti to ordain as a bhikkhunī, and live the celibate life as a kind of sister to Ānanda. At first, Prakṛti weeps in dismay, but after the Buddha explains that her current situation is a result of karma from her previous life, she understands and rejoices in the life of a bhikkhunī. Apart from the spiritual themes, Wagner also addresses the faults of the caste system by having the Buddha criticize it.
Drawing from Schopenhauer's philosophy, Wagner contrasts desire-driven salvation and true spiritual salvation: by seeking deliverance through the person she loves, Prakṛti only affirms her will to live (), which is blocking her from attaining deliverance. By being ordained as a bhikkhunī she strives for her spiritual salvation instead. Thus, the early Buddhist account of Mahāpajāpati's ordination is replaced by that of Prakṛti. According to Wagner, by allowing Prakṛti to become ordained, the Buddha also completes his own aim in life: "[H]e regards his existence in the world, whose aim was to benefit all beings, as completed, since he had become able to offer deliverancewithout mediationalso to woman."
The same legend of Ānanda and Prakṛti was made into a short prose play by the Indian poet Rabindranath Tagore, called Chandalika. Chandalika deals with the themes of spiritual conflict, caste and social equality, and contains a strong critique of Indian society. Just like in the traditional account, Prakṛti falls in love with Ānanda, after he gives her self-esteem by accepting a gift of water from her. Prakṛti's mother casts a spell to enchant Ānanda. In Tagore's play, however, Prakṛti later regrets what she has done and has the spell revoked.
Notes
Citations
References
External links
Talk about Ānanda given by Singaporean Buddhist teacher Sylvia Bay, in 2008
Ānanda: Guardian of the Dhamma by Hellmuth Hecker, accounts from the Pāli Canon, archived from the original on 26 September 2018
Foremost disciples of Gautama Buddha
Family of Gautama Buddha
Arhats
Year of birth unknown
Buddhist councils
5th-century BC Buddhist monks
Buddhist patriarchs
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An Enquiry Concerning Human Understanding is a book by the Scottish empiricist philosopher David Hume, published in English in 1748. It was a revision of an earlier effort, Hume's A Treatise of Human Nature, published anonymously in London in 1739–40. Hume was disappointed with the reception of the Treatise, which "fell dead-born from the press," as he put it, and so tried again to disseminate his more developed ideas to the public by writing a shorter and more polemical work.
The end product of his labours was the Enquiry. The Enquiry dispensed with much of the material from the Treatise, in favor of clarifying and emphasizing its most important aspects. For example, Hume's views on personal identity do not appear. However, more vital propositions, such as Hume's argument for the role of habit in a theory of knowledge, are retained.
This book has proven highly influential, both in the years that would immediately follow and today. Immanuel Kant points to it as the book which woke him from his self-described "dogmatic slumber." The Enquiry is widely regarded as a classic in modern philosophical literature.
Content
The argument of the Enquiry proceeds by a series of incremental steps, separated into chapters which logically succeed one another. After expounding his epistemology, Hume explains how to apply his principles to specific topics.
1. Of the different species of philosophy
In the first section of the Enquiry, Hume provides a rough introduction to philosophy as a whole. For Hume, philosophy can be split into two general parts: natural philosophy and the philosophy of human nature (or, as he calls it, "moral philosophy"). The latter investigates both actions and thoughts. He emphasizes in this section, by way of warning, that philosophers with nuanced thoughts will likely be cast aside in favor of those whose conclusions more intuitively match popular opinion. However, he insists, precision helps art and craft of all kinds, including the craft of philosophy.
2. Of the origin of ideas
Next, Hume discusses the distinction between impressions and ideas. By "impressions", he means sensations, while by "ideas", he means memories and imaginings. According to Hume, the difference between the two is that ideas are less vivacious than impressions. For example, the idea of the taste of an orange is far inferior to the impression (or sensation) of actually eating one. Writing within the tradition of empiricism, he argues that impressions are the source of all ideas.
Hume accepts that ideas may be either the product of mere sensation or of the imagination working in conjunction with sensation. According to Hume, the creative faculty makes use of (at least) four mental operations that produce imaginings out of sense-impressions. These operations are compounding (or the addition of one idea onto another, such as a horn on a horse to create a unicorn); transposing (or the substitution of one part of a thing with the part from another, such as with the body of a man upon a horse to make a centaur); augmenting (as with the case of a giant, whose size has been augmented); and diminishing (as with Lilliputians, whose size has been diminished). (Hume 1974:317) In a later chapter, he also mentions the operations of mixing, separating, and dividing. (Hume 1974:340)
However, Hume admits that there is one objection to his account: the problem of "The Missing Shade of Blue". In this thought-experiment, he asks us to imagine a man who has experienced every shade of blue except for one (see Fig. 1). He predicts that this man will be able to divine the color of this particular shade of blue, despite the fact that he has never experienced it. This seems to pose a serious problem for the empirical account, though Hume brushes it aside as an exceptional case by stating that one may experience a novel idea that itself is derived from combinations of previous impressions. (Hume 1974:319)
3. Of the association of ideas
In this chapter, Hume discusses how thoughts tend to come in sequences, as in trains of thought. He explains that there are at least three kinds of associations between ideas: resemblance, contiguity in space-time, and cause-and-effect. He argues that there must be some universal principle that must account for the various sorts of connections that exist between ideas. However, he does not immediately show what this principle might be. (Hume 1974:320-321)
4. Sceptical doubts concerning the operations of the understanding (in two parts)
In the first part, Hume discusses how the objects of inquiry are either "relations of ideas" or "matters of fact", which is roughly the distinction between analytic and synthetic propositions. The former, he tells the reader, are proved by demonstration, while the latter are given through experience. (Hume 1974:322) In explaining how matters of fact are entirely a product of experience, he dismisses the notion that they may be arrived at through a priori reasoning. For Hume, every effect only follows its cause arbitrarily—they are entirely distinct from one another. (Hume 1974:324)
In part two, Hume inquires into how anyone can justifiably believe that experience yields any conclusions about the world:
"When it is asked, What is the nature of all our reasonings concerning matter of fact? the proper answer seems to be, that they are founded on the relation of cause and effect. When again it is asked, What is the foundation of all our reasonings and conclusions concerning that relation? it may be replied in one word, experience. But if we still carry on our sifting humor, and ask, What is the foundation of all conclusions from experience? this implies a new question, which may be of more difficult solution and explication." (Hume 1974:328)
He shows how a satisfying argument for the validity of experience can be based neither on demonstration (since "it implies no contradiction that the course of nature may change") nor experience (since that would be a circular argument). (Hume 1974:330-332) Here he is describing what would become known as the problem of induction.
5. Sceptical solution of these doubts (in two parts)
According to Hume, we assume that experience tells us something about the world because of habit or custom, which human nature forces us to take seriously. This is also, presumably, the "principle" that organizes the connections between ideas. Indeed, one of the many famous passages of the Enquiry is on the topic of the incorrigibility of human custom. In Section XII, Of the academical or sceptical philosophy, Hume will argue,
"The great subverter of Pyrrhonism or the excessive principles of skepticism is action, and employment, and the occupations of common life. These principles may flourish and triumph in the schools; where it is, indeed, difficult, if not impossible, to refute them. But as soon as they leave the shade, and by the presence of the real objects, which actuate our passions and sentiments, are put in opposition to the more powerful principles of our nature, they vanish like smoke, and leave the most determined skeptic in the same condition as other mortals." (Hume 1974:425)
In the second part, he provides an account of beliefs. He explains that the difference between belief and fiction is that the former produces a certain feeling of confidence which the latter doesn't. (Hume 1974:340)
6. Of probability
This short chapter begins with the notions of probability and chance. For him, "probability" means a higher chance of occurring, and brings about a higher degree of subjective expectation in the viewer. By "chance", he means all those particular comprehensible events which the viewer considers possible in accord with the viewer's experience. However, further experience takes these equal chances, and forces the imagination to observe that certain chances arise more frequently than others. These gentle forces upon the imagination cause the viewer to have strong beliefs in outcomes. This effect may be understood as another case of custom or habit taking past experience and using it to predict the future. (Hume 1974:346-348)
7. Of the idea of necessary connection (in two parts)
By "necessary connection", Hume means the power or force which necessarily ties one idea to another. He rejects the notion that any sensible qualities are necessarily conjoined, since that would mean we could know something prior to experience. Unlike his predecessors, Berkeley and Locke, Hume rejects the idea that volitions or impulses of the will may be inferred to necessarily connect to the actions they produce by way of some sense of the power of the will. He reasons that, 1. if we knew the nature of this power, then the mind-body divide would seem totally unmysterious to us; 2. if we had immediate knowledge of this mysterious power, then we would be able to intuitively explain why it is that we can control some parts of our bodies (e.g., our hands or tongues), and not others (e.g., the liver or heart); 3. we have no immediate knowledge of the powers which allow an impulse of volition to create an action (e.g., of the "muscles, and nerves, and animal spirits" which are the immediate cause of an action). (Hume 1974:353-354) He produces like arguments against the notion that we have knowledge of these powers as they affect the mind alone. (Hume 1974:355-356) He also argues in brief against the idea that causes are mere occasions of the will of some god(s), a view associated with the philosopher Nicolas Malebranche. (Hume 1974:356-359)
Having dispensed with these alternative explanations, he identifies the source of our knowledge of necessary connections as arising out of observation of constant conjunction of certain impressions across many instances. In this way, people know of necessity through rigorous custom or habit, and not from any immediate knowledge of the powers of the will. (Hume 1974:361)
8. Of liberty and necessity (in two parts)
Here Hume tackles the problem of how liberty may be reconciled with metaphysical necessity (otherwise known as a compatibilist formulation of free will). Hume believes that all disputes on the subject have been merely verbal arguments—that is to say, arguments which are based on a lack of prior agreement on definitions. He first shows that it is clear that most events are deterministic, but human actions are more controversial. However, he thinks that these too occur out of necessity since an outside observer can see the same regularity that he would in a purely physical system. To show the compatibility of necessity and liberty, Hume defines liberty as the ability to act on the basis of one's will e.g. the capacity to will one's actions but not to will one's will. He then shows (quite briefly) how determinism and free will are compatible notions, and have no bad consequences on ethics or moral life.
9. Of the reason of animals
Hume insists that the conclusions of the Enquiry will be very powerful if they can be shown to apply to animals and not just humans. He believed that animals were able to infer the relation between cause and effect in the same way that humans do: through learned expectations. (Hume 1974:384) He also notes that this "inferential" ability that animals have is not through reason, but custom alone. Hume concludes that there is an innate faculty of instincts which both beasts and humans share, namely, the ability to reason experimentally (through custom). Nevertheless, he admits, humans and animals differ in mental faculties in a number of ways, including: differences in memory and attention, inferential abilities, ability to make deductions in a long chain, ability to grasp ideas more or less clearly, the human capacity to worry about conflating unrelated circumstances, a sagely prudence which arrests generalizations, a capacity for a greater inner library of analogies to reason with, an ability to detach oneself and scrap one's own biases, and an ability to converse through language (and thus gain from the experience of others' testimonies). (Hume 1974:385, footnote 17.)
10. Of miracles (in two parts)
The next topic which Hume strives to give treatment is that of the reliability of human testimony, and of the role that testimony plays a part in epistemology. This was not an idle concern for Hume. Depending on its outcome, the entire treatment would give the epistemologist a degree of certitude in the treatment of miracles.
True to his empirical thesis, Hume tells the reader that, though testimony does have some force, it is never quite as powerful as the direct evidence of the senses. That said, he provides some reasons why we may have a basis for trust in the testimony of persons: because a) human memory can be relatively tenacious; and b) because people are inclined to tell the truth, and ashamed of telling falsities. Needless to say, these reasons are only to be trusted to the extent that they conform to experience. (Hume 1974:389)
And there are a number of reasons to be skeptical of human testimony, also based on experience. If a) testimonies conflict one another, b) there are a small number of witnesses, c) the speaker has no integrity, d) the speaker is overly hesitant or bold, or e) the speaker is known to have motives for lying, then the epistemologist has reason to be skeptical of the speaker's claims. (Hume 1974:390)
There is one final criterion that Hume thinks gives us warrant to doubt any given testimony, and that is f) if the propositions being communicated are miraculous. Hume understands a miracle to be any event which contradicts the laws of nature. He argues that the laws of nature have an overwhelming body of evidence behind them, and are so well demonstrated to everyone's experience, that any deviation from those laws necessarily flies in the face of all evidence. (Hume 1974:391-392)
Moreover, he stresses that talk of the miraculous has no surface validity, for four reasons. First, he explains that in all of history there has never been a miracle which was attested to by a wide body of disinterested experts. Second, he notes that human beings delight in a sense of wonder, and this provides a villain with an opportunity to manipulate others. Third, he thinks that those who hold onto the miraculous have tended towards barbarism. Finally, since testimonies tend to conflict with one another when it comes to the miraculous—that is, one man's religious miracle may be contradicted by another man's miracle—any testimony relating to the fantastic is self-denunciating. (Hume 1974:393-398)
Still, Hume takes care to warn that historians are generally to be trusted with confidence, so long as their reports on facts are extensive and uniform. However, he seems to suggest that historians are as fallible at interpreting the facts as the rest of humanity. Thus, if every historian were to claim that there was a solar eclipse in the year 1600, then though we might at first naively regard that as in violation of natural laws, we'd come to accept it as a fact. But if every historian were to assert that Queen Elizabeth was observed walking around happy and healthy after her funeral, and then interpreted that to mean that they had risen from the dead, then we'd have reason to appeal to natural laws in order to dispute their interpretation. (Hume 1974:400-402)
11. Of a particular providence and of a future state
Hume continues his application of epistemology to theology by an extended discussion on heaven and hell. The brunt of this chapter allegedly narrates the opinions, not of Hume, but of one of Hume's anonymous friends, who again presents them in an imagined speech by the philosopher Epicurus. His friend argues that, though it is possible to trace a cause from an effect, it is not possible to infer unseen effects from a cause thus traced. The friend insists, then, that even though we might postulate that there is a first cause behind all things—God—we can't infer anything about the afterlife, because we don't know anything of the afterlife from experience, and we can't infer it from the existence of God. (Hume 1974:408)
Hume offers his friend an objection: if we see an unfinished building, then can't we infer that it has been created by humans with certain intentions, and that it will be finished in the future? His friend concurs, but indicates that there is a relevant disanalogy that we can't pretend to know the contents of the mind of God, while we can know the designs of other humans. Hume seems essentially persuaded by his friend's reasoning. (Hume 1974:412-414)
12. Of the academical or skeptical philosophy (in three parts)
The first section of the last chapter is well organized as an outline of various skeptical arguments. The treatment includes the arguments of atheism, Cartesian skepticism, "light" skepticism, and rationalist critiques of empiricism. Hume shows that even light skepticism leads to crushing doubts about the world which - while they ultimately are philosophically justifiable - may only be combated through the non-philosophical adherence to custom or habit. He ends the section with his own reservations towards Cartesian and Lockean epistemologies.
In the second section he returns to the topic of hard skepticism by sharply denouncing it.
"For here is the chief and most confounding objection to excessive skepticism, that no durable good can ever result from it; while it remains in its full force and vigor. We need only ask such a skeptic, What his meaning is? And what he proposes by all these curious researches? He is immediately at a loss, and knows not what to answer... a Pyrrhonian cannot expect, that his philosophy will have any constant influence on the mind: or if it had, that its influence would be beneficial to society. On the contrary, he must acknowledge, if he will acknowledge anything, that all human life must perish, were his principles universally and steadily to prevail." (Hume 1974:426)
He concludes the volume by setting out the limits of knowledge once and for all. "When we run over libraries, persuaded of these principles, what havoc must we make? If we take in our hand any volume; of divinity or school metaphysics, for instance; let us ask, Does it contain any abstract reasoning concerning quantity or number? No. Does it contain any experimental reasoning concerning matter of fact and existence? No. Commit it then to the flames: for it can contain nothing but sophistry and illusion."
Critiques and rejoinders
The criteria Hume lists in his examination of the validity of human testimony are roughly upheld in modern social psychology, under the rubric of the communication-persuasion paradigm. Supporting literature includes: the work of social impact theory, which discusses persuasion in part through the number of persons engaging in influence; as well as studies made on the relative influence of communicator credibility in different kinds of persuasion; and examinations of the trustworthiness of the speaker.
The "custom" view of learning can in many ways be likened to associationist psychology. This point of view has been subject to severe criticism in the research of the 20th century. Still, testing on the subject has been somewhat divided. Testing on certain animals like cats have concluded that they do not possess any faculty which allow their minds to grasp an insight into cause and effect. However, it has been shown that some animals, like chimpanzees, were able to generate creative plans of action to achieve their goals, and thus would seem to have a causal insight which transcends mere custom.
References
External links
An Enquiry Concerning Human Understanding: Mirrored at eBooks@Adelaide
A version of this work, slightly edited for easier reading
An Enquiry Concerning Human Understanding The Enquiry hosted at infidels.org
1748 non-fiction books
Books by David Hume
Epistemology literature
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Apollo 13 (April 1117, 1970) was the seventh crewed mission in the Apollo space program and the third meant to land on the Moon. The craft was launched from Kennedy Space Center on April 11, 1970, but the lunar landing was aborted after an oxygen tank in the service module (SM) failed two days into the mission. The crew instead looped around the Moon in a circumlunar trajectory and returned safely to Earth on April 17. The mission was commanded by Jim Lovell, with Jack Swigert as command module (CM) pilot and Fred Haise as Lunar Module (LM) pilot. Swigert was a late replacement for Ken Mattingly, who was grounded after exposure to rubella (measles).
A routine stir of an oxygen tank ignited damaged wire insulation inside it, causing an explosion that vented the contents of both of the SM's oxygen tanks to space. Without oxygen, needed for breathing and for generating electric power, the SM's propulsion and life support systems could not operate. The CM's systems had to be shut down to conserve its remaining resources for reentry, forcing the crew to transfer to the LM as a lifeboat. With the lunar landing canceled, mission controllers worked to bring the crew home alive.
Although the LM was designed to support two men on the lunar surface for two days, Mission Control in Houston improvised new procedures so it could support three men for four days. The crew experienced great hardship, caused by limited power, a chilly and wet cabin and a shortage of potable water. There was a critical need to adapt the CM's cartridges for the carbon dioxide scrubber system to work in the LM; the crew and mission controllers were successful in improvising a solution. The astronauts' peril briefly renewed public interest in the Apollo program; tens of millions watched the splashdown in the South Pacific Ocean on television.
An investigative review board found fault with preflight testing of the oxygen tank and Teflon being placed inside it. The board recommended changes, including minimizing the use of potentially combustible items inside the tank; this was done for Apollo 14. The story of Apollo 13 has been dramatized several times, most notably in the 1995 film Apollo 13 based on Lost Moon, the 1994 memoir co-authored by Lovell – and an episode of the 1998 miniseries From the Earth to the Moon.
Background
In 1961, U.S. President John F. Kennedy challenged his nation to land an astronaut on the Moon by the end of the decade, with a safe return to Earth. NASA worked towards this goal incrementally, sending astronauts into space during Project Mercury and Project Gemini, leading up to the Apollo program. The goal was achieved with Apollo 11, which landed on the Moon on July 20, 1969. Neil Armstrong and Buzz Aldrin walked on the lunar surface while Michael Collins orbited the Moon in Command Module Columbia. The mission returned to Earth on July 24, 1969, fulfilling Kennedy's challenge.
NASA had contracted for fifteen Saturn V rockets to achieve the goal; at the time no one knew how many missions this would require. Since success was obtained in 1969 with the sixth SaturnV on Apollo 11, nine rockets remained available for a hoped-for total of ten landings. After the excitement of Apollo 11, the general public grew apathetic towards the space program and Congress continued to cut NASA's budget; Apollo 20 was canceled. Despite the successful lunar landing, the missions were considered so risky that astronauts could not afford life insurance to provide for their families if they died in space.
Even before the first U.S. astronaut entered space in 1961, planning for a centralized facility to communicate with the spacecraft and monitor its performance had begun, for the most part the brainchild of Christopher C. Kraft Jr., who became NASA's first flight director. During John Glenn's Mercury Friendship 7 flight in February 1962 (the first crewed orbital flight by the U.S.), one of Kraft's decisions was overruled by NASA managers. He was vindicated by post-mission analysis and implemented a rule that, during the mission, the flight director's word was absolute – to overrule him, NASA would have to fire him on the spot. Flight directors during Apollo had a one-sentence job description, "The flight director may take any actions necessary for crew safety and mission success."
In 1965, Houston's Mission Control Center opened, in part designed by Kraft and now named for him. In Mission Control, each flight controller, in addition to monitoring telemetry from the spacecraft, was in communication via voice loop to specialists in a Staff Support Room (or "back room"), who focused on specific spacecraft systems.
Apollo 13 was to be the second H mission, meant to demonstrate precision lunar landings and explore specific sites on the Moon. With Kennedy's goal accomplished by Apollo 11, and Apollo 12 demonstrating that the astronauts could perform a precision landing, mission planners were able to focus on more than just landing safely and having astronauts minimally trained in geology gather lunar samples to take home to Earth. There was a greater role for science on Apollo 13, especially for geology, something emphasized by the mission's motto, Ex luna, scientia (From the Moon, knowledge).
Astronauts and key Mission Control personnel
Apollo 13's mission commander, Jim Lovell, was 42 years old at the time of the spaceflight. He was a graduate of the United States Naval Academy and had been a naval aviator and test pilot before being selected for the second group of astronauts in 1962; he flew with Frank Borman in Gemini 7 in 1965 and Buzz Aldrin in Gemini 12 the following year before flying in Apollo 8 in 1968, the first spacecraft to orbit the Moon. At the time of Apollo 13, Lovell was the NASA astronaut with the most time in space, with 572 hours over the three missions.
Jack Swigert, the command module pilot (CMP), was 38 years old and held a B.S. in mechanical engineering and an M.S. in aerospace science; he had served in the Air Force and in state Air National Guards and was an engineering test pilot before being selected for the fifth group of astronauts in 1966. Fred Haise, the lunar module pilot (LMP), was 35 years old. He held a B.S. in aeronautical engineering, had been a Marine Corps fighter pilot, and was a civilian research pilot for NASA when he was selected as a Group5 astronaut.
According to the standard Apollo crew rotation, the prime crew for Apollo 13 would have been the backup crew for Apollo 10, with Mercury and Gemini veteran Gordon Cooper in command, Donn F. Eisele as CMP and Edgar Mitchell as LMP. Deke Slayton, NASA's Director of Flight Crew Operations, never intended to rotate Cooper and Eisele to a prime crew assignment, as both were out of favorCooper for his lax attitude towards training, and Eisele for incidents aboard Apollo7 and an extramarital affair. He assigned them to the backup crew because no other veteran astronauts were available. Slayton's original choices for Apollo 13 were Alan Shepard as commander, Stuart Roosa as CMP, and Mitchell as LMP. However, management felt Shepard needed more training time, as he had only recently resumed active status after surgery for an inner ear disorder and had not flown since 1961. Thus, Lovell's crew (himself, Haise and Ken Mattingly), having all backed up Apollo 11 and being slated for Apollo 14, was swapped with Shepard's.
Swigert was originally CMP of Apollo 13's backup crew, with John Young as commander and Charles Duke as lunar module pilot. Seven days before launch, Duke contracted rubella from a friend of his son. This exposed both the prime and backup crews, who trained together. Of the five, only Mattingly was not immune through prior exposure. Normally, if any member of the prime crew had to be grounded, the remaining crew would be replaced as well, and the backup crew substituted, but Duke's illness ruled this out, so two days before launch, Mattingly was replaced by Swigert. Mattingly never developed rubella and later flew on Apollo 16.
For Apollo, a third crew of astronauts, known as the support crew, was designated in addition to the prime and backup crews used on projects Mercury and Gemini. Slayton created the support crews because James McDivitt, who would command Apollo 9, believed that, with preparation going on in facilities across the US, meetings that needed a member of the flight crew would be missed. Support crew members were to assist as directed by the mission commander. Usually low in seniority, they assembled the mission's rules, flight plan, and checklists, and kept them updated; for Apollo 13, they were Vance D. Brand, Jack Lousma and either William Pogue or Joseph Kerwin.
For Apollo 13, flight directors were Gene Kranz, White team (the lead flight director); Glynn Lunney, Black team; Milton Windler, Maroon team and Gerry Griffin, Gold team. The CAPCOMs (the person in Mission Control, during the Apollo program an astronaut, who was responsible for voice communications with the crew) for Apollo 13 were Kerwin, Brand, Lousma, Young and Mattingly.
Mission insignia and call signs
The Apollo 13 mission insignia depicts the Greek god of the Sun, Apollo, with three horses pulling his chariot across the face of the Moon, and the Earth seen in the distance. This is meant to symbolize the Apollo flights bringing the light of knowledge to all people. The mission motto, Ex luna, scientia ("From the Moon, knowledge"), appears. In choosing it, Lovell adapted the motto of his alma mater, the Naval Academy, Ex scientia, tridens ("From knowledge, sea power").
On the patch, the mission number appeared in Roman numerals as Apollo XIII. It did not have to be modified after Swigert replaced Mattingly, as it is one of only two Apollo mission insigniathe other being Apollo 11not to include the names of the crew. It was designed by artist Lumen Martin Winter, who based it on a mural he had painted for the St. Regis Hotel in New York City. The mural was later purchased by actor Tom Hanks, who portrayed Lovell in the movie Apollo 13, and is now in the Captain James A. Lovell Federal Health Care Center in Illinois.
The mission's motto was in Lovell's mind when he chose the call sign Aquarius for the lunar module, taken from Aquarius, the bringer of water. Some in the media erroneously reported that the call sign was taken from a song by that name from the musical Hair. The command module's call sign, Odyssey, was chosen not only for its Homeric association but to refer to the recent movie, 2001: A Space Odyssey, based on a short story by science fiction author Arthur C. Clarke. In his book, Lovell indicated he chose the name Odyssey because he liked the word and its definition: a long voyage with many changes of fortune.
Space vehicle
The Saturn V rocket used to carry Apollo 13 to the Moon was numbered SA-508, and was almost identical to those used on Apollo8 through 12. Including the spacecraft, the rocket weighed in at . The S-IC first stage's engines were rated to generate less total thrust than Apollo 12's, though they remained within specifications. To keep its liquid hydrogen propellent cold, the S-II second stage's cryogenic tanks were insulated; on earlier Apollo missions this came in the form of panels that were affixed, but beginning with Apollo 13, insulation was sprayed onto the exterior of the tanks. Extra propellant was carried as a test, since future J missions to the Moon would require more propellant for their heavier payloads. This made the vehicle the heaviest yet flown by NASA, and Apollo 13 was visibly slower to clear the launch tower than earlier missions.
The Apollo 13 spacecraft consisted of Command Module 109 and Service Module 109 (together CSM-109), called Odyssey, and Lunar Module7 (LM-7), called Aquarius. Also considered part of the spacecraft was the launch escape system, which would propel the command module (CM) to safety in the event of a problem during liftoff, and the Spacecraft–LM Adapter, numbered as SLA-16, which housed the lunar module (LM) during the first hours of the mission.
The LM stages, CM and service module (SM) were received at Kennedy Space Center (KSC) in June 1969; the portions of the Saturn V were received in June and July. Thereafter, testing and assembly proceeded, culminating with the rollout of the launch vehicle, with the spacecraft atop it, on December 15, 1969. Apollo 13 was originally scheduled for launch on March 12, 1970; in January of that year, NASA announced the mission would be postponed until April 11, both to allow more time for planning and to spread the Apollo missions over a longer period of time. The plan was to have two Apollo flights per year and was in response to budgetary constraints that had recently seen the cancellation of Apollo 20.
Training and preparation
The Apollo 13 prime crew undertook over 1,000 hours of mission-specific training, more than five hours for every hour of the mission's ten-day planned duration. Each member of the prime crew spent over 400 hours in simulators of the CM and (for Lovell and Haise) of the LM at KSC and at Houston, some of which involved the flight controllers at Mission Control. Flight controllers participated in many simulations of problems with the spacecraft in flight, which taught them how to react in an emergency. Specialized simulators at other locations were also used by the crew members.
The astronauts of Apollo 11 had minimal time for geology training, with only six months between crew assignment and launch; higher priorities took much of their time. Apollo 12 saw more such training, including practice in the field, using a CAPCOM and a simulated backroom of scientists, to whom the astronauts had to describe what they saw. Scientist-astronaut Harrison Schmitt saw that there was limited enthusiasm for geology field trips. Believing an inspirational teacher was needed, Schmitt arranged for Lovell and Haise to meet his old professor, Caltech's Lee Silver. The two astronauts, and backups Young and Duke, went on a field trip with Silver at their own time and expense. At the end of their week together, Lovell made Silver their geology mentor, who would be extensively involved in the geology planning for Apollo 13. Farouk El-Baz oversaw the training of Mattingly and his backup, Swigert, which involved describing and photographing simulated lunar landmarks from airplanes. El-Baz had all three prime crew astronauts describe geologic features they saw during their flights between Houston and KSC; Mattingly's enthusiasm caused other astronauts, such as Apollo 14's CMP, Roosa, to seek out El-Baz as a teacher.
Concerned about how close Apollo 11's LM, Eagle, had come to running out of propellant during its lunar descent, mission planners decided that beginning with Apollo 13, the CSM would bring the LM to the low orbit from which the landing attempt would commence. This was a change from Apollo 11 and 12, on which the LM made the burn to bring it to the lower orbit. The change was part of an effort to increase the amount of hover time available to the astronauts as the missions headed into rougher terrain.
The plan was to devote the first of the two four-hour lunar surface extravehicular activities (EVAs) to setting up the Apollo Lunar Surface Experiments Package (ALSEP) group of scientific instruments; during the second, Lovell and Haise would investigate Cone crater, near the planned landing site. The two astronauts wore their spacesuits for some 20 walk-throughs of EVA procedures, including sample gathering and use of tools and other equipment. They flew in the "Vomit Comet" in simulated microgravity or lunar gravity, including practice in donning and doffing spacesuits. To prepare for the descent to the Moon's surface, Lovell flew the Lunar Landing Training Vehicle (LLTV) after receiving helicopter training. Despite the crashes of one LLTV and one similar Lunar Landing Research Vehicle (LLRV) prior to Apollo 13, mission commanders considered flying them invaluable experience and so prevailed on reluctant NASA management to retain them.
Experiments and scientific objectives
Apollo 13's designated landing site was near Fra Mauro crater; the Fra Mauro formation was believed to contain much material spattered by the impact that had filled the Imbrium basin early in the Moon's history. Dating it would provide information not only about the Moon, but about the Earth's early history. Such material was likely to be available at Cone crater, a site where an impact was believed to have drilled deep into the lunar regolith.
Apollo 11 had left a seismometer on the Moon, but the solar-powered unit did not survive its first two-week-long lunar night. The Apollo 12 astronauts also left one as part of its ALSEP, which was nuclear-powered. Apollo 13 also carried a seismometer (known as the Passive Seismic Experiment, or PSE), similar to Apollo 12's, as part of its ALSEP, to be left on the Moon by the astronauts. That seismometer was to be calibrated by the impact, after jettison, of the ascent stage of Apollo 13's LM, an object of known mass and velocity impacting at a known location.
Other ALSEP experiments on Apollo 13 included a Heat Flow Experiment (HFE), which would involve drilling two holes deep. This was Haise's responsibility; he was also to drill a third hole of that depth for a core sample. A Charged Particle Lunar Environment Experiment (CPLEE) measured the protons and electrons of solar origin reaching the Moon. The package also included a Lunar Atmosphere Detector (LAD) and a Dust Detector, to measure the accumulation of debris. The Heat Flow Experiment and the CPLEE were flown for the first time on Apollo 13; the other experiments had been flown before.
To power the ALSEP, the SNAP-27 radioisotope thermoelectric generator (RTG) was flown. Developed by the U.S. Atomic Energy Commission, SNAP-27 was first flown on Apollo 12. The fuel capsule contained about of plutonium oxide. The cask placed around the capsule for transport to the Moon was built with heat shields of graphite and of beryllium, and with structural parts of titanium and of Inconel materials. Thus, it was built to withstand the heat of reentry into the Earth's atmosphere rather than pollute the air with plutonium in the event of an aborted mission.
A United States flag was also taken, to be erected on the Moon's surface. For Apollo 11 and 12, the flag had been placed in a heat-resistant tube on the front landing leg; it was moved for Apollo 13 to the Modularized Equipment Stowage Assembly (MESA) in the LM descent stage. The structure to fly the flag on the airless Moon was improved from Apollo 12's.
For the first time, red stripes were placed on the helmet, arms and legs of the commander's A7L spacesuit. This was done as, after Apollo 11, those reviewing the images taken had trouble distinguishing Armstrong from Aldrin, but the change was approved too late for Apollo 12. New drink bags that attached inside the helmets and were to be sipped from as the astronauts walked on the Moon were demonstrated by Haise during Apollo 13's final television broadcast before the accident.
Apollo 13's primary mission objectives were to: "Perform selenological inspection, survey, and sampling of materials in a preselected region of the Fra Mauro Formation. Deploy and activate an Apollo Lunar Surface Experiments Package. Develop man's capability to work in the lunar environment. Obtain photographs of candidate exploration sites." The astronauts were also to accomplish other photographic objectives, including of the Gegenschein from lunar orbit, and of the Moon itself on the journey back to Earth. Some of this photography was to be performed by Swigert as Lovell and Haise walked on the Moon. Swigert was also to take photographs of the Lagrangian points of the Earth-Moon system. Apollo 13 had twelve cameras on board, including those for television and moving pictures. The crew was also to downlink bistatic radar observations of the Moon. None of these was attempted because of the accident.
Flight of Apollo 13
Launch and translunar injection
The mission was launched at the planned time, 2:13:00 pm EST (19:13:00 UTC) on April 11. An anomaly occurred when the second-stage, center (inboard) engine shut down about two minutes early. This was caused by severe pogo oscillations. Starting with Apollo 10, the vehicle's guidance system was designed to shut the engine down in response to chamber pressure excursions. Pogo oscillations had occurred on Titan rockets (used during the Gemini program) and on previous Apollo missions, but on Apollo 13 they were amplified by an interaction with turbopump cavitation. A fix to prevent pogo was ready for the mission, but schedule pressure did not permit the hardware's integration into the Apollo 13 vehicle. A post-flight investigation revealed the engine was one cycle away from catastrophic failure. The four outboard engines and the S-IVB third stage burned longer to compensate, and the vehicle achieved very close to the planned circular parking orbit, followed by a translunar injection (TLI) about two hours later, setting the mission on course for the Moon.
After TLI, Swigert performed the separation and transposition maneuvers before docking the CSM Odyssey to the LM Aquarius, and the spacecraft pulled away from the third stage. Ground controllers then sent the third stage on a course to impact the Moon in range of the Apollo 12 seismometer, which it did just over three days into the mission.
The crew settled in for the three-day trip to Fra Mauro. At 30:40:50 into the mission, with the TV camera running, the crew performed a burn to place Apollo 13 on a hybrid trajectory. The departure from a free-return trajectory meant that if no further burns were performed, Apollo 13 would miss Earth on its return trajectory, rather than intercept it, as with a free return. A free return trajectory could only reach sites near the lunar equator; a hybrid trajectory, which could be started at any point after TLI, allowed sites with higher latitudes, such as Fra Mauro, to be reached. Communications were enlivened when Swigert realized that in the last-minute rush, he had omitted to file his federal income tax return (due April 15), and amid laughter from mission controllers, asked how he could get an extension. He was found to be entitled to a 60-day extension for being out of the country at the deadline.
Entry into the LM to test its systems had been scheduled for 58:00:00; when the crew awoke on the third day of the mission, they were informed it had been moved up three hours and was later moved up again by another hour. A television broadcast was scheduled for 55:00:00; Lovell, acting as emcee, showed the audience the interiors of Odyssey and Aquarius. The audience was limited since none of the television networks were carrying the broadcast, forcing Marilyn Lovell (Jim Lovell's wife) to go to the VIP room at Mission Control if she wanted to watch her husband and his crewmates.
Accident
Approximately six and a half minutes after the TV broadcastapproaching 56:00:00Apollo 13 was about from Earth. Haise was completing the shutdown of the LM after testing its systems while Lovell stowed the TV camera. Jack Lousma, the CAPCOM, sent minor instructions to Swigert, including changing the attitude of the craft to facilitate photography of Comet Bennett.
The pressure sensor in one of the SM's oxygen tanks had earlier appeared to be malfunctioning, so Sy Liebergot (the EECOM, in charge of monitoring the CSM's electrical system) requested that the stirring fans in the tanks be activated. Normally this was done once daily; a stir would destratify the contents of the tanks, making the pressure readings more accurate. The Flight Director, Kranz, had Liebergot wait a few minutes for the crew to settle down after the telecast, then Lousma relayed the request to Swigert, who activated the switches controlling the fans, and after a few seconds turned them off again.
Ninety-five seconds after Swigert activated those switches, the astronauts heard a "pretty large bang", accompanied by fluctuations in electrical power and the firing of the attitude control thrusters. Communications and telemetry to Earth were lost for 1.8 seconds, until the system automatically corrected by switching the high-gain S-band antenna, used for translunar communications, from narrow-beam to wide-beam mode. The accident happened at 55:54:53 (03:08 UTC on April 14, 10:08 PM EST, April 13). Swigert reported 26 seconds later, "Okay, Houston, we've had a problem here," echoed at 55:55:42 by Lovell, "Houston, we've had a problem. We've had a Main B Bus undervolt." William Fenner was the guidance officer (GUIDO) who was the first to report a problem in the control room to Kranz.
Lovell's initial thought on hearing the noise was that Haise had activated the LM's cabin-repressurization valve, which also produced a bang (Haise enjoyed doing so to startle his crewmates), but Lovell could see that Haise had no idea what had happened. Swigert initially thought that a meteoroid might have struck the LM, but he and Lovell quickly realized there was no leak. The "Main Bus B undervolt" meant that there was insufficient voltage produced by the SM's three fuel cells (fueled by hydrogen and oxygen piped from their respective tanks) to the second of the SM's two electric power distribution systems. Almost everything in the CSM required power. Although the bus momentarily returned to normal status, soon both buses A and B were short on voltage. Haise checked the status of the fuel cells and found that two of them were dead. Mission rules forbade entering lunar orbit unless all fuel cells were operational.
In the minutes after the accident, there were several unusual readings, showing that tank2 was empty and tank1's pressure slowly falling, that the computer on the spacecraft had reset and that the high-gain antenna was not working. Liebergot initially missed the worrying signs from tank2 following the stir, as he was focusing on tank1, believing that its reading would be a good guide to what was present in tank2, as did controllers supporting him in the "back room". When Kranz questioned Liebergot on this, he initially responded that there might be false readings due to an instrumentation problem; he was often teased about that in the years to come. Lovell, looking out the window, reported "a gas of some sort" venting into space, making it clear that there was a serious problem.
Since the fuel cells needed oxygen to operate, when Oxygen Tank1 ran dry, the remaining fuel cell would shut down, meaning the CSM's only significant sources of power and oxygen would be the CM's batteries and its oxygen "surge tank". These would be needed for the final hours of the mission, but the remaining fuel cell, already starved for oxygen, was drawing from the surge tank. Kranz ordered the surge tank isolated, saving its oxygen, but this meant that the remaining fuel cell would die within two hours, as the oxygen in tank1 was consumed or leaked away. The volume surrounding the spacecraft was filled with myriad small bits of debris from the accident, complicating any efforts to use the stars for navigation. The mission's goal became simply getting the astronauts back to Earth alive.
Looping around the Moon
The lunar module had charged batteries and full oxygen tanks for use on the lunar surface, so Kranz directed that the astronauts power up the LM and use it as a "lifeboat"a scenario anticipated but considered unlikely. Procedures for using the LM in this way had been developed by LM flight controllers after a training simulation for Apollo 10 in which the LM was needed for survival, but could not be powered up in time. Had Apollo 13's accident occurred on the return voyage, with the LM already jettisoned, the astronauts would have died, as they would have following an explosion in lunar orbit, including one while Lovell and Haise walked on the Moon.
A key decision was the choice of return path. A "direct abort" would use the SM's main engine (the Service Propulsion System or SPS) to return before reaching the Moon. However, the accident could have damaged the SPS, and the fuel cells would have to last at least another hour to meet its power requirements, so Kranz instead decided on a longer route: the spacecraft would swing around the Moon before heading back to Earth. Apollo 13 was on the hybrid trajectory which was to take it to Fra Mauro; it now needed to be brought back to a free return. The LM's Descent Propulsion System (DPS), although not as powerful as the SPS, could do this, but new software for Mission Control's computers needed to be written by technicians as it had never been contemplated that the CSM/LM spacecraft would have to be maneuvered from the LM. As the CM was being shut down, Lovell copied down its guidance system's orientation information and performed hand calculations to transfer it to the LM's guidance system, which had been turned off; at his request Mission Control checked his figures. At 61:29:43.49 the DPS burn of 34.23 seconds took Apollo 13 back to a free return trajectory.
The change would get Apollo 13 back to Earth in about four days' timethough with splashdown in the Indian Ocean, where NASA had few recovery forces. Jerry Bostick and other Flight Dynamics Officers (FIDOs) were anxious both to shorten the travel time and to move splashdown to the Pacific Ocean, where the main recovery forces were located. One option would shave 36 hours off the return time, but required jettisoning the SM; this would expose the CM's heat shield to space during the return journey, something for which it had not been designed. The FIDOs also proposed other solutions. After a meeting involving NASA officials and engineers, the senior individual present, Manned Spaceflight Center director Robert R. Gilruth, decided on a burn using the DPS, that would save 12 hours and land Apollo 13 in the Pacific. This "PC+2" burn would take place two hours after pericynthion, the closest approach to the Moon. At pericynthion, Apollo 13 set the record (per the Guinness Book of World Records), which still stands, for the highest absolute altitude attained by a crewed spacecraft: from Earth at 7:21 pm EST, April 14 (00:21:00 UTC April 15).
While preparing for the burn the crew was told that the S-IVB had impacted the Moon as planned, leading Lovell to quip, "Well, at least something worked on this flight." Kranz's White team of mission controllers, who had spent most of their time supporting other teams and developing the procedures urgently needed to get the astronauts home, took their consoles for the PC+2 procedure. Normally, the accuracy of such a burn could be assured by checking the alignment Lovell had transferred to the LM's computer against the position of one of the stars astronauts used for navigation, but the light glinting off the many pieces of debris accompanying the spacecraft made that impractical. The astronauts accordingly used the one star available whose position could not be obscuredthe Sun. Houston also informed them that the Moon would be centered in the commander's window of the LM as they made the burn, which was almost perfectless than 0.3 meters (1 foot) per second off. The burn, at 79:27:38.95, lasted four minutes and 23 seconds. The crew then shut down most LM systems to conserve consumables.
Return to Earth
The LM carried enough oxygen, but that still left the problem of removing carbon dioxide, which was absorbed by canisters of lithium hydroxide pellets.
The LM's stock of canisters, meant to accommodate two astronauts for 45 hours on the Moon, was not enough to support three astronauts for the return journey to Earth. The CM had enough canisters, but they were of a different shape and size to the LM's, hence unable to be used in the LM's equipment. Engineers on the ground devised a way to bridge the gap, using plastic, covers ripped from procedure manuals, duct tape, and other items available on the spacecraft. NASA engineers referred to the improvised device as "the mailbox". The procedure for building the device was read to the crew by CAPCOM Joseph Kerwin over the course of an hour, and was built by Swigert and Haise; carbon dioxide levels began dropping immediately. Lovell later described this improvisation as "a fine example of cooperation between ground and space".
The CSM's electricity came from fuel cells that produced water as a byproduct, but the LM was powered by silver-zinc batteries which did not, so both electrical power and water (needed for equipment cooling as well as drinking) would be critical. LM power consumption was reduced to the lowest level possible; Swigert was able to fill some drinking bags with water from the CM's water tap, but even assuming rationing of personal consumption, Haise initially calculated they would run out of water for cooling about five hours before reentry. This seemed acceptable because the systems of Apollo 11's LM, once jettisoned in lunar orbit, had continued to operate for seven to eight hours even with the water cut off. In the end, Apollo 13 returned to Earth with of water remaining. The crew's ration was 0.2 liters (6.8 fl oz) of water per person per day; the three astronauts lost a total of among them, and Haise developed a urinary tract infection. This infection was probably caused by the reduced water intake, but microgravity and effects of cosmic radiation might have impaired his immune system's reaction to the pathogen.
Inside the darkened spacecraft, the temperature dropped as low as . Lovell considered having the crew don their spacesuits, but decided this would be too hot. Instead, Lovell and Haise wore their lunar EVA boots and Swigert put on an extra coverall. All three astronauts were cold, especially Swigert, who had got his feet wet while filling the water bags and had no lunar overshoes (since he had not been scheduled to walk on the Moon). As they had been told not to discharge their urine to space to avoid disturbing the trajectory, they had to store it in bags. Water condensed on the walls, though any condensation that may have been behind equipment panels caused no problems, partly because of the extensive electrical insulation improvements instituted after the Apollo 1 fire. Despite all this, the crew voiced few complaints.
Flight controller John Aaron, along with Mattingly and several engineers and designers, devised a procedure for powering up the command module from full shutdownsomething never intended to be done in flight, much less under Apollo 13's severe power and time constraints. The astronauts implemented the procedure without apparent difficulty: Kranz later credited all three astronauts having been test pilots, accustomed to having to work in critical situations with their lives on the line, for their survival.
Recognizing that the cold conditions combined with insufficient rest would hinder the time critical startup of the command module prior to reentry, at 133 hours into flight Mission Control gave Lovell the okay to fully power up the LM to raise the cabin temperature, which included restarting the LM's guidance computer. Having the LM's computer running enabled Lovell to perform a navigational sighting and calibrate the LM's Inertial Measurement Unit (IMU). With the lunar module's computer aware of its location and orientation, the command module's computer was later calibrated in a reverse of the normal procedures used to set up the LM, shaving steps from the restart process and increasing the accuracy of the PGNCS-controlled reentry.
Reentry and splashdown
Despite the accuracy of the transearth injection, the spacecraft slowly drifted off course, necessitating a correction. As the LM's guidance system had been shut down following the PC+2 burn, the crew was told to use the line between night and day on the Earth to guide them, a technique used on NASA's Earth-orbit missions but never on the way back from the Moon. This DPS burn, at 105:18:42 for 14 seconds, brought the projected entry flight path angle back within safe limits. Nevertheless, yet another burn was needed at 137:40:13, using the LM's reaction control system (RCS) thrusters, for 21.5 seconds. The SM was jettisoned less than half an hour later, allowing the crew to see the damage for the first time, and photograph it. They reported that an entire panel was missing from the SM's exterior, the fuel cells above the oxygen tank shelf were tilted, that the high-gain antenna was damaged, and there was a considerable amount of debris elsewhere. Haise could see possible damage to the SM's engine bell, validating Kranz's decision not to use the SPS.
The last problem to be solved was how to separate the lunar module a safe distance away from the command module just before reentry. The normal procedure, in lunar orbit, was to release the LM and then use the service module's RCS to pull the CSM away, but by this point, the SM had already been released. Grumman, manufacturer of the LM, assigned a team of University of Toronto engineers, led by senior scientist Bernard Etkin, to solve the problem of how much air pressure to use to push the modules apart. The astronauts applied the solution, which was successful. The LM reentered Earth's atmosphere and was destroyed, the remaining pieces falling in the deep ocean. Apollo 13's final midcourse correction had addressed the concerns of the Atomic Energy Commission, which wanted the cask containing the plutonium oxide intended for the SNAP-27 RTG to land in a safe place. The impact point was over the Tonga Trench in the Pacific, one of its deepest points, and the cask sank to the bottom. Later helicopter surveys found no radioactive leakage.
Ionization of the air around the command module during reentry would typically cause a four-minute communications blackout. Apollo 13's shallow reentry path lengthened this to six minutes, longer than had been expected; controllers feared that the CM's heat shield had failed. Odyssey regained radio contact and splashed down safely in the South Pacific Ocean, , southeast of American Samoa and from the recovery ship, USS Iwo Jima. Although fatigued, the crew was in good condition except for Haise, who had developed a serious urinary tract infection because of insufficient water intake. The crew stayed overnight on the ship and flew to Pago Pago, American Samoa, the next day. They flew to Hawaii, where President Richard Nixon awarded them the Presidential Medal of Freedom, the highest civilian honor. They stayed overnight, and then were flown back to Houston.
En route to Honolulu, President Nixon stopped at Houston to award the Presidential Medal of Freedom to the Apollo 13 Mission Operations Team. He originally planned to give the award to NASA administrator Thomas O. Paine, but Paine recommended the mission operations team.
Public and media reaction
Worldwide interest in the Apollo program was reawakened by the incident; television coverage was seen by millions. Four Soviet ships headed toward the landing area to assist if needed, and other nations offered assistance should the craft have to splash down elsewhere. President Nixon canceled appointments, phoned the astronauts' families, and drove to NASA's Goddard Space Flight Center in Greenbelt, Maryland, where Apollo's tracking and communications were coordinated.
The rescue received more public attention than any spaceflight to that point, other than the first Moon landing on Apollo 11. There were worldwide headlines, and people surrounded television sets to get the latest developments, offered by networks who interrupted their regular programming for bulletins. Pope Paul VI led a congregation of 10,000 people in praying for the astronauts' safe return; ten times that number offered prayers at a religious festival in India. The United States Senate on April 14 passed a resolution urging businesses to pause at 9:00pm local time that evening to allow for employee prayer.
An estimated 40million Americans watched Apollo13's splashdown, carried live on all three networks, with another 30million watching some portion of the six and one-half hour telecast. Even more outside the U.S. watched. Jack Gould of The New York Times stated that Apollo13, "which came so close to tragic disaster, in all probability united the world in mutual concern more fully than another successful landing on the Moon would have".
Investigation and response
Review board
Immediately upon the crew's return, NASA Administrator Paine and Deputy Administrator George Low appointed a review boardchaired by NASA Langley Research Center Director Edgar M. Cortright and including Neil Armstrong and six othersto investigate the accident.
The board's final report, sent to Paine on June 15,
found that the failure began in the service module's number2 oxygen tank. Damaged Teflon insulation on the wires to the stirring fan inside Oxygen Tank2 allowed the wires to short circuit and ignite this insulation. The resulting fire increased the pressure inside the tank until the tank dome failed, filling the fuel cell bay (SM Sector4) with rapidly expanding gaseous oxygen and combustion products. The pressure rise was sufficient to pop the rivets holding the aluminum exterior panel covering Sector4 and blow it out, exposing the sector to space and snuffing out the fire. The detached panel hit the nearby high-gain antenna, disabling the narrow-beam communication mode and interrupting communication with Earth for 1.8 seconds while the system automatically switched to the backup wide-beam mode. The sectors of the SM were not airtight from each other, and had there been time for the entire SM to become as pressurized as Sector4, the force on the CM's heat shield would have separated the two modules. The report questioned the use of Teflon and other materials shown to be flammable in supercritical oxygen, such as aluminum, within the tank. The board found no evidence pointing to any other theory of the accident.
Mechanical shock forced the oxygen valves closed on the number1 and number3 fuel cells, putting them out of commission. The sudden failure of Oxygen Tank2 compromised Oxygen Tank1, causing its contents to leak out, possibly through a damaged line or valve, over the next 130 minutes, entirely depleting the SM's oxygen supply. With both SM oxygen tanks emptying, and with other damage to the SM, the mission had to be aborted. The board praised the response to the emergency: "The imperfection in Apollo 13 constituted a near disaster, averted only by outstanding performance on the part of the crew and the ground control team which supported them."
Oxygen Tank 2 was manufactured by the Beech Aircraft Company of Boulder, Colorado, as subcontractor to North American Rockwell (NAR) of Downey, California, prime contractor for the CSM. It contained two thermostatic switches, originally designed for the command module's 28-volt DC power, but which could fail if subjected to the 65 volts used during ground testing at KSC. Under the original 1962 specifications, the switches would be rated for 28 volts, but revised specifications issued in 1965 called for 65 volts to allow for quicker tank pressurization at KSC. Nonetheless, the switches Beech used were not rated for 65 volts.
At NAR's facility, Oxygen Tank 2 had been originally installed in an oxygen shelf placed in the Apollo 10 service module, SM-106, but which was removed to fix a potential electromagnetic interference problem and another shelf substituted. During removal, the shelf was accidentally dropped at least , because a retaining bolt had not been removed. The probability of damage from this was low, but it is possible that the fill line assembly was loose and made worse by the fall. After some retesting (which did not include filling the tank with liquid oxygen), in November 1968 the shelf was re-installed in SM-109, intended for Apollo 13, which was shipped to KSC in June 1969.
The Countdown Demonstration Test took place with SM-109 in its place near the top of the Saturn V and began on March 16, 1970. During the test, the cryogenic tanks were filled, but Oxygen Tank 2 could not be emptied through the normal drain line, and a report was written documenting the problem. After discussion among NASA and the contractors, attempts to empty the tank resumed on March 27. When it would not empty normally, the heaters in the tank were turned on to boil off the oxygen. The thermostatic switches were designed to prevent the heaters from raising the temperature higher than , but they failed under the 65-volt power supply applied. Temperatures on the heater tube within the tank may have reached , most likely damaging the Teflon insulation. The temperature gauge was not designed to read higher than , so the technician monitoring the procedure detected nothing unusual. This heating had been approved by Lovell and Mattingly of the prime crew, as well as by NASA managers and engineers. Replacement of the tank would have delayed the mission by at least a month. The tank was filled with liquid oxygen again before launch; once electric power was connected, it was in a hazardous condition. The board found that Swigert's activation of the Oxygen Tank2 fan at the request of Mission Control caused an electric arc that set the tank on fire.
The board conducted a test of an oxygen tank rigged with hot-wire ignitors that caused a rapid rise in temperature within the tank, after which it failed, producing telemetry similar to that seen with the Apollo 13 Oxygen Tank 2. Tests with panels similar to the one that was seen to be missing on SM Sector4 caused separation of the panel in the test apparatus.
Changes in response
For Apollo 14 and subsequent missions, the oxygen tank was redesigned, the thermostats being upgraded to handle the proper voltage. The heaters were retained since they were necessary to maintain oxygen pressure. The stirring fans, with their unsealed motors, were removed, which meant the oxygen quantity gauge was no longer accurate. This required adding a third tank so that no tank would go below half full. The third tank was placed in Bay1 of the SM, on the side opposite the other two, and was given an isolation valve that could isolate it from the fuel cells and from the other two oxygen tanks in an emergency and allow it to feed the CM's environmental system only. The quantity probe was upgraded from aluminum to stainless steel.
All electrical wiring in Bay4 was sheathed in stainless steel. The fuel cell oxygen supply valves were redesigned to isolate the Teflon-coated wiring from the oxygen. The spacecraft and Mission Control monitoring systems were modified to give more immediate and visible warnings of anomalies. An emergency supply of of water was stored in the CM, and an emergency battery, identical to those that powered the LM's descent stage, was placed in the SM. The LM was modified to make transfer of power from the LM to the CM easier.
Aftermath
On February 5, 1971, Apollo 14's LM, Antares, landed on the Moon with astronauts Alan Shepard and Edgar Mitchell aboard, near Fra Mauro, the site Apollo 13 had been intended to explore. Haise served as CAPCOM during the descent to the Moon, and during the second EVA, during which Shepard and Mitchell explored near Cone crater.
None of the Apollo 13 astronauts flew in space again. Lovell retired from NASA and the Navy in 1973, entering the private sector. Swigert was to have flown on the 1975 Apollo–Soyuz Test Project (the first joint mission with the Soviet Union) but was removed as part of the fallout from the Apollo 15 postal covers incident. He took a leave of absence from NASA in 1973 and left the agency to enter politics, being elected to the House of Representatives in 1982, but died of cancer before he could be sworn in. Haise was slated to have been the commander of the canceled Apollo 19 mission, and flew the Space Shuttle Approach and Landing Tests before retiring from NASA in 1979.
Several experiments were completed during Apollo 13, even though the mission did not land on the Moon. One involved the launch vehicle's S-IVB (the Saturn V's third stage), which on prior missions had been sent into solar orbit once detached. The seismometer left by Apollo 12 had detected frequent impacts of small objects onto the Moon, but larger impacts would yield more information about the Moon's crust, so it was decided that, beginning with Apollo 13, the S-IVB would be crashed into the Moon. The impact occurred at 77:56:40 into the mission and produced enough energy that the gain on the seismometer, from the impact, had to be reduced. An experiment to measure the amount of atmospheric electrical phenomena during the ascent to orbitadded after Apollo 12 was struck by lightningreturned data indicating a heightened risk during marginal weather. A series of photographs of Earth, taken to test whether cloud height could be determined from synchronous satellites, achieved the desired results.
As a joke, Grumman issued an invoice to North American Rockwell, prime contractor for the CSM, for "towing" the CSM most of the way to the Moon and back. Line items included 400001 miles at $1 each (plus $4 for the first mile); $536.05 for battery charging; oxygen; and four nights at $8 per night for an "additional guest in room" (Swigert). After a 20% "commercial discount", and a 2% discount for timely payment, the final total was $312,421.24. North American declined payment, noting that it had ferried three previous Grumman LMs to the Moon without compensation.
The CM was disassembled for testing and parts remained in storage for years; some were used for a trainer for the Skylab Rescue Mission. That trainer was subsequently displayed at the Kentucky Science Center. Max Ary of the Cosmosphere made it a project to restore Odyssey; it is on display there, in Hutchinson, Kansas.
Apollo 13 was called a "successful failure" by Lovell. Mike Massimino, a Space Shuttle astronaut, stated that Apollo 13 "showed teamwork, camaraderie and what NASA was really made of". The response to the accident has been repeatedly called "NASA's finest hour"; it is still viewed that way. Author Colin Burgess wrote, "the life-or-death flight of Apollo 13 dramatically evinced the colossal risks inherent in manned spaceflight. Then, with the crew safely back on Earth, public apathy set in once again."
William R. Compton, in his book about the Apollo Program, said of Apollo 13, "Only a heroic effort of real-time improvisation by mission operations teams saved the crew." Rick Houston and Milt Heflin, in their history of Mission Control, stated, "Apollo 13 proved mission control could bring those space voyagers back home again when their lives were on the line." Former NASA chief historian Roger D. Launius wrote, "More than any other incident in the history of spaceflight, recovery from this accident solidified the world's belief in NASA's capabilities". Nevertheless, the accident convinced some officials, such as Manned Spaceflight Center director Gilruth, that if NASA kept sending astronauts on Apollo missions, some would inevitably be killed, and they called for as quick an end as possible to the program. Nixon's advisers recommended canceling the remaining lunar missions, saying that a disaster in space would cost him political capital. Budget cuts made such a decision easier, and during the pause after Apollo 13, two missions were canceled, meaning that the program ended with Apollo 17 in December 1972.
Popular culture, media and 50th anniversary
The 1974 movie Houston, We've Got a Problem, while set around the Apollo 13 incident, is a fictional drama about the crises faced by ground personnel when the emergency disrupts their work schedules and places further stress on their lives. Lovell publicly complained about the movie, saying it was "fictitious and in poor taste".
"Houston... We've Got a Problem" was the title of an episode of the BBC documentary series A Life At Stake, broadcast in March 1978. This was an accurate, if simplified, reconstruction of the events. In 1994, during the 25th anniversary of Apollo 11, PBS released a 90-minute documentary titled Apollo 13: To the Edge and Back.
Following the flight, the crew planned to write a book, but they all left NASA without starting it. After Lovell retired in 1991, he was approached by journalist Jeffrey Kluger about writing a non-fiction account of the mission. Swigert died in 1982 and Haise was no longer interested in such a project. The resultant book, Lost Moon: The Perilous Voyage of Apollo 13, was published in 1994.
The next year, in 1995, a film adaptation of the book, Apollo 13, was released, directed by Ron Howard and starring Tom Hanks as Lovell, Bill Paxton as Haise, Kevin Bacon as Swigert, Gary Sinise as Mattingly, Ed Harris as Kranz, and Kathleen Quinlan as Marilyn Lovell. James Lovell, Kranz, and other principals have stated that this film depicted the events of the mission with reasonable accuracy, given that some dramatic license was taken. For example, the film changes the tense of Lovell's famous follow-up to Swigert's original words from, "Houston, we've had a problem" to "Houston, we have a problem". The film also invented the phrase "Failure is not an option", uttered by Harris as Kranz in the film; the phrase became so closely associated with Kranz that he used it for the title of his 2000 autobiography. The film won two of the nine Academy Awards it was nominated for, Best Film Editing and Best Sound.
In the 1998 miniseries From the Earth to the Moon, co-produced by Hanks and Howard, the mission is dramatized in the episode "We Interrupt This Program". Rather than showing the incident from the crew's perspective as in the Apollo 13 feature film, it is instead presented from an Earth-bound perspective of television reporters competing for coverage of the event.
In 2020, the BBC World Service began airing 13 Minutes to the Moon, radio programs which draw on NASA audio from the mission, as well as archival and recent interviews with participants. Episodes began airing for Season 2 starting on March 8, 2020, with episode 1, "Time bomb: Apollo 13", explaining the launch and the explosion. Episode 2 details Mission Control's denial and disbelief of the accident, with other episodes covering other aspects of the mission. The seventh and final episode was delayed due to the COVID-19 pandemic. In "Delay to Episode 7", the BBC explained that the presenter of the series, medical doctor Kevin Fong, had been called into service.
In advance of the 50th anniversary of the mission in 2020, an Apollo in Real Time site for the mission went online, allowing viewers to follow along as the mission unfolds, view photographs and video, and listen to audio of conversations between Houston and the astronauts as well as between mission controllers. Due to the COVID-19 pandemic, NASA did not hold any in-person events during April 2020 for the flight's 50th anniversary, but premiered a new documentary, Apollo 13: Home Safe on April 10, 2020. A number of events were rescheduled for later in 2020.
Gallery
Notes
References
Sources
External links
NASA reports
"Apollo 13: Lunar exploration experiments and photography summary" (Original mission as planned) (PDF) NASA, February 1970
All NASA mission transcripts
"Apollo 13 Technical Air-to-Ground Voice Transcription" (PDF) NASA, April 1970
Multimedia
Fred Haise
Jim Lovell
Jack Swigert
Apollo program missions
Spacecraft launched by Saturn rockets
Articles containing video clips
Crewed missions to the Moon
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Apollo 7 (October 11–22, 1968) was the first crewed flight in NASA's Apollo program, and saw the resumption of human spaceflight by the agency after the fire that had killed the three Apollo 1 astronauts during a launch rehearsal test on January 27, 1967. The Apollo7 crew was commanded by Walter M. Schirra, with command module pilot Donn F. Eisele and lunar module pilot R. Walter Cunningham (so designated even though Apollo7 did not carry a Lunar Module).
The three astronauts were originally designated for the second crewed Apollo flight, and then as backups for Apollo1. After the Apollo1 fire, crewed flights were suspended while the cause of the accident was investigated and improvements made to the spacecraft and safety procedures, and uncrewed test flights made. Determined to prevent a repetition of the fire, the crew spent long periods monitoring the construction of their Apollo command and service modules (CSM). Training continued over much of the pause that followed the Apollo1 disaster.
Apollo 7 was launched on October 11, 1968, from Cape Kennedy Air Force Station, Florida, and splashed down in the Atlantic Ocean eleven days later. Extensive testing of the CSM took place, and also the first live television broadcast from an American spacecraft. Despite tension between the crew and ground controllers, the mission was a complete technical success, giving NASA the confidence to send Apollo 8 into orbit around the Moon two months later. In part because of these tensions, none of the crew flew in space again, though Schirra had already announced he would retire from NASA after the flight. Apollo7 fulfilled Apollo1's mission of testing the CSM in low Earth orbit, and was a significant step towards NASA's goal of landing astronauts on the Moon.
Background and personnel
Schirra, one of the original "Mercury Seven" astronauts, graduated from the United States Naval Academy in 1945. He flew Mercury-Atlas 8 in 1962, the fifth crewed flight of Project Mercury and the third to reach orbit, and in 1965 was the command pilot for Gemini 6A. He was a 45-year-old captain in the Navy at the time of Apollo7. Eisele graduated from the Naval Academy in 1952 with a B.S. in aeronautics. He elected to be commissioned in the Air Force, and was a 38-year-old major at the time of Apollo7. Cunningham joined the U.S. Navy in 1951, began flight training the following year, and served in a Marine flight squadron from 1953 to 1956, and was a civilian, aged 36, serving in the Marine Corps reserves with a rank of major, at the time of Apollo7. He received degrees in physics from UCLA, a B.A. in 1960 and an M.A. in 1961. Both Eisele and Cunningham were selected as part of the third group of astronauts in 1963.
Eisele was originally slotted for a position on Gus Grissom's Apollo 1 crew along with Ed White, but days prior to the official announcement on March 25, 1966, Eisele sustained a shoulder injury that would require surgery. Instead, Roger Chaffee was given the position and Eisele was reassigned to Schirra's crew.
Schirra, Eisele, and Cunningham were first named as an Apollo crew on September 29, 1966. They were to fly a second Earth orbital test of the Apollo Command Module (CM). Although delighted as a rookie to be assigned to a prime crew without having served as a backup, Cunningham was troubled by the fact that a second Earth orbital test flight, dubbed Apollo2, seemed unnecessary if Apollo1 was successful. He learned later that Director of Flight Crew Operations Deke Slayton, another of the Mercury Seven who had been grounded for medical reasons and supervised the astronauts, planned, with Schirra's support, to command the mission if he gained medical clearance. When this was not forthcoming, Schirra remained in command of the crew, and in November 1966, Apollo2 was cancelled and Schirra's crew assigned as backup to Grissom's. Thomas P. Stafford—assigned at that point as the backup commander of the second orbital test—stated that the cancellation followed Schirra and his crew submitting a list of demands to NASA management (Schirra wanted the mission to include a lunar module and a CM capable of docking with it), and that the assignment as backups left Schirra complaining that Slayton and Chief Astronaut Alan Shepard had destroyed his career.
On January 27, 1967, Grissom's crew was conducting a launch-pad test for their planned February 21 mission, when a fire broke out in the cabin, killing all three men. A complete safety review of the Apollo program followed. Soon after the fire, Slayton asked Schirra, Eisele and Cunningham to fly the first mission after the pause. Apollo 7 would use the BlockII spacecraft designed for the lunar missions, as opposed to the Block I CSM used for Apollo 1, which was intended only to be used for the early Earth-orbit missions, as it lacked the capability of docking with a lunar module. The CM and astronauts' spacesuits had been extensively redesigned, to reduce any chance of a repeat of the accident which killed the first crew. Schirra's crew would test the life support, propulsion, guidance and control systems during this "open-ended" mission (meaning it would be extended as it passed each test). The duration was limited to 11 days, reduced from the original 14-day limit for Apollo1.
The backup crew consisted of Stafford as commander, John W. Young as command module pilot, and Eugene A. Cernan as lunar module pilot. They became the prime crew of Apollo 10. Ronald E. Evans, John L. 'Jack' Swigert, and Edward G. Givens were assigned to the support crew for the mission. Givens died in a car accident on June 6, 1967, and William R. Pogue was assigned as his replacement. Evans was involved in hardware testing at Kennedy Space Center (KSC). Swigert was the launch capsule communicator (CAPCOM) and worked on the mission's operational aspects. Pogue spent time modifying procedures. The support crew also filled in when the primary and backup crews were unavailable.
CAPCOMs, the person in Mission Control responsible for communicating with the spacecraft (then always an astronaut) were Evans, Pogue, Stafford, Swigert, Young and Cernan. Flight directors were Glynn Lunney, Gene Kranz and Gerry Griffin.
Preparation
According to Cunningham, Schirra originally had limited interest in making a third spaceflight, beginning to focus on his post-NASA career. Flying the first mission after the fire changed things: "Wally Schirra was being pictured as the man chosen to rescue the manned space program. And that was a task worthy of Wally's interest." Eisele noted, "coming on the heels of the fire, we knew the fate and future of the entire manned space program—not to mention our own skins—was riding on the success or failure of Apollo7."
Given the circumstances of the fire, the crew initially had little confidence in the staff at North American Aviation's plant at Downey, California, who built the Apollo command modules, and they were determined to follow their craft every step of the way through construction and testing. This interfered with training, but the simulators of the CM were not yet ready, and they knew it would be a long time until they launched. They spent long periods at Downey. Simulators were constructed at Houston's Manned Spacecraft Center and at KSC in Florida. Once these were available for use, the crew had difficulty finding enough time to do everything, even with the help of the backup and support crews; the crew often worked 12 or 14 hours per day. After the CM was completed and shipped to KSC, the focus of the crew's training shifted to Florida, though they went to Houston for planning and technical meetings. Rather than return to their Houston homes for the weekend, they often had to remain at KSC in order to participate in training or spacecraft testing. According to former astronaut Tom Jones in a 2018 article, Schirra, "with indisputable evidence of the risks his crew would be taking, now had immense leverage with management at NASA and North American, and he used it. In conference rooms or on the spacecraft assembly line, Schirra got his way."
The Apollo 7 crew spent five hours in training for every hour they could expect to remain aboard if the mission went its full eleven days. In addition, they attended technical briefings and pilots' meetings, and studied on their own. They undertook launch pad evacuation training, water egress training to exit the vehicle after splashdown, and learned to use firefighting equipment. They trained on the Apollo Guidance Computer at MIT. Each crew member spent 160 hours in CM simulations, in some of which Mission Control in Houston participated live. The "plugs out" test—the test that had killed the Apollo1 crew—was conducted with the prime crew in the spacecraft, but with the hatch open. One reason the Apollo1 crew had died was because it was impossible to open the inward-opening hatch before the fire raced through the cabin; this was changed for Apollo7.
Command modules similar to that used on Apollo7 were subjected to tests in the run-up to the mission. A three-astronaut crew (Joseph P. Kerwin, Vance D. Brand and Joe H. Engle) was inside a CM that was placed in a vacuum chamber at the Manned Spaceflight Center in Houston for eight days in June 1968 to test spacecraft systems. Another crew (James Lovell, Stuart Roosa and Charles M. Duke) spent 48 hours at sea aboard a CM lowered into the Gulf of Mexico from a naval vessel in April 1968, to test how systems would respond to seawater. Further tests were conducted the following month in a tank at Houston. Fires were set aboard a boilerplate CM using various atmospheric compositions and pressures. The results led to the decision to use 60 percent oxygen and 40 percent nitrogen within the CM at launch, which would be replaced with a lower pressure of pure oxygen within four hours, as providing adequate fire protection. Other boilerplate spacecraft were subjected to drops to test parachutes, and to simulate the likely damage if a CM came down on land. All results were satisfactory.
During the run-up to the mission, the Soviets sent uncrewed probes Zond 4 and Zond 5 (Zond 5 carried two tortoises) around the Moon, seeming to foreshadow a circumlunar crewed mission. NASA's Lunar Module (LM) was suffering delays, and Apollo Program Spacecraft Manager George Low proposed that if Apollo7 was a success, that Apollo 8 go to lunar orbit without a LM. The acceptance of Low's proposal raised the stakes for Apollo7. According to Stafford, Schirra "clearly felt the full weight of the program riding on a successful mission and as a result became more openly critical and more sarcastic."
Throughout the Mercury and Gemini programs, McDonnell Aircraft engineer Guenter Wendt led the spacecraft launch pad teams, with ultimate responsibility for condition of the spacecraft at launch. He earned the astronauts' respect and admiration, including Schirra's. However, the spacecraft contractor had changed from McDonnell (Mercury and Gemini) to North American (Apollo), so Wendt was not the pad leader for Apollo1. So adamant was Schirra in his desire to have Wendt back as pad leader for his Apollo flight, that he got his boss Slayton to persuade North American management to hire Wendt away from McDonnell, and Schirra personally lobbied North American's launch operations manager to change Wendt's shift from midnight to day so he could be pad leader for Apollo7. Wendt remained as pad leader for the entire Apollo program. When he departed the spacecraft area as the pad was evacuated prior to launch, after Cunningham said, "I think Guenter's going", Eisele responded "Yes, I think Guenter went."
Hardware
Spacecraft
The Apollo 7 spacecraft included Command and Service Module 101 (CSM-101) the first BlockII CSM to be flown. The BlockII craft had the capability of docking with a LM, though none was flown on Apollo7. The spacecraft also included the launch escape system and a spacecraft-lunar module adapter (SLA, numbered as SLA-5), though the latter included no LM and instead provided a mating structure between the SM and the S-IVB's Instrument Unit, with a structural stiffener substituted for the LM. The launch escape system was jettisoned after S-IVB ignition, while the SLA was left behind on the spent S-IVB when the CSM separated from it in orbit.
Following the Apollo 1 fire, the BlockII CSM was extensively redesigned—more than 1,800 changes were recommended, of which 1,300 were implemented for Apollo7. Prominent among these was the new aluminum and fiberglass outward-opening hatch, which the crew could open in seven seconds from within, and the pad crew in ten seconds from outside. Other changes included replacement of aluminum tubing in the high-pressure oxygen system with stainless steel, replacement of flammable materials with non-flammable (including changing plastic switches for metal ones) and, for crew protection in the event of a fire, an emergency oxygen system to shield them from toxic fumes, as well as firefighting equipment.
After the Gemini 3 craft was dubbed Molly Brown by Grissom, NASA forbade naming spacecraft. Despite this prohibition, Schirra wanted to name his ship "Phoenix," but NASA refused him permission. The first CM to be given a call sign other than the mission designation would be that of Apollo 9, which carried a LM that would separate from it and then re-dock, necessitating distinct call signs for the two vehicles.
Launch vehicle
Since it flew in low Earth orbit and did not include a LM, Apollo7 was launched with the Saturn IB booster rather than the much larger and more powerful Saturn V. That Saturn IB was designated SA-205, and was the fifth Saturn IB to be flown—the earlier ones did not carry crews into space. It differed from its predecessors in that stronger propellant lines to the augmented spark igniter in the J-2 engines had been installed, so as to prevent a repetition of the early shutdown that had occurred on the uncrewed Apollo 6 flight; postflight analysis had shown that the propellant lines to the J-2 engines, also used in the Saturn V tested on Apollo6, had leaked.
The Saturn IB was a two-stage rocket, with the second stage an S-IVB similar to the third stage of the Saturn V, the rocket used by all later Apollo missions. The Saturn IB was used after the close of the Apollo Program to bring crews in Apollo CSMs to Skylab, and for the Apollo–Soyuz Test Project.
Apollo 7 was the only crewed Apollo mission to launch from Cape Kennedy Air Force Station's Launch Complex 34. All subsequent Apollo and Skylab spacecraft flights (including Apollo–Soyuz) were launched from Launch Complex 39 at the nearby Kennedy Space Center. Launch Complex 34 was declared redundant and decommissioned in 1969, making Apollo7 the last human spaceflight mission to launch from the Cape Air Force Station in the 20th century.
Mission highlights
The main purposes of the Apollo7 flight were to show that the Block II CM would be habitable and reliable over the length of time required for a lunar mission, to show that the service propulsion system (SPS, the spacecraft's main engine) and the CM's guidance systems could perform a rendezvous in orbit, and later make a precision reentry and splashdown. In addition, there were a number of specific objectives, including evaluating the communications systems and the accuracy of onboard systems such as the propellant tank gauges. Many of the activities aimed at gathering these data were scheduled for early in the mission, so that if the mission was terminated prematurely, they would already have been completed, allowing for fixes to be made prior to the next Apollo flight.
Launch and testing
Apollo 7, the first crewed American space flight in 22 months, launched from Launch Complex 34 at 11:02:45am EDT (15:02:45UTC) on Friday, October 11, 1968.
During the countdown, the wind was blowing in from the east. Launching under these weather conditions was in violation of safety rules, since in the event of a launch vehicle malfunction and abort, the CM might be blown back over land instead of making the usual water landing. Apollo7 was equipped with the old Apollo1-style crew couches, which provided less protection than later ones. Schirra later related that he felt the launch should have been scrubbed, but managers waived the rule and he yielded under pressure.
Liftoff proceeded flawlessly; the Saturn IB performed well on its first crewed launch and there were no significant anomalies during the boost phase. The astronauts described it as very smooth. The ascent made the 45-year-old Schirra the oldest person to that point to enter space, and, as it proved, the only astronaut to fly Mercury, Gemini and Apollo missions.
Within the first three hours of flight, the astronauts performed two actions which simulated what would be required on a lunar mission. First, they maneuvered the craft with the S-IVB still attached, as would be required for the burn that would take lunar missions to the Moon. Then, after separation from the S-IVB, Schirra turned the CSM around and approached a docking target painted on the S-IVB, simulating the docking maneuver with the lunar module on Moon-bound missions prior to extracting the combined craft.
After station keeping with the S-IVB for 20 minutes, Schirra let it drift away, putting between the CSM and it in preparation for the following day's rendezvous attempt.
The astronauts also enjoyed a hot lunch, the first hot meal prepared on an American spacecraft. Schirra had brought instant coffee along over the opposition of NASA doctors, who argued it added nothing nutritionally. Five hours after launch, he reported having, and enjoying, his first plastic bag full of coffee.
The purpose of the rendezvous was to demonstrate the CSM's ability to match orbits with and rescue a LM after an aborted lunar landing attempt, or following liftoff from the lunar surface. This was to occur on the second day; but by the end of the first, Schirra had reported he had a cold, and, despite Slayton coming on the loop to argue in favor, declined Mission Control's request that the crew power up and test the onboard television camera prior to the rendezvous, citing the cold, that the crew had not eaten, and that there was already a very full schedule.
The rendezvous was complicated by the fact that the Apollo7 spacecraft lacked a rendezvous radar, something the Moon-bound missions would have. The SPS, the engine that would be needed to send later Apollo CSMs into and out of lunar orbit, had been fired only on a test stand. Although the astronauts were confident it would work, they were concerned it might fire in an unexpected manner, necessitating an early end to the mission. The burns would be computed from the ground but the final work in maneuvering up to the S-IVB would require Eisele to use the telescope and sextant to compute the final burns, with Schirra applying the ship's reaction control system (RCS) thrusters. Eisele was startled by the violent jolt caused by activating the SPS. The thrust caused Schirra to yell, "Yabba dabba doo!" in reference to The Flintstones cartoon. Schirra eased the craft close to the S-IVB, which was tumbling out of control, successfully completing the rendezvous.
The first television broadcast took place on October 14. It began with a view of a card reading "From the Lovely Apollo Room high atop everything", recalling tag lines used by band leaders on 1930s radio broadcasts. Cunningham served as camera operator with Eisele as emcee. During the seven-minute broadcast, the crew showed off the spacecraft and gave the audience views of the southern United States. Before the close, Schirra held another sign, "Keep those cards and letters coming in folks", another old-time radio tag line that had been used recently by Dean Martin. This was the first live television broadcast from an American spacecraft (Gordon Cooper had transmitted slow scan television pictures from Faith7 in 1963, but the pictures were of poor quality and were never broadcast). According to Jones, "these apparently amiable astronauts delivered to NASA a solid public relations coup." Daily television broadcasts of about 10 minutes each followed, during which the crew held up more signs and educated their audience about spaceflight; after the return to Earth, they were awarded a special Emmy for the telecasts.
Later on October 14, the craft's onboard radar receiver was able to lock onto a ground-based transmitter, again showing a CSM in lunar orbit could keep contact with a LM returning from the Moon's surface. Throughout the remainder of the mission, the crew continued to run tests on the CSM, including of the propulsion, navigation, environmental, electrical and thermal control systems. All checked out well; according to authors Francis French and Colin Burgess, "The redesigned Apollo spacecraft was better than anyone had dared to hope." Eisele found that navigation was not as easy as anticipated; he found it difficult to use Earth's horizon in sighting stars due to the fuzziness of the atmosphere, and water dumps made it difficult to discern which glistening points were stars and which ice particles. By the end of the mission, the SPS engine had been fired eight times without any problems.
One difficulty that was encountered was with the sleep schedule, which called for one crew member to remain awake at all times; Eisele was to remain awake while the others slept, and sleep during part of the time the others were awake. This did not work well, as it was hard for crew members to work without making a disturbance. Cunningham later remembered waking up to find Eisele dozing.
Conflict and splashdown
Schirra was angered by NASA managers allowing the launch to proceed despite the winds, saying "The mission pushed us to the wall in terms of risk." Jones said, "This prelaunch dispute was the prelude to a tug of war over command decisions for the rest of the mission." Lack of sleep and Schirra's cold probably contributed to the conflict between the astronauts and Mission Control that surfaced from time to time during the flight.
The testing of the television resulted in a disagreement between the crew and Houston. Schirra stated at the time, "You've added two burns to this flight schedule, and you've added a urine water dump; and we have a new vehicle up here, and I can tell you at this point, TV will be delayed without any further discussion until after the rendezvous." Schirra later wrote, "we'd resist anything that interfered with our main mission objectives. On this particular Saturday morning a TV program clearly interfered." Eisele agreed in his memoirs, "We were preoccupied with preparations for that critical exercise and didn't want to divert our attention with what seemed to be trivialities at the time.... Evidently the earth people felt differently; there was a real stink about the hotheaded, recalcitrant Apollo7 crew who wouldn't take orders." French and Burgess wrote, "When this point is considered objectively—that in a front-loaded mission the rendezvous, alignment, and engine tests should be done before television shows—it is hard to argue with him [Schirra]." Although Slayton gave in to Schirra, the commander's attitude surprised flight controllers.
On Day 8, after being asked to follow a new procedure passed up from the ground that caused the computer to freeze, Eisele radioed, "We didn't get the results that you were after. We didn't get a damn thing, in fact... you bet your ass... as far as we're concerned, somebody down there screwed up royally when he laid that one on us." Schirra later stated his belief that this was the one main occasion when Eisele upset Mission Control. The next day saw more conflict, with Schirra telling Mission Control after having to make repeated firings of the RCS system to keep the spacecraft stable during a test, "I wish you would find out the idiot's name who thought up this test. I want to find out, and I want to talk to him personally when I get back down." Eisele joined in, "While you are at it, find out who dreamed up 'P22 horizon test'; that is a beauty also."
A further source of tension between Mission Control and the crew was that Schirra repeatedly expressed the view that the reentry should be conducted with their helmets off. He perceived a risk that their eardrums might burst due to the sinus pressure from their colds, and they wanted to be able to pinch their noses and blow to equalize the pressure as it increased during reentry. This would have been impossible wearing the helmets. Over several days, Schirra refused advice from the ground that the helmets should be worn, stating it was his prerogative as commander to decide this, though Slayton warned him he would have to answer for it after the flight. Schirra stated in 1994, "In this case I had a cold, and I'd had enough discussion with the ground, and I didn't have much more time to talk about whether we would put the helmet on or off. I said, essentially, I'm on board, I'm commanding. They could wear all the black armbands they wanted if I was lost or if I lost my hearing. But I had the responsibility for getting through the mission." No helmets were worn during the entry. Director of Flight Operations Christopher C. Kraft demanded an explanation for what he believed was Schirra's insubordination from the CAPCOM, Stafford. Kraft later said, "Schirra was exercising his commander’s right to have the last word, and that was that."
Apollo 7 splashed down without incident at 11:11:48 UTC on October 22, 1968, SSW of Bermuda and north of the recovery ship USS Essex. The mission's duration was 10days, 20hours, 9minutes and 3seconds.
Assessment and aftermath
After the mission, NASA awarded Schirra, Eisele and Cunningham its Exceptional Service Medal in recognition of their success. On November 2, 1968, President Lyndon Johnson held a ceremony at the LBJ Ranch in Johnson City, Texas, to present the astronauts with the medals. He also presented NASA's highest honor, the Distinguished Service Medal, to recently retired NASA administrator James E. Webb, for his "outstanding leadership of America's space program" since the beginning of Apollo. Johnson also invited the crew to the White House, and they went there in December 1968.
Despite the difficulties between the crew and Mission Control, the mission successfully met its objectives to verify the Apollo command and service module's flightworthiness, allowing Apollo8's flight to the Moon to proceed just two months later. John T. McQuiston wrote in The New York Times after Eisele's death in 1987 that Apollo7's success brought renewed confidence to NASA's space program. According to Jones, "Three weeks after the Apollo7 crew returned, NASA administrator Thomas Paine green-lighted Apollo8 to launch in late December and orbit the Moon. Apollo7 had delivered NASA from its trial by fire—it was the first small step down a path that would lead another crew, nine months later, to the Sea of Tranquility."
General Sam Phillips, the Apollo Program Manager, said at the time, "Apollo7 goes into my book as a perfect mission. We accomplished 101 percent of our objectives." Kraft wrote, "Schirra and his crew did it all—or at least all of it that counted... [T]hey proved to everyone's satisfaction that the SPS engine was one of the most reliable we'd ever sent into space. They operated the Command and Service Modules with true professionalism." Eisele wrote, "We were insolent, high-handed, and Machiavellian at times. Call it paranoia, call it smart—it got the job done. We had a great flight."
Kranz stated in 1998, "we all look back now with a longer perspective. Schirra really wasn't on us as bad as it seemed at the time.... Bottom line was, even with a grumpy commander, we got the job done as a team."
None of the Apollo 7 crew members flew in space again. According to Jim Lovell, "Apollo7 was a very successful flight—they did an excellent job—but it was a very contentious flight. They all teed off the ground people quite considerably, and I think that kind of put a stop on future flights [for them]." Schirra had announced, before the flight, his retirement from NASA and the Navy, effective July 1, 1969. The other two crew members had their spaceflight careers stunted by their involvement in Apollo7; by some accounts, Kraft told Slayton he was unwilling to work in future with any member of the crew. Cunningham heard the rumors that Kraft had said this and confronted him in early 1969; Kraft denied making the statement "but his reaction wasn't exactly outraged innocence." Eisele's career may also have been affected by becoming the first active astronaut to divorce, followed by a quick remarriage, and an indifferent performance as backup CMP for Apollo10. He resigned from the Astronaut Office in 1970 though he remained with NASA at the Langley Research Center in Virginia until 1972, when he was eligible for retirement. Cunningham was made the leader of the Astronaut Office's Skylab division. He related that he was informally offered command of the first Skylab crew, but when this instead went to Apollo 12 commander Pete Conrad, with Cunningham offered the position of backup commander, he resigned as an astronaut in 1971.
Schirra, Eisele and Cunningham were the only crew, of all the Apollo, Skylab and Apollo–Soyuz missions, who had not been awarded the Distinguished Service Medal immediately following their missions (though Schirra had received the medal twice before, for his Mercury and Gemini missions). Therefore, NASA administrator Michael D. Griffin decided to belatedly award the medals to the crew in October 2008, "[f]or exemplary performance in meeting all the Apollo7 mission objectives and more on the first crewed Apollo mission, paving the way for the first flight to the Moon on Apollo8 and the first crewed lunar landing on Apollo11." Only Cunningham was still alive at the time as Eisele had died in 1987 and Schirra in 2007. Eisele's widow accepted his medal, and Apollo 8 crew member Bill Anders accepted Schirra's. Other Apollo astronauts, including Neil Armstrong, Buzz Aldrin, and Alan Bean, were present at the award ceremony. Kraft, who had been in conflict with the crew during the mission, sent a conciliatory video message of congratulations, saying: "We gave you a hard time once but you certainly survived that and have done extremely well since... I am frankly, very proud to call you a friend."
Mission insignia
The insignia for the flight shows a command and service module with its SPS engine firing, the trail from that fire encircling a globe and extending past the edges of the patch symbolizing the Earth-orbital nature of the mission. The Roman numeralVII appears in the South Pacific Ocean and the crew's names appear on a wide black arc at the bottom. The patch was designed by Allen Stevens of Rockwell International.
Spacecraft location
In January 1969, the Apollo7 command module was displayed on a NASA float in the inauguration parade of President Richard M. Nixon, as were the Apollo7 astronauts. After being transferred to the Smithsonian Institution in 1970, the spacecraft was loaned to the National Museum of Science and Technology, in Ottawa, Ontario. It was returned to the United States in 2004. Currently, the Apollo7 CM is on loan to the Frontiers of Flight Museum at Love Field in Dallas, Texas.
Depiction in media
On November 6, 1968, comedian Bob Hope broadcast one of his variety television specials from NASA's Manned Spacecraft Center in Houston to honor the Apollo7 crew. Barbara Eden, star of the popular comedy series I Dream of Jeannie, which featured fictional astronauts among its regular characters, appeared with Schirra, Eisele and Cunningham.
Schirra parlayed the head cold he contracted during Apollo7 into a television advertising contract as a spokesman for Actifed, an over-the-counter version of the medicine he took in space.
The Apollo 7 mission is dramatized in the 1998 miniseries From the Earth to the Moon episode "We Have Cleared the Tower", with Mark Harmon as Schirra, John Mese as Eisele, Fredric Lehne as Cunningham and Nick Searcy as Slayton.
Gallery
See also
List of Apollo missions
Timeline of longest spaceflights
Notes
References
Bibliography
Further reading
External links
Master catalog entry at NASA/NSSDC\
The Apollo Spacecraft: A Chronology NASA, NASA SP-4009
"Apollo Program Summary Report" (PDF), NASA, JSC-09423, April 1975
Apollo 7
1968 in the United States
Apollo 07
Human spaceflights
Spacecraft launched in 1968
Spacecraft which reentered in 1968
October 1968 events
Spacecraft launched by Saturn rockets
Wally Schirra
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Apollo 9 (March 313, 1969) was the third human spaceflight in NASA's Apollo program. Flown in low Earth orbit, it was the second crewed Apollo mission that the United States launched via a Saturn V rocket, and was the first flight of the full Apollo spacecraft: the command and service module (CSM) with the Lunar Module (LM). The mission was flown to qualify the LM for lunar orbit operations in preparation for the first Moon landing by demonstrating its descent and ascent propulsion systems, showing that its crew could fly it independently, then rendezvous and dock with the CSM again, as would be required for the first crewed lunar landing. Other objectives of the flight included firing the LM descent engine to propel the spacecraft stack as a backup mode (as would be required on the Apollo 13 mission), and use of the portable life support system backpack outside the LM cabin.
The three-man crew consisted of Commander James McDivitt, Command Module Pilot David Scott, and Lunar Module Pilot Rusty Schweickart. During the ten-day mission, they tested systems and procedures critical to landing on the Moon, including the LM engines, backpack life support systems, navigation systems and docking maneuvers.
After launching on March 3, 1969, the crew performed the first crewed flight of a lunar module, the first docking and extraction of the same, one two-person spacewalk (EVA), and the second docking of two crewed spacecraft—two months after the Soviets performed a spacewalk crew transfer between and . The mission concluded on March 13 and was a complete success. It proved the LM worthy of crewed spaceflight, setting the stage for the dress rehearsal for the lunar landing, Apollo 10, before the ultimate goal, landing on the Moon.
Mission background
In April 1966, McDivitt, Scott, and Schweickart were selected by Director of Flight Crew Operations Deke Slayton as the second Apollo crew. Their initial job was as backup to the first Apollo crew to be chosen, Gus Grissom, Ed White, and Roger Chaffee, for the first crewed Earth orbital test flight of the block I command and service module, designated AS-204. Delays in the block I CSM development pushed AS-204 into 1967. The revised plan had the McDivitt crew scheduled for the second crewed CSM, which was to rendezvous in Earth orbit with an uncrewed LM, launched separately. The third crewed mission, to be commanded by Frank Borman, was to be the first launch of a SaturnV with a crew.
On January 27, 1967, Grissom's crew was conducting a launch-pad test for their planned February 21 mission, which they named Apollo 1, when a fire broke out in the cabin, killing all three men. A complete safety review of the Apollo program followed. During this time Apollo 5 took place, an uncrewed launch to test the first lunar module (LM-1).
Under the new schedule, the first Apollo crewed mission to go into space would be Apollo 7, planned for October 1968. This mission, which was to test the block II command module, did not include a lunar module. In 1967, NASA had adopted a series of lettered missions leading up to the crewed lunar landing, the "G mission", completion of one being a prerequisite to the next. Apollo7 would be the "Cmission", but the "Dmission" required testing of the crewed lunar module, which was running behind schedule and endangering John F. Kennedy's goal of Americans walking on the Moon and returning safely to Earth by the end of the 1960s. McDivitt's crew had been announced by NASA in November 1967 as prime crew for the Dmission, lengthy testing of the command and lunar modules in Earth orbit.
Seeking to keep Kennedy's goal on schedule, in August 1968, Apollo Program Manager George M. Low proposed that if Apollo7 in October went well, Apollo8 would go to lunar orbit without a LM. Until then, Apollo8 was the Dmission with Apollo9 the "E mission", testing in medium Earth orbit. After NASA approved sending Apollo8 to the Moon, while making Apollo9 the Dmission, Slayton offered McDivitt the opportunity to stay with Apollo8 and thus go to lunar orbit. McDivitt turned it down on behalf of his crew, preferring to stay with the Dmission, now Apollo9.
Apollo7 went well, and the crews were switched. The crew swap also affected who would be the first astronauts to land on the Moon, for when the crews for Apollo8 and9 were swapped, so were the backup crews. Since the rule of thumb was for backup crews to fly as prime crew three missions later, this put Neil Armstrong's crew (Borman's backup) in position to make the first landing attempt on Apollo 11 instead of Pete Conrad's crew, who made the second landing on Apollo 12.
Framework
Crew and key Mission Control personnel
McDivitt was in the Air Force; selected as a member of the second group of astronauts in 1962, he was command pilot of Gemini 4 (1965). Scott, also Air Force, was selected in the third astronaut group in 1963 and flew alongside Neil Armstrong in Gemini 8, on which the first spacecraft docking was performed. Schweickart, a civilian who had served in the Air Force and Massachusetts Air National Guard, was selected as a Group3 astronaut but was not assigned to a Gemini mission and had no spaceflight experience.
The backup crew consisted of Pete Conrad as commander, Command Module Pilot Richard F. Gordon Jr., and Lunar Module Pilot Alan L. Bean. This crew flew as prime on Apollo 12 in November 1969. The support crew for Apollo9 consisted of Stuart A. Roosa, Jack R. Lousma, Edgar D. Mitchell and Alfred M. Worden. Lousma was not an original member of the Apollo9 support crew, but was assigned after Fred W. Haise Jr. was moved to the position of backup lunar module pilot on Apollo 8—several astronauts were shifted in the wake of Michael Collins being removed from the Apollo8 prime crew because of treatment for bone spurs.
The flight directors were Gene Kranz, first shift, Gerry Griffin, second shift and Pete Frank, third shift. Capsule communicators were Conrad, Gordon, Bean, Worden, Roosa and Ronald Evans.
Mission insignia
The circular patch shows a drawing of a Saturn V rocket with the letters USA on it. To its right, an Apollo CSM is shown next to a LM, with the CSM's nose pointed at the "front door" of the LM rather than at its top docking port. The CSM is trailing rocket fire in a circle. The crew's names are along the top edge of the circle, with APOLLO IX at the bottom. The "D" in McDivitt's name is filled with red to mark that this was the "Dmission" in the alphabetic sequence of Apollo missions. The patch was designed by Allen Stevens of Rockwell International.
Planning and training
Apollo 9's main purpose was to qualify the LM for crewed lunar flight, demonstrating, among other things, that it could perform the maneuvers in space that would be needed for a lunar landing, including docking with the CSM. Colin Burgess and Francis French, in their book about the Apollo Program, deemed McDivitt's crew among the best trained ever—they had worked together since January 1966, at first as backups for Apollo 1, and they always had the assignment of being the first to fly the LM. Flight Director Gene Kranz deemed the Apollo9 crew the best prepared for their mission, and felt Scott was an extremely knowledgeable CMP. Crew members underwent some 1,800 hours of mission-specific training, about seven hours for every hour they would spend in flight. Their training even started on the day before the Apollo1 fire, in the very first Block II spacecraft in which they were originally intended to fly. They took part in the vehicle checkouts for the CSM at North American Rockwell's facility in Downey, California, and for the LM at Grumman's plant in Bethpage, New York. They also participated in testing of the modules at the launch site.
Among the types of the training which the crew underwent were simulations of zero-G, both underwater and in the Vomit Comet. During these exercises, they practiced for the planned extravehicular activities (EVAs). They traveled to Cambridge, Massachusetts, for training on the Apollo Guidance Computer (AGC) at MIT. The crew studied the sky at the Morehead Planetarium and at the Griffith Planetarium, especially focusing on the 37 stars used by the AGC. They each spent more than 300 hours in the CM and LM simulators at Kennedy Space Center (KSC) and at Houston, some involving live participation by Mission Control. Additional time was spent in simulators in other locations.
The first mission to use the CSM, the LM and a SaturnV, Apollo9 allowed the launch preparations team at KSC its first opportunity to simulate the launch of a lunar landing mission. The LM arrived from Grumman in June 1968 and was subjected to extensive testing including in the altitude chamber, simulating space conditions. As this occurred, other technicians assembled the SaturnV inside the Vehicle Assembly Building (VAB). The CM and SM arrived in October, but even the experienced KSC team from North American had trouble joining them together. When the lander was done with the altitude chamber, the CSM took its place, letting the LM be available for installation of equipment such as rendezvous radar and antennas. There were no lengthy delays, and on January 3, 1969, the launch vehicle was taken out of the VAB and moved to Launch Complex 39A by crawler. Flight readiness reviews for the CM, the LM, and the SaturnV were held and passed in the following weeks.
Hardware
Launch vehicle
The Saturn V (AS-504) used on Apollo9 was the fourth to be flown, the second to carry astronauts to space, and the first to bear a lunar module. Although similar in configuration to the SaturnV used on Apollo 8, several changes were made. The inner core of the F-1 engine chamber in the first (S-IC) stage was removed, thus saving weight and allowing for a slight increase in specific impulse. Weight was also saved by replacing the skins of the liquid oxygen tanks with lighter ones, and by providing lighter versions of other components. Efficiency was increased in the S-II second stage with uprated J-2 engines, and through a closed-loop propellant utilization system rather than Apollo 8's open-loop system. Of the weight reduction in the second stage, about half came from a 16 percent reduction in the thickness of the tank side walls.
Spacecraft, equipment and call signs
Apollo9 used CSM-104, the third Block II CSM to be flown with astronauts aboard. Apollo 8, lacking a lunar module, did not have docking equipment; Apollo9 flew the probe-and-drogue assembly used for docking along with other equipment added near the forward hatch of the CM; this allowed for rigid docking of the two craft, and for internal transfer between CM and LM. Had the switch in missions between Apollo8 and9 not occurred, the Earth-orbit mission would have flown CSM-103, which flew on Apollo 8.
The Earth-orbit mission was originally supposed to use LM-2 as its lunar module, but the crew found numerous flaws in it, many associated with it being the first flight-ready lunar module off Grumman's production line. The delay occasioned by the switch in missions allowed LM-3 to be available, a machine the crew found far superior. Neither LM-2 nor LM-3 could have been sent to the Moon as both were too heavy; Grumman's weight reduction program for the LMs only became fully effective with LM-5, designated for Apollo 11. Small cracks in LM-3's aluminum alloy structure due to stresses such as the insertion of a rivet proved an ongoing issue; Grumman's engineers continued working to fix them until the LM had to be mounted on the SaturnV in December 1968, where it was housed inside the Spacecraft-Lunar Module Adapter, numbered as SLA-11A. LM-2 never flew in space and is in the National Air and Space Museum.
The Apollo astronauts were provided with early versions of the Sony Walkman, portable cassette recorders intended to allow them to make observations during the mission. The Apollo9 crew was the first to be allowed to bring music mixtapes, one each, that could be played in that device. McDivitt and Scott preferred easy listening and country music; Schweickart's cassette tape of classical music went missing until the ninth day of the ten-day mission, when it was presented to him by Scott.
After the Gemini 3 craft was dubbed Molly Brown by Grissom, NASA forbade naming spacecraft. The fact that during the Apollo9 mission, the CSM and LM would separate and need different call signs caused the Apollo9 astronauts to push for a change. In simulations, they began to refer to the CSM as "Gumdrop", a name inspired by the CM's appearance while in the blue protective wrapping in which it was transported from the manufacturer, and the LM as "Spider", inspired by the LM's appearance with landing legs deployed. Personnel in NASA public relations thought the names were too informal, but the call signs ultimately gained official sanction. NASA required more formal call signs for future missions, starting with Apollo 11.
Life Support System backpack
The Extravehicular Mobility Unit (EMU) backpack flew for the first time on Apollo9, used by Schweickart during his EVA. This included the Portable Life Support System (PLSS), providing oxygen to the astronaut and water for the Liquid Cooling Garment (LCG), which helped prevent overheating during extravehicular activity. Also present was the Oxygen Purge System (OPS), the "bedroll" atop the backpack, which could provide oxygen for up to roughly an hour if the PLSS failed. A more advanced version of the EMU was used for the lunar landing on Apollo 11.
During his stand-up EVA, Scott did not wear a PLSS, but was connected to the CM's life support systems through an umbilical, utilizing a Pressure Control Valve (PCV). This device had been created in 1967 to allow for stand-up EVAs from the hatches of the LM or CM, or for brief ventures outside. It was later used by Scott for his lunar surface stand-up EVA on Apollo 15, and for the deep-space EVAs by the command module pilots of the final three Apollo flights.
Mission highlights
First through fifth days (March 3–7)
Originally scheduled to launch on February 28, 1969, the liftoff of Apollo9 was postponed because all three astronauts had colds, and NASA did not want to risk that the mission might be affected. Around-the-clock labor shifts were required to keep the spacecraft in readiness; the delay cost $500,000. The rocket launched from KSC at 11:00:00 EST (16:00:00 GMT) on March 3. This was well within the launch window, which would have remained open for another three and a quarter hours. Present in the firing control room was Vice President Spiro Agnew on behalf of the new Nixon administration.
McDivitt reported a smooth ride during the launch, although there was some vibration and the astronauts were surprised to be pushed forward when the Saturn V's first stage stopped firing, before its second stage took over, when they were pushed back into their couches. Each of the first two stages slightly underperformed; a deficiency made up, more or less, by the S-IVB third stage. Once the third stage cut out at 00:11:04.7 into the mission, Apollo9 had entered a parking orbit of .
The crew began their first major orbital task with the separation of the CSM from the S-IVB at 02:41:16 into the mission, seeking to turn around and then dock with the LM, which was on the end of the S-IVB, after which the combined spacecraft would separate from the rocket. If it was not possible to make such a docking, the lunar landing could not take place. It was Scott's responsibility to fly the CSM, which he did to a successful docking, as the probe-and-drogue docking assembly worked properly. After McDivitt and Schweickart inspected the tunnel connecting the CM and LM, the assembled spacecraft separated from the S-IVB. The next task was to demonstrate that two docked spacecraft could be maneuvered by one engine. The five-second burn took place at 05:59.01.1 into the mission, accomplished with the SM's Service Propulsion System (SPS), after which Scott excitedly reported the LM was still in place. Thereafter, the S-IVB was fired again, and the stage was sent into solar orbit.
From 09:00:00 to 19:30:00, a sleep period was scheduled. The astronauts slept well, but complained of being woken by non-English transmissions. Scott theorized that they were possibly in Chinese. The highlight of the second day in orbit (March 4) was three SPS burns. The initial burn, at 22:12:04.1, lasted 110 seconds, and including swiveling or "gimbaling" the engine to test whether the autopilot could dampen the induced oscillations, which it did within five seconds. Two more SPS burns followed, lightening the SM's fuel load. The spacecraft and engine passed every test, sometimes proving more robust than expected. The performance of the CSM in remaining stable while the engine was being gimbaled would in 1972 help cause McDivitt, by then manager of the Apollo Spacecraft Program, to approve the continuation of Apollo 16 when its CSM was experiencing an unstable gimbal after separation from its LM in lunar orbit.
The flight plan for the third day in space was to have the commander and lunar module pilot enter the LM to check out its systems and use its descent engine to move the entire spacecraft. The descent engine was the backup to the SPS; the ability to use it in this manner would prove critical on Apollo 13. The flight plan was thrown into question when Schweickart, suffering from space adaptation sickness, vomited, while McDivitt felt queasy as well. They had been avoiding sudden physical motions, but the contortion-like maneuvers to don their space suits for the LM checkout caused them to feel ill. The experience would teach the doctors enough about the sickness to have the astronauts avoid it on the lunar landings, but at the time Schweickart feared his vomiting might endanger Kennedy's goal. They were well enough to continue with the day's plan, and entered the LM, thus transferring between vehicles for the first time in the US space program, and making the first ever transfer without needing to spacewalk, as Soviet cosmonauts had. The hatches were then closed, though the modules remained docked, showing that Spider communications and life support systems would work in isolation from those of Gumdrop. On command, the landing legs sprang into the position they would assume for landing on the Moon.
In the LM, Schweickart vomited again, causing McDivitt to request a private channel to the doctors in Houston. The first episode had not been reported to the ground because of its brief nature, and when the media learned what had happened to Schweickart, there were "repercussions and a spate of unfriendly stories". They finished the LM checkout, including the successful firing of the descent engine, and returned to Scott in Gumdrop. The burn lasted 367 seconds and simulated the throttle pattern to be used during the landing on the Moon. After they returned, a fifth firing of the SPS was made, designed to circularize Apollo9's orbit in preparation for the rendezvous. This took place at 54:26:12.3, raising the craft's orbit to .
The fourth day's program (March 6) was for Schweickart to exit the hatch on the LM and make his way along the outside of the spacecraft to the CM's hatch, where Scott would stand by to assist, demonstrating that this could be done in the event of an emergency. Schweickart was to wear the life support backpack, or PLSS, to be worn on the lunar surface EVAs. This was the only EVA scheduled before the lunar landing, and thus the only opportunity to test the PLSS in space. McDivitt initially canceled the EVA due to Schweickart's condition, but with the lunar module pilot feeling better, decided to allow him to exit the LM, and once he was there, to move around the LM's exterior using handholds. Scott stood in the CM's hatch; both men photographed each other and retrieved experiments from the exterior of their vehicles. Schweickart found moving around easier than it had been in simulations; both he and Scott were confident that Schweickart could have completed the exterior transfer if called upon to do so, but considered it unnecessary. During the EVA, Schweickart used the call sign "Red Rover", a nod to the color of his hair.
On March 7, the fifth day, came "the key event of the entire mission: the separation and rendezvous of the lunar module and the command module". The lunar module lacked the capability to return the astronauts to Earth; this was the first time space travelers had flown in a vehicle that could not take them home. McDivitt and Schweickart entered the LM early, having obtained permission to do so without wearing their helmets and gloves, making it easier to set up the LM. When Scott in Gumdrop pushed the button to release the LM, it initially hung on the latches at the end of the docking probe, but he hit the button again and Spider was released. After spending about 45 minutes near Gumdrop, Spider went into a slightly higher orbit, meaning that over time, the two craft would separate, with Gumdrop ahead. Over the next hours, McDivitt fired the LM's descent engine at several throttle settings; by the end of the day the LM was thoroughly test-flown. At a distance of , Spider fired to lower its orbit and thus begin to catch up with Gumdrop, a process that would take over two hours, and the descent stage was jettisoned.
The approach and rendezvous were conducted as near as possible to what was planned for the lunar missions. To demonstrate that rendezvous could be performed by either craft, Spider was the active party during the maneuver. McDivitt brought Spider close to Gumdrop, then maneuvered the LM to show each side to Scott, allowing him to inspect for any damage. Then, McDivitt docked the craft. Due to glare from the Sun, he had trouble doing this and Scott guided him in. During the later missions, the job of docking the two spacecraft in lunar orbit would fall to the command module pilot. After McDivitt and Schweickart returned to Gumdrop, Spider was jettisoned, its engine fired to fuel depletion remotely by Mission Control as part of further testing of the engine, simulating an ascent stage's climb from the lunar surface. This raised Spider to an orbit with apogee of over . The only major lunar module system not fully tested was the landing radar, as this could not be done in Earth orbit.
Sixth through eleventh days (March 8–13)
Apollo 9 was to remain in space for about ten days to check how the CSM would perform over the period of time required for a lunar mission. Most major events had been scheduled for the first days so that they would be accomplished if the flight needed to be ended early. The remaining days in orbit were to be conducted at a more leisurely pace. With the main goals of the mission accomplished, the hatch window was used for special photography of Earth, using four identical Hasselblad cameras, coupled together and using film sensitive to different parts of the electromagnetic spectrum. Such photography allowed different features of the Earth's surface to appear, for example, tracking of water pollution as it exits mouths of rivers into the sea, and the highlighting of agricultural areas using infrared. The camera system was a prototype, and would pave the way for the Earth Resources Technology Satellite, predecessor to the Landsat series. The photography was successful, as the ample time in orbit meant the crew could wait to allow cloud cover to pass, and would inform Skylab's mission planning.
Scott used a sextant to track landmarks on the Earth, and turned the instrument to the skies to observe the planet Jupiter, practicing navigation techniques that were to be used on later missions. The crew was able to track the Pegasus 3 satellite (launched in 1965) as well as the ascent stage of Spider. The sixth burn of the SPS engine took place on the sixth day, though it was postponed one orbit as the reaction control system (RCS) thruster burn needed to settle the reactants in their tanks was not properly programmed. The SPS burn lowered the perigee of Apollo9's orbit, allowing for improved RCS thruster deorbit capability as a backup to the SPS.
Considerable testing of the CSM took place, but this was principally Scott's responsibility, allowing McDivitt and Schweickart leisure to observe the Earth; they alerted Scott if anything particularly noteworthy was upcoming, letting him leave his work for a moment to look at Earth too. The seventh burn of the SPS system took place on the eighth day, March 10; its purpose was again to aid RCS deorbit capability, as well as extending Gumdrop orbital lifetime. It shifted the apogee of the orbit to the Southern Hemisphere, allowing for a longer free-fall time to entry when Apollo9 returned to Earth. The burn was extended to allow for testing of the propellent gaging system, which had been behaving anomalously during earlier SPS burns. Once it was accomplished, Apollo9's RCS thrusters could have returned it to Earth and still allowed it to land in the primary recovery zone had the SPS engine failed. The eighth and final SPS burn, to return the vehicle to Earth, was accomplished on March 13, less than an hour after the ten-day mark of the mission, after which the service module was jettisoned. The landing was delayed one orbit because of unfavorable weather in the primary landing zone some ESE of Bermuda. Instead, Apollo9 splashed down east of the Bahamas, about from the recovery carrier, the USS Guadalcanal, after a mission lasting 10 days, 1hour, 54 seconds. Apollo9 was the last spacecraft to splash down in the Atlantic Ocean for a half century, until the Crew Dragon Demo-1 mission in 2019, and last crewed splashdown in the Atlantic until Inspiration4 in 2021.
Hardware disposition
The Apollo9 Command Module Gumdrop (1969-018A) is on display at the San Diego Air & Space Museum. Gumdrop was formerly displayed at the Michigan Space and Science Center, Jackson, Michigan, until April 2004, when the center closed. The service module, jettisoned shortly after the deorbit burn, reentered the atmosphere and disintegrated.
The ascent stage of LM-3 Spider (1969-018C) reentered on October 23, 1981. The descent stage of LM-3 Spider (1969-018D) reentered on March 22, 1969, landing in the Indian Ocean near North Africa.
The S-IVB (1969-018B) was sent into solar orbit, with initial aphelion of , perihelion of and orbital period of 245 days. It remains in solar orbit .
Appraisal and aftermath
As NASA Associate Administrator George Mueller put it, "Apollo9 was as successful a flight as any of us could ever wish for, as well as being as successful as any of us have ever seen." Gene Kranz called Apollo9 "sheer exhilaration". Apollo Program Director Samuel C. Phillips stated, "in every way, it has exceeded even our most optimistic expectations." Apollo11 astronaut Buzz Aldrin stood in Mission Control as Spider and Gumdrop docked after their separate flights, and with the docking, according to Andrew Chaikin, "Apollo9 had fulfilled all its major objectives. At that moment, Aldrin knew Apollo10 would also succeed, and that he and Armstrong would attempt to land on the Moon. On March 24, NASA made it official."
Although he might have been offered command of an Apollo lunar landing mission, McDivitt chose to leave the Astronaut Corps after Apollo9, becoming manager of the Apollo Spacecraft Program later in 1969. Scott was soon given another spaceflight assignment as backup commander of Apollo 12, and then was made mission commander of Apollo 15, landing on the Moon in 1971. Schweickart volunteered for medical investigation of his spacesickness, but was unable to shake its stigma, and was never again assigned to a prime crew. He took a leave of absence from NASA in 1977 that eventually became permanent. Eugene Cernan, commander of Apollo 17, stated that when it came to understanding spacesickness, Schweickart "paid the price for them all".
Following the success of Apollo 9, NASA did not conduct the "E mission" (further testing in medium Earth orbit), and even considered skipping the "F mission", the dress rehearsal for the lunar landing, going straight to the landing attempt. As the spacecraft designated for the first landing attempt were still being assembled, this was not done. NASA officials also felt that given the past difficulties with the LM, there was a need for a further test flight before the actual landing attempt, and that orbiting the Moon would give them the opportunity to study mass concentrations there, which had affected Apollo8's orbit. According to French and Burgess in their study of the Apollo Program, "In any event,... Apollo9's success had ensured that the next Apollo mission would go back to the moon."
See also
List of spacewalks and moonwalks 1965–1999
Notes
References
Bibliography
External links
NASA reports
"Apollo 9 flight plan AS-504/CSM-104/LM-3 Final Report" (PDF) by J. V. Rivers, NASA, February 1969
"Apollo Program Summary Report" (PDF), NASA, JSC-09423, April 1975
Multimedia
Apollo 9: Three To Make Ready Official NASA documentary film (1969)
Apollo 9 16mm onboard film part 1, part 2 raw footage taken from Apollo 9
Apollo 9: The Space Duet of Spider & Gumdrop Official NASA documentary film (1969),
Apollo 9 images at NASA'S Kennedy Space Center
Extravehicular activity
Human spaceflights
Apollo 09
1969 in the United States
Spacecraft launched in 1969
Spacecraft which reentered in 1969
March 1969 events
Spacecraft launched by Saturn rockets
James McDivitt
David Scott
Rusty Schweickart
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Arthritis is a term often used to mean any disorder that affects joints. Symptoms generally include joint pain and stiffness. Other symptoms may include redness, warmth, swelling, and decreased range of motion of the affected joints. In some types of arthritis, other organs are also affected. Onset can be gradual or sudden.
There are over 100 types of arthritis. The most common forms are osteoarthritis (degenerative joint disease) and rheumatoid arthritis. Osteoarthritis usually occurs with age and affects the fingers, knees, and hips. Rheumatoid arthritis is an autoimmune disorder that often affects the hands and feet. Other types include gout, lupus, fibromyalgia, and septic arthritis. They are all types of rheumatic disease.
Treatment may include resting the joint and alternating between applying ice and heat. Weight loss and exercise may also be useful. Recommended medications may depend on the form of arthritis. These may include pain medications such as ibuprofen and paracetamol (acetaminophen). In some circumstances, a joint replacement may be useful.
Osteoarthritis affects more than 3.8% of people, while rheumatoid arthritis affects about 0.24% of people. Gout affects about 1–2% of the Western population at some point in their lives. In Australia about 15% of people are affected by arthritis, while in the United States more than 20% have a type of arthritis. Overall the disease becomes more common with age. Arthritis is a common reason that people miss work and can result in a decreased quality of life. The term is derived from arthr- (meaning 'joint') and -itis (meaning 'inflammation').
Classification
There are several diseases where joint pain is primary, and is considered the main feature. Generally when a person has "arthritis" it means that they have one of these diseases, which include:
Hemarthrosis
Osteoarthritis
Rheumatoid arthritis
Gout and pseudo-gout
Septic arthritis
Ankylosing spondylitis
Juvenile idiopathic arthritis
Still's disease
Psoriatic arthritis
Joint pain can also be a symptom of other diseases. In this case, the arthritis is considered to be secondary to the main disease; these include:
Psoriasis
Reactive arthritis
Ehlers–Danlos syndrome
Iron overload
Hepatitis
Lyme disease
Sjögren's disease
Hashimoto's thyroiditis
Celiac disease
Non-celiac gluten sensitivity
Inflammatory bowel disease (including Crohn's disease and ulcerative colitis)
Henoch–Schönlein purpura
Hyperimmunoglobulinemia D with recurrent fever
Sarcoidosis
Whipple's disease
TNF receptor associated periodic syndrome
Granulomatosis with polyangiitis (and many other vasculitis syndromes)
Familial Mediterranean fever
Systemic lupus erythematosus
An undifferentiated arthritis is an arthritis that does not fit into well-known clinical disease categories, possibly being an early stage of a definite rheumatic disease.
Signs and symptoms
Pain, which can vary in severity, is a common symptom in virtually all types of arthritis. Other symptoms include swelling, joint stiffness, redness, and aching around the joint(s). Arthritic disorders like lupus and rheumatoid arthritis can affect other organs in the body, leading to a variety of symptoms. Symptoms may include:
Inability to use the hand or walk
Stiffness in one or more joints
Rash or itch
Malaise and fatigue
Weight loss
Poor sleep
Muscle aches and pains
Tenderness
Difficulty moving the joint
It is common in advanced arthritis for significant secondary changes to occur. For example, arthritic symptoms might make it difficult for a person to move around and/or exercise, which can lead to secondary effects, such as:
Muscle weakness
Loss of flexibility
Decreased aerobic fitness
These changes, in addition to the primary symptoms, can have a huge impact on quality of life.
Disability
Arthritis is the most common cause of disability in the United States. More than 20 million individuals with arthritis have severe limitations in function on a daily basis. Absenteeism and frequent visits to the physician are common in individuals who have arthritis. Arthritis can make it difficult for individuals to be physically active and some become home bound.
It is estimated that the total cost of arthritis cases is close to $100 billion of which almost 50% is from lost earnings. Each year, arthritis results in nearly 1 million hospitalizations and close to 45 million outpatient visits to health care centers.
Decreased mobility, in combination with the above symptoms, can make it difficult for an individual to remain physically active, contributing to an increased risk of obesity, high cholesterol or vulnerability to heart disease. People with arthritis are also at increased risk of depression, which may be a response to numerous factors, including fear of worsening symptoms.
Risk factors
There are common risk factors that increase a person's chance of developing arthritis later in adulthood. Some of these are modifiable while others are not. Smoking has been linked to an increased susceptibility of developing arthritis, particularly rheumatoid arthritis.
Diagnosis
Diagnosis is made by clinical examination from an appropriate health professional, and may be supported by other tests such as radiology and blood tests, depending on the type of suspected arthritis. All arthritides potentially feature pain. Pain patterns may differ depending on the arthritides and the location. Rheumatoid arthritis is generally worse in the morning and associated with stiffness lasting over 30 minutes. However, in the early stages, patients may have no symptoms after a warm shower. Osteoarthritis, on the other hand, tends to be associated with morning stiffness which eases relatively quickly with movement and exercise. In the aged and children, pain might not be the main presenting feature; the aged patient simply moves less, the infantile patient refuses to use the affected limb.
Elements of the history of the disorder guide diagnosis. Important features are speed and time of onset, pattern of joint involvement, symmetry of symptoms, early morning stiffness, tenderness, gelling or locking with inactivity, aggravating and relieving factors, and other systemic symptoms. It may include checking joints, observing movements, examination of skin for rashes or nodules and symptoms of pulmonary inflammation. Physical examination may confirm the diagnosis or may indicate systemic disease. Radiographs are often used to follow progression or help assess severity.
Blood tests and X-rays of the affected joints often are performed to make the diagnosis. Screening blood tests are indicated if certain arthritides are suspected. These might include: rheumatoid factor, antinuclear factor (ANF), extractable nuclear antigen, and specific antibodies.
Rheumatoid arthritis patients often have high erythrocyte sedimentation rate (ESR, also known as sed rate) or C-reactive protein (CRP) levels, which indicates the presence of an inflammatory process in the body. Anti-cyclic citrullinated peptide (anti-CCP) antibodies and rheumatoid factor (RF) are two more common blood tests. Positive results indicate the risk of rheumatoid arthritis, while negative results help rule out this autoimmune condition.
Imaging tests like X-rays, MRI scans or Ultrasounds used to diagnose and monitor arthritis. Other imaging tests for rheumatoid arthritis that may be considered include computed tomography (CT) scanning, positron emission tomography (PET) scanning, bone scanning, and dual-energy X-ray absorptiometry (DEXA).
Osteoarthritis
Osteoarthritis is the most common form of arthritis. It affects humans and other animals, notably dogs, but also occurs in cats and horses. It can affect both the larger and the smaller joints of the body. In humans, this includes the hands, wrists, feet, back, hip, and knee. In dogs, this includes the elbow, hip, stifle (knee), shoulder, and back. The disease is essentially one acquired from daily wear and tear of the joint; however, osteoarthritis can also occur as a result of injury. Osteoarthritis begins in the cartilage and eventually causes the two opposing bones to erode into each other. The condition starts with minor pain during physical activity, but soon the pain can be continuous and even occur while in a state of rest. The pain can be debilitating and prevent one from doing some activities. In dogs, this pain can significantly affect quality of life and may include difficulty going up and down stairs, struggling to get up after lying down, trouble walking on slick floors, being unable to hop in and out of vehicles, difficulty jumping on and off furniture, and behavioral changes (e.g., aggression, difficulty squatting to toilet). Osteoarthritis typically affects the weight-bearing joints, such as the back, knee and hip. Unlike rheumatoid arthritis, osteoarthritis is most commonly a disease of the elderly. The strongest predictor of osteoarthritis is increased age, likely due to the declining ability of chondrocytes to maintain the structural integrity of cartilage. More than 30 percent of women have some degree of osteoarthritis by age 65. Other risk factors for osteoarthritis include prior joint trauma, obesity, and a sedentary lifestyle.
Rheumatoid arthritis
Rheumatoid arthritis (RA) is a disorder in which the body's own immune system starts to attack body tissues. The attack is not only directed at the joint but to many other parts of the body. In rheumatoid arthritis, most damage occurs to the joint lining and cartilage which eventually results in erosion of two opposing bones. RA often affects joints in the fingers, wrists, knees and elbows, is symmetrical (appears on both sides of the body), and can lead to severe deformity in a few years if not treated. RA occurs mostly in people aged 20 and above. In children, the disorder can present with a skin rash, fever, pain, disability, and limitations in daily activities. With earlier diagnosis and aggressive treatment, many individuals can lead a better quality of life than if going undiagnosed for long after RA's onset. The risk factors with the strongest association for developing rheumatoid arthritis are the female sex, a family history of rheumatoid arthritis, age, obesity, previous joint damage from an injury, and exposure to tobacco smoke.
Bone erosion is a central feature of rheumatoid arthritis. Bone continuously undergoes remodeling by actions of bone resorbing osteoclasts and bone forming osteoblasts. One of the main triggers of bone erosion in the joints in rheumatoid arthritis is inflammation of the synovium, caused in part by the production of pro-inflammatory cytokines and receptor activator of nuclear factor kappa B ligand (RANKL), a cell surface protein present in Th17 cells and osteoblasts. Osteoclast activity can be directly induced by osteoblasts through the RANK/RANKL mechanism.
Lupus
Lupus is a common collagen vascular disorder that can be present with severe arthritis. Other features of lupus include a skin rash, extreme photosensitivity, hair loss, kidney problems, lung fibrosis and constant joint pain.
Gout
Gout is caused by deposition of uric acid crystals in the joints, causing inflammation. There is also an uncommon form of gouty arthritis caused by the formation of rhomboid crystals of calcium pyrophosphate known as pseudogout. In the early stages, the gouty arthritis usually occurs in one joint, but with time, it can occur in many joints and be quite crippling. The joints in gout can often become swollen and lose function. Gouty arthritis can become particularly painful and potentially debilitating when gout cannot successfully be treated. When uric acid levels and gout symptoms cannot be controlled with standard gout medicines that decrease the production of uric acid (e.g., allopurinol) or increase uric acid elimination from the body through the kidneys (e.g., probenecid), this can be referred to as refractory chronic gout.
Comparison of types
Other
Infectious arthritis is another severe form of arthritis. It presents with sudden onset of chills, fever and joint pain. The condition is caused by bacteria elsewhere in the body. Infectious arthritis must be rapidly diagnosed and treated promptly to prevent irreversible joint damage.
Psoriasis can develop into psoriatic arthritis. With psoriatic arthritis, most individuals develop the skin problem first and then the arthritis. The typical features are continuous joint pains, stiffness and swelling. The disease does recur with periods of remission but there is no cure for the disorder. A small percentage develop a severely painful and destructive form of arthritis which destroys the small joints in the hands and can lead to permanent disability and loss of hand function.
Treatment
There is no known cure for arthritis and rheumatic diseases. Treatment options vary depending on the type of arthritis and include physical therapy, exercise and diet, orthopedic bracing, and oral and topical medications. Joint replacement surgery may be required to repair damage, restore function, or relieve pain.
Physical therapy
In general, studies have shown that physical exercise of the affected joint can noticeably improve long-term pain relief. Furthermore, exercise of the arthritic joint is encouraged to maintain the health of the particular joint and the overall body of the person.
Individuals with arthritis can benefit from both physical and occupational therapy. In arthritis the joints become stiff and the range of movement can be limited. Physical therapy has been shown to significantly improve function, decrease pain, and delay the need for surgical intervention in advanced cases. Exercise prescribed by a physical therapist has been shown to be more effective than medications in treating osteoarthritis of the knee. Exercise often focuses on improving muscle strength, endurance and flexibility. In some cases, exercises may be designed to train balance. Occupational therapy can provide assistance with activities. Assistive technology is a tool used to aid a person's disability by reducing their physical barriers by improving the use of their damaged body part, typically after an amputation. Assistive technology devices can be customized to the patient or bought commercially.
Medications
There are several types of medications that are used for the treatment of arthritis. Treatment typically begins with medications that have the fewest side effects with further medications being added if insufficiently effective.
Depending on the type of arthritis, the medications that are given may be different. For example, the first-line treatment for osteoarthritis is acetaminophen (paracetamol) while for inflammatory arthritis it involves non-steroidal anti-inflammatory drugs (NSAIDs) like ibuprofen. Opioids and NSAIDs may be less well tolerated. However, topical NSAIDs may have better safety profiles than oral NSAIDs. For more severe cases of osteoarthritis, intra-articular corticosteroid injections may also be considered.
The drugs to treat rheumatoid arthritis (RA) range from corticosteroids to monoclonal antibodies given intravenously. Due to the autoimmune nature of RA, treatments may include not only pain medications and anti-inflammatory drugs, but also another category of drugs called disease-modifying antirheumatic drugs (DMARDs). csDMARDs, TNF biologics and tsDMARDs are specific kinds of DMARDs that are recommended for treatment. Treatment with DMARDs is designed to slow down the progression of RA by initiating an adaptive immune response, in part by CD4+ T helper (Th) cells, specifically Th17 cells. Th17 cells are present in higher quantities at the site of bone destruction in joints and produce inflammatory cytokines associated with inflammation, such as interleukin-17 (IL-17).
Surgery
A number of rheumasurgical interventions have been incorporated in the treatment of arthritis since the 1950s. Arthroscopic surgery for osteoarthritis of the knee provides no additional benefit to optimized physical and medical therapy.
Adaptive aids
People with hand arthritis can have trouble with simple activities of daily living tasks (ADLs), such as turning a key in a lock or opening jars, as these activities can be cumbersome and painful. There are adaptive aids or assistive devices (ADs) available to help with these tasks, but they are generally more costly than conventional products with the same function. It is now possible to 3-D print adaptive aids, which have been released as open source hardware to reduce patient costs. Adaptive aids can significantly help arthritis patients and the vast majority of those with arthritis need and use them.
Alternative medicine
Further research is required to determine if transcutaneous electrical nerve stimulation (TENS) for knee osteoarthritis is effective for controlling pain.
Low level laser therapy may be considered for relief of pain and stiffness associated with arthritis. Evidence of benefit is tentative.
Pulsed electromagnetic field therapy (PEMFT) has tentative evidence supporting improved functioning but no evidence of improved pain in osteoarthritis. The FDA has not approved PEMFT for the treatment of arthritis. In Canada, PEMF devices are legally licensed by Health Canada for the treatment of pain associated with arthritic conditions.
Epidemiology
Arthritis is predominantly a disease of the elderly, but children can also be affected by the disease. Arthritis is more common in women than men at all ages and affects all races, ethnic groups and cultures. In the United States a CDC survey based on data from 2013 to 2015 showed 54.4 million (22.7%) adults had self-reported doctor-diagnosed arthritis, and 23.7 million (43.5% of those with arthritis) had arthritis-attributable activity limitation (AAAL). With an aging population, this number is expected to increase. Adults with co-morbid conditions, such as heart disease, diabetes, and obesity, were seen to have a higher than average prevalence of doctor-diagnosed arthritis (49.3%, 47.1%, and 30.6% respectively).
Disability due to musculoskeletal disorders increased by 45% from 1990 to 2010. Of these, osteoarthritis is the fastest increasing major health condition. Among the many reports on the increased prevalence of musculoskeletal conditions, data from Africa are lacking and underestimated. A systematic review assessed the prevalence of arthritis in Africa and included twenty population-based and seven hospital-based studies. The majority of studies, twelve, were from South Africa. Nine studies were well-conducted, eleven studies were of moderate quality, and seven studies were conducted poorly. The results of the systematic review were as follows:
Rheumatoid arthritis: 0.1% in Algeria (urban setting); 0.6% in Democratic Republic of Congo (urban setting); 2.5% and 0.07% in urban and rural settings in South Africa respectively; 0.3% in Egypt (rural setting), 0.4% in Lesotho (rural setting)
Osteoarthritis: 55.1% in South Africa (urban setting); ranged from 29.5 to 82.7% in South Africans aged 65 years and older
Knee osteoarthritis has the highest prevalence from all types of osteoarthritis, with 33.1% in rural South Africa
Ankylosing spondylitis: 0.1% in South Africa (rural setting)
Psoriatic arthritis: 4.4% in South Africa (urban setting)
Gout: 0.7% in South Africa (urban setting)
Juvenile idiopathic arthritis: 0.3% in Egypt (urban setting)
History
Evidence of osteoarthritis and potentially inflammatory arthritis has been discovered in dinosaurs. The first known traces of human arthritis date back as far as 4500 BC. In early reports, arthritis was frequently referred to as the most common ailment of prehistoric peoples. It was noted in skeletal remains of Native Americans found in Tennessee and parts of what is now Olathe, Kansas. Evidence of arthritis has been found throughout history, from Ötzi, a mummy () found along the border of modern Italy and Austria, to the Egyptian mummies .
In 1715, William Musgrave published the second edition of his most important medical work, De arthritide symptomatica, which concerned arthritis and its effects. Augustin Jacob Landré-Beauvais, a 28-year-old resident physician at Salpêtrière Asylum in France was the first person to describe the symptoms of rheumatoid arthritis. Though Landré-Beauvais' classification of rheumatoid arthritis as a relative of gout was inaccurate, his dissertation encouraged others to further study the disease.
Terminology
The term is derived from arthr- (from ) and -itis (from , , ), the latter suffix having come to be associated with inflammation.
The word arthritides is the plural form of arthritis, and denotes the collective group of arthritis-like conditions.
See also
Antiarthritics
Arthritis Care (charity in the UK)
Arthritis Foundation (US not-for-profit)
Knee arthritis
Osteoimmunology
Weather pains
References
External links
American College of Rheumatology – US professional society of rheumatologists
National Institute of Arthritis and Musculoskeletal and Skin Diseases - US National Institute of Arthritis and Musculoskeletal and Skin Diseases
Aging-associated diseases
Inflammations
Rheumatology
Wikipedia neurology articles ready to translate
Skeletal disorders
Wikipedia medicine articles ready to translate
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Acetylene (systematic name: ethyne) is the chemical compound with the formula and structure . It is a hydrocarbon and the simplest alkyne. This colorless gas is widely used as a fuel and a chemical building block. It is unstable in its pure form and thus is usually handled as a solution. Pure acetylene is odorless, but commercial grades usually have a marked odor due to impurities such as divinyl sulfide and phosphine.
As an alkyne, acetylene is unsaturated because its two carbon atoms are bonded together in a triple bond. The carbon–carbon triple bond places all four atoms in the same straight line, with CCH bond angles of 180°.
Discovery
Acetylene was discovered in 1836 by Edmund Davy, who identified it as a "new carburet of hydrogen". It was an accidental discovery while attempting to isolate potassium metal. By heating potassium carbonate with carbon at very high temperatures, he produced a residue of what is now known as potassium carbide, (K2C2), which reacted with water to release the new gas. It was rediscovered in 1860 by French chemist Marcellin Berthelot, who coined the name acétylène. Berthelot's empirical formula for acetylene (C4H2), as well as the alternative name "quadricarbure d'hydrogène" (hydrogen quadricarbide), were incorrect because many chemists at that time used the wrong atomic mass for carbon (6 instead of 12). Berthelot was able to prepare this gas by passing vapours of organic compounds (methanol, ethanol, etc.) through a red hot tube and collecting the effluent. He also found that acetylene was formed by sparking electricity through mixed cyanogen and hydrogen gases. Berthelot later obtained acetylene directly by passing hydrogen between the poles of a carbon arc.
Preparation
Except for China acetylene production is dominated by partial combustion of natural gas.
Partial combustion of hydrocarbons
Since the 1950s, acetylene has mainly been manufactured by the partial combustion of methane. It is a recovered side product in production of ethylene by cracking of hydrocarbons. Approximately 400,000 tonnes were produced by this method in 1983. Its presence in ethylene is usually undesirable because of its explosive character and its ability to poison Ziegler–Natta catalysts. It is selectively hydrogenated into ethylene, usually using Pd–Ag catalysts.
3 CH4 + 3 O2 → C2H2 + CO + 5 H2O.
Partial combustion of methane also produces acetylene:
Dehydrogenation of alkanes
The heaviest alkanes in petroleum and natural gas are cracked into lighter molecules which are dehydrogenated at high temperature:
C2H6 → C2H2 + 2 H2
2 CH4→ C2H2+ 3 H2
This last reaction is implemented in the process of anaerobic decomposition of methane by microwave plasma. The advantage of this technology is the absence of CO2 emissions and the joint production of hydrogen as a secondary product. It makes it a low-carbon technology production and also an electrified process. For 32 t of methane transformed, production of 26 t of acetylene and 6 t of hydrogen (according to stoichiometry).
Carbochemical method
The production of acetylene from calcium carbide is a traditional and still the dominant route:
The conditions for production of calcium carbide are environmentally unacceptable in most advanced countries, except China.
Until the 1950s, when oil supplanted coal as the chief source of reduced carbon, acetylene (and the aromatic fraction from coal tar) was the main source of organic chemicals in the chemical industry. It was prepared by the hydrolysis of calcium carbide, a reaction discovered by Friedrich Wöhler in 1862 and still familiar to students:
Calcium carbide production requires high temperatures, ~2000 °C, necessitating the use of an electric arc furnace. In the US, this process was an important part of the late-19th century revolution in chemistry enabled by the massive hydroelectric power project at Niagara Falls.
In the user, the carbide reacts with water to produce acetylene, 1 kg of carbide combining with 562.5 g of water to release 350 l of acetylene.
Bonding
In terms of valence bond theory, in each carbon atom the 2s orbital hybridizes with one 2p orbital thus forming an sp hybrid. The other two 2p orbitals remain unhybridized. The two ends of the two sp hybrid orbital overlap to form a strong σ valence bond between the carbons, while on each of the other two ends hydrogen atoms attach also by σ bonds. The two unchanged 2p orbitals form a pair of weaker π bonds.
Since acetylene is a linear symmetrical molecule, it possesses the D∞h point group.
Physical properties
Changes of state
At atmospheric pressure, acetylene cannot exist as a liquid and does not have a melting point. The triple point on the phase diagram corresponds to the melting point (−80.8 °C) at the minimal pressure at which liquid acetylene can exist (1.27 atm). At temperatures below the triple point, solid acetylene can change directly to the vapour (gas) by sublimation. The sublimation point at atmospheric pressure is −84.0 °C.
Other
At room temperature, the solubility of acetylene in acetone is 27.9 g per kg. For the same amount of dimethylformamide (DMF), the solubility is 51 g. At
20.26 bar, the solubility increases to 689.0 and 628.0 g for acetone and DMF, respectively. These solvents are used in pressurized gas cylinders.
Applications
Welding
Approximately 20% of acetylene is supplied by the industrial gases industry for oxyacetylene gas welding and cutting due to the high temperature of the flame. Combustion of acetylene with oxygen produces a flame of over , releasing 11.8 kJ/g. Oxyacetylene is the hottest burning common fuel gas. Acetylene is the third-hottest natural chemical flame after dicyanoacetylene's and cyanogen at . Oxy-acetylene welding was a popular welding process in previous decades. The development and advantages of arc-based welding processes have made oxy-fuel welding nearly extinct for many applications. Acetylene usage for welding has dropped significantly. On the other hand, oxy-acetylene welding equipment is quite versatile – not only because the torch is preferred for some sorts of iron or steel welding (as in certain artistic applications), but also because it lends itself easily to brazing, braze-welding, metal heating (for annealing or tempering, bending or forming), the loosening of corroded nuts and bolts, and other applications. Bell Canada cable-repair technicians still use portable acetylene-fuelled torch kits as a soldering tool for sealing lead sleeve splices in manholes and in some aerial locations. Oxyacetylene welding may also be used in areas where electricity is not readily accessible. Oxyacetylene cutting is used in many metal fabrication shops. For use in welding and cutting, the working pressures must be controlled by a regulator, since above , if subjected to a shockwave (caused, for example, by a flashback), acetylene decomposes explosively into hydrogen and carbon.
Chemicals
Acetylene, despite its simplicity, is not used for many industrial processes.
One of the major chemical applications is ethynylation of formaldehyde.
Acetylene adds to aldehydes and ketones to form α-ethynyl alcohols:
The reaction gives butynediol, with propargyl alcohol as the by-product. Copper acetylide is used as the catalyst.
In addition to ethynylation, acetylene reacts with carbon monoxide, acetylene reacts to give acrylic acid, or acrylic esters. Metal catalysts are required. These derivatives form products such as acrylic fibers, glasses, paints, resins, and polymers. Except in China, use of acetylene as a chemical feedstock has declined by 70% from 1965 to 2007 owing to cost and environmental considerations.
Historical uses
Prior to the widespread use of petrochemicals, coal-derived acetylene was a building block for several industrial chemicals. Thus acetylene can be hydrated to give acetaldehyde, which in turn can be oxidized to acetic acid. Processes leading to acrylates were also commericalized. Almost all of these processes because obsolete with the availability of petroleum-derived ethylene and propylene.
Niche applications
In 1881, the Russian chemist Mikhail Kucherov described the hydration of acetylene to acetaldehyde using catalysts such as mercury(II) bromide. Before the advent of the Wacker process, this reaction was conducted on an industrial scale.
The polymerization of acetylene with Ziegler–Natta catalysts produces polyacetylene films. Polyacetylene, a chain of CH centres with alternating single and double bonds, was one of the first discovered organic semiconductors. Its reaction with iodine produces a highly electrically conducting material. Although such materials are not useful, these discoveries led to the developments of organic semiconductors, as recognized by the Nobel Prize in Chemistry in 2000 to Alan J. Heeger, Alan G MacDiarmid, and Hideki Shirakawa.
In the 1920s, pure acetylene was experimentally used as an inhalation anesthetic.
Acetylene is sometimes used for carburization (that is, hardening) of steel when the object is too large to fit into a furnace.
Acetylene is used to volatilize carbon in radiocarbon dating. The carbonaceous material in an archeological sample is treated with lithium metal in a small specialized research furnace to form lithium carbide (also known as lithium acetylide). The carbide can then be reacted with water, as usual, to form acetylene gas to feed into a mass spectrometer to measure the isotopic ratio of carbon-14 to carbon-12.
Acetylene combustion produces a strong, bright light and the ubiquity of carbide lamps drove much acetylene commercialization in the early 20th century. Common applications included coastal lighthouses, street lights, and automobile and mining headlamps. In most of these applications, direct combustion is a fire hazard, and so acetylene has been replaced, first by incandescent lighting and many years later by low-power/high-lumen LEDs. Nevertheless, acetylene lamps remain in limited use in remote or otherwise inaccessible areas and in countries with a weak or unreliable central electric grid.
Natural occurrence
The energy richness of the C≡C triple bond and the rather high solubility of acetylene in water make it a suitable substrate for bacteria, provided an adequate source is available. A number of bacteria living on acetylene have been identified. The enzyme acetylene hydratase catalyzes the hydration of acetylene to give acetaldehyde:
Acetylene is a moderately common chemical in the universe, often associated with the atmospheres of gas giants. One curious discovery of acetylene is on Enceladus, a moon of Saturn. Natural acetylene is believed to form from catalytic decomposition of long-chain hydrocarbons at temperatures of and above. Since such temperatures are highly unlikely on such a small distant body, this discovery is potentially suggestive of catalytic reactions within that moon, making it a promising site to search for prebiotic chemistry.
Reactions
Vinylation reactions
In vinylation reactions, H−X compounds add across the triple bond. Alcohols and phenols add to acetylene to give vinyl ethers. Thiols give vinyl thioethers. Similarly, vinylpyrrolidone and vinylcarbazole are produced industrially by vinylation of 2-pyrrolidone and carbazole.
The hydration of acetylene is a vinylation reaction, but the resulting vinyl alcohol isomerizes to acetaldehyde. The reaction is catalyzed by mercury salts. This reaction once was the dominant technology for acetaldehyde production, but it has been displaced by the Wacker process, which affords acetaldehyde by oxidation of ethylene, a cheaper feedstock. A similar situation applies to the conversion of acetylene to the valuable vinyl chloride by hydrochlorination vs the oxychlorination of ethylene.
Vinyl acetate is used instead of acetylene for some vinylations, which are more accurately described as transvinylations. Higher esters of vinyl acetate have been used in the synthesis of vinyl formate.
Organometallic chemistry
Acetylene and its derivatives (2-butyne, diphenylacetylene, etc.) form complexes with transition metals. Its bonding to the metal is somewhat similar to that of ethylene complexes. These complexes are intermediates in many catalytic reactions such as alkyne trimerisation to benzene, tetramerization to cyclooctatetraene, and carbonylation to hydroquinone:
at basic conditions (50–, 20–).
In the presence of certain transition metals, alkynes undergo alkyne metathesis.
Metal acetylides, species of the formula , are also common. Copper(I) acetylide and silver acetylide can be formed in aqueous solutions with ease due to a favorable solubility equilibrium.
Acid-base reactions
Acetylene has a pKa of 25, acetylene can be deprotonated by a superbase to form an acetylide:
HC#CH + RM -> RH + HC#CM
Various organometallic and inorganic reagents are effective.
Hydrogenation
Acetylene can be semihydrogenated to ethylene, providing a feedstock for a variety of polyethylene plastics. Halogens add to the triple bond.
Safety and handling
Acetylene is not especially toxic, but when generated from calcium carbide, it can contain toxic impurities such as traces of phosphine and arsine, which give it a distinct garlic-like smell. It is also highly flammable, as are most light hydrocarbons, hence its use in welding. Its most singular hazard is associated with its intrinsic instability, especially when it is pressurized: under certain conditions acetylene can react in an exothermic addition-type reaction to form a number of products, typically benzene and/or vinylacetylene, possibly in addition to carbon and hydrogen. Consequently, acetylene, if initiated by intense heat or a shockwave, can decompose explosively if the absolute pressure of the gas exceeds about . Most regulators and pressure gauges on equipment report gauge pressure, and the safe limit for acetylene therefore is 101 kPagage, or 15 psig. It is therefore supplied and stored dissolved in acetone or dimethylformamide (DMF), contained in a gas cylinder with a porous filling (Agamassan), which renders it safe to transport and use, given proper handling. Acetylene cylinders should be used in the upright position to avoid withdrawing acetone during use.
Information on safe storage of acetylene in upright cylinders is provided by the OSHA, Compressed Gas Association, United States Mine Safety and Health Administration (MSHA), EIGA, and other agencies.
Copper catalyses the decomposition of acetylene, and as a result acetylene should not be transported in copper pipes.
Cylinders should be stored in an area segregated from oxidizers to avoid exacerbated reaction in case of fire/leakage. Acetylene cylinders should not be stored in confined spaces, enclosed vehicles, garages, and buildings, to avoid unintended leakage leading to explosive atmosphere. In the US, National Electric Code (NEC) requires consideration for hazardous areas including those where acetylene may be released during accidents or leaks. Consideration may include electrical classification and use of listed Group A electrical components in US. Further information on determining the areas requiring special consideration is in NFPA 497. In Europe, ATEX also requires consideration for hazardous areas where flammable gases may be released during accidents or leaks.
References
External links
Acetylene Production Plant and Detailed Process
Acetylene at Chemistry Comes Alive!
Movie explaining acetylene formation from calcium carbide and the explosive limits forming fire hazards
Calcium Carbide & Acetylene at The Periodic Table of Videos (University of Nottingham)
CDC – NIOSH Pocket Guide to Chemical Hazards – Acetylene
Alkynes
Fuel gas
Industrial gases
Synthetic fuel technologies
Explosive gases
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ABM or Abm may refer to:
Companies
ABM Industries, a US facility management provider
ABM Intelligence, a UK software company
Advantage Business Media, a US digital marketing and information services company
Associated British Maltsters, acquired by Dalgety plc
Computing
Advanced Bit Manipulation, an instruction set extension for x86
Agent-based model, a computational model for simulating autonomous agents
Asynchronous Balanced Mode, an HDLC communication mode
Military
Air Battle Manager, US Air Force rated officer position
Anti-ballistic missile
Anti-Ballistic Missile Treaty, 1972 arms control treaty between the US and USSR
Organizations
Abahlali baseMjondolo, movement of South African shack dwellers
Anglican Board of Mission - Australia, the national mission agency of the Anglican Church of Australia
Ansar Bait al-Maqdis, an Egyptian jihadist group
Other uses
Abanyom language of Nigeria, ISO 639-3 code
ABM (video game), 1980 video game
Account-based marketing, strategic approach to business marketing
Activity-based management, method of identifying and evaluating activities that a business performs
Agaricus blazei Murill, a species of mushroom
Automated banking machine, Canadian term for automated teller machine
IATA airport code for Northern Peninsula Airport, in Queensland, Australia
Atmospheric Black Metal
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An anti-ballistic missile (ABM) is a surface-to-air missile designed to counter ballistic missiles (missile defense). Ballistic missiles are used to deliver nuclear, chemical, biological, or conventional warheads in a ballistic flight trajectory. The term "anti-ballistic missile" is a generic term conveying a system designed to intercept and destroy any type of ballistic threat; however, it is commonly used for systems specifically designed to counter intercontinental ballistic missiles (ICBMs).
Current counter-ICBM systems
There are a limited number of systems worldwide that can intercept intercontinental ballistic missiles:
The Russian A-135 anti-ballistic missile system (renamed in 2017 to A-235) is used for the defense of Moscow. It became operational in 1995 and was preceded by the A-35 anti-ballistic missile system. The system uses Gorgon and Gazelle missiles previously armed with nuclear warheads. These missiles have been updated (2017) and use non-nuclear kinetic interceptors instead, to intercept any incoming ICBMs.
The Israeli Arrow 3 system entered operational service in 2017. It is designed for exo-atmosphere interception of ballistic missiles during the spaceflight portion of their trajectory, including those of ICBMs. It may also act as an anti-satellite weapon.
The Indian Prithvi Defence Vehicle Mark 2 has the capability to shoot down ICBMs. It has completed developmental trials and is awaiting the Indian government's clearance in order to be deployed.
The American Ground-Based Midcourse Defense (GMD) system, formerly known as National Missile Defense (NMD), was first tested in 1997 and had its first successful intercept test in 1999. Instead of using an explosive charge, it launches a hit-to-kill kinetic projectile to intercept an ICBM. The current GMD system is intended to shield the United States mainland against a limited nuclear attack by a rogue state such as North Korea. GMD does not have the ability to protect against an all-out nuclear attack from Russia, as there are currently 44 ground-based interceptors available to counter projectiles headed towards the US. (This interceptor count does not include the THAAD, or Aegis, or Patriot defenses which provide shorter range defence against incoming projectiles.)
The Aegis ballistic missile defense-equipped SM-3 Block II-A missile demonstrated it can shoot down an ICBM target on 16 Nov 2020.
In a November 2020 test, the US launched a surrogate ICBM from Kwajalein Atoll toward Hawaii in the general direction of the continental US, which triggered a satellite warning to a Colorado Air Force base. In response, launched a missile which destroyed the surrogate ICBM, while still outside the atmosphere.
American plans for Central European site
During 1993, a symposium was held by western European nations to discuss potential future ballistic missile defence programs. In the end, the council recommended deployment of early warning and surveillance systems as well as regionally controlled defence systems.
During spring 2006 reports about negotiations between the United States and Poland as well as the Czech Republic were published.
The plans propose the installation of a latest generation ABM system with a radar site in the Czech Republic and the launch site in Poland. The system was announced to be aimed against ICBMs from Iran and North Korea. This caused harsh comments by Russian President Vladimir Putin at the Organization for Security and Co-operation in Europe (OSCE) security conference during spring 2007 in Munich. Other European ministers commented that any change of strategic weapons should be negotiated on NATO level and not 'unilaterally' [sic, actually bilaterally] between the U.S. and other states (although most strategic arms reduction treaties were between the Soviet Union and U.S., not NATO). The German foreign minister Frank-Walter Steinmeier, a Social Democrat, expressed severe concerns about the way in which the U.S. had conveyed its plans to its European partners and criticised the U.S. administration for not having consulted Russia prior to announcing its endeavours to deploy a new missile defence system in Central Europe. According to a July 2007 survey, a majority of Poles were opposed to hosting a component of the system in Poland.
By 28 July 2016 Missile Defense Agency planning and agreements had clarified enough to give more details about the Aegis Ashore sites in Romania (2014) and Poland (2018).
Current tactical systems
People's Republic of China
Historical Project 640
Project 640 had been the PRC's indigenous effort to develop ABM capability. The Academy of Anti-Ballistic Missile & Anti-Satellite was established from 1969 for the purpose of developing Project 640. The project was to involve at least three elements, including the necessary sensors and guidance/command system, the Fan Ji (FJ) missile interceptor, and the XianFeng missile-intercepting cannon. The FJ-1 had completed two successful flight tests during 1979, while the low-altitude interceptor FJ-2 completed some successful flight tests using scaled prototypes. A high altitude FJ-3 interceptor was also proposed. Despite the development of missiles, the programme was slowed down due to financial and political reasons. It was finally closed down during 1980 under a new leadership of Deng Xiaoping as it was seemingly deemed unnecessary after the 1972 Anti-Ballistic Missile Treaty between the Soviet Union and the United States and the closure of the US Safeguard ABM system.
Operational Chinese system
In March 2006, China tested an interceptor system comparable to the U.S. Patriot missiles.
China has acquired and is license-producing the S-300PMU-2/S-300PMU-1 series of terminal ABM-capable SAMs. China-produced HQ-9 SAM system may possess terminal ABM capabilities. PRC Navy's operating modern air-defense destroyers known as the Type 052C Destroyer and Type 051C Destroyer are armed with naval HQ-9 missiles.
The HQ-19, similar to the THAAD, was first tested in 2003, and subsequently a few more times, including in November 2015. The HQ-29, a counterpart to the MIM-104F PAC-3, was first tested in 2011.
Surface-to-air missiles that supposedly have some terminal ABM capability (as opposed to midcourse capability):
HQ-29
HQ-19
HQ-18
HQ-15
Development of midcourse ABM in China
The technology and experience from the successful anti-satellite test using a ground-launched interceptor during January 2007 was immediately applied to current ABM efforts and development.
China carried out a land-based anti-ballistic missile test on 11 January 2010. The test was exoatmospheric and done in midcourse phase and with a kinetic kill vehicle. China is the second country after US that demonstrated intercepting ballistic missile with a kinetic kill vehicle, the interceptor missile was a SC-19. The sources suggest the system is not operationally deployed as of 2010.
On 27 January 2013, China did another anti ballistic missile test. According to the Chinese Defence Ministry, the missile launch is defensive in character and is not aimed against any countries. Experts hailed China's technological breakthrough because it is difficult to intercept ballistic missiles that have reached the highest point and speed in the middle of their course. Only two countries, including the US, have successfully conducted such a test in the past decade.
On 4 February 2021, China successfully conducted mid-course intercept anti-ballistic missile test. Military analysts indicates that the test and dozens done before reflects China's improvement in the area.
Rumored midcourse missiles:
DN-3
DN-2
DN-1
HQ-26
France and Italy
The Aster is a family of missiles jointly developed by France and Italy. The Aster 30 variants are capable of ballistic missile defense. An export customer, the United Kingdom also operates the Aster 30 Block 0.
On 18 October 2010, France announced a successful tactical ABM test of the Aster 30 missile and on 1 December 2011 a successful interception of a Black Sparrow ballistic target missile. The s in French and Italian service, the Royal Navy's Type 45 destroyers, and the French and Italian FREMM-class frigates are all armed with PAAMS (or variants of it) integrating Aster 15 and Aster 30 missiles. France and Italy are developing a new variant, the Aster 30 Block II, which can destroy ballistic missiles up to a maximum range of . It will incorporate a kill vehicle warhead.
India
India has an active ABM development effort using indigenously developed and integrated radars, and indigenous missiles. In November 2006, India successfully conducted the PADE (Prithvi Air Defence Exercise) in which an anti-ballistic missile, called the Prithvi Air Defence (PAD), an exo-atmospheric (outside the atmosphere) interceptor system, intercepted a Prithvi-II ballistic missile. The PAD missile has the secondary stage of the Prithvi missile and can reach altitude of . During the test, the target missile was intercepted at a altitude. India became the fourth nation in the world after United States, Russia, and Israel to acquire such a capability and the third nation to acquire it using in-house research and development. On 6 December 2007, the Advanced Air Defence (AAD) missile system was tested successfully. This missile is an endo-atmospheric interceptor with an altitude of . First reported in 2009, the Defence Research and Development Organisation (DRDO) is developing a new Prithvi interceptor missile code-named PDV. The PDV is designed to take out the target missile at altitudes above . The first PDV was successfully test fired on 27 April 2014. According to scientist V K Saraswat of the DRDO, the missiles will work in tandem to ensure a hit probability of 99.8 percent. On 15 May 2016, India successfully launched AAD renamed Ashwin from Abdul Kalam Island off the coast of Odisha.
As of 8 January 2020, the BMD programme has been completed and the Indian Air Force and the DRDO are awaiting government's final approval before the system is deployed to protect New Delhi and then Mumbai. After these two cities, it will be deployed in other major cities and regions. India has structured a five-layer missile shield for Delhi as of 9 June 2019:
PAD and PDV are designed for mid-course interception, while AAD is for terminal phase interception.
Outermost BMD layer at endo- and exo-atmospheric altitudes (15–25 km, and 80–100 km) for 2000 km ranges
XRSAM and S-400 layer at ranges of 40, 120, 200, 250, 350 & 400 km
Barak-8 layer at ranges of 70–100 km
Akash, Akash-NG layer at ranges of 30–35 km
Surface to air missiles and gun systems as the inner-most ring of defense. Previously planned to acquire NASAMS-II. But Indian Air Force deterred by high cost is now looking at domestic alternative (potentially land-based VL-SRSAM).
The current Phase-1 of the Indian ABM system can intercept ballistic missiles of range up to 2,000 km and the Phase-2 will increase it up to 5,000 km.
Israel
Arrow 2
The Arrow project was begun after the U.S. and Israel agreed to co-fund it on 6 May 1986.
The Arrow ABM system was designed and constructed in Israel with financial support by the United States by a multibillion-dollar development program called "Minhelet Homa" (Wall Administration) with the participation of companies like Israel Military Industries, Tadiran and Israel Aerospace Industries.
During 1998 the Israeli military conducted a successful test of their Arrow missile. Designed to intercept incoming missiles travelling at up to 2-mile/s (3 km/s), the Arrow is expected to perform much better than the Patriot did in the Gulf War. On 29 July 2004 Israel and the United States carried out a joint experiment in the US, in which the Arrow was launched against a real Scud missile. The experiment was a success, as the Arrow destroyed the Scud with a direct hit. During December 2005 the system was deployed successfully in a test against a replicated Shahab-3 missile. This feat was repeated on 11 February 2007.
Arrow 3
The Arrow 3 system is capable of exo-atmosphere interception of ballistic missiles, including of ICBMs. It also acts as an anti-satellite weapon.
Lieutenant General Patrick J. O'Reilly, Director of the US Missile Defense Agency, said: "The design of Arrow 3 promises to be an extremely capable system, more advanced than what we have ever attempted in the U.S. with our programs."
On 10 December 2015 Arrow 3 scored its first intercept in a complex test designed to validate how the system can detect, identify, track and then discriminate real from decoy targets delivered into space by an improved Silver Sparrow target missile. According to officials, the milestone test paves the way toward low-rate initial production of the Arrow 3.
David’s sling
David's Sling (Hebrew: קלע דוד), also sometimes called Magic Wand (Hebrew: שרביט קסמים), is an Israel Defense Forces military system being jointly developed by the Israeli defense contractor Rafael Advanced Defense Systems and the American defense contractor Raytheon, designed to intercept tactical ballistic missiles, as well as medium- to long-range rockets and slower-flying cruise missiles, such as those possessed by Hezbollah, fired at ranges from 40 km to 300 km. It is designed with the aim of intercepting the newest generation of tactical ballistic missiles, such as Iskander.
Japan
Since 1998, when North Korea launched a Taepodong-1 missile over northern Japan, the Japanese have been jointly developing a new surface-to-air interceptor known as the Patriot Advanced Capability 3 (PAC-3) with the US. Tests have been successful, and there are 11 locations that are planned for the PAC-3 to be installed. The approximate locations are near major air bases, like Kadena Air Base, and ammunition storage centers of the Japanese military. The exact location are not known to the public. A military spokesman said that tests had been done on two sites, one of them a business park in central Tokyo, and Ichigaya – a site not far from the Imperial Palace.
Along with the PAC-3, Japan has installed a US-developed ship-based anti-ballistic missile system, which was tested successfully on 18 December 2007. Japan has 4 destroyers of this type capable of carrying RIM-161 Standard Missile 3 and equipped with the Aegis Ballistic Missile Defense System. Japan is currently modifying another 4 destroyers so that they can take part of their defense force against ballistic missiles, bringing the total number to 8 ships.
Soviet Union/Russian Federation
The Moscow ABM defense system was designed with the aim of being able to intercept the ICBM warheads aimed at Moscow and other important industrial regions, and is based on:
A-35 Aldan
ABM-1 Galosh / 5V61 (decommissioned)
A-35M
ABM-1B (decommissioned)
A-135 Amur
ABM-3 Gazelle / 53T6
ABM-4 Gorgon / 51T6 (decommissioned)
A–235 Nudol (In development)
Apart from the main Moscow deployment, Russia has striven actively for intrinsic ABM capabilities of its SAM systems.
S-300P (SA-10)
S-300V/V4 (SA-12)
S-300PMU-1/2 (SA-20)
S-400 (SA-21)
S-500 Prometey (serial production began in 2021)
United States
In several tests, the U.S. military have demonstrated the feasibility of destroying long and short range ballistic missiles. Combat effectiveness of newer systems against 1950s tactical ballistic missiles seems very high, as the MIM-104 Patriot (PAC-1 and PAC-2) had a 100% success rate in Operation Iraqi Freedom.
The U.S. Navy Aegis Ballistic Missile Defense System (Aegis BMD) uses RIM-161 Standard Missile 3, which hit a target going faster than ICBM warheads. On 16 November 2020 an SM-3 Block IIA interceptor successfully destroyed an ICBM in mid-course, under Link-16 Command and Control, Battle Management, and Communications (C2BMC).
The U.S. Army Terminal High Altitude Area Defense (THAAD) system began production in 2008. Its stated range as a short to intermediate ballistic missile interceptor means that it is not designed to hit midcourse ICBMs, which can reach terminal phase speeds of mach 8 or greater. The THAAD interceptor has a reported maximum speed of mach 8, and THAAD has repeatedly proven it can intercept descending exoatmospheric missiles in a ballistic trajectory.
The U.S. Army Ground-Based Midcourse Defense (GMD) system was developed by the Missile Defense Agency. It combines ground-based AN/FPS-132 Upgraded Early Warning Radar installations and mobile AN/TPY-2 X-band radars with 44 exoatmospheric interceptors stationed in underground silos around California and Alaska, to protect against low-count ICBM attacks from rogue states. Each Ground-Based Interceptor (GBI) rocket carries an Exoatmospheric Kill Vehicle (EKV) kinetic kill interceptor, with 97% probability of intercept when four interceptors are launched at the target.
Since 2004, the United States Army plans to replace Raytheon's Patriot missile (SAM) engagement control station (ECS), along with seven other forms of ABM defense command systems, with Integrated Air and Missile Defense Battle Command System (IBCS) designed to shoot down short, medium, and intermediate range ballistic missiles in their terminal phase by intercepting with a hit-to-kill approach.
Northrop Grumman was selected as the prime contractor in 2010; the Army spent $2.7 billion on the program between 2009 and 2020. IBCS engagement stations will support identification and tracking of targets using sensor fusion from disparate data streams, and selection of appropriate kill vehicles from available launcher systems.
In February 2022 THAAD radar and TFCC (THAAD Fire Control & Communication) demonstrated their interoperability with Patriot PAC-3 MSE missile launchers, engaging targets using both THAAD and Patriot interceptors.
Kestrel eye is a cubesat swarm designed to produce a picture of a designated ground target, and to relay the picture to the ground Warfighter every 10 minutes.
Republic of China
Procurement of MIM-104 Patriot and indigenous Tien-Kung anti-ballistic missile systems. With the tense situations with China, Taiwan developed the Sky Bow (or Tien-Kung), this surface-to-air missile can intercept and destroy enemy aircraft and ballistic missiles. These system was created in partnership with Raytheon Technologies, using Lockheed Martin ADAR-HP as inspiration to create the Chang Bai S-band radar system. The missiles have a range of 200 km and was designed to take on fast moving vehicles with low radar cross-section. The latest variant of this system is the Sky Bow III (TK-3).
South Korea
Since North Korea started developing its nuclear weapon program, South Korea has been under imminent danger. South Korea started its BDM program by acquiring 8 batteries of the MIM-104 Patriot (PAC-2) missiles from the United States. The PAC-2 was developed to destroy incoming aircraft and is now unreliable in defending a ballistic missile attack from North Korea, as they have developed further their nuclear program. As of 2018, South Korea decided to improve its defense system by upgrading to the PAC-3, which has a hit-to-kill capability against incoming missiles. The main reason that the South Korean anti-ballistic defense system is not very developed is because they have tried to developed their own, without help from other countries, since the beginning of the 1990's. The South Korean Defense Acquisition Program Administration (DAPA) has confirmed that it has test launched the L-SAM system on February 2022. This particular missile has been in development since 2019 and is South Korea's next anti-ballistic missile generation. It is expected to have a range of 150 km and be able to intercept targets between 40 km and 100 km of altitude, and it can also be used as an aircraft interceptor. The L-SAM system is expected to be complete and ready to use in 2024.
History
1940s and 1950s
The idea of destroying rockets before they can hit their target dates from the first use of modern missiles in warfare, the German V-1 and V-2 program of World War II.
British fighters destroyed some V-1 "buzz bombs" in flight, although concentrated barrages of heavy anti-aircraft artillery had greater success. Under the lend-lease program, 200 US 90 mm AA guns with SCR-584 radars and Western Electric/Bell Labs computers were sent to the UK. These demonstrated a 95% success rate against V-1s that flew into their range.
The V-2, the first true ballistic missile, has no known record of being destroyed in the air. SCR-584's could be used to plot the trajectories of the missiles and provide some warning, but were more useful in backtracking their ballistic trajectory and determining the rough launch locations. The Allies launched Operation Crossbow to find and destroy V-2s before launch, but these operations were largely ineffective. In one instance a Spitfire happened upon a V-2 rising through the trees, and fired on it with no effect. This led to allied efforts to capture launching sites in Belgium and the Netherlands.
A wartime study by Bell Labs into the task of shooting down ballistic missiles in flight concluded it was not possible. In order to intercept a missile, one needs to be able to steer the attack onto the missile before it hits. A V-2's speed would require guns of effectively instantaneous reaction time, or some sort of weapon with ranges on the order of dozens of miles, neither of which appeared possible. This was, however, just before the emergence of high-speed computing systems. By the mid-1950s, things had changed considerably, and many forces worldwide were considering ABM systems.
The American armed forces began experimenting with anti-missile missiles soon after World War II, as the extent of German research into rocketry became clear. Project Wizard began in 1946, with the aim of creating a missile capable of intercepting the V-2.
But defences against Soviet long-range bombers took priority until 1957, when the Soviet Union demonstrated its advances in ICBM technology with the launch of Sputnik, the Earth's first artificial satellite. The US Army accelerated development of their LIM-49 Nike Zeus system in response. Zeus was criticized throughout its development program, especially from those within the US Air Force and nuclear weapons establishments who suggested it would be much simpler to build more nuclear warheads and guarantee mutually assured destruction. Zeus was eventually cancelled in 1963.
In 1958, the U.S. sought to explore whether airbursting nuclear weapons might be used to ward off ICBMs. It conducted several test explosions of low-yield nuclear weapons – 1.7kt boosted fission W25 warheads – launched from ships to very high altitudes over the southern Atlantic Ocean. Such an explosion releases a burst of X-rays in the Earth's atmosphere, causing secondary showers of charged particles over an area hundreds of miles across. These can become trapped in the Earth' magnetic field, creating an artificial radiation belt. It was believed that this might be strong enough to damage warheads traveling through the layer. This proved not to be the case, but Argus returned key data about a related effect, the nuclear electromagnetic pulse (NEMP).
Canada
Other countries were also involved in early ABM research. A more advanced project was at CARDE in Canada, which researched the main problems of ABM systems. A key problem with any radar system is that the signal is in the form of a cone, which spreads with distance from the transmitter. For long-distance interceptions like ABM systems, the inherent inaccuracy of the radar makes an interception difficult. CARDE considered using a terminal guidance system to address the accuracy concerns, and developed several advanced infrared detectors for this role. They also studied a number of missile airframe designs, a new and much more powerful solid rocket fuel, and numerous systems for testing it all. After a series of drastic budget reductions during the late 1950s the research ended. One offshoot of the project was Gerald Bull's system for inexpensive high-speed testing, consisting of missile airframes shot from a sabot round, which would later be the basis of Project HARP. Another was the CRV7 and Black Brant rockets, which used the new solid rocket fuel.
Soviet Union
The Soviet military had requested funding for ABM research as early as 1953, but were only given the go-ahead to begin deployment of such a system on 17 August 1956. Their test system, known simply as System A, was based on the V-1000 missile, which was similar to the early US efforts. The first successful test interception was carried out on 24 November 1960, and the first with a live warhead on 4 March 1961. In this test, a dummy warhead was released by a R-12 ballistic missile launched from the Kapustin Yar, and intercepted by a V-1000 launched from Sary-Shagan. The dummy warhead was destroyed by the impact of 16,000 tungsten-carbide spherical impactors 140 seconds after launch, at an altitude of .
The V-1000 missile system was nonetheless considered not reliable enough and abandoned in favour of nuclear-armed ABMs. A much larger missile, the Fakel 5V61 (known in the west as Galosh), was developed to carry the larger warhead and carry it much further from the launch site. Further development continued, and the A-35 anti-ballistic missile system, designed to protect Moscow, became operational in 1971. A-35 was designed for exoatmospheric interceptions, and would have been highly susceptible to a well-arranged attack using multiple warheads and radar black-out techniques.
A-35 was upgraded during the 1980s to a two-layer system, the A-135. The Gorgon (SH-11/ABM-4) long-range missile was designed to handle intercepts outside the atmosphere, and the Gazelle (SH-08/ABM-3) short-range missile endoatmospheric intercepts that eluded Gorgon. The A-135 system is considered to be technologically equivalent to the United States Safeguard system of 1975.
American Nike-X and Sentinel
Nike Zeus failed to be a credible defence in an era of rapidly increasing ICBM counts due to its ability to attack only one target at a time. Additionally, significant concerns about its ability to successfully intercept warheads in the presence of high-altitude nuclear explosions, including its own, lead to the conclusion that the system would simply be too costly for the very low amount of protection it could provide.
By the time it was cancelled in 1963, potential upgrades had been explored for some time. Among these were radars capable of scanning much greater volumes of space and able to track many warheads and launch several missiles at once. These, however, did not address the problems identified with radar blackouts caused by high-altitude explosions. To address this need, a new missile with extreme performance was designed to attack incoming warheads at much lower altitudes, as low as 20 km. The new project encompassing all of these upgrades was launched as Nike-X.
The main missile was LIM-49 Spartan—a Nike Zeus upgraded for longer range and a much larger 5 megaton warhead intended to destroy enemy's warheads with a burst of x-rays outside the atmosphere. A second shorter-range missile called Sprint with very high acceleration was added to handle warheads that evaded longer-ranged Spartan. Sprint was a very fast missile (some sources claimed it accelerated to 8,000 mph (13 000 km/h) within 4 seconds of flight—an average acceleration of 90 g) and had a smaller W66 enhanced radiation warhead in the 1–3 kiloton range for in-atmosphere interceptions.
The experimental success of Nike X persuaded the Lyndon B. Johnson administration to propose a thin ABM defense, that could provide almost complete coverage of the United States. In a September 1967 speech, Defense Secretary Robert McNamara referred to it as "Sentinel". McNamara, a private ABM opponent because of cost and feasibility (see cost-exchange ratio), claimed that Sentinel would be directed not against the Soviet Union's missiles (since the USSR had more than enough missiles to overwhelm any American defense), but rather against the potential nuclear threat of the People's Republic of China.
In the meantime, a public debate over the merit of ABMs began. Difficulties that had already made an ABM system questionable for defending against an all-out attack. One problem was the Fractional Orbital Bombardment System (FOBS) that would give little warning to the defense. Another problem was high altitude EMP (whether from offensive or defensive nuclear warheads) which could degrade defensive radar systems.
When this proved infeasible for economic reasons, a much smaller deployment using the same systems was proposed, namely Safeguard (described later).
Defense against MIRVs
ABM systems were developed initially to counter single warheads launched from large intercontinental ballistic missiles (ICBMs). The economics seemed simple enough; since rocket costs increase rapidly with size, the price of the ICBM launching a large warhead should always be greater than the much smaller interceptor missile needed to destroy it. In an arms race the defense would always win.
In addition to the blast effect, the detonation of nuclear devices against attacking intercontinental ballistic missiles produces a neutron kill effect from the strong radiation emitted, and this neutralizes the warhead, or warheads, of the attacking missile. Most A.B.M. devices depend on neutron kill for their effectiveness.
In practice, the price of the interceptor missile was considerable, due to its sophistication. The system had to be guided all the way to an interception, which demanded guidance and control systems that worked within and outside the atmosphere. Due to their relatively short ranges, an ABM missile would be needed to counter an ICBM wherever it might be aimed. That implies that dozens of interceptors are needed for every ICBM since warhead's targets couldn't be known in advance. This led to intense debates about the "cost-exchange ratio" between interceptors and warheads.
Conditions changed dramatically in 1970 with the introduction of multiple independently targetable reentry vehicle (MIRV) warheads. Suddenly, each launcher was throwing not one warhead, but several. These would spread out in space, ensuring that a single interceptor would be needed for each warhead. This simply added to the need to have several interceptors for each warhead in order to provide geographical coverage. Now it was clear that an ABM system would always be many times more expensive than the ICBMs they defended against.
Anti-Ballistic Missile Treaty of 1972
Technical, economic and political problems described resulted in the ABM treaty of 1972, which restricted the deployment of strategic (not tactical) anti-ballistic missiles.
By the ABM treaty and a 1974 revision, each country was allowed to deploy a mere 100 ABMs to protect a single, small area. The Soviets retained their Moscow defences. The U.S. designated their ICBM sites near Grand Forks Air Force Base, North Dakota, where Safeguard was already under advanced development. The radar systems and anti-ballistic missiles were approximately 90 miles north/northwest of Grand Forks AFB, near Concrete, North Dakota. The missiles were deactivated in 1975. The main radar site (PARCS) is still used as an early warning ICBM radar, facing relative north. It is located at Cavalier Air Force Station, North Dakota.
Brief use of Safeguard in 1975/1976
The U.S. Safeguard system, which utilized the nuclear-tipped LIM-49A Spartan and Sprint missiles, in the short operational period of 1975/1976, was the second counter-ICBMs system in the world. Safeguard protected only the main fields of US ICBMs from attack, theoretically ensuring that an attack could be responded to with a US launch, enforcing the mutually assured destruction principle.
SDI experiments in the 1980s
The Reagan-era Strategic Defense Initiative (often referred to as "Star Wars"), along with research into various energy-beam weaponry, brought new interest in the area of ABM technologies.
SDI was an extremely ambitious program to provide a total shield against a massive Soviet ICBM attack. The initial concept envisioned large sophisticated orbiting laser battle stations, space-based relay mirrors, and nuclear-pumped X-ray laser satellites. Later research indicated that some planned technologies such as X-ray lasers were not feasible with then-current technology. As research continued, SDI evolved through various concepts as designers struggled with the difficulty of such a large complex defense system. SDI remained a research program and was never deployed. Several post-SDI technologies are used by the present Missile Defense Agency (MDA).
Lasers originally developed for the SDI plan are in use for astronomical observations. Used to ionize gas in the upper atmosphere, they provide telescope operators with a target to calibrate their instruments.
Tactical ABMs deployed in 1990s
The Israeli Arrow missile system was tested initially during 1990, before the first Gulf War. The Arrow was supported by the United States throughout the 1990s.
The Patriot was the first deployed tactical ABM system, although it was not designed from the outset for that task and consequently had limitations. It was used during the 1991 Gulf War to attempt to intercept Iraqi Scud missiles. Post-war analyses show that the Patriot was much less effective than initially thought because of its radar and control system's inability to discriminate warheads from other objects when the Scud missiles broke up during reentry.
Testing ABM technology continued during the 1990s with mixed success. After the Gulf War, improvements were made to several U.S. air defense systems. A new Patriot, PAC-3, was developed and tested—a complete redesign of the PAC-2 deployed during the war, including a totally new missile. The improved guidance, radar and missile performance improves the probability of kill over the earlier PAC-2. During Operation Iraqi Freedom, Patriot batteries engaged 100% of enemy TBM's within their engagement territory. Of these engagements, 8 of them were verified as kills by multiple independent sensors; the remaining was listed as a probable kill due to lack of independent verification. Patriot was involved in three friendly fire incidents: two incidents of Patriot shootings at coalition aircraft and one of U.S. aircraft shooting at a Patriot battery.
A new version of the Hawk missile was tested during the early to mid-1990s and by the end of 1998 the majority of US Marine Corps Hawk systems were modified to support basic theater anti-ballistic missile capabilities. The MIM-23 Hawk missile is not operational in U.S. service since 2002, but is used by many other countries.
Soon after the Gulf War, the Aegis Combat System was expanded to include ABM capabilities. The Standard missile system was also enhanced and tested for ballistic missile interception. During the late 1990s, SM-2 block IVA missiles were tested in a theater ballistic missile defense function. Standard Missile 3 (SM-3) systems have also been tested for an ABM role. In 2008, an SM-3 missile launched from the , successfully intercepted a non-functioning satellite.
Brilliant Pebbles concept
Approved for acquisition by the Pentagon during 1991 but never realized, Brilliant Pebbles was a proposed space-based anti-ballistic system that was meant to avoid some of the problems of the earlier SDI concepts. Rather than use sophisticated large laser battle stations and nuclear-pumped X-ray laser satellites, Brilliant Pebbles consisted of a thousand very small, intelligent orbiting satellites with kinetic warheads. The system relied on improvements of computer technology, avoided problems with overly centralized command and control and risky, expensive development of large, complicated space defense satellites.
It promised to be much less expensive to develop and have less technical development risk.
The name Brilliant Pebbles comes from the small size of the satellite interceptors and great computational power enabling more autonomous targeting. Rather than rely exclusively on ground-based control, the many small interceptors would cooperatively communicate among themselves and target a large swarm of ICBM warheads in space or in the late boost phase. Development was discontinued later in favor of a limited ground-based defense.
Transformation of SDI into MDA, development of NMD/GMD
While the Reagan era Strategic Defense Initiative was intended to shield against a massive Soviet attack, during the early 1990s, President George H. W. Bush called for a more limited version using rocket-launched interceptors based on the ground at a single site. Such system was developed since 1992, was expected to become operational in 2010 and capable of intercepting small number of incoming ICBMs. First called the National Missile Defense (NMD), since 2002 it was renamed Ground-Based Midcourse Defense (GMD). It was planned to protect all 50 states from a rogue missile attack. The Alaska site provides more protection against North Korean missiles or accidental launches from Russia or China, but is likely less effective against missiles launched from the Middle East. The Alaska interceptors may be augmented later by the naval Aegis Ballistic Missile Defense System or by ground-based missiles in other locations.
During 1998, Defense Secretary William Cohen proposed spending an additional $6.6 billion on intercontinental ballistic missile defense programs to build a system to protect against attacks from North Korea or accidental launches from Russia or China.
In terms of organization, during 1993 SDI was reorganized as the Ballistic Missile Defense Organization. In 2002, it was renamed to Missile Defense Agency (MDA).
21st century
On 13 June 2002, the United States withdrew from the Anti-Ballistic Missile Treaty and recommenced developing missile defense systems that would have formerly been prohibited by the bilateral treaty. The action was stated as needed to defend against the possibility of a missile attack conducted by a rogue state. The next day, the Russian Federation dropped the START II agreement, intended to completely ban MIRVs.
The Lisbon Summit of 2010 saw the adoption of a NATO program that was formed in response to the threat of a rapid increase of ballistic missiles from potentially unfriendly regimes, though no specific region, state, or country was formally mentioned. This adoption came from the recognition of territorial missile defense as a core alliance objective. At this time, Iran was seen as the likely aggressor that eventually led to the adoption of this ABM system, as Iran has the largest missile arsenal of the Middle East, as well as a space program. From this summit, NATO's ABM system was potentially seen as a threat by Russia, who felt that their ability to retaliate any perceived nuclear threats would be degraded. To combat this, Russia proposed that any ABM system enacted by NATO must be universal to operate, cover the entirety of the European continent, and not upset any nuclear parity. The United States actively sought NATO involvement in the creation of an ABM system, and saw an Iranian threat as a sufficient reason to warrant its creation. The United States also had plans to create missile defense facilities, but NATO officials feared that it would have provided protection to Europe, it would have detracted from the responsibility of NATO for collective defense. The officials also argued the potential prospect of U.S-commanded operation system that would work in conjunction with the Article 5 defense of NATO.
On 15 December 2016, the US Army SMDC had a successful test of a U.S. Army Zombie Pathfinder rocket, to be used as a target for exercising various anti-ballistic missile scenarios. The rocket was launched as part of NASA's sounding rocket program, at White Sands Missile Range.
In November 2020, the US successfully destroyed a dummy ICBM. The ICBM was launched from Kwajalein Atoll in the general direction of Hawaii, triggering a satellite warning to a Colorado Air Force base, which then contacted the . The ship launched a SM-3 Block IIA missile to destroy the US dummy, still outside the atmosphere.
See also
2010 Chinese anti-ballistic missile test
Aegis Ballistic Missile Defense System
Atmospheric entry
Command systems in the United States Army
Indian Ballistic Missile Defence Programme
Kinetic kill vehicle
Missile defense
Anti-torpedo torpedoes
Multiple Kill Vehicle
National Missile Defense
Nuclear disarmament
Nuclear proliferation
Nuclear warfare
Safeguard/Sentinel ABM system
Spartan (missile)
Sprint (missile)
Terminal High Altitude Area Defense
Notes
Citations
General sources
Murdock, Clark A. (1974), Defense Policy Formation: A Comparative Analysis of the McNamara Era. SUNY Press.
Further reading
Laura Grego and David Wright, "Broken Shield: Missiles designed to destroy incoming nuclear warheads fail frequently in tests and could increase global risk of mass destruction", Scientific American, vol. 320, no. no. 6 (June 2019), pp. 62–67. "Current U.S. missile defense plans are being driven largely by technology, politics and fear. Missile defenses will not allow us to escape our vulnerability to nuclear weapons. Instead large-scale developments will create barriers to taking real steps toward reducing nuclear risks—by blocking further cuts in nuclear arsenals and potentially spurring new deployments." (p. 67.)
External links
Article on Missile Threat Shift to the Black Sea region
Video of the Endo-Atmospheric Interceptor missile system test by India
Video of the Exo-Atmospheric interceptor missile system test by India
Center for Defense Information
Federation of American Scientists
MissileThreat.com
Stanley R. Mickelson Safeguard complex
History of U.S. Air Defense Systems
Missile defense
Missile types
Russian inventions
Surface-to-air missiles
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An antibiotic is a type of antimicrobial substance active against bacteria. It is the most important type of antibacterial agent for fighting bacterial infections, and antibiotic medications are widely used in the treatment and prevention of such infections. They may either kill or inhibit the growth of bacteria. A limited number of antibiotics also possess antiprotozoal activity. Antibiotics are not effective against viruses such as the common cold or influenza; drugs which inhibit growth of viruses are termed antiviral drugs or antivirals rather than antibiotics. They are also not effective against fungi; drugs which inhibit growth of fungi are called antifungal drugs.
Sometimes, the term antibiotic—literally "opposing life", from the Greek roots ἀντι anti, "against" and βίος bios, "life"—is broadly used to refer to any substance used against microbes, but in the usual medical usage, antibiotics (such as penicillin) are those produced naturally (by one microorganism fighting another), whereas non-antibiotic antibacterials (such as sulfonamides and antiseptics) are fully synthetic. However, both classes have the same goal of killing or preventing the growth of microorganisms, and both are included in antimicrobial chemotherapy. "Antibacterials" include antiseptic drugs, antibacterial soaps, and chemical disinfectants, whereas antibiotics are an important class of antibacterials used more specifically in medicine and sometimes in livestock feed.
Antibiotics have been used since ancient times. Many civilizations used topical application of moldy bread, with many references to its beneficial effects arising from ancient Egypt, Nubia, China, Serbia, Greece, and Rome. The first person to directly document the use of molds to treat infections was John Parkinson (1567–1650). Antibiotics revolutionized medicine in the 20th century. Alexander Fleming (1881–1955) discovered modern day penicillin in 1928, the widespread use of which proved significantly beneficial during wartime. However, the effectiveness and easy access to antibiotics have also led to their overuse and some bacteria have evolved resistance to them. The World Health Organization has classified antimicrobial resistance as a widespread "serious threat [that] is no longer a prediction for the future, it is happening right now in every region of the world and has the potential to affect anyone, of any age, in any country". Global deaths attributable to antimicrobial resistance numbered 1.27 million in 2019.
Etymology
The term 'antibiosis', meaning "against life", was introduced by the French bacteriologist Jean Paul Vuillemin as a descriptive name of the phenomenon exhibited by these early antibacterial drugs. Antibiosis was first described in 1877 in bacteria when Louis Pasteur and Robert Koch observed that an airborne bacillus could inhibit the growth of Bacillus anthracis. These drugs were later renamed antibiotics by Selman Waksman, an American microbiologist, in 1947.
The term antibiotic was first used in 1942 by Selman Waksman and his collaborators in journal articles to describe any substance produced by a microorganism that is antagonistic to the growth of other microorganisms in high dilution. This definition excluded substances that kill bacteria but that are not produced by microorganisms (such as gastric juices and hydrogen peroxide). It also excluded synthetic antibacterial compounds such as the sulfonamides. In current usage, the term "antibiotic" is applied to any medication that kills bacteria or inhibits their growth, regardless of whether that medication is produced by a microorganism or not.
The term "antibiotic" derives from anti + βιωτικός (biōtikos), "fit for life, lively", which comes from βίωσις (biōsis), "way of life", and that from βίος (bios), "life". The term "antibacterial" derives from Greek ἀντί (anti), "against" + βακτήριον (baktērion), diminutive of βακτηρία (baktēria), "staff, cane", because the first bacteria to be discovered were rod-shaped.
Usage
Medical uses
Antibiotics are used to treat or prevent bacterial infections, and sometimes protozoan infections. (Metronidazole is effective against a number of parasitic diseases). When an infection is suspected of being responsible for an illness but the responsible pathogen has not been identified, an empiric therapy is adopted. This involves the administration of a broad-spectrum antibiotic based on the signs and symptoms presented and is initiated pending laboratory results that can take several days.
When the responsible pathogenic microorganism is already known or has been identified, definitive therapy can be started. This will usually involve the use of a narrow-spectrum antibiotic. The choice of antibiotic given will also be based on its cost. Identification is critically important as it can reduce the cost and toxicity of the antibiotic therapy and also reduce the possibility of the emergence of antimicrobial resistance. To avoid surgery, antibiotics may be given for non-complicated acute appendicitis.
Antibiotics may be given as a preventive measure and this is usually limited to at-risk populations such as those with a weakened immune system (particularly in HIV cases to prevent pneumonia), those taking immunosuppressive drugs, cancer patients, and those having surgery. Their use in surgical procedures is to help prevent infection of incisions. They have an important role in dental antibiotic prophylaxis where their use may prevent bacteremia and consequent infective endocarditis. Antibiotics are also used to prevent infection in cases of neutropenia particularly cancer-related.
The use of antibiotics for secondary prevention of coronary heart disease is not supported by current scientific evidence, and may actually increase cardiovascular mortality, all-cause mortality and the occurrence of stroke.
Routes of administration
There are many different routes of administration for antibiotic treatment. Antibiotics are usually taken by mouth. In more severe cases, particularly deep-seated systemic infections, antibiotics can be given intravenously or by injection. Where the site of infection is easily accessed, antibiotics may be given topically in the form of eye drops onto the conjunctiva for conjunctivitis or ear drops for ear infections and acute cases of swimmer's ear. Topical use is also one of the treatment options for some skin conditions including acne and cellulitis. Advantages of topical application include achieving high and sustained concentration of antibiotic at the site of infection; reducing the potential for systemic absorption and toxicity, and total volumes of antibiotic required are reduced, thereby also reducing the risk of antibiotic misuse. Topical antibiotics applied over certain types of surgical wounds have been reported to reduce the risk of surgical site infections. However, there are certain general causes for concern with topical administration of antibiotics. Some systemic absorption of the antibiotic may occur; the quantity of antibiotic applied is difficult to accurately dose, and there is also the possibility of local hypersensitivity reactions or contact dermatitis occurring. It is recommended to administer antibiotics as soon as possible, especially in life-threatening infections. Many emergency departments stock antibiotics for this purpose.
Global consumption
Antibiotic consumption varies widely between countries. The WHO report on surveillance of antibiotic consumption published in 2018 analysed 2015 data from 65 countries. As measured in defined daily doses per 1,000 inhabitants per day. Mongolia had the highest consumption with a rate of 64.4. Burundi had the lowest at 4.4. Amoxicillin and amoxicillin/clavulanic acid were the most frequently consumed.
Side effects
Antibiotics are screened for any negative effects before their approval for clinical use, and are usually considered safe and well tolerated. However, some antibiotics have been associated with a wide extent of adverse side effects ranging from mild to very severe depending on the type of antibiotic used, the microbes targeted, and the individual patient. Side effects may reflect the pharmacological or toxicological properties of the antibiotic or may involve hypersensitivity or allergic reactions. Adverse effects range from fever and nausea to major allergic reactions, including photodermatitis and anaphylaxis.
Common side effects of oral antibiotics include diarrhea, resulting from disruption of the species composition in the intestinal flora, resulting, for example, in overgrowth of pathogenic bacteria, such as Clostridium difficile. Taking probiotics during the course of antibiotic treatment can help prevent antibiotic-associated diarrhea. Antibacterials can also affect the vaginal flora, and may lead to overgrowth of yeast species of the genus Candida in the vulvo-vaginal area. Additional side effects can result from interaction with other drugs, such as the possibility of tendon damage from the administration of a quinolone antibiotic with a systemic corticosteroid.
Some antibiotics may also damage the mitochondrion, a bacteria-derived organelle found in eukaryotic, including human, cells. Mitochondrial damage cause oxidative stress in cells and has been suggested as a mechanism for side effects from fluoroquinolones. They are also known to affect chloroplasts.
Interactions
Birth control pills
There are few well-controlled studies on whether antibiotic use increases the risk of oral contraceptive failure. The majority of studies indicate antibiotics do not interfere with birth control pills, such as clinical studies that suggest the failure rate of contraceptive pills caused by antibiotics is very low (about 1%). Situations that may increase the risk of oral contraceptive failure include non-compliance (missing taking the pill), vomiting, or diarrhea. Gastrointestinal disorders or interpatient variability in oral contraceptive absorption affecting ethinylestradiol serum levels in the blood. Women with menstrual irregularities may be at higher risk of failure and should be advised to use backup contraception during antibiotic treatment and for one week after its completion. If patient-specific risk factors for reduced oral contraceptive efficacy are suspected, backup contraception is recommended.
In cases where antibiotics have been suggested to affect the efficiency of birth control pills, such as for the broad-spectrum antibiotic rifampicin, these cases may be due to an increase in the activities of hepatic liver enzymes' causing increased breakdown of the pill's active ingredients. Effects on the intestinal flora, which might result in reduced absorption of estrogens in the colon, have also been suggested, but such suggestions have been inconclusive and controversial. Clinicians have recommended that extra contraceptive measures be applied during therapies using antibiotics that are suspected to interact with oral contraceptives. More studies on the possible interactions between antibiotics and birth control pills (oral contraceptives) are required as well as careful assessment of patient-specific risk factors for potential oral contractive pill failure prior to dismissing the need for backup contraception.
Alcohol
Interactions between alcohol and certain antibiotics may occur and may cause side effects and decreased effectiveness of antibiotic therapy. While moderate alcohol consumption is unlikely to interfere with many common antibiotics, there are specific types of antibiotics with which alcohol consumption may cause serious side effects. Therefore, potential risks of side effects and effectiveness depend on the type of antibiotic administered.
Antibiotics such as metronidazole, tinidazole, cephamandole, latamoxef, cefoperazone, cefmenoxime, and furazolidone, cause a disulfiram-like chemical reaction with alcohol by inhibiting its breakdown by acetaldehyde dehydrogenase, which may result in vomiting, nausea, and shortness of breath. In addition, the efficacy of doxycycline and erythromycin succinate may be reduced by alcohol consumption. Other effects of alcohol on antibiotic activity include altered activity of the liver enzymes that break down the antibiotic compound.
Pharmacodynamics
The successful outcome of antimicrobial therapy with antibacterial compounds depends on several factors. These include host defense mechanisms, the location of infection, and the pharmacokinetic and pharmacodynamic properties of the antibacterial. The bactericidal activity of antibacterials may depend on the bacterial growth phase, and it often requires ongoing metabolic activity and division of bacterial cells. These findings are based on laboratory studies, and in clinical settings have also been shown to eliminate bacterial infection. Since the activity of antibacterials depends frequently on its concentration, in vitro characterization of antibacterial activity commonly includes the determination of the minimum inhibitory concentration and minimum bactericidal concentration of an antibacterial.
To predict clinical outcome, the antimicrobial activity of an antibacterial is usually combined with its pharmacokinetic profile, and several pharmacological parameters are used as markers of drug efficacy.
Combination therapy
In important infectious diseases, including tuberculosis, combination therapy (i.e., the concurrent application of two or more antibiotics) has been used to delay or prevent the emergence of resistance. In acute bacterial infections, antibiotics as part of combination therapy are prescribed for their synergistic effects to improve treatment outcome as the combined effect of both antibiotics is better than their individual effect. Fosfomycin has the highest number of synergistic combinations among antibiotics and is almost always used as a partner drug. Methicillin-resistant Staphylococcus aureus infections may be treated with a combination therapy of fusidic acid and rifampicin. Antibiotics used in combination may also be antagonistic and the combined effects of the two antibiotics may be less than if one of the antibiotics was given as a monotherapy. For example, chloramphenicol and tetracyclines are antagonists to penicillins. However, this can vary depending on the species of bacteria. In general, combinations of a bacteriostatic antibiotic and bactericidal antibiotic are antagonistic.
In addition to combining one antibiotic with another, antibiotics are sometimes co-administered with resistance-modifying agents. For example, β-lactam antibiotics may be used in combination with β-lactamase inhibitors, such as clavulanic acid or sulbactam, when a patient is infected with a β-lactamase-producing strain of bacteria.
Classes
Antibiotics are commonly classified based on their mechanism of action, chemical structure, or spectrum of activity. Most target bacterial functions or growth processes. Those that target the bacterial cell wall (penicillins and cephalosporins) or the cell membrane (polymyxins), or interfere with essential bacterial enzymes (rifamycins, lipiarmycins, quinolones, and sulfonamides) have bactericidal activities, killing the bacteria. Protein synthesis inhibitors (macrolides, lincosamides, and tetracyclines) are usually bacteriostatic, inhibiting further growth (with the exception of bactericidal aminoglycosides). Further categorization is based on their target specificity. "Narrow-spectrum" antibiotics target specific types of bacteria, such as gram-negative or gram-positive, whereas broad-spectrum antibiotics affect a wide range of bacteria. Following a 40-year break in discovering classes of antibacterial compounds, four new classes of antibiotics were introduced to clinical use in the late 2000s and early 2010s: cyclic lipopeptides (such as daptomycin), glycylcyclines (such as tigecycline), oxazolidinones (such as linezolid), and lipiarmycins (such as fidaxomicin).
Production
With advances in medicinal chemistry, most modern antibacterials are semisynthetic modifications of various natural compounds. These include, for example, the beta-lactam antibiotics, which include the penicillins (produced by fungi in the genus Penicillium), the cephalosporins, and the carbapenems. Compounds that are still isolated from living organisms are the aminoglycosides, whereas other antibacterials—for example, the sulfonamides, the quinolones, and the oxazolidinones—are produced solely by chemical synthesis. Many antibacterial compounds are relatively small molecules with a molecular weight of less than 1000 daltons.
Since the first pioneering efforts of Howard Florey and Chain in 1939, the importance of antibiotics, including antibacterials, to medicine has led to intense research into producing antibacterials at large scales. Following screening of antibacterials against a wide range of bacteria, production of the active compounds is carried out using fermentation, usually in strongly aerobic conditions.
Resistance
The emergence of antibiotic-resistant bacteria is a common phenomenon mainly caused by the overuse/misuse. It represents a threat to health globally.
Emergence of resistance often reflects evolutionary processes that take place during antibiotic therapy. The antibiotic treatment may select for bacterial strains with physiologically or genetically enhanced capacity to survive high doses of antibiotics. Under certain conditions, it may result in preferential growth of resistant bacteria, while growth of susceptible bacteria is inhibited by the drug. For example, antibacterial selection for strains having previously acquired antibacterial-resistance genes was demonstrated in 1943 by the Luria–Delbrück experiment. Antibiotics such as penicillin and erythromycin, which used to have a high efficacy against many bacterial species and strains, have become less effective, due to the increased resistance of many bacterial strains.
Resistance may take the form of biodegradation of pharmaceuticals, such as sulfamethazine-degrading soil bacteria introduced to sulfamethazine through medicated pig feces.
The survival of bacteria often results from an inheritable resistance, but the growth of resistance to antibacterials also occurs through horizontal gene transfer. Horizontal transfer is more likely to happen in locations of frequent antibiotic use.
Antibacterial resistance may impose a biological cost, thereby reducing fitness of resistant strains, which can limit the spread of antibacterial-resistant bacteria, for example, in the absence of antibacterial compounds. Additional mutations, however, may compensate for this fitness cost and can aid the survival of these bacteria.
Paleontological data show that both antibiotics and antibiotic resistance are ancient compounds and mechanisms. Useful antibiotic targets are those for which mutations negatively impact bacterial reproduction or viability.
Several molecular mechanisms of antibacterial resistance exist. Intrinsic antibacterial resistance may be part of the genetic makeup of bacterial strains. For example, an antibiotic target may be absent from the bacterial genome. Acquired resistance results from a mutation in the bacterial chromosome or the acquisition of extra-chromosomal DNA. Antibacterial-producing bacteria have evolved resistance mechanisms that have been shown to be similar to, and may have been transferred to, antibacterial-resistant strains. The spread of antibacterial resistance often occurs through vertical transmission of mutations during growth and by genetic recombination of DNA by horizontal genetic exchange. For instance, antibacterial resistance genes can be exchanged between different bacterial strains or species via plasmids that carry these resistance genes. Plasmids that carry several different resistance genes can confer resistance to multiple antibacterials. Cross-resistance to several antibacterials may also occur when a resistance mechanism encoded by a single gene conveys resistance to more than one antibacterial compound.
Antibacterial-resistant strains and species, sometimes referred to as "superbugs", now contribute to the emergence of diseases that were, for a while, well controlled. For example, emergent bacterial strains causing tuberculosis that are resistant to previously effective antibacterial treatments pose many therapeutic challenges. Every year, nearly half a million new cases of multidrug-resistant tuberculosis (MDR-TB) are estimated to occur worldwide. For example, NDM-1 is a newly identified enzyme conveying bacterial resistance to a broad range of beta-lactam antibacterials. The United Kingdom's Health Protection Agency has stated that "most isolates with NDM-1 enzyme are resistant to all standard intravenous antibiotics for treatment of severe infections." On 26 May 2016, an E. coli "superbug" was identified in the United States resistant to colistin, "the last line of defence" antibiotic.
In recent years, even anaerobic bacteria, historically considered less concerning in terms of resistance, have demonstrated high rates of antibiotic resistance, particularly Bacteroides, for which resistance rates to penicillin have been reported to exceed 90%.
Misuse
Per The ICU Book "The first rule of antibiotics is to try not to use them, and the second rule is try not to use too many of them." Inappropriate antibiotic treatment and overuse of antibiotics have contributed to the emergence of antibiotic-resistant bacteria. However, potential harm from antibiotics extends beyond selection of antimicrobial resistance and their overuse is associated with adverse effects for patients themselves, seen most clearly in critically ill patients in Intensive care units. Self-prescribing of antibiotics is an example of misuse. Many antibiotics are frequently prescribed to treat symptoms or diseases that do not respond to antibiotics or that are likely to resolve without treatment. Also, incorrect or suboptimal antibiotics are prescribed for certain bacterial infections. The overuse of antibiotics, like penicillin and erythromycin, has been associated with emerging antibiotic resistance since the 1950s. Widespread usage of antibiotics in hospitals has also been associated with increases in bacterial strains and species that no longer respond to treatment with the most common antibiotics.
Common forms of antibiotic misuse include excessive use of prophylactic antibiotics in travelers and failure of medical professionals to prescribe the correct dosage of antibiotics on the basis of the patient's weight and history of prior use. Other forms of misuse include failure to take the entire prescribed course of the antibiotic, incorrect dosage and administration, or failure to rest for sufficient recovery. Inappropriate antibiotic treatment, for example, is their prescription to treat viral infections such as the common cold. One study on respiratory tract infections found "physicians were more likely to prescribe antibiotics to patients who appeared to expect them". Multifactorial interventions aimed at both physicians and patients can reduce inappropriate prescription of antibiotics. The lack of rapid point of care diagnostic tests, particularly in resource-limited settings is considered one of the drivers of antibiotic misuse.
Several organizations concerned with antimicrobial resistance are lobbying to eliminate the unnecessary use of antibiotics. The issues of misuse and overuse of antibiotics have been addressed by the formation of the US Interagency Task Force on Antimicrobial Resistance. This task force aims to actively address antimicrobial resistance, and is coordinated by the US Centers for Disease Control and Prevention, the Food and Drug Administration (FDA), and the National Institutes of Health, as well as other US agencies. A non-governmental organization campaign group is Keep Antibiotics Working. In France, an "Antibiotics are not automatic" government campaign started in 2002 and led to a marked reduction of unnecessary antibiotic prescriptions, especially in children.
The emergence of antibiotic resistance has prompted restrictions on their use in the UK in 1970 (Swann report 1969), and the European Union has banned the use of antibiotics as growth-promotional agents since 2003. Moreover, several organizations (including the World Health Organization, the National Academy of Sciences, and the U.S. Food and Drug Administration) have advocated restricting the amount of antibiotic use in food animal production. However, commonly there are delays in regulatory and legislative actions to limit the use of antibiotics, attributable partly to resistance against such regulation by industries using or selling antibiotics, and to the time required for research to test causal links between their use and resistance to them. Two federal bills (S.742 and H.R. 2562) aimed at phasing out nontherapeutic use of antibiotics in US food animals were proposed, but have not passed. These bills were endorsed by public health and medical organizations, including the American Holistic Nurses' Association, the American Medical Association, and the American Public Health Association.
Despite pledges by food companies and restaurants to reduce or eliminate meat that comes from animals treated with antibiotics, the purchase of antibiotics for use on farm animals has been increasing every year.
There has been extensive use of antibiotics in animal husbandry. In the United States, the question of emergence of antibiotic-resistant bacterial strains due to use of antibiotics in livestock was raised by the US Food and Drug Administration (FDA) in 1977. In March 2012, the United States District Court for the Southern District of New York, ruling in an action brought by the Natural Resources Defense Council and others, ordered the FDA to revoke approvals for the use of antibiotics in livestock, which violated FDA regulations.
Studies have shown that common misconceptions about the effectiveness and necessity of antibiotics to treat common mild illnesses contribute to their overuse.
Other forms of antibiotic associated harm include anaphylaxis, drug toxicity most notably kidney and liver damage, and super-infections with resistant organisms. Antibiotics are also known to affect mitochondrial function, and this may contribute to the bioenergetic failure of immune cells seen in sepsis. They also alter the microbiome of the gut, lungs and skin, which may be associated with adverse effects such as Clostridium difficile associated diarrhoea. Whilst antibiotics can clearly be lifesaving in patients with bacterial infections, their overuse, especially in patients where infections are hard to diagnose, can lead to harm via multiple mechanisms.
History
Before the early 20th century, treatments for infections were based primarily on medicinal folklore. Mixtures with antimicrobial properties that were used in treatments of infections were described over 2,000 years ago. Many ancient cultures, including the ancient Egyptians and ancient Greeks, used specially selected mold and plant materials to treat infections. Nubian mummies studied in the 1990s were found to contain significant levels of tetracycline. The beer brewed at that time was conjectured to have been the source.
The use of antibiotics in modern medicine began with the discovery of synthetic antibiotics derived from dyes.Various Essential oils have been shown to have anti-microbial properties.Along with this, the plants from which these oils have been derived from can be used as niche anti-microbial agents.
Synthetic antibiotics derived from dyes
Synthetic antibiotic chemotherapy as a science and development of antibacterials began in Germany with Paul Ehrlich in the late 1880s. Ehrlich noted certain dyes would colour human, animal, or bacterial cells, whereas others did not. He then proposed the idea that it might be possible to create chemicals that would act as a selective drug that would bind to and kill bacteria without harming the human host. After screening hundreds of dyes against various organisms, in 1907, he discovered a medicinally useful drug, the first synthetic antibacterial organoarsenic compound salvarsan, now called arsphenamine.
This heralded the era of antibacterial treatment that was begun with the discovery of a series of arsenic-derived synthetic antibiotics by both Alfred Bertheim and Ehrlich in 1907. Ehrlich and Bertheim had experimented with various chemicals derived from dyes to treat trypanosomiasis in mice and spirochaeta infection in rabbits. While their early compounds were too toxic, Ehrlich and Sahachiro Hata, a Japanese bacteriologist working with Erlich in the quest for a drug to treat syphilis, achieved success with the 606th compound in their series of experiments. In 1910, Ehrlich and Hata announced their discovery, which they called drug "606", at the Congress for Internal Medicine at Wiesbaden. The Hoechst company began to market the compound toward the end of 1910 under the name Salvarsan, now known as arsphenamine. The drug was used to treat syphilis in the first half of the 20th century. In 1908, Ehrlich received the Nobel Prize in Physiology or Medicine for his contributions to immunology. Hata was nominated for the Nobel Prize in Chemistry in 1911 and for the Nobel Prize in Physiology or Medicine in 1912 and 1913.
The first sulfonamide and the first systemically active antibacterial drug, Prontosil, was developed by a research team led by Gerhard Domagk in 1932 or 1933 at the Bayer Laboratories of the IG Farben conglomerate in Germany, for which Domagk received the 1939 Nobel Prize in Physiology or Medicine. Sulfanilamide, the active drug of Prontosil, was not patentable as it had already been in use in the dye industry for some years. Prontosil had a relatively broad effect against Gram-positive cocci, but not against enterobacteria. Research was stimulated apace by its success. The discovery and development of this sulfonamide drug opened the era of antibacterials.
Penicillin and other natural antibiotics
Observations about the growth of some microorganisms inhibiting the growth of other microorganisms have been reported since the late 19th century. These observations of antibiosis between microorganisms led to the discovery of natural antibacterials. Louis Pasteur observed, "if we could intervene in the antagonism observed between some bacteria, it would offer perhaps the greatest hopes for therapeutics".
In 1874, physician Sir William Roberts noted that cultures of the mould Penicillium glaucum that is used in the making of some types of blue cheese did not display bacterial contamination. In 1876, physicist John Tyndall also contributed to this field.
In 1895 Vincenzo Tiberio, Italian physician, published a paper on the antibacterial power of some extracts of mold.
In 1897, doctoral student Ernest Duchesne submitted a dissertation, "" (Contribution to the study of vital competition in micro-organisms: antagonism between moulds and microbes), the first known scholarly work to consider the therapeutic capabilities of moulds resulting from their anti-microbial activity. In his thesis, Duchesne proposed that bacteria and moulds engage in a perpetual battle for survival. Duchesne observed that E. coli was eliminated by Penicillium glaucum when they were both grown in the same culture. He also observed that when he inoculated laboratory animals with lethal doses of typhoid bacilli together with Penicillium glaucum, the animals did not contract typhoid. Duchesne's army service after getting his degree prevented him from doing any further research. Duchesne died of tuberculosis, a disease now treated by antibiotics.
In 1928, Sir Alexander Fleming postulated the existence of penicillin, a molecule produced by certain moulds that kills or stops the growth of certain kinds of bacteria. Fleming was working on a culture of disease-causing bacteria when he noticed the spores of a green mold, Penicillium rubens, in one of his culture plates. He observed that the presence of the mould killed or prevented the growth of the bacteria. Fleming postulated that the mould must secrete an antibacterial substance, which he named penicillin in 1928. Fleming believed that its antibacterial properties could be exploited for chemotherapy. He initially characterised some of its biological properties, and attempted to use a crude preparation to treat some infections, but he was unable to pursue its further development without the aid of trained chemists.
Ernst Chain, Howard Florey and Edward Abraham succeeded in purifying the first penicillin, penicillin G, in 1942, but it did not become widely available outside the Allied military before 1945. Later, Norman Heatley developed the back extraction technique for efficiently purifying penicillin in bulk. The chemical structure of penicillin was first proposed by Abraham in 1942 and then later confirmed by Dorothy Crowfoot Hodgkin in 1945. Purified penicillin displayed potent antibacterial activity against a wide range of bacteria and had low toxicity in humans. Furthermore, its activity was not inhibited by biological constituents such as pus, unlike the synthetic sulfonamides. (see below) The development of penicillin led to renewed interest in the search for antibiotic compounds with similar efficacy and safety. For their successful development of penicillin, which Fleming had accidentally discovered but could not develop himself, as a therapeutic drug, Chain and Florey shared the 1945 Nobel Prize in Medicine with Fleming.
Florey credited René Dubos with pioneering the approach of deliberately and systematically searching for antibacterial compounds, which had led to the discovery of gramicidin and had revived Florey's research in penicillin. In 1939, coinciding with the start of World War II, Dubos had reported the discovery of the first naturally derived antibiotic, tyrothricin, a compound of 20% gramicidin and 80% tyrocidine, from Bacillus brevis. It was one of the first commercially manufactured antibiotics and was very effective in treating wounds and ulcers during World War II. Gramicidin, however, could not be used systemically because of toxicity. Tyrocidine also proved too toxic for systemic usage. Research results obtained during that period were not shared between the Axis and the Allied powers during World War II and limited access during the Cold War.
Late 20th century
During the mid-20th century, the number of new antibiotic substances introduced for medical use increased significantly. From 1935 to 1968, 12 new classes were launched. However, after this, the number of new classes dropped markedly, with only two new classes introduced between 1969 and 2003.
Antibiotic pipeline
Both the WHO and the Infectious Disease Society of America report that the weak antibiotic pipeline does not match bacteria's increasing ability to develop resistance. The Infectious Disease Society of America report noted that the number of new antibiotics approved for marketing per year had been declining and identified seven antibiotics against the Gram-negative bacilli currently in phase 2 or phase 3 clinical trials. However, these drugs did not address the entire spectrum of resistance of Gram-negative bacilli. According to the WHO fifty one new therapeutic entities - antibiotics (including combinations), are in phase 1-3 clinical trials as of May 2017. Antibiotics targeting multidrug-resistant Gram-positive pathogens remains a high priority.
A few antibiotics have received marketing authorization in the last seven years. The cephalosporin ceftaroline and the lipoglycopeptides oritavancin and telavancin for the treatment of acute bacterial skin and skin structure infection and community-acquired bacterial pneumonia. The lipoglycopeptide dalbavancin and the oxazolidinone tedizolid has also been approved for use for the treatment of acute bacterial skin and skin structure infection. The first in a new class of narrow spectrum macrocyclic antibiotics, fidaxomicin, has been approved for the treatment of C. difficile colitis. New cephalosporin-lactamase inhibitor combinations also approved include ceftazidime-avibactam and ceftolozane-avibactam for complicated urinary tract infection and intra-abdominal infection.
Possible improvements include clarification of clinical trial regulations by FDA. Furthermore, appropriate economic incentives could persuade pharmaceutical companies to invest in this endeavor. In the US, the Antibiotic Development to Advance Patient Treatment (ADAPT) Act was introduced with the aim of fast tracking the drug development of antibiotics to combat the growing threat of 'superbugs'. Under this Act, FDA can approve antibiotics and antifungals treating life-threatening infections based on smaller clinical trials. The CDC will monitor the use of antibiotics and the emerging resistance, and publish the data. The FDA antibiotics labeling process, 'Susceptibility Test Interpretive Criteria for Microbial Organisms' or 'breakpoints', will provide accurate data to healthcare professionals. According to Allan Coukell, senior director for health programs at The Pew Charitable Trusts, "By allowing drug developers to rely on smaller datasets, and clarifying FDA's authority to tolerate a higher level of uncertainty for these drugs when making a risk/benefit calculation, ADAPT would make the clinical trials more feasible."
Replenishing the antibiotic pipeline and developing other new therapies
Because antibiotic-resistant bacterial strains continue to emerge and spread, there is a constant need to develop new antibacterial treatments. Current strategies include traditional chemistry-based approaches such as natural product-based drug discovery, newer chemistry-based approaches such as drug design, traditional biology-based approaches such as immunoglobulin therapy, and experimental biology-based approaches such as phage therapy, fecal microbiota transplants, antisense RNA-based treatments, and CRISPR-Cas9-based treatments.
Natural product-based antibiotic discovery
Most of the antibiotics in current use are natural products or natural product derivatives, and bacterial, fungal, plant and animal extracts are being screened in the search for new antibiotics. Organisms may be selected for testing based on ecological, ethnomedical, genomic, or historical rationales. Medicinal plants, for example, are screened on the basis that they are used by traditional healers to prevent or cure infection and may therefore contain antibacterial compounds. Also, soil bacteria are screened on the basis that, historically, they have been a very rich source of antibiotics (with 70 to 80% of antibiotics in current use derived from the actinomycetes).
In addition to screening natural products for direct antibacterial activity, they are sometimes screened for the ability to suppress antibiotic resistance and antibiotic tolerance. For example, some secondary metabolites inhibit drug efflux pumps, thereby increasing the concentration of antibiotic able to reach its cellular target and decreasing bacterial resistance to the antibiotic. Natural products known to inhibit bacterial efflux pumps include the alkaloid lysergol, the carotenoids capsanthin and capsorubin, and the flavonoids rotenone and chrysin. Other natural products, this time primary metabolites rather than secondary metabolites, have been shown to eradicate antibiotic tolerance. For example, glucose, mannitol, and fructose reduce antibiotic tolerance in Escherichia coli and Staphylococcus aureus, rendering them more susceptible to killing by aminoglycoside antibiotics.
Natural products may be screened for the ability to suppress bacterial virulence factors too. Virulence factors are molecules, cellular structures and regulatory systems that enable bacteria to evade the body's immune defenses (e.g. urease, staphyloxanthin), move towards, attach to, and/or invade human cells (e.g. type IV pili, adhesins, internalins), coordinate the activation of virulence genes (e.g. quorum sensing), and cause disease (e.g. exotoxins). Examples of natural products with antivirulence activity include the flavonoid epigallocatechin gallate (which inhibits listeriolysin O), the quinone tetrangomycin (which inhibits staphyloxanthin), and the sesquiterpene zerumbone (which inhibits Acinetobacter baumannii motility).
Immunoglobulin therapy
Antibodies (anti-tetanus immunoglobulin) have been used in the treatment and prevention of tetanus since the 1910s, and this approach continues to be a useful way of controlling bacterial diseases. The monoclonal antibody bezlotoxumab, for example, has been approved by the US FDA and EMA for recurrent Clostridium difficile infection, and other monoclonal antibodies are in development (e.g. AR-301 for the adjunctive treatment of S. aureus ventilator-associated pneumonia). Antibody treatments act by binding to and neutralizing bacterial exotoxins and other virulence factors.
Phage therapy
Phage therapy is under investigation as a method of treating antibiotic-resistant strains of bacteria. Phage therapy involves infecting bacterial pathogens with viruses. Bacteriophages and their host ranges are extremely specific for certain bacteria, thus, unlike antibiotics, they do not disturb the host organism's intestinal microbiota. Bacteriophages, also known as phages, infect and kill bacteria primarily during lytic cycles. Phages insert their DNA into the bacterium, where it is transcribed and used to make new phages, after which the cell will lyse, releasing new phage that are able to infect and destroy further bacteria of the same strain. The high specificity of phage protects "good" bacteria from destruction.
Some disadvantages to the use of bacteriophages also exist, however. Bacteriophages may harbour virulence factors or toxic genes in their genomes and, prior to use, it may be prudent to identify genes with similarity to known virulence factors or toxins by genomic sequencing. In addition, the oral and IV administration of phages for the eradication of bacterial infections poses a much higher safety risk than topical application. Also, there is the additional concern of uncertain immune responses to these large antigenic cocktails.
There are considerable regulatory hurdles that must be cleared for such therapies. Despite numerous challenges, the use of bacteriophages as a replacement for antimicrobial agents against MDR pathogens that no longer respond to conventional antibiotics, remains an attractive option.
Fecal microbiota transplants
Fecal microbiota transplants involve transferring the full intestinal microbiota from a healthy human donor (in the form of stool) to patients with C. difficile infection. Although this procedure has not been officially approved by the US FDA, its use is permitted under some conditions in patients with antibiotic-resistant C. difficile infection. Cure rates are around 90%, and work is underway to develop stool banks, standardized products, and methods of oral delivery. Fecal microbiota transplantation has also been used more recently for inflammatory bowel diseases.
Antisense RNA-based treatments
Antisense RNA-based treatment (also known as gene silencing therapy) involves (a) identifying bacterial genes that encode essential proteins (e.g. the Pseudomonas aeruginosa genes acpP, lpxC, and rpsJ), (b) synthesizing single stranded RNA that is complementary to the mRNA encoding these essential proteins, and (c) delivering the single stranded RNA to the infection site using cell-penetrating peptides or liposomes. The antisense RNA then hybridizes with the bacterial mRNA and blocks its translation into the essential protein. Antisense RNA-based treatment has been shown to be effective in in vivo models of P. aeruginosa pneumonia.
In addition to silencing essential bacterial genes, antisense RNA can be used to silence bacterial genes responsible for antibiotic resistance. For example, antisense RNA has been developed that silences the S. aureus mecA gene (the gene that encodes modified penicillin-binding protein 2a and renders S. aureus strains methicillin-resistant). Antisense RNA targeting mecA mRNA has been shown to restore the susceptibility of methicillin-resistant staphylococci to oxacillin in both in vitro and in vivo studies.
CRISPR-Cas9-based treatments
In the early 2000s, a system was discovered that enables bacteria to defend themselves against invading viruses. The system, known as CRISPR-Cas9, consists of (a) an enzyme that destroys DNA (the nuclease Cas9) and (b) the DNA sequences of previously encountered viral invaders (CRISPR). These viral DNA sequences enable the nuclease to target foreign (viral) rather than self (bacterial) DNA.
Although the function of CRISPR-Cas9 in nature is to protect bacteria, the DNA sequences in the CRISPR component of the system can be modified so that the Cas9 nuclease targets bacterial resistance genes or bacterial virulence genes instead of viral genes. The modified CRISPR-Cas9 system can then be administered to bacterial pathogens using plasmids or bacteriophages. This approach has successfully been used to silence antibiotic resistance and reduce the virulence of enterohemorrhagic E. coli in an in vivo model of infection.
Reducing the selection pressure for antibiotic resistance
In addition to developing new antibacterial treatments, it is important to reduce the selection pressure for the emergence and spread of antibiotic resistance. Strategies to accomplish this include well-established infection control measures such as infrastructure improvement (e.g. less crowded housing), better sanitation (e.g. safe drinking water and food) and vaccine development, other approaches such as antibiotic stewardship, and experimental approaches such as the use of prebiotics and probiotics to prevent infection. Antibiotic cycling, where antibiotics are alternated by clinicians to treat microbial diseases, is proposed, but recent studies revealed such strategies are ineffective against antibiotic resistance.
Vaccines
Vaccines rely on immune modulation or augmentation. Vaccination either excites or reinforces the immune competence of a host to ward off infection, leading to the activation of macrophages, the production of antibodies, inflammation, and other classic immune reactions. Antibacterial vaccines have been responsible for a drastic reduction in global bacterial diseases. Vaccines made from attenuated whole cells or lysates have been replaced largely by less reactogenic, cell-free vaccines consisting of purified components, including capsular polysaccharides and their conjugates, to protein carriers, as well as inactivated toxins (toxoids) and proteins.
See also
References
Further reading
External links
Anti-infective agents
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Arnold Alois Schwarzenegger (born July 30, 1947) is an Austrian and American actor, businessman, filmmaker, former politician, and former professional bodybuilder best known for his roles in high-profile action movies. He served as the 38th governor of California from 2003 to 2011 and was among Time magazine's 100 most influential people in the world in 2004 and 2007.
Schwarzenegger began lifting weights at age 15 and won the Mr. Universe title aged 20, and subsequently the Mr. Olympia title seven times. He is widely regarded as one of the greatest bodybuilders of all time, and has written many books and articles about it. The Arnold Sports Festival, considered the second-most important bodybuilding event after Mr. Olympia, is named after him. He appeared in the bodybuilding documentary Pumping Iron (1977). He retired from bodybuilding and gained worldwide fame as a Hollywood action star, with his breakthrough in the sword and sorcery epic Conan the Barbarian (1982), a box-office hit with a sequel in 1984. After playing the title character in the science fiction film The Terminator (1984), he starred in Terminator 2: Judgment Day (1991) and three other sequels. His other successful action films included Commando (1985), The Running Man (1987), Predator (1987), Total Recall (1990), and True Lies (1994), in addition to comedy films such as Twins (1988), Kindergarten Cop (1990) and Jingle All the Way (1996). He is the founder of the film production company Oak Productions.
As a registered Republican, Schwarzenegger chaired the President's Council on Physical Fitness and Sports during most of the George H. W. Bush administration. On October 7, 2003, he was elected Governor of California in a special recall election to replace then-Governor Gray Davis. He received 48.6% of the vote, 17 points ahead of Democrat runner-up Cruz Bustamante. He was sworn in on November 17 to serve the remainder of Davis' term, and was reelected in the 2006 California gubernatorial election with an increased vote share of 55.9% to serve a full term. In 2011 he reached his term limit as governor and returned to acting.
Schwarzenegger was nicknamed the "Austrian Oak" in his bodybuilding days, "Arnie" or "Schwarzy" during his acting career, and "the Governator" (a portmanteau of "Governor" and "Terminator") during his political career. He married Maria Shriver, a niece of President John F. Kennedy, in 1986. They separated in 2011 after he admitted to having fathered a child with their housemaid in 1997; their divorce was finalized in 2021.
Early life and education
Arnold Alois Schwarzenegger was born in Thal on July 30, 1947, the second son of Gustav Schwarzenegger and his wife Aurelia (née Jadrny). Gustav was the local chief of police, and after the Anschluss in 1938, joined the Nazi Party and, in 1939 the Sturmabteilung (SA). In World War II, Gustav served as a military policeman in the invasions of Poland, France and the Soviet Union, including the siege of Leningrad, rising to the title of Hauptfeldwebel. He was wounded in the Battle of Stalingrad, and was discharged in 1943 following a bout of malaria. According to Holocaust scholar Michael Berenbaum, Gustav Schwarzenegger served "in theaters of the war where atrocities were committed. But there is no way to know from the documents whether he played a role." Gustav's background received wide press attention during the 2003 California gubernatorial recall election in which Schwarzenegger was elected.
Gustav married Aurelia on October 20, 1945; he was 38 and she was 23. According to Schwarzenegger, his parents were very strict: "Back then in Austria it was a very different world [...] if we did something bad or we disobeyed our parents, the rod was not spared." He grew up in a Catholic family. Gustav preferred his elder son, Meinhard, over Arnold. His favoritism was "strong and blatant", which stemmed from unfounded suspicion that Arnold was not his biological child. Schwarzenegger has said that his father had "no patience for listening or understanding your problems". He had a good relationship with his mother, with whom he kept in touch until her death.
At school, Schwarzenegger was reportedly academically average but stood out for his "cheerful, good-humored, and exuberant" character. He struggled with reading and was later diagnosed as being dyslexic. Money was a problem in their household; Schwarzenegger recalled that one of the highlights of his youth was when the family bought a refrigerator. His father Gustav was an athlete, and wished for his sons to become champions in Bavarian curling. Influenced by his father, Schwarzenegger played several sports as a boy.
Schwarzenegger began weight training in 1960 when his football coach took his team to a local gym. At age 14, he chose bodybuilding over football as a career. He later said, "I actually started weight training when I was 15, but I'd been participating in sports, like soccer, for years, so I felt that although I was slim, I was well-developed, at least enough so that I could start going to the gym and start Olympic lifting." However, his official website biography claims that "at 14, he started an intensive training program with Dan Farmer, studied psychology at 15 (to learn more about the power of mind over body) and at 17, officially started his competitive career." During a speech in 2001, he said, "My own plan formed when I was 14 years old. My father had wanted me to be a police officer like he was. My mother wanted me to go to trade school."
Schwarzenegger took to visiting a gym in Graz, where he also frequented the local movie theaters to see films with bodybuilding idols such as Reg Park, Steve Reeves and Johnny Weissmuller. When Reeves died in 2000, Schwarzenegger fondly remembered him: "As a teenager, I grew up with Steve Reeves. His remarkable accomplishments allowed me a sense of what was possible when others around me didn't always understand my dreams. Steve Reeves has been part of everything I've ever been fortunate enough to achieve." In 1961, Schwarzenegger met former Mr. Austria Kurt Marnul, who invited him to train at the gym in Graz. He was so dedicated as a youngster that he broke into the local gym on weekends to train even when it was closed. "It would make me sick to miss a workout... I knew I couldn't look at myself in the mirror the next morning if I didn't do it." When asked about his first cinema experience as a boy, he replied: "I was very young, but I remember my father taking me to the Austrian theaters and seeing some newsreels. The first real movie I saw, that I distinctly remember, was a John Wayne movie." In Graz, he was mentored by Alfred Gerstl, who had Jewish ancestry and later became president of the Federal Council, and befriended his son Karl.
Schwarzenegger's brother, Meinhard, died in a car crash on May 20, 1971. He was driving drunk and died instantly. Schwarzenegger did not attend his funeral. Meinhard was engaged to Erika Knapp, and they had a three-year-old son named Patrick. Schwarzenegger paid for Patrick's education and helped him to move to the U.S. Schwarzenegger's father, Gustav, died of a stroke on December 13, 1972. In Pumping Iron, Schwarzenegger claimed that he did not attend his father's funeral because he was training for a bodybuilding contest. Later, he and the film's producer said this story was taken from another bodybuilder to show the extremes some would go to for their sport and to make Schwarzenegger's image colder to create controversy for the film. However, Barbara Baker, his first serious girlfriend, recalled that he informed her of his father's death without emotion and that he never spoke of his brother. Over time, he has given at least three versions of why he was absent from his father's funeral.
In an interview with Fortune in 2004, Schwarzenegger told how he suffered what "would now be called child abuse" at the hands of his father: "My hair was pulled. I was hit with belts. So was the kid next door. It was just the way it was. Many of the children I've seen were broken by their parents, which was the German-Austrian mentality. They didn't want to create an individual. It was all about conforming. I was one who did not conform, and whose will could not be broken. Therefore, I became a rebel. Every time I got hit, and every time someone said, 'You can't do this,' I said, 'This is not going to be for much longer because I'm going to move out of here. I want to be rich. I want to be somebody.
Schwarzenegger served in the Austrian Army in 1965 to fulfill the one year of service required at the time of all 18-year-old Austrian males. During his army service, he won the Junior Mr. Europe contest. He went AWOL during basic training so he could take part in the competition and then spent a week in military prison: "Participating in the competition meant so much to me that I didn't carefully think through the consequences." He entered another bodybuilding contest in Graz, at Steirerhof Hotel, where he placed second. He was voted "best-built man of Europe", which made him famous in bodybuilding circles. "The Mr. Universe title was my ticket to America—the land of opportunity, where I could become a star and get rich." Schwarzenegger made his first plane trip in 1966, attending the NABBA Mr. Universe competition in London. He placed second in the Mr. Universe competition, not having the muscle definition of American winner Chester Yorton.
Charles "Wag" Bennett, one of the judges at the 1966 competition, was impressed with Schwarzenegger and offered to coach him. As Schwarzenegger had little money, Bennett invited him to stay in his crowded family home above one of his two gyms in Forest Gate, London. Yorton's leg definition had been judged superior, and Schwarzenegger, under a training program devised by Bennett, concentrated on improving his. Staying in the East End of London helped Schwarzenegger improve his rudimentary English. Living with the Bennetts also changed him as a person: "Being with them made me so much more sophisticated. When you're the age I was then, you're always looking for approval, for love, for attention and also for guidance. At the time, I wasn't really aware of that. But now, looking back, I see that the Bennett family fulfilled all those needs. Especially my need to be the best in the world. To be recognized and to feel unique and special. They saw that I needed that care and attention and love."
Also in 1966, at Bennett's home, Schwarzenegger had the opportunity to meet childhood idol Reg Park, who became his friend and mentor. The training paid off and, in 1967, Schwarzenegger won the title for the first time, becoming the youngest ever Mr. Universe at age 20. He would go on to win the title another three times. He then returned to Munich, where he attended business school and worked at Rolf Putziger's gym, where he worked and trained from 1966 to 1968 before returning to London in 1968 to win his next Mr. Universe title. He frequently told Roger C. Field, his English coach and friend in Munich at the time, "I'm going to become the greatest actor!"
Schwarzenegger, who dreamed of moving to the US since age ten, and saw bodybuilding as his avenue of opportunity, realized his dream by moving to the US in October 1968 at age 21, speaking little English. There he trained at Gold's Gym in Venice, Los Angeles, California, under Joe Weider's supervision. From 1970 to 1974, one of Schwarzenegger's weight training partners was Ric Drasin, a professional wrestler who designed the original Gold's Gym logo in 1973. Schwarzenegger also became good friends with professional wrestler Superstar Billy Graham. In 1970, at age 23, Schwarzenegger captured his first Mr. Olympia title in New York, and would go on to win the title seven times.
The immigration law firm Siskind & Susser has stated that Schwarzenegger may have been an illegal immigrant at some point in the late 1960s or early 1970s because of violations in the terms of his visa. LA Weekly said in 2002 that Schwarzenegger was "the most famous US immigrant", who "overcame a thick Austrian accent and transcended the unlikely background of bodybuilding to become the biggest movie star in the world in the 1990s".
In 1977, Schwarzenegger's autobiography and weight-training guide, Arnold: The Education of a Bodybuilder, was a huge success. In 1977, he posed for the gay magazine After Dark. After taking an assortment of courses at Santa Monica College in California (including English classes), as well as further upper division classes at the University of California, Los Angeles as part of UCLA's extension program, he accumulated enough credits to be "within striking distance" of graduation. In 1979, he enrolled in the University of Wisconsin–Superior as a distance education student, completing most of his coursework by correspondence and flying out to Superior to meet professors and take final exams. In May 1980, he formally graduated and earned his bachelor's degree in business administration and marketing. He received his United States citizenship in 1983.
He later received an Honorary Degree from Stockton University in 2023.
Bodybuilding career
Schwarzenegger is considered among the most important figures in the history of bodybuilding, and his legacy is commemorated in the Arnold Classic annual bodybuilding competition. He has remained a prominent face in bodybuilding long after his retirement, in part because of his ownership of gyms and fitness magazines. He has presided over numerous contests and awards shows.
For many years, he wrote a monthly column for the bodybuilding magazines Muscle & Fitness and Flex. Shortly after being elected governor, he was appointed the executive editor of both magazines, in a largely symbolic capacity. The magazines agreed to donate $250,000 a year to the Governor's various physical fitness initiatives. When the deal, including the contract that gave Schwarzenegger at least $1 million a year, was made public in 2005, many criticized it as being a conflict of interest since the governor's office made decisions concerning regulation of dietary supplements in California. Consequently, Schwarzenegger relinquished the executive editor role in 2005. American Media Inc., which owns Muscle & Fitness and Flex, announced in March 2013 that Schwarzenegger had accepted their renewed offer to be executive editor of the magazines.
One of the first competitions he won was the Junior Mr. Europe contest in 1965. He won Mr. Europe the following year, at age 19. He would go on to compete in many bodybuilding contests, and win most of them. His bodybuilding victories included five Mr. Universe wins (4 – NABBA [England], 1 – IFBB [USA]), and seven Mr. Olympia wins, a record which would stand until Lee Haney won his eighth consecutive Mr. Olympia title in 1991.
Schwarzenegger continues to work out. When asked about his personal training during the 2011 Arnold Classic he said that he was still working out a half an hour with weights every day.
Powerlifting/weightlifting
During Schwarzenegger's early years in bodybuilding, he also competed in several Olympic weightlifting and powerlifting contests. Schwarzenegger's first professional competition was in 1963 and he won two weightlifting contests in 1964 and 1965, as well as two powerlifting contests in 1966 and 1968.
In 1967, Schwarzenegger won the Munich stone-lifting contest, in which a stone weighing 508 German pounds (254 kg / 560 lb) is lifted between the legs while standing on two footrests.
Personal records
Clean and press –
Snatch –
Clean and jerk –
Squat –
Bench press –
Deadlift –
Mr. Olympia
Schwarzenegger's goal was to become the greatest bodybuilder in the world, which meant becoming Mr. Olympia. His first attempt was in 1969, when he lost to three-time champion Sergio Oliva. However, Schwarzenegger came back in 1970 and won the competition, making him the youngest ever Mr. Olympia at the age of 23, a record he still holds to this day.
He continued his winning streak in the 1971–1974 competitions. He also toured different countries selling vitamins, as in Helsinki, Finland in 1972, when he lived at the YMCA Hotel Hospiz (nowadays Hotel Arthur) on Vuorikatu and presented vitamin pills at the Stockmann shopping center. In 1975, Schwarzenegger was once again in top form, and won the title for the sixth consecutive time, beating Franco Columbu. After the 1975 Mr. Olympia contest, Schwarzenegger announced his retirement from professional bodybuilding.
Months before the 1975 Mr. Olympia contest, filmmakers George Butler and Robert Fiore persuaded Schwarzenegger to compete and film his training in the bodybuilding documentary called Pumping Iron. Schwarzenegger had only three months to prepare for the competition, after losing significant weight to appear in the film Stay Hungry with Jeff Bridges. Although significantly taller and heavier, Lou Ferrigno proved not to be a threat, and a lighter-than-usual Schwarzenegger convincingly won the 1975 Mr. Olympia.
Schwarzenegger came out of retirement, however, to compete in the 1980 Mr. Olympia. Schwarzenegger was training for his role in Conan, and he got into such good shape because of the running, horseback riding and sword training, that he decided he wanted to win the Mr. Olympia contest one last time. He kept this plan a secret in the event that a training accident would prevent his entry and cause him to lose face. Schwarzenegger had been hired to provide color commentary for network television when he announced at the eleventh hour that, while he was there, "Why not compete?" Schwarzenegger ended up winning the event with only seven weeks of preparation. Having been declared Mr. Olympia for a seventh time, Schwarzenegger then officially retired from competition. This victory (subject of the documentary The Comeback) was highly controversial, though, as fellow competitors and many observers felt that his lack of muscle mass (especially in his thighs) and subpar conditioning should have precluded him from winning against a very competitive lineup that year. Mike Mentzer, in particular, felt cheated and withdrew from competitive bodybuilding after that contest.
Steroid use
Schwarzenegger has acknowledged using performance-enhancing anabolic steroids while they were legal, writing in 1977 that "steroids were helpful to me in maintaining muscle size while on a strict diet in preparation for a contest. I did not use them for muscle growth, but rather for muscle maintenance when cutting up." He has called the drugs "tissue building".
In 1999, Schwarzenegger sued Willi Heepe, a German doctor who publicly predicted his early death on the basis of a link between his steroid use and later heart problems. Since the doctor never examined him personally, Schwarzenegger collected a US$10,000 libel judgment against him in a German court. In 1999, Schwarzenegger also sued and settled with Globe, a U.S. tabloid which had made similar predictions about the bodybuilder's future health.
List of competitions
Statistics
Height:
Contest weight: —the lightest in 1980 Mr. Olympia: around , the heaviest in 1974 Mr. Olympia: around
Off-season weight:
Chest:
Waist:
Arms:
Thighs:
Calves:
Acting career
Early roles
Schwarzenegger wanted to move from bodybuilding into acting, finally achieving it when he was chosen to play the title role in Hercules in New York (1970). Credited under the stage name "Arnold Strong", his accent in the film was so thick that his lines were dubbed after production. His second film appearance was as a mob hitman in The Long Goodbye (1973), which was followed by a much more significant part in the film Stay Hungry (1976), for which he won the Golden Globe Award for New Star of the Year – Actor. Schwarzenegger has discussed his early struggles in developing his acting career: "It was very difficult for me in the beginning – I was told by agents and casting people that my body was 'too weird', that I had a funny accent, and that my name was too long. You name it, and they told me I had to change it. Basically, everywhere I turned, I was told that I had no chance."
Schwarzenegger drew attention and boosted his profile in the bodybuilding film Pumping Iron (1977), elements of which were dramatized. In 1991, he purchased the rights to the film, its outtakes, and associated still photography. In 1977, he made guest appearances in single episodes of the ABC sitcom The San Pedro Beach Bums and the ABC police procedural The Streets of San Francisco. Schwarzenegger auditioned for the title role of The Incredible Hulk, but did not win the role because of his height. Later, Lou Ferrigno got the part of Dr. David Banner's alter ego. Schwarzenegger appeared with Kirk Douglas and Ann-Margret in the 1979 comedy The Villain. In 1980, he starred in a biographical film of the 1950s actress Jayne Mansfield as Mansfield's husband, Mickey Hargitay.
Action superstar
Schwarzenegger's breakthrough film was the sword and sorcery epic Conan the Barbarian in 1982, which was a box-office hit. This was followed by a sequel, Conan the Destroyer, in 1984, although it was not as successful as its predecessor. In 1983, Schwarzenegger starred in the promotional video Carnival in Rio. In 1984, he made his first appearance as the eponymous character in James Cameron's science fiction action film The Terminator. It has been called his acting career's signature role. Following this, Schwarzenegger made another sword and sorcery film, Red Sonja, in 1985. During the 1980s, audiences had an appetite for action films, with both Schwarzenegger and Sylvester Stallone becoming international stars. During the Schwarzenegger-Stallone rivalry they attacked each other in the press, and tried to surpass the other with more on-screen killings and larger weapons. Schwarzenegger's roles reflected his sense of humor, separating him from more serious action hero films. He made a number of successful action films in the 1980s, such as Commando (1985), Raw Deal (1986), The Running Man (1987), Predator (1987), and Red Heat (1988).
Twins (1988), a comedy with Danny DeVito, also proved successful. Total Recall (1990) netted Schwarzenegger $10 million (equivalent to $ million today) and 15% of the film's gross. A science fiction script, the film was based on the Philip K. Dick short story "We Can Remember It for You Wholesale". Kindergarten Cop (1990) reunited him with director Ivan Reitman, who directed him in Twins. Schwarzenegger had a brief foray into directing, first with a 1990 episode of the TV series Tales from the Crypt, entitled "The Switch", and then with the 1992 telemovie Christmas in Connecticut. He has not directed since.
Schwarzenegger's commercial peak was his return as the title character in Terminator 2: Judgment Day (1991), which was the highest-grossing film of the year. Film critic Roger Ebert commented that "Schwarzenegger's genius as a movie star is to find roles that build on, rather than undermine, his physical and vocal characteristics." In 1993, the National Association of Theatre Owners named him the "International Star of the Decade". His next film project, the 1993 self-aware action comedy spoof Last Action Hero, was released opposite Jurassic Park, and did not do well at the box office. His next film, the comedy drama True Lies (1994), was a popular spy film and saw Schwarzenegger reunited with James Cameron.
That same year, the comedy Junior was released, the last of Schwarzenegger's three collaborations with Ivan Reitman and again co-starring Danny DeVito. This film brought him his second Golden Globe nomination, this time for Best Actor – Motion Picture Musical or Comedy. It was followed by the action thriller Eraser (1996), the Christmas comedy Jingle All The Way (1996), and the comic book-based Batman & Robin (1997), in which he played the villain Mr. Freeze. This was his final film before taking time to recuperate from a back injury. Following the critical failure of Batman & Robin, his film career and box office prominence went into decline. He returned with the supernatural thriller End of Days (1999), later followed by the action films The 6th Day (2000) and Collateral Damage (2002), both of which failed to do well at the box office. In 2003, he made his third appearance as the title character in Terminator 3: Rise of the Machines, which went on to earn over $150 million domestically (equivalent to $ million today).
In tribute to Schwarzenegger in 2002, Forum Stadtpark, a local cultural association, proposed plans to build a Terminator statue in a park in central Graz. Schwarzenegger reportedly said he was flattered, but thought the money would be better spent on social projects and the Special Olympics.
Retirement
His film appearances after becoming Governor of California included a three-second cameo appearance in The Rundown and the 2004 remake of Around the World in 80 Days. In 2005, he appeared as himself in the film The Kid & I. He voiced Baron von Steuben in the Liberty's Kids episode "Valley Forge". He had been rumored to be appearing in Terminator Salvation as the original T-800; he denied his involvement, but he ultimately did appear briefly via his image being inserted into the movie from stock footage of the first Terminator movie. Schwarzenegger appeared in Sylvester Stallone's The Expendables, where he made a cameo appearance.
Return to acting
In January 2011, just weeks after leaving office in California, Schwarzenegger announced that he was reading several new scripts for future films, one of them being the World War II action drama With Wings as Eagles, written by Randall Wallace, based on a true story.
On March 6, 2011, at the Arnold Seminar of the Arnold Classic, Schwarzenegger revealed that he was being considered for several films, including sequels to The Terminator and remakes of Predator and The Running Man, and that he was "packaging" a comic book character. The character was later revealed to be the Governator, star of the comic book and animated series of the same name. Schwarzenegger inspired the character and co-developed it with Stan Lee, who would have produced the series. Schwarzenegger would have voiced the Governator.
On May 20, 2011, Schwarzenegger's entertainment counsel announced that all film projects currently in development were being halted: "Schwarzenegger is focusing on personal matters and is not willing to commit to any production schedules or timelines." On July 11, 2011, it was announced that Schwarzenegger was considering a comeback film, despite legal problems related to his divorce. He starred in The Expendables 2 (2012) as Trench Mauser, and starred in The Last Stand (2013), his first leading role in 10 years, and Escape Plan (2013), his first co-starring role alongside Sylvester Stallone. He starred in Sabotage, released in March 2014, and returned as Trench Mauser in The Expendables 3, released in August 2014. He starred in the fifth Terminator film Terminator Genisys in 2015, and would reprise his role as Conan the Barbarian in The Legend of Conan, later renamed Conan the Conqueror. However, in April 2017, producer Chris Morgan stated that Universal had dropped the project, although there was a possibility of a TV show. The story of the film was supposed to be set 30 years after the first, with some inspiration from Clint Eastwood's Unforgiven.
In August 2016, his filming of action-comedy Killing Gunther was temporarily interrupted by bank robbers near the filming location in Surrey, British Columbia. The film was released in September 2017. He was announced to star and produce in a film about the ruins of Sanxingdui called The Guest of Sanxingdui as an ambassador.
On February 6, 2018, Amazon Studios announced they were working with Schwarzenegger to develop a new series entitled Outrider in which he will star and executive produce. The western-drama set in the Oklahoma Indian Territory in the late 19th century will follow a deputy (portrayed by Schwarzenegger) who is tasked with apprehending a legendary outlaw in the wilderness, but is forced to partner with a ruthless Federal Marshal to make sure justice is properly served. The series will also mark as Schwarzenegger's first major scripted TV role.
Schwarzenegger returned to the Terminator franchise with Terminator: Dark Fate, which was released on November 1, 2019. It was produced by the series' co-creator James Cameron, who directed him previously in the first two films in the series and in True Lies. It was shot in Almería, Hungary and the US.
The Celebrity Apprentice
In September 2015, the media announced that Schwarzenegger was to replace Donald Trump as host of The New Celebrity Apprentice. This show, the 15th season of The Apprentice, aired during the 2016–2017 TV season. In the show, he used the phrases "you're terminated" and "get to the choppa", which are quotes from some of his famous roles (The Terminator and Predator, respectively), when firing the contestants.
In March 2017, following repeated criticisms from Trump, Schwarzenegger announced that he would not return for another season on the show. He also reacted to Trump's remarks in January 2017 via Instagram: "Hey, Donald, I have a great idea. Why don't we switch jobs? You take over TV because you're such an expert in ratings, and I take over your job, and then people can finally sleep comfortably again."
Political career
Early politics
Schwarzenegger has been a registered Republican for many years. When he was an actor, his political views were always well known as they contrasted with those of many other prominent Hollywood stars, who are generally considered to be a left-wing and Democratic-leaning community. At the 2004 Republican National Convention, Schwarzenegger gave a speech and explained that he was a Republican because he believed the Democrats of the 1960s sounded too much like Austrian socialists.
In 1985, Schwarzenegger appeared in "Stop the Madness", an anti-drug music video sponsored by the Reagan administration. He first came to wide public notice as a Republican during the 1988 presidential election, accompanying then–Vice President George H. W. Bush at a campaign rally.
Schwarzenegger famously introduced the first episode of the 1990 Milton Friedman hosted PBS series Free to Choose stating: Schwarzenegger goes on to tell of how he and his then wife Maria Shriver were in Palm Springs preparing to play a game of mixed doubles when Milton Friedman's famous show came on the television. Schwarzenegger recalls that while watching Friedman's Free to Choose, Schwarzenegger, "...recognized Friedman from the study of my own degree in economics, but I didn't know I was watching Free to Choose... it knocked me out. Dr. Friedman expressed, validated and explained everything I ever thought or experienced or observed about the way the economy works, and I guess I was really ready to hear it." Numerous critics state that Schwarzenegger strayed from much of Friedman's economic ways of thinking in later years, especially upon being elected Governor of California from 2003 through 2011.
Schwarzenegger's first political appointment was as chairman of the President's Council on Physical Fitness and Sports, on which he served from 1990 to 1993. He was nominated by the then-President Bush, who dubbed him "Conan the Republican". He later served as chairman for the California Governor's Council on Physical Fitness and Sports under Governor Pete Wilson.
Between 1993 and 1994, Schwarzenegger was a Red Cross ambassador (a ceremonial role fulfilled by celebrities), recording several television and radio public service announcements to donate blood.
In an interview with Talk magazine in late 1999, Schwarzenegger was asked if he thought of running for office. He replied, "I think about it many times. The possibility is there because I feel it inside." The Hollywood Reporter claimed shortly after that Schwarzenegger sought to end speculation that he might run for governor of California. Following his initial comments, Schwarzenegger said, "I'm in show business – I am in the middle of my career. Why would I go away from that and jump into something else?"
Governor of California
Schwarzenegger announced his candidacy in the 2003 California recall election for Governor of California on the August 6, 2003, episode of The Tonight Show with Jay Leno. Schwarzenegger had the most name recognition in a crowded field of candidates, but he had never held public office and his political views were unknown to most Californians. His candidacy immediately became national and international news, with media outlets dubbing him the "Governator" (referring to The Terminator movies, see above) and "The Running Man" (the name of another one of his films), and calling the recall election "Total Recall" (yet another movie starring Schwarzenegger). Schwarzenegger declined to participate in several debates with other recall replacement candidates, and appeared in only one debate on September 24, 2003.
On October 7, 2003, the recall election resulted in Governor Gray Davis being removed from office with 55.4% of the Yes vote in favor of a recall. Schwarzenegger was elected Governor of California under the second question on the ballot with 48.6% of the vote to choose a successor to Davis. Schwarzenegger defeated Democrat Cruz Bustamante, fellow Republican Tom McClintock, and others. His nearest rival, Bustamante, received 31% of the vote. In total, Schwarzenegger won the election by about 1.3 million votes. Under the regulations of the California Constitution, no runoff election was required. Schwarzenegger was the second foreign-born governor of California after Irish-born Governor John G. Downey in 1862.
Schwarzenegger is a moderate Republican. He says he is fiscally conservative and socially liberal. On the issue of abortion, he describes himself as pro-choice, but supports parental notification for minors and a ban on partial-birth abortion. He has supported gay rights, such as domestic partnerships, and he performed a same-sex marriage as governor. However, Schwarzenegger vetoed bills that would have legalized same-sex marriage in California in 2005 and 2007. He additionally vetoed two bills that would have implemented a single-payer health care system in California in 2006 and 2008, respectively.
Schwarzenegger was entrenched in what he considered to be his mandate in cleaning up political gridlock. Building on a catchphrase from the sketch "Hans and Franz" from Saturday Night Live (which partly parodied his bodybuilding career), Schwarzenegger called the Democratic State politicians "girlie men".
Schwarzenegger's early victories included repealing an unpopular increase in the vehicle registration fee as well as preventing driver's licenses from being given out to illegal immigrants, but later he began to feel the backlash when powerful state unions began to oppose his various initiatives. Key among his reckoning with political realities was a special election he called in November 2005, in which four ballot measures he sponsored were defeated. Schwarzenegger accepted personal responsibility for the defeats and vowed to continue to seek consensus for the people of California. He would later comment that "no one could win if the opposition raised 160 million dollars to defeat you". The U.S. Supreme Court later found the public employee unions' use of compulsory fundraising during the campaign had been illegal in Knox v. Service Employees International Union, Local 1000.
Schwarzenegger, against the advice of fellow Republican strategists, appointed a Democrat, Susan Kennedy, as his Chief of Staff. He gradually moved towards a more politically moderate position, determined to build a winning legacy with only a short time to go until the next gubernatorial election.
Schwarzenegger ran for re-election against Democrat Phil Angelides, the California State Treasurer, in the 2006 elections, held on November 7, 2006. Despite a poor year nationally for the Republican party, Schwarzenegger won re-election with 56.0% of the vote compared with 38.9% for Angelides, a margin of well over 1 million votes. Around this time, many commentators saw Schwarzenegger as moving away from the right and towards the center of the political spectrum. After hearing a speech by Schwarzenegger at the 2006 Martin Luther King Jr. Day breakfast, in which Schwarzenegger said, in part "How wrong I was when I said everyone has an equal opportunity to make it in America [...] the state of California does not provide (equal) education for all of our children", San Francisco mayor & future governor of California Gavin Newsom said that "[H]e's becoming a Democrat [... H]e's running back, not even to the center. I would say center-left".
Some speculated that Schwarzenegger might run for the United States Senate in 2010, as his governorship would be term-limited by that time. Such rumors turned out to be false.
Wendy Leigh, who wrote an unofficial biography on Schwarzenegger, claims he plotted his political rise from an early age using the movie business and bodybuilding as the means to escape a depressing home. Leigh portrays Schwarzenegger as obsessed with power and quotes him as saying, "I wanted to be part of the small percentage of people who were leaders, not the large mass of followers. I think it is because I saw leaders use 100% of their potential – I was always fascinated by people in control of other people." Schwarzenegger has said that it was never his intention to enter politics, but he says, "I married into a political family. You get together with them and you hear about policy, about reaching out to help people. I was exposed to the idea of being a public servant and Eunice and Sargent Shriver became my heroes." Eunice Kennedy Shriver was the sister of John F. Kennedy, and mother-in-law to Schwarzenegger; Sargent Shriver is husband to Eunice and father-in-law to Schwarzenegger.
Schwarzenegger cannot run for U.S. president as he is not a natural-born citizen of the United States. Schwarzenegger is a dual Austrian and United States citizen. He has held Austrian citizenship since birth and U.S. citizenship since becoming naturalized in 1983. Being Austrian and thus European, he was able to win the 2007 European Voice campaigner of the year award for taking action against climate change with the California Global Warming Solutions Act of 2006 and plans to introduce an emissions trading scheme with other US states and possibly with the EU.
Because of his personal wealth from his acting career, Schwarzenegger did not accept his governor's salary of $175,000 per year.
Schwarzenegger's endorsement in the Republican primary of the 2008 U.S. presidential election was highly sought; despite being good friends with candidates Rudy Giuliani and Senator John McCain, Schwarzenegger remained neutral throughout 2007 and early 2008. Giuliani dropped out of the presidential race on January 30, 2008, largely because of a poor showing in Florida, and endorsed McCain. Later that night, Schwarzenegger was in the audience at a Republican debate at the Ronald Reagan Presidential Library in California. The following day, he endorsed McCain, joking, "It's Rudy's fault!" (in reference to his friendships with both candidates and that he could not make up his mind). Schwarzenegger's endorsement was thought to be a boost for Senator McCain's campaign; both spoke about their concerns for the environment and economy.
In its April 2010 report, Progressive ethics watchdog group Citizens for Responsibility and Ethics in Washington named Schwarzenegger one of 11 "worst governors" in the United States because of various ethics issues throughout Schwarzenegger's term as governor.
Governor Schwarzenegger played a significant role in opposing Proposition 66, a proposed amendment of the Californian Three Strikes Law, in November 2004. This amendment would have required the third felony to be either violent or serious to mandate a 25-years-to-life sentence. In the last week before the ballot, Schwarzenegger launched an intense campaign against Proposition 66. He stated that "it would release 26,000 dangerous criminals and rapists".
Although he began his tenure as governor with record high approval ratings (as high as 65% in May 2004), he left office with a near-record low 23% only one percent higher than that of Gray Davis, when he was recalled in October 2003.
Death of Luis Santos
In May 2010, Esteban Núñez pleaded guilty to voluntary manslaughter and was sentenced to 16 years in prison for the death of Luis Santos. Núñez is the son of Fabian Núñez, then California Assembly Speaker of the House and a close friend and staunch political ally of then governor Schwarzenegger.
As a personal favor to "a friend", just hours before he left office, and as one of his last official acts, Schwarzenegger commuted Núñez's sentence by more than half, to seven years. He believed that Núñez's sentence was "excessive" in comparison with the same prison term imposed on Ryan Jett, the man who fatally stabbed Santos. Against protocol, Schwarzenegger did not inform Santos' family or the San Diego County prosecutors about the commutation. They learned about it in a call from a reporter.
The Santos family, along with the San Diego district attorney, sued to stop the commutation, claiming that it violated Marsy's Law. In September 2012, Sacramento County superior court judge Lloyd Connelly stated, "Based on the evidentiary records before this court involving this case, there was an abuse of discretion...This was a distasteful commutation. It was repugnant to the bulk of the citizenry of this state." However, Connelly ruled that Schwarzenegger remained within his executive powers as governor. Subsequently, as a direct result of the way the commutation was handled, Governor Jerry Brown signed a bipartisan bill that allows offenders' victims and their families to be notified at least 10 days before any commutations. Núñez was released from prison after serving less than six years.
Drug use and allegations of sexual misconduct
During his initial campaign for governor in 2003, allegations of sexual and personal misconduct were raised against Schwarzenegger. Within the last five days before the election, news reports appeared in the Los Angeles Times recounting decades-old allegations of sexual misconduct from six individual women. Schwarzenegger responded to the allegations in 2004 admitting that he has "behaved badly sometimes" and apologized, but also stated that "a lot of [what] you see in the stories is not true". One of the women who came forward was British television personality Anna Richardson, who settled a libel lawsuit in August 2006 against Schwarzenegger; his top aide, Sean Walsh; and his publicist, Sheryl Main. A joint statement read: "The parties are content to put this matter behind them and are pleased that this legal dispute has now been settled." In 2023, Schwarzenegger revisited the issue while promoting his new three-part biographical documentary on Netflix called Arnold. Schwarzenegger stated that he was "totally wrong".
During this time a 1977 interview in adult magazine Oui gained attention, in which Schwarzenegger discussed using substances such as marijuana. Schwarzenegger is shown smoking a marijuana joint after winning Mr. Olympia in 1975 in the documentary film Pumping Iron (1977). In an interview with GQ magazine in October 2007, Schwarzenegger said, "[Marijuana] is not a drug. It's a leaf. My drug was pumping iron, trust me." His spokesperson later said the comment was meant to be a joke.
Citizenship
Schwarzenegger became a naturalized U.S. citizen on September 17, 1983. Shortly before he gained his citizenship, he asked the Austrian authorities for the right to keep his Austrian citizenship, as Austria does not usually allow dual citizenship. His request was granted, and he retained his Austrian citizenship. In 2005, Peter Pilz, a member of the Austrian Parliament from the Austrian Green Party, unsuccessfully advocated for Parliament to revoke Schwarzenegger's Austrian citizenship due to his decision not to prevent the executions of Donald Beardslee and Stanley Williams. Pilz argued that Schwarzenegger caused damage to Austria's reputation in the international community because Austria abolished the death penalty in 1968. Pilz based his argument on Article 33 of the Austrian Citizenship Act, which states: "A citizen, who is in the public service of a foreign country, shall be deprived of his citizenship if he heavily damages the reputation or the interests of the Austrian Republic." Pilz claimed that Schwarzenegger's actions in support of the death penalty (prohibited in Austria under Protocol 13 of the European Convention on Human Rights) had damaged Austria's reputation. Schwarzenegger explained his actions by pointing out that his only duty as Governor of California with respect to the death penalty was to correct an error by the justice system by pardon or clemency if such an error had occurred.
Environmental record
On September 27, 2006, Schwarzenegger signed the Global Warming Solutions Act of 2006, creating the nation's first cap on greenhouse gas emissions. The law set new regulations on the amount of emissions utilities, refineries, and manufacturing plants are allowed to release into the atmosphere. Schwarzenegger also signed a second global warming bill that prohibits large utilities and corporations in California from making long-term contracts with suppliers who do not meet the state's greenhouse gas emission standards. The two bills are part of a plan to reduce California's emissions by 25 percent to 1990s levels by 2020. In 2005, Schwarzenegger issued an executive order calling to reduce greenhouse gases to 80 percent below 1990 levels by 2050.
Schwarzenegger signed another executive order on October 17, 2006, allowing California to work with the Northeast's Regional Greenhouse Gas Initiative. They plan to reduce carbon dioxide emissions by issuing a limited amount of carbon credits to each power plant in participating states. Any power plants that exceed emissions for the number of carbon credits will have to purchase more credits to cover the difference. The plan took effect in 2009. In addition to using his political power to fight global warming, the governor has taken steps at his home to reduce his personal carbon footprint. Schwarzenegger has adapted one of his Hummers to run on hydrogen and another to run on biofuels. He has also installed solar panels to heat his home.
In respect for his contribution to the direction of the US motor industry, Schwarzenegger was invited to open the 2009 SAE World Congress in Detroit on April 20, 2009.
In 2011, Schwarzenegger founded the R20 Regions of Climate Action to develop a sustainable, low-carbon economy. In 2017, he joined French President Emmanuel Macron in calling for the adoption of a Global Pact for the Environment.
In 2017, Schwarzenegger launched the Austrian World Summit, an international climate conference that is held annually in Vienna, Austria. The Austrian World Summit is organized by the Schwarzenegger Climate Initiative and aims is to bring together representatives from politics, civil society and business to create a broad alliance for climate protection and to identify concrete solutions to the climate crisis.
Electoral history
Presidential ambitions
Presidential aspirations by the Austrian-born Schwarzenegger would be blocked by a constitutional hurdle; Article II, Section I, Clause V prevents individuals who are not natural-born citizens of the United States from assuming the office. The Equal Opportunity to Govern Amendment in 2003 was widely accredited as the "Amend for Arnold" bill, which would have added an amendment to the U.S. Constitution allowing his run. In 2004, the "Amend for Arnold" campaign was launched, featuring a website and TV advertising promotion.
In June 2007, Schwarzenegger was featured on the cover of Time magazine with Michael Bloomberg, and subsequently, the two joked about a presidential ticket together.
Business career
Schwarzenegger has also enjoyed a highly successful business career. Following his move to the United States, Schwarzenegger became a "prolific goal setter" and would write his objectives at the start of the year on index cards, like starting a mail order business or buying a new car – and succeed in doing so. As a result of his early business and investment success, Schwarzenegger became a millionaire by the age of 25, well before making a name for himself in Hollywood. His path to financial independence came as a result of his success as a proactive businessman and investor involved with a series of lucrative business ventures and real estate investments.
Early ventures
In 1968, Schwarzenegger and fellow bodybuilder Franco Columbu started a bricklaying business. The business flourished thanks to the pair's marketing savvy and an increased demand following the 1971 San Fernando earthquake. When signs of profitability emerged as business began to pick up, Schwarzenegger and Columbu rolled over the profits from their bricklaying venture to start a mail-order business that sold bodybuilding and fitness-related equipment and instructional tapes.
Investments
Schwarzenegger transferred profits from the mail-order business and his bodybuilding-competition winnings by rolling the proceeds into his first real estate investment: an apartment building he purchased for $10,000. Schwarzenegger would later go on to invest in a number of real estate holding companies and investment ventures across the United States and around the world.
Schwarzenegger and fellow Hollywood veteran actor and industry adversary Sylvester Stallone brought their long-storied industry rivalry to an end by both investing in the Planet Hollywood chain of international theme restaurants (modeled after the Hard Rock Cafe) along with Bruce Willis and Demi Moore. However, Schwarzenegger severed his financial ties with the chain in early 2000. Schwarzenegger remarked that the restaurant did not achieve the success that he had hoped for, claiming he wanted to focus his attention on "new US global business ventures" and his then-burgeoning acting career.
Schwarzenegger also made a private commercial real estate investment in the Easton Town Center, a shopping mall located in Columbus, Ohio. He has talked about some of those who have helped him over the years in business: "I couldn't have learned about business without a parade of teachers guiding me... from Milton Friedman to Donald Trump... and now, Les Wexner and Warren Buffett. I even learned a thing or two from Planet Hollywood, such as when to get out! And I did!" He has significant equity ownership in Dimensional Fund Advisors, an Austin-based investment firm. Schwarzenegger is also the owner of Arnold's Sports Festival, a sports and fitness festival which he started in 1989 and is held annually in Columbus, Ohio. It is a festival that hosts thousands of international health and fitness professionals which has also expanded into a three-day expo. He also owns a film production company called Oak Productions, Inc. and Fitness Publications, a joint book publishing venture partnered with Simon & Schuster.
In 2018, Schwarzenegger partnered with basketball player LeBron James to establish Ladder, a company that developed nutritional supplements to help athletes with severe cramps. The pair sold Ladder to Openfit for an undisclosed amount in 2020 after reporting more than $4 million in sales for that year.
Restaurant
In 1992, Schwarzenegger and his wife opened a restaurant in Santa Monica called Schatzi On Main. Schatzi literally means "little treasure," and colloquially "honey" or "darling" in German. In 1998, he sold his restaurant.
Wealth
Schwarzenegger's net worth had been conservatively estimated at $100 million to $200 million. After separating from his wife, Maria Shriver, in 2011, it was estimated that his net worth had been approximately $400 million, and even as high as $800 million, based on tax returns he filed in 2006. Over the years, he shrewdly invested his bodybuilding and film earnings in an extensive array of stocks, bonds, privately controlled companies, and investment-grade real estate across the United States and worldwide, making his net worth difficult to accurately calculate, particularly in light of declining real estate values owing to economic recessions in the United States and Europe that occurred during the late 2000s. In June 1997, he spent $38 million of his own money on a private Gulfstream jet. Regarding his private fortune, Schwarzenegger once quipped: "Money doesn't make you happy. I now have $50 million, but I was just as happy when I had $48 million."
Commercial advertisements
Schwarzenegger has also appeared in a series of commercials for the Machine Zone game Mobile Strike as a military commander and spokesman.
Personal life
Early relationships
In 1969, Schwarzenegger met Barbara Outland (later Barbara Outland Baker), an English teacher with whom he lived until 1974. Schwarzenegger said of Baker in his 1977 memoir, "Basically it came down to this: she was a well-balanced woman who wanted an ordinary, solid life, and I was not a well-balanced man, and hated the very idea of ordinary life." Baker has described Schwarzenegger as a "joyful personality, totally charismatic, adventurous, and athletic" but claims that towards the end of the relationship he became "insufferable—classically conceited—the world revolved around him". Baker published her memoir in 2006, entitled Arnold and Me: In the Shadow of the Austrian Oak. Although Baker painted an unflattering portrait of her former lover at times, Schwarzenegger actually contributed to the tell-all book with a foreword, and also met with Baker for three hours.
Baker claims that she only learned of his being unfaithful after they split, and talks of a turbulent and passionate love life. Schwarzenegger has made it clear that their respective recollection of events can differ. The couple first met six to eight months after his arrival in the U.S. Their first date was watching the first Apollo Moon landing on television. They shared an apartment in Santa Monica, California, for three and a half years, and having little money, they would visit the beach all day or have barbecues in the back yard. Although Baker claims that when she first met Schwarzenegger, he had "little understanding of polite society" and she found him a turn-off, she says, "He's as much a self-made man as it's possible to be—he never got encouragement from his parents, his family, his brother. He just had this huge determination to prove himself, and that was very attractive ... I'll go to my grave knowing Arnold loved me."
Schwarzenegger met his next lover, Beverly Hills hairdresser's assistant Sue Moray, on Venice Beach in July 1977. According to Moray, the couple led an open relationship: "We were faithful when we were both in LA... but when he was out of town, we were free to do whatever we wanted." Schwarzenegger met television journalist Maria Shriver, niece of President John F. Kennedy, at the Robert F. Kennedy Tennis Tournament in August 1977. He went on to have a relationship with both Moray and Shriver until August 1978 when Moray (who knew of his relationship with Shriver) issued an ultimatum.
Marriage and family
On April 26, 1986, Schwarzenegger married Shriver in Hyannis, Massachusetts. They have four children, including Katherine Schwarzenegger and Patrick Schwarzenegger. All of their children were born in Los Angeles. The family lived in an home in the Brentwood neighborhood of Los Angeles, California, with vacation homes in Sun Valley, Idaho, and Hyannis Port, Massachusetts. They attended St. Monica's Catholic Church.
Divorce
On May 9, 2011, Shriver and Schwarzenegger ended their relationship after 25 years of marriage with Shriver moving out of their Brentwood mansion. On May 16, 2011, the Los Angeles Times revealed that Schwarzenegger had fathered a son more than 14 years earlier with an employee in their household, Mildred Patricia "Patty" Baena. "After leaving the governor's office I told my wife about this event, which occurred over a decade ago," Schwarzenegger said to the Times. In the statement, Schwarzenegger did not mention that he had confessed to his wife only after she had confronted him with the information, which she had done after confirming with the housekeeper what she had suspected about the child.
Baena is of Guatemalan origin. She was employed by the family for 20 years and retired in January 2011. The pregnant Baena was working in the home while Shriver was pregnant with the youngest of the couple's four children. Baena's son with Schwarzenegger was born days after Shriver gave birth. Schwarzenegger said that it took seven or eight years before he found out that he had fathered a child with his housekeeper. It was not until the boy "started looking like [him] ... that [he] put things together". Schwarzenegger has taken financial responsibility for the child "from the start and continued to provide support". KNX 1070 radio reported that, in 2010, he bought a new four-bedroom house with a pool for Baena and their son in Bakersfield, California. Baena separated from her husband, Rogelio, a few months after Joseph's birth. She filed for divorce in 2008. Rogelio said that the child's birth certificate was falsified and that he planned to sue Schwarzenegger for engaging in conspiracy to falsify a public document, a serious crime in California.
Pursuant to the divorce judgment, Schwarzenegger kept the Brentwood home, while Shriver purchased a new home nearby so that the children could travel between their parents' homes. They shared custody of the two youngest children. Schwarzenegger came under fire after the initial petition did not include spousal support and a reimbursement of attorney's fees. However, he claims this was not intentional and that he signed the initial documents without having properly read them. He filed amended divorce papers remedying this. Schwarzenegger and Shriver finalized their divorce in 2021, ten years after separating.
In June 2022, a jury ruled that Maria Shriver was entitled to half of her ex-husband's post-divorce savings that he earned from 1986 to 2011, including a pension.
After the scandal, Danish-Italian actress Brigitte Nielsen came forward and stated that she too had an affair with Schwarzenegger during the production of Red Sonja, while he had just started his relationship with Shriver. When asked in January 2014, "Of all the things you are famous for ... which are you least proud of?" Schwarzenegger replied, "I'm least proud of the mistakes I made that caused my family pain and split us up."
Accidents, injuries, and other health problems
Health problems
Schwarzenegger was born with a bicuspid aortic valve, an aortic valve with only two leaflets, where a normal aortic valve has three. He opted in 1997 for a replacement heart valve made from his own pulmonic valve, which itself was replaced with a cadaveric pulmonic valve, in a Ross procedure; medical experts predicted he would require pulmonic heart valve replacement surgery within the next two to eight years because his valve would progressively degrade. Schwarzenegger apparently opted against a mechanical valve, the only permanent solution available at the time of his surgery, because it would have sharply limited his physical activity and capacity to exercise.
On March 29, 2018, Schwarzenegger underwent emergency open-heart surgery for replacement of his replacement pulmonic valve. He said about his recovery: "I underwent open-heart surgery this spring, I had to use a walker. I had to do breathing exercises five times a day to retrain my lungs. I was frustrated and angry, and in my worst moments, I couldn't see the way back to my old self."
In 2020, 23 years after his first surgery, Schwarzenegger underwent a surgery for a new aortic valve.
Accidents, injuries
On December 9, 2001, he broke six ribs and was hospitalized for four days after a motorcycle crash in Los Angeles.
Schwarzenegger saved a drowning man in 2004 while on vacation in Hawaii by swimming out and bringing him back to shore.
On January 8, 2006, while Schwarzenegger was riding his Harley Davidson motorcycle in Los Angeles with his son Patrick in the sidecar, another driver backed into the street he was riding on, causing him and his son to collide with the car at a low speed. While his son and the other driver were unharmed, Schwarzenegger sustained an injury to his lip requiring 15 stitches. "No citations were issued," said Officer Jason Lee, a Los Angeles Police Department spokesman. Schwarzenegger did not obtain his motorcycle license until July 3, 2006.
Schwarzenegger tripped over his ski pole and broke his right femur while skiing in Sun Valley, Idaho, with his family on December 23, 2006. On December 26, he underwent a 90-minute operation in which cables and screws were used to wire the broken bone back together. He was released from St. John's Health Center on December 30, 2006.
Schwarzenegger's private jet made an emergency landing at Van Nuys Airport on June 19, 2009, after the pilot reported smoke coming from the cockpit, according to a statement released by his press secretary. No one was harmed in the incident.
On May 18, 2019, while on a visit to South Africa, Schwarzenegger was attacked and dropkicked from behind by an unknown malefactor while giving autographs to his fans at one of the local schools. Despite the surprise and unprovoked nature of the attack, he reportedly suffered no injuries and continued to interact with fans. The attacker was apprehended and Schwarzenegger declined to press charges against him.
Schwarzenegger was involved in a multi-vehicle collision on the afternoon of Friday, January 21, 2022. Schwarzenegger was driving a black GMC Yukon SUV near the intersections of Sunset Blvd and Allenford Ave in the Brentwood neighborhood of Los Angeles, when his vehicle collided with a red Toyota Prius. The driver of the Prius was transported to the hospital for injuries sustained to her head. Schwarzenegger was uninjured.
Height
Schwarzenegger's official height of has been brought into question by several articles. During his bodybuilding days in the late 1960s, it was claimed that he measured . However, in 1988, both the Daily Mail and Time Out magazine mentioned that Schwarzenegger appeared noticeably shorter. Prior to running for governor, Schwarzenegger's height was once again questioned in an article by the Chicago Reader. As governor, Schwarzenegger engaged in a light-hearted exchange with Assemblyman Herb Wesson over their heights. At one point, Wesson made an unsuccessful attempt to, in his own words, "settle this once and for all and find out how tall he is" by using a tailor's tape measure on the Governor. Schwarzenegger retaliated by placing a pillow stitched with the words "Need a lift?" on the Wesson's chair before a negotiating session in his office. Democrat Bob Mulholland also claimed Schwarzenegger was and that he wore risers in his boots. In 1999, Men's Health magazine stated his height was .
Autobiography
Schwarzenegger's autobiography, Total Recall, was released in October 2012. He devotes one chapter called "The Secret" to his extramarital affair. The majority of his book is about his successes in the three major chapters in his life: bodybuilder, actor, and Governor of California.
Vehicles
Growing up during the Allied occupation of Austria, Schwarzenegger commonly saw heavy military vehicles such as tanks as a child. As a result, he paid $20,000 to bring his Austrian Army M47 Patton tank (331) to the United States, which he previously operated during his mandatory service in 1965. However, he later obtained his vehicle in 1991/2, during his tenure as the Chairmen of the President's Council on Sports, Fitness, and Nutrition, and now uses it to support his charity. His first car ever was an Opel Kadett in 1969 after serving in the Austrian army, then he rode a Harley-Davidson Fat Boy in 1991.
Moreover, he came to develop an interest in large vehicles and became the first civilian in the U.S. to purchase a Humvee. He was so enamored by the vehicle that he lobbied the Humvee's manufacturer, AM General, to produce a street-legal, civilian version, which they did in 1992; the first two Hummer H1s they sold were also purchased by Schwarzenegger. In 2010, he had one regular and three running on non-fossil power sources; one for hydrogen, one for vegetable oil, and one for biodiesel. Schwarzenegger was in the news in 2014 for buying a rare Bugatti Veyron Grand Sport Vitesse. He was spotted and filmed in 2015 in his car, painted silver with bright aluminum forged wheels. His Bugatti has its interior adorned in dark brown leather. In 2017, Schwarzenegger acquired a Mercedes G-Class modified for all-electric drive.
The Hummers that Schwarzenegger bought in 1992 are so large—each weighs and is wide—that they are classified as large trucks, and U.S. fuel economy regulations do not apply to them. During the gubernatorial recall campaign, he announced that he would convert one of his Hummers to burn hydrogen. The conversion was reported to have cost about $21,000. After the election, he signed an executive order to jump-start the building of hydrogen refueling plants called the California Hydrogen Highway Network, and gained a U.S. Department of Energy grant to help pay for its projected US$91,000,000 cost. California took delivery of the first H2H (Hydrogen Hummer) in October 2004.
Public image and legacy
Schwarzenegger has been involved with the Special Olympics for many years after they were founded by his ex-mother-in-law Eunice Kennedy Shriver. In 2007, Schwarzenegger was the official spokesperson for the Special Olympics held in Shanghai, China. Schwarzenegger believes that quality school opportunities should be made available to children who might not normally be able to access them. In 1995, he founded the Inner City Games Foundation (ICG) which provides cultural, educational and community enrichment programming to youth. ICG is active in 15 cities around the country and serves over 250,000 children in over 400 schools countrywide. He has also been involved with After-School All-Stars and founded the Los Angeles branch in 2002. ASAS is an after school program provider, educating youth about health, fitness and nutrition.
On February 12, 2010, Schwarzenegger took part in the Vancouver Olympic Torch relay. He handed off the flame to the next runner, Sebastian Coe.
Schwarzenegger had a collection of Marxist busts, which he requested from Russian friends during the dissolution of the Soviet Union, as they were being destroyed. In 2011, he revealed that his wife had requested their removal, but he kept the one of Vladimir Lenin present, since "he was the first". In 2015, he said he kept the Lenin bust to "show losers."
Schwarzenegger is a supporter of Israel, and has participated in a Los Angeles pro-Israel rally among other similar events. In 2004, Schwarzenegger visited Israel to break ground on Simon Wiesenthal Center's Museum of Tolerance Jerusalem, and to lay a wreath at the Yad Vashem Holocaust Memorial, he also met with Prime Minister Ariel Sharon and President Moshe Katsav. In 2011, at the Independence Day celebration hosted by the Israeli Consulate General in Los Angeles, Schwarzenegger said: "I love Israel. When I became governor, Israel was the first country that I visited. When I had the chance to sign a bill calling on California pension funds to divest their money from companies that do business with Iran, I immediately signed that bill", then he added, "I knew that we could not send money to these crazy dictators who hate us and threaten Israel any time they have a bad day."
Schwarzenegger supported the 2003 invasion of Iraq. Schwarzenegger also expressed support for the 2011 military intervention in Libya. In 2014, Schwarzenegger released a video message in support of the Euromaidan protests against Ukraine's pro-Russian President Viktor Yanukovych. In 2022, Schwarzenegger released another video message condemning the Russian invasion of Ukraine. Schwarzenegger's Twitter account is one of the 22 accounts that the president of Russia's Twitter account follows.
Schwarzenegger, who played football as a boy, grew up watching Bayern Munich and Sturm Graz. He also expressed his admiration of Jürgen Klopp's Liverpool in October 2019.
Schwarzenegger inspired many actors to become action heroes, including Dwayne Johnson, Matt McColm, Christian Boeving, Vidyut Jamwal, and Daniel Greene. Boeving's character in the 2003 action film When Eagles Strike was based on Schwarzenegger's image from the late 1980s: mostly on Major "Dutch" Schaefer] from Predator (1987) and Colonel John Matrix from Commando (1985).
Schwarzenegger Institute for State and Global Policy
In 2012, Schwarzenegger helped to found the Schwarzenegger Institute for State and Global Policy, which is a part of the USC Price School of Public Policy at the University of Southern California. The institute's mission is to "[advance] post-partisanship, where leaders put people over political parties and work together to find the best ideas and solutions to benefit the people they serve" and to "seek to influence public policy and public debate in finding solutions to the serious challenges we face". Schwarzenegger serves as chairman of the institute.
Global warming
At a 2015 security conference, Schwarzenegger called climate change the issue of our time. He also urged politicians to stop treating climate change as a political issue.
2016 presidential election
For the 2016 Republican Party presidential primaries, Schwarzenegger endorsed fellow Republican John Kasich. However, he announced in October that he would not vote for the Republican presidential candidate Donald Trump in that year's United States presidential election, with this being the first time he did not vote for the Republican candidate since becoming a citizen in 1983.
Post-2016
In recent years, Schwarzenegger has been advocating for eating less meat, and he is an executive producer alongside James Cameron et al. behind the documentary The Game Changers, that documents the explosive rise of plant-based eating in professional sports, in which he is also featured.
In 2017, Schwarzenegger condemned white supremacists who were seen carrying Nazi and Confederate flags by calling their heroes "losers."
In 2019, while at the "Arnold Classic Africa" sports competition as an official, Schwarzenegger was attacked by an assailant in a flying kick. The assailant was arrested.
Following the January 6 United States Capitol attack by supporters of President Donald Trump, Schwarzenegger posted a video address on social media in which he likened the insurrection to Nazi Germany's Kristallnacht, which he described as "a night of rampage against the Jews carried out [by] the Nazi equivalent of the Proud Boys." He spoke of his father's alcoholism, domestic violence, and abuse, and how it was typical of other former Nazis and collaborators in the post-war era; and described Trump as "a failed leader. He will go down in history as the worst president ever."
In late March 2021, Schwarzenegger was interviewed by Politico about the upcoming recall election in California in which he said that "it's pretty much the same atmosphere today as it was then," and when he was asked about Newsom's claim of this being a "Republican recall" he responded that "this recall effort is sparked by ordinary folks," and that this was not a power grab by Republicans.
Schwarzenegger has spoken out about COVID-19, urging Americans to wear masks and practice social distancing. In August 2021, he said: "There is a virus here. It kills people and the only way we prevent it is: get vaccinated, wear masks, do social distancing, washing your hands all the time, and not just to think about, 'Well my freedom is being kind of disturbed here.' No, screw your freedom."
In February 2022, Schwarzenegger said his diet has been mostly vegan for the past five years, saying it was about 80% plant-based food. He has been outspoken about the benefits of a vegan diet for health and said it had helped him feel "healthier and younger overall". He also credited it to helping him lower his cholesterol.
Filmography
Awards and honors
Bodybuilding
Seven-time Mr. Olympia winner
Four-time Mr. Universe winner
1969 World Amateur Bodybuilding Champion
Entertainment
1977 Golden Globe Award winner
2012 Inkpot Award
2014 Primetime Emmy Award winner for producing the documentary series Years of Living Dangerously
Halls of Fame
International Sports Hall of Fame (class of 2012)
WWE Hall of Fame (class of 2015)
Medal for Humanitary Merit of the Austrian Albert Schweitzer Society (2011)
Star on the Hollywood Walk of Fame
State/local
Public art mural portrait "Arnold Schwarzenegger" (2012) by Jonas Never, Venice, Los Angeles
Schwarzenegger Institute for State and Global Policy (part of the USC Price School of Public Policy at the University of Southern California) named in his honor.
Arnold's Run ski trail at Sun Valley Resort named in his honor. The trail is categorized as a black diamond, or most difficult, for its terrain.
International
Grand Decoration of Honour for Services to the Republic of Austria in Gold (1993)
Cavalier (2011) and Commander (2017) of the French Legion of Honor
Honorary Ring of the Federal State of Styria (Austria, June 2017)
"A Day for Arnold" on July 30, 2007, in Thal, Austria. For his 60th birthday, the mayor sent Schwarzenegger the enameled address sign (Thal 145) of the house where Schwarzenegger was born, declaring "This belongs to him. No one here will ever be assigned that number again".
"Honor et Gloria" White Cross (No.179) – 2023; Ukrainian non-state decoration bestowed by the VGO "Kraina" (NGO) at the request of Mr Anatoliy Ostapenko (member of the Verkhovna Rada)
Books
See also
Kennedy family tree
List of U.S. state governors born outside the United States
References
Footnotes
Citations
Further reading
External links
Schwarzenegger Museum
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1947 births
Living people
20th-century American businesspeople
20th-century American male actors
20th-century American male writers
20th-century American non-fiction writers
20th-century Austrian businesspeople
20th-century Austrian male actors
20th-century Austrian male writers
20th-century Austrian writers
20th-century Roman Catholics
21st-century American businesspeople
21st-century American male actors
21st-century American male writers
21st-century American non-fiction writers
21st-century American politicians
21st-century Austrian businesspeople
21st-century Austrian male actors
21st-century Austrian male writers
21st-century Austrian politicians
21st-century Austrian writers
21st-century Roman Catholics
Activists from California
Actors from Graz
American actor-politicians
American athlete-politicians
American autobiographers
American bodybuilders
American book publishers (people)
American businesspeople in retailing
American education writers
American exercise and fitness writers
American film producers
American health activists
American instructional writers
American investors
American male film actors
American male non-fiction writers
American male television actors
American male video game actors
American male voice actors
American male weightlifters
American people of Austrian descent
American philanthropists
American powerlifters
American publishers (people)
American real estate businesspeople
American restaurateurs
American Roman Catholics
American stock traders
Austrian autobiographers
Austrian bodybuilders
Austrian emigrants to the United States
Austrian expatriate male actors in the United States
Austrian expatriate sportspeople in the United States
Austrian film directors
Austrian film producers
Austrian health activists
Austrian investors
Austrian male film actors
Austrian male television actors
Austrian male voice actors
Austrian male weightlifters
Austrian non-fiction writers
Austrian philanthropists
Austrian powerlifters
Austrian publishers (people)
Austrian real estate businesspeople
Austrian restaurateurs
Austrian Roman Catholics
Austrian soldiers
Businesspeople from Graz
Businesspeople from Los Angeles
Catholics from California
Commanders of the Legion of Honour
Film directors from Los Angeles
Film producers from California
Inkpot Award winners
Kennedy family
Laureus World Sports Awards winners
Male actors from California
Male actors from Los Angeles
Male bodybuilders
New Star of the Year (Actor) Golden Globe winners
People from Brentwood, Los Angeles
People with acquired American citizenship
People with congenital heart defects
People with multiple nationality
Politicians from Graz
Politicians from Los Angeles
Primetime Emmy Award winners
Republican Party governors of California
Santa Monica College alumni
Schwarzenegger family
Shriver family
Skydance Media people
Sportspeople from Graz
Sportspeople from Los Angeles
University of California regents
University of Wisconsin–Superior alumni
Writers from Graz
Writers from Los Angeles
WWE Hall of Fame inductees
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ASA as an abbreviation or initialism may refer to:
Biology and medicine
Accessible surface area of a biomolecule, accessible to a solvent
Acetylsalicylic acid, aspirin
Advanced surface ablation, refractive eye surgery
Anterior spinal artery, the blood vessel which supplies the anterior portion of the spinal cord
Antisperm antibodies, antibodies against sperm antigens
Argininosuccinic aciduria, a disorder of the urea cycle
ASA physical status classification system, rating of patients undergoing anesthesia
Education and research
African Studies Association of the United Kingdom
African Studies Association
Alandica Shipping Academy, Åland Islands, Finland
Albany Students' Association, at Massey University, Auckland, New Zealand
Alexander-Smith Academy, in Houston, Texas
Alpha Sigma Alpha, U.S. national sorority
American Society for Aesthetics, philosophical organization
American Student Assistance, national non-profit organization
American Studies Association
Arizona School for the Arts
Armenian Sisters Academy
Association of Social Anthropologists
Astronomical Society of Australia
Austrian Studies Association
Organizations
Acoustical Society of America, international scientific society
Advertising Standards Authority (disambiguation), advertising regulators in several countries
American Scientific Affiliation, an organization of Christians in science
American Society of Agronomy
American Society of Anesthesiologists
American Society of Appraisers
American Sociological Association
American Staffing Association
American Standards Association, a former name of the American National Standards Institute
American Statistical Association
American Synesthesia Association
Americans for Safe Access, marijuana law reform group
Association for Social Advancement, microfinance institution, Bangladesh
Association for the Study of Abortion
Association of Scouts of Azerbaijan
Association of Southeast Asia
Australian Submarine Agency
Australian Society of Authors
Australian Space Agency
Austrian Service Abroad
Autism Society of America
United States Army Security Agency
Sports
Agremiação Sportiva Arapiraquense, Brazilian soccer club
Alliance Sport Alsace, French basketball club
Amateur Softball Association, former name of the governing body now known as USA Softball
Amateur Swimming Association, former name of Swim England
American Sailing Association
American Samoa, IOC country code
American Speed Association, motorsports sanctioning body
American Sportscasters Association
Arizona Soccer Association
Athletics South Africa, the national governing body for the sport of athletics in South Africa
Atlético Sport Aviação, Angolan multisports club
United States Adult Soccer Association
Transportation
ASA (automobile), Italian marque of automobiles (Autocostruzioni Società per Azioni)
ASA Aluminium Body, Argentinian manufacturer of replicas of sports cars
Aeropuertos y Servicios Auxiliares, Mexican airport operator
African Safari Airways, airline company based in East Africa
Air services agreement, bilateral agreement to allow international commercial air transport services between signatories
Atlantic Southeast Airlines, in Atlanta area, Georgia
Airline Superintendents Association, of Trinidad & Tobago
Airservices Australia, air traffic management and related services provider for Australia
The International Civil Aviation Organization's code for Alaska Airlines
Other
ASA ("American Standards Association") a measure of film speed in photography, later replaced by the ISO standard
Acrylonitrile styrene acrylate, a thermoplastic used for 3D printing and in the auto industry
Adaptive simulated annealing, optimization algorithm
Cisco ASA (Adaptive Security Appliances)
Allied States of America, a fictional American nation in the television show Jericho
Allmennaksjeselskap, the designation for a Norwegian public limited company
Anti-Soviet agitation, a criminal offense in the Soviet Union
ASA carriage control characters, a system used for controlling mainframe line printers
Assistant state's attorney, a title for attorneys working in the state's attorney's office in the United States
As-salamu alaykum, a greeting in Arabic that means "peace be upon you"
Auditory scene analysis, a proposed model for the basis of auditory perception
See also
Åsa (disambiguation)
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Amway (short for "American Way") is an American multi-level marketing (MLM) company that sells health, beauty, and home care products. The company was founded in 1959 by Jay Van Andel and Richard DeVos and is based in Ada, Michigan. Amway and its sister companies under Alticor reported sales of $8.9 billion in 2019. It is the largest multi-level marketing company in the world by revenue. It conducts business through a number of affiliated companies in more than a hundred countries and territories.
Amway has been investigated in various countries and by institutions such as the Federal Trade Commission (FTC) for alleged pyramid scheme practices. It has never been found guilty, though it has paid tens of millions of dollars to settle these suits.
History
Founding
Jay Van Andel and Richard DeVos had been friends since school days and business partners in various endeavors, including a hamburger stand, an air charter service, and a sailing business. In 1949, they were introduced to the Nutrilite Products Corporation by Van Andel's second cousin Neil Maaskant. DeVos and Van Andel signed up to become distributors for Nutrilite food supplements in August. They sold their first box the next day for $19.50, but lost interest for the next two weeks. They traveled to Chicago to attend a Nutrilite seminar soon afterward, at the urging of Maaskant, who had become their sponsor. They watched promotional filmstrips and listened to talks by company representatives and successful distributors, then they decided to pursue the Nutrilite business. They sold their second box of supplements on their return trip to Michigan, and rapidly proceeded to develop the business further.
Earlier in 1949, DeVos and Van Andel had formed the Ja-Ri Corporation (abbreviated from their respective first names) to import wooden goods from South American countries. After the Chicago seminar, they turned Ja-Ri into a Nutrilite distributorship instead. In addition to profits on each product sold, Nutrilite offered commissions on sales made by new distributors introduced to the company by existing distributors—a system known as multi-level marketing or network marketing. By 1958, DeVos and Van Andel had built an organization of more than 5,000 distributors. However, they and some of their top distributors formed the American Way Association, or Amway, in April 1959 in response to concerns about the stability of Nutrilite and in order to represent the distributors and look for additional products to market.
Their first product was called Frisk, an organic cleaner developed by a scientist in Ohio. DeVos and Van Andel bought the rights to manufacture and distribute Frisk, and later changed the name to LOC (Liquid Organic Cleaner). They subsequently formed the Amway Sales Corporation to procure and inventory products and to handle sales and marketing plans, and the Amway Services Corporation to handle insurance and other benefits for distributors. In 1960, they purchased a 50% share in Atco Manufacturing Company in Detroit, the original manufacturers of LOC, and changed its name to Amway Manufacturing Corporation. In 1964, the Amway Sales Corporation, Amway Services Corporation, and Amway Manufacturing Corporation merged to form the Amway Corporation.
Amway bought a controlling interest in Nutrilite in 1972 and full ownership in 1994.
International expansion
Amway expanded to Australia in 1971, to parts of Europe in 1973, to parts of Asia in 1974, to Japan in 1979, to Latin America in 1985, to Thailand in 1987, to China in 1995, to Africa in 1997, to India and Scandinavia in 1998, to Ukraine in 2003, to Russia in 2005, and to Vietnam in 2008.
In 2014, a Russian loyalty card program called "Alfa-Amway" was created when Amway joined with Alfa-Bank.
Amway was ranked by Forbes as the 42nd-largest privately held company in the United States in 2018, and as the number one largest company on the Direct Selling News Global 100 list in 2018.
Quixtar
The founders of the Amway corporation established a new holding company in 1999, named Alticor, and launched three new companies: a sister (and separate) Internet-focused company named Quixtar, Access Business Group, and Pyxis Innovations. Pyxis, later replaced by Fulton Innovation, pursued research and development and Access Business Group handled manufacturing and logistics for Amway, Quixtar, and third-party clients.
The main difference was that all "Independent Business Owners" (IBO) could order directly from Amway on the Internet, rather than from their upline "direct distributor", and have products shipped directly to their home. The Amway name continued being used in the rest of the world. Virtually all Amway distributors in North America switched to Quixtar, prompting Alticor to close Amway North America after 2001. In June 2007, it was announced that the Quixtar brand would be phased out over an eighteen– to twenty-four–month period in favor of a unified Amway brand (Amway Global) worldwide.
Global markets
According to the Amway website, the company operated in over 100 countries and territories, organized into regional markets: the Americas, Europe, greater China, Japan and Korea, and SE Asia/Australia. Amway's top ten markets are China, Korea, the United States, Japan, Thailand, Taiwan, India, Russia, Malaysia and Italy.
In 2008, Alticor announced that two-thirds of the company's 58 markets reported sales increases, including strong growth in the China, Russia, Ukraine and India markets.
Amway Australia
See Amway Australia
Amway China
Amway China launched in 1995. In 1998, after abuses of illegal pyramid schemes led to riots, the Chinese government enacted a ban on all direct selling companies, including Amway. After the negotiations, some companies like Amway, Avon, and Mary Kay continued to operate through a network of retail stores promoted by an independent sales force. China introduced new direct selling laws in December 2005, and in December 2006, Amway was one of the first companies to receive a license to resume direct sales. However, the law forbids teachers, doctors, and civil servants from becoming direct sales agents for the company and, unlike in the United States, salespeople in China are ineligible to receive commissions from sales made by the distributors they recruit.
In 2006, Amway China had a reported 180,000 sales representatives, 140 stores, and $2 billion in annual sales. In 2007, Amway Greater China and South-east Asia Chief Executive Eva Cheng was ranked no. 88 by Forbes magazine in its list of the World's Most Powerful Women. In 2008, China was Amway's largest market, reporting 28% growth and sales of 17 billion yuan (US$2.5 billion). According to a report in Bloomberg Businessweek in April 2010, Amway had 237 retail shops in China, 160,000 direct sales agents, and $3 billion in revenue. Since then, Amway has been continuing to expand in China, even as the government has been imposing greater restrictions on the company, and launched a WeChat mini-program in 2021.
Brands
Amway's product line grew from LOC, with the laundry detergent SA8 added in 1960, and later the hair care product Satinique (1965) and the cosmetics line Artistry (1968).
In 2018, nutrition and wellness products were 52% of total sales, and beauty and personal care products were 26% of total sales.
Household cleaners
Amway is best known in North America for its original multi-purpose cleaning product LOC, SA8 laundry detergent, and Dish Drops dishwashing liquid. Consumer Reports conducted blind testing of detergents in 2010 and ranked versions of Amway's Legacy of Clean detergents 9th and 18th of 20 detergents tested. Consumer Reports program manager Pat Slaven recommended against buying the products because consumers can "go to the grocery store and get something that performs a whole lot better for a whole lot less money".
Health and beauty
Amway's health and beauty brands include Artistry, Satinique, Hymm, Body Series, Glister, Moiskin (South America), Nutrilite, Nutriway (Scandinavia and Australia/New Zealand), Attitude (India), eSpring, Atmosphere and iCook as well as XL and XS Energy drinks. Other Amway brands that were discontinued or replaced include Tolsom, Eddie Funkhouser New York, or beautycycle (Eastern Europe).
Artistry
Amway's Artistry products include skin care, cosmetics, and anti-aging creams and serums. In 2011, Artistry brand reached sales of $2.8 billion.
Nutrilite
Amway's largest-selling brand is the Nutrilite range of health supplements (marketed as Nutriway in some countries), and in 2008 Nutrilite sales exceeded $3 billion globally. In 2001, NSF International issued its first five dietary supplement certifications to Nutrilite.
In 2011, Nutrilite brand of vitamins and dietary supplements led Amway's sales, totaling almost $4.7 billion. According to Euromonitor International, in 2014, Nutrilite was the world's No. 1 selling vitamins and dietary supplements brand. In 2015, it was reported that according to Euromonitor International, Amway was the largest vitamin and dietary supplement vendor in China, with 11% of a market that generated 100 billion yuan ($15.6 billion) in annual sales. In 2015, it was reported that according to China Confidential consumer brands survey, Amway Nutrilite was the most popular vitamin and dietary supplement brand in China.
In January 2009, Amway announced a voluntary recall of Nutrilite and XS Energy Bars after learning that they had possibly been manufactured with Salmonella-contaminated ingredients from Peanut Corporation of America. The company indicated that it had not received any reports of illness in connection with the products.
In 2012, the Center for Science in the Public Interest (CSPI), accused Amway of making unsubstantiated and illegal claims about Nutrilite Fruits & Vegetables 2GO Twist Tubes and threatened to launch a class action lawsuit against the company unless it took remedial action. Amway responded that the claims made about the products were properly substantiated and that they did not plan to change the product's labeling but nevertheless would review the statements that CSPI has questioned. CSPI later reported that Amway had agreed to changing product labels by the end of 2014.
eSpring
Amway's eSpring water filter was introduced in 2000. According to Amway, it was the first system to combine a carbon block filter and ultraviolet light with electronic-monitoring technology in the filter cartridge and it became the first home system to achieve certification for ANSI/NSF Standards 42, 53, and 55. According to Amway, eSpring was the first water treatment system to receive certification for all fifteen NSF/ANSI 401 contaminants which include pharmaceuticals, pesticides and herbicides. The company also claims that, in addition to these 15 contaminants, eSpring is certified for more than 145 potential contaminants, including lead and mercury.
eSpring was the first commercial product which employed Fulton Innovation's eCoupled wireless power induction technology. Companies licensing this technology include Visteon, Herman Miller, Motorola and Mobility Electronics. Fulton was a founding member of the Wireless Power Consortium which developed the Qi (inductive power standard).
In 2007 eSpring was ranked fifth out of 27 brands in a comparison of water filters by Consumer Reports.
XS
On January 14, 2015, Amway announced that it had acquired XS Energy, a California-based brand of energy drinks and snacks. The XS Energy brand has been sold as an Amway product since 2003. As of January 2015, it has been distributed in 38 countries, generating annual sales of $150 million.
According to Euromonitor International, the XS Energy was the first exclusively sugar-free energy drink brand sold globally.
Ditto Delivery
Ditto Delivery is Alticor's automatic, monthly replenishment program that fills orders based on customers' predetermined needs. As of May 2001, Ditto Delivery accounted for 30% of Quixtar's North American sales.
Business model
Amway combines direct selling with a multi-level marketing strategy. Amway distributors, referred to as "independent business owners" (IBOs), may market products directly to potential customers and may also sponsor and mentor other people to become IBOs. IBOs may earn income both from the retail markup on any products they sell personally, plus a performance bonus based on the sales volume they and their downline (IBOs they have sponsored) have generated. People may also register as IBOs to buy products at discounted prices. Harvard Business School, which described Amway as "one of the most profitable direct selling companies in the world", noted that Amway founders Van Andel and DeVos "accomplished their success through the use of an elaborate pyramid-like distribution system in which independent distributors of Amway products received a percentage of the merchandise they sold and also a percentage of the merchandise sold by recruited distributors".
Sports sponsorships
In December 2006, Alticor secured the naming rights for the Orlando Magic's home basketball arena in Orlando, Florida. The Orlando Magic is owned by the DeVos family. The arena, formerly known as the TD Waterhouse Centre, was renamed the Amway Arena. Its successor, the Amway Center, was opened in 2010, and the older arena was demolished in 2012.
In 2009, Amway Global signed a three-year deal with the San Jose Earthquakes Major League Soccer team to become the jersey sponsor.
In March 2009, Amway Global signed a multi-year deal to become the presenting partner of the Los Angeles Sol of Women's Professional Soccer. The deal, however, would last only one year, as the Sol folded in 2010.
In 2011, Amway signed a three-year deal to be the presenting sponsor of the National Hockey League's Detroit Red Wings.
Politics and culture
Political contributions
In the 1990s, the Amway organization was a major contributor to the Republican Party (GOP) and to the election campaigns of various GOP candidates. Amway and its sales force contributed a substantial amount (up to half) of the total funds ($669,525) for the 1994 political campaign of Republican congresswoman and Amway distributor Sue Myrick (N.C.). According to two reports by Mother Jones magazine, Amway distributor Dexter Yager "used the company's extensive voice-mail system to rally hundreds of Amway distributors into giving a total of $295,871" to Myrick's campaign. According to a campaign staffer quoted by the magazine, Myrick had appeared regularly on the Amway circuit, speaking at hundreds of rallies and selling $5 and $10 audiotapes. Following the 1994 election, Myrick maintained "close ties to Amway and Yager", and raised $100,000 from Amway sources, "most notably through fundraisers at the homes of big distributors", in the 1997–98 election cycle.
In October 1994, Amway gave the biggest corporate contribution recorded to that date to a political party for a single election, $2.5 million to the Republican National Committee (RNC), and was the number one corporate political donor in the United States. In the 2004 election cycle, the organization contributed a total of $4 million to a conservative 527 group, Progress for America.
In July 1996, Amway co-founder Richard DeVos was honored at a $3 million fundraiser for the Republican Party, and a week later, it was reported that Amway had tried to donate $1.3 million to pay for Republican "infomercials" and televising of the GOP convention on Pat Robertson's Family Channel, but backed off when Democrats criticized the donation as a ploy to avoid campaign-finance restrictions.
In April 1997, Richard DeVos and his wife, Helen, gave $1 million to the RNC, which, at the time, was the second-largest soft-money donation ever, behind Amway's 1994 gift of $2.5 million to the RNC. In July 1997, Senate Majority Leader Trent Lott and House Speaker Newt Gingrich slipped a last-minute provision into a hotly contested compromise tax bill that granted Amway and four other companies a tax break on their Asian branches that totaled $19 million.
In a column published in the Fort Worth Star-Telegram newspaper in August 1997, reporter Molly Ivins wrote that Amway had "its own caucus in Congress...Five Republican House members are also Amway distributors: Reps. Sue Myrick of North Carolina, Jon Christensen of Nebraska, Dick Chrysler of Michigan, Richard Pombo of California, and John Ensign of Nevada. Their informal caucus meets several times a year with Amway bigwigs to discuss policy matters affecting the company, including China's trade status."
A 1998 analysis of campaign contributions conducted by Businessweek found that Amway, along with the founding families and some top distributors, had donated at least $7 million to GOP causes in the preceding decade. Political candidates who received campaign funding from Amway in 1998 included Representatives Bill Redmond (R–N.M.), Heather Wilson (R–N.M.), and Jon Christensen (R–Neb).
According to a report by the Center for Public Integrity, in the 2004 election cycle, members of the Van Andel and DeVos families were the second, third and fifth largest donors to the Republican party.
Dick DeVos, son of Amway founder Richard DeVos and past president of the company, served as Finance Chairman of the Republican National Committee, and his wife Betsy DeVos served as chair of the Michigan Republican Party from 1996 to 2000 and 2003 to 2005.
In May 2005, Dick DeVos ran against incumbent Governor Jennifer Granholm in Michigan's 2006 gubernatorial election. DeVos was defeated by Granholm, who won 56% of the popular vote to his 42%.
In August 2012, gay rights activist Fred Karger began a movement to boycott Amway in protest of the contribution from a private foundation of Amway President Doug DeVos to the National Organization for Marriage, a political organization which opposes legalization of same-sex marriage in the United States.
On February 7, 2017, Betsy DeVos was confirmed by the Senate as the 11th Secretary of Education.
Religion
Several sources have commented on the promotion of Christian conservative ideology within the Amway organization. Mother Jones magazine described the Amway distributor force as "heavily influenced by the company's dual themes of Christian morality and free enterprise" and operating "like a private political army". In The Cult of Free Enterprise, Stephen Butterfield, who spent time in the Yager group within Amway, wrote "[Amway] sells a marketing and motivational system, a cause, a way of life, in a fervid emotional atmosphere of rallies and political religious revivalism." Philadelphia City Paper correspondent Maryam Henein stated that "The language used in motivational tools for Amway frequently echoes or directly quotes the Bible, with the unstated assumption of a shared Christian perspective."
Businessweek correspondents Bill Vlasic and Beth Regan characterized the founding families of Amway as "fervently conservative, fervently Christian, and hugely influential in the Republican Party", noting that "Rich DeVos charged up the troops with a message of Christian beliefs and rock-ribbed conservatism."
High-ranking Amway leaders such as Richard DeVos and Dexter Yager were owners and members of the board of Gospel Films, a producer of movies and books geared toward conservative Christians, as well as co-owners (along with Salem Communications) of a right-wing, Christian nonprofit called Gospel Communications International. Yager, interviewed on 60 Minutes in 1983, admitted that he promotes Christianity through his Amway group, but stated that this might not be the case in other Amway groups.
Rolling Stone's Bob Moser reported that former Amway CEO and co-founder Richard DeVos is connected with the Dominionist political movement in the United States. Moser states that DeVos was a supporter of the late D. James Kennedy, giving more than $5 million to Kennedy's Coral Ridge Ministries. DeVos was also a founding member and two-time president of the Council for National Policy, a right-wing Christian organization.
Sociologist David G. Bromley calls Amway a "quasi-religious corporation" having sectarian characteristics. Bromley and Anson Shupe view Amway as preaching the gospel of prosperity. Patralekha Bhattacharya and Krishna Kumar Mehta, reasoned that although some critics have referred to organizations such as Amway as "cults" and have speculated that they engage in "mind control", there are other explanations that could account for the behavior of distributors. Namely, continued involvement of distributors despite minimal economic return may result from social satisfaction compensating for diminished economic satisfaction.
Chamber of commerce
Amway co-founder Jay Van Andel (in 1980), and later his son Steve Van Andel (in 2001), were elected by the board of directors of the United States Chamber of Commerce to be the chairman of the private American lobbying organization.
Accreditation program
In 2006, Amway (then Quixtar in North America) introduced its Professional Development Accreditation Program in response to concerns surrounding business support materials (BSM), including books, tapes and meetings. In 2010 this was superseded by its Accreditation Plus program to ensure that all BSM content is consistent with Amway's quality assurance standards, which approved providers of BSM must abide by. The quality assurance standards state that
Promoting political causes or other issues of a personal nature in the Amway Business environment is not permitted
Spiritual references are not allowed as the message or focus and presenters may not use the stage as a platform to promote religious and/or personal social beliefs
Endorsement or denouncement of specific candidates, political parties, and/or issues, unless specifically related to the operation of an Amway Business is not allowed.
Pyramid scheme allegations
Robert Carroll, of the Skeptic's Dictionary, has described Amway as a "legal pyramid scheme", and has said that the quasi-religious devotion of its affiliates is used by the company to conceal poor performance rates by distributors.
FTC investigation
In a 1979 ruling, the Federal Trade Commission found that Amway did not fit the definition of a pyramid scheme because (a) distributors were not paid to recruit people, (b) it did not require distributors to buy a large stock of unmoving inventory, (c) distributors were required to maintain retail sales (at least 10 per month), and (d) the company and all distributors were required to accept returns of excess inventory from down-level distributors.
The FTC did, however, find Amway "guilty of price-fixing and making exaggerated income claims"; the company was ordered to stop retail price fixing and allocating customers among distributors and was prohibited from misrepresenting the amount of profit, earnings or sales its distributors are likely to achieve with the business. Amway was ordered to accompany any such statements with the actual averages per distributor, pointing out that more than half of the distributors do not make any money, with the average distributor making less than $100 per month. The order was violated with a 1986 ad campaign, resulting in a $100,000 fine.
Studies of independent consumer watchdog agencies have shown that between 990 and 999 of 1000 participants in MLMs that use Amway-type pay plans in fact lose money. According to The Skeptic's Dictionary, "In the United States, the Federal Trade Commission requires Amway to label its products with the message that 54% of Amway recruits make nothing and the rest earn on average $65 a month."
Amway India
In September 2006, following a public complaint, Andhra Pradesh and Telangana state police (CID) initiated raids and seizures against Amway distributors in the state, and submitted a petition against them, claiming the company violated the Prize Chits and Money Circulation Schemes (Banning) Act. They shut down all corporate offices associated with the Amway organization including the offices of some Amway distributors. The enforcement said that the business model of the company is illegal. The Reserve Bank of India (RBI) had notified the police that Amway in India may be violating certain laws regarding a "money circulation scheme" and the IB Times article writes that "some say ... Amway is really more about making money from recruiting people to become distributors, as opposed to selling products". In 2008, the state government of Andhra Pradesh enacted a ban on Amway media advertisements.
On August 6, 2011, Kerala Police sealed the offices of Amway at Kozhikode, Kannur, Kochi, Kottayam, Thrissur, Kollam and Thiruvananthapuram following complaints. In November 2012, the Economic Offences Wing of Kerala Police conducted searches at the offices of Amway at Kozhikode, Thrissur and Kannur as part of its crackdown on money chain activities and closed down the firm's warehouses at these centres. Products valued at 21.4 million rupees (about US$400,000 at the time) were also seized. Later, Area manager of Amway, P. M. Rajkumar, who was arrested following searches was remanded in judicial custody for 14 days.
On May 27, 2013, Crime Branch officials of Kerala Police arrested William S. Pinckney, Managing Director & CEO of Amway India Enterprises along with two other directors of the company from Kozhikode. The three were arrested on charges of running a pyramid scheme. They were granted bail the next day and the business was unaffected. On June 8, 2013, Kozhikode Court lifted the freeze on Amway offices in Kerala. On May 26, 2014, Pinckney was arrested by Andhra Pradesh police on the basis of a consumer complaint that alleged unethical circulation of money by Amway. He was subsequently arrested in other criminal cases registered against him in the state on allegations of financial irregularities by the company. Pinckney was jailed for two months until being released on bail.
In 2017, a Chandigarh court framed charges, under Section 420 of the Indian Penal Code and the Prize Chits and Money Circulation Scheme (Banning) Act, against two directors of Amway India, William Scot Pinckney and Prithvai Raj Bijlani. This was based on a cheating case filed by eight complainants in 2002, following which the Economic Offences Wing had filed chargesheet in 2012. A revision plea moved by the two Amway officials against the framed charges was dismissed in 2018.
In April 2022, the Enforcement Directorate attached both movable and immovable assets of Amway India worth including the firm's factory in Dindigul along with bank accounts under the Prevention of Money Laundering Act (PMLA).
U.S. class action settlement
On November 3, 2010, Amway announced that it had agreed to pay $56 million—$34 million in cash and $22 million in products—to settle a class action that had been filed in Federal District Court in California in 2007. The class action, which had been brought against Quixtar and several of its top-level distributors, alleged fraud, racketeering, and that the defendants operated as an illegal pyramid scheme.
Amway, while noting that the settlement is not an admission of wrongdoing or liability, acknowledged that it had made changes to its business operations as a result of the lawsuit. The settlement is subject to approval by the court, which was expected in early 2011. The economic value of the settlement, including the changes Amway made to its business model, totals $100 million.
Lobbying for deregulation
The DeVoses supported an amendment to the US House of Representatives' omnibus Financial Services and General Government Appropriations bill for fiscal year 2018 by US Representative John Moolenaar that would have limited the ability of the FTC to investigate whether MLMs are pyramid schemes. The amendment would have barred the Treasury Department, the Justice Department, the Small Business Administration, the Securities and Exchange Commission, the FTC, or any other agencies from using any monies to take enforcement actions against pyramid operations for the fiscal year. It also adopted provisions from H.R. 3409, the so-called "Anti-Pyramid Scheme Promotion Act of 2016", which would blur the lines between legitimate MLM activity and pyramid schemes established under the original 1979 FTC case by deeming sales made to people inside the company as sales to an "ultimate user," thus erasing the key distinction made in the ruling between sales to actual consumers of a product and sales made to members of the MLM network as part of recruitment of members or to qualify for commissions. The amendment was opposed by a coalition of consumer interest groups including Consumer Action, the Consumer Federation of America, Consumers Union (the publisher of Consumer Reports magazine), Consumer Watchdog, the National Consumers League, and the United States Public Interest Research Group (US PIRG), as well as Truth in Advertising (TINA.org) in its original incarnation.
Other legal actions
Canadian tax fraud case
In 1982, Amway co-founders, Richard M. DeVos and Jay Van Andel, along with Amway's executive vice president for corporate services, William J. Discher Jr., were indicted in Canada on several criminal charges, including allegations that they underreported the value of goods brought into the country and had defrauded the Canadian government of more than $28 million from 1965 to 1980. The charges were dropped in 1983 after Amway and its Canadian subsidiary pleaded guilty to criminal customs fraud charges. The companies paid a fine of $25 million CAD, the largest fine ever imposed in Canada at the time. In 1989 the company settled the outstanding customs duties for $45 million CAD.
RIAA lawsuit
The Recording Industry Association of America (RIAA), as part of its anti-piracy efforts, sued Amway and several distributors in 1996, alleging that copyrighted music was used on "highly profitable" training videotapes. Amway denied wrongdoing, blaming the case on a misunderstanding by distributors, and settled the case out of court for $9 million.
Amway UK
In 2007, Amway's operations were halted in the United Kingdom and Ireland following a yearlong investigation by the UK Department of Trade and Industry, which moved to have Amway banned on the basis that the company had employed deceptive marketing, presented inflated earnings estimates, and lured distributors into buying bogus "motivation and training" tools. In 2008, a UK judge dismissed government claims against Amway's operations, saying major reforms in the prior year (which included banning non-Amway-approved motivational events and materials) had fixed company faults that favoured selling training materials over products and misrepresented earnings. However, the judge also expressed his belief that Amway allowed "misrepresentations" of its business by independent sellers in years past and failed to act decisively against the misrepresentations.
Welcome to Life (Poland)
In 1997, Amway Poland and Network TwentyOne separately sued the makers of a Polish film, Welcome to Life (), for defamation and copyright violations. Henryk Dederko (the director) and producer were later acquitted on the charge of disseminating false information. The film, banned for 12 years, was one of the highly anticipated movies of 2009's Warsaw Film Festival and was dubbed by the promoters as a "scary movie about brainwashing" It was said to depict hard-sell "pep rallies", and to include statements from distributors that meetings had a similar tone to meetings of the Communist Party before it lost power in Poland. Methods of recruitment that confusingly resembled those of a sect were also described. A bestseller on the local video black market, the film was banned while the suit proceeded.
In 2001 a regional court ruled in favor of Network 21; however, in 2004 the Warsaw Regional Court dismissed Amway's civil lawsuit. On appeal Amway won the case and the producers were ordered to pay a fine to a children's charity and publish a public apology. the film was still banned due to an ongoing case brought by "private individuals" ridiculed in the film.
On December 18, 2012, the court ruled that film can be screened, but the makers have to remove "untrue information", as the screen near the end of the movie stated that 30% of company income is generated by sales of training materials and that the vast majority of its profits are shared only by the tiny fraction of top distributors. This is not the only court case, so the film is still banned on other grounds.
Dr. Phil and Shape Up
In March 2004, TV personality Phil McGraw (a.k.a. Dr. Phil) pulled his "Shape Up" line of supplements off the market in the face of an investigation by the U.S. Federal Trade Commission (FTC). The supplements were manufactured by CSA Nutraceuticals, a subsidiary of Alticor's Access Business Group. The FTC later dropped the probe, but in October 2005 a class-action lawsuit was filed against McGraw by several people who used the products and claimed that the supplements, which cost $120 per month, did not stimulate weight loss. In September 2006, a $10.5 million settlement was reached, in which Alticor agreed to provide $4.5 million in cash and $6 million in Nutrilite products to disgruntled users of Shape Up.
Procter & Gamble
Some Amway distributors distributed an urban legend that the (old) Procter & Gamble service mark was in fact a Satanic symbol or that the CEO of P&G is himself a practicing Satanist. (In some variants of the story, it is also claimed that the CEO of Procter & Gamble donated "satanic tithes" to the Church of Satan.) Procter & Gamble alleged that several Amway distributors were behind a resurgence of the story in the 1990s and sued several independent Amway distributors and the company for defamation and slander. The distributors had used Amway's Amvox voice messaging service to send the rumor to their downline distributors in April 1995. By 2003, after more than a decade of lawsuits in multiple states, all allegations against Amway and Amway distributors had been dismissed. In October 2005, a Utah appeals court reversed part of the decision dismissing the case against the four Amway distributors, and remanded it to the lower court for further proceedings. In the lawsuit against the four former Amway distributors, Procter & Gamble was awarded $19.25 million by a U.S. District Court jury in Salt Lake City on March 20, 2007. On November 24, 2008, the case was officially settled. "It's hard to imagine they'd pursue it this long, especially after all the retractions we put out," said distributor Randy Haugen, a 53-year-old Ogden, Utah, businessman who maintained P&G was never able to show how it was harmed by the rumors. "We are stunned. All of us."
Regulatory violations in Vietnam
In January 2017, the Vietnam Ministry of Industry and Trade determined that Amway Vietnam had violated federal regulations by engaging in unauthorized multi-level marketing.
Other issues
Cultism
Some Amway distributor groups have been accused of using "cult-like" tactics to attract new distributors and keep them involved and committed. Allegations include resemblance to a Big Brother organization with a paranoid attitude toward insiders critical of the organization, seminars and rallies resembling religious revival meetings, and enormous involvement of distributors despite minimal incomes. An examination of the 1979–1980 tax records in the state of Wisconsin showed that the Direct Distributors reported a net loss of $918 on average.
Dateline NBC
In 2004, Dateline NBC featured a critical report based on a yearlong undercover investigation of business practices of Quixtar. The report noted that the average distributor makes only about $1,400 per year and that many of the "high level distributors singing the praises of Quixtar" are actually "making most of their money by selling motivational books, tapes and seminars; not Quixtar's cosmetics, soaps, and electronics":
In fact, about twenty high level distributors are part of an exclusive club; one that those hundreds of thousands of other distributors don't get to join. For years only a privileged few, including Bill Britt, have run hugely profitable businesses selling all those books, tapes and seminars; things the rank and file distributors can't sell themselves but, are told over and over again, they need to buy in order to succeed.
The program said that a Quixtar recruiter featured in the report made misleading and inconsistent statements about Quixtar earnings during a recruitment meeting and had an outstanding arrest warrant for cocaine possession from the mid-90s.
See also
List of multi-level marketing companies
Morrison v. Amway Corp.
References
Books
American Victory: The Real Story of Today's Amway, published April 1997 by Chapel & Croft Publishing;
Amway: The Cult of Free Enterprise, published December 1, 1985, by South End Press;
Amway Forever: The Amazing Story of a Global Business Phenomenon (), published August 2011 by John Wiley & Sons;
Amway: The True Story of the Company That Transformed the Lives of Millions, published September 1, 1999, by Berkley Publishing Group;
An Enterprising Life, published 1998 by HarperCollins;
An Uncommon Freedom: The Amway Experience and Why It Grows, published 1982 by Revell;
Commitment to excellence: The Remarkable Amway Story, published 1986 by Benjamin;
Compassionate Capitalism: People Helping People Help Themselves, published September 1994 by Penguin Books;
Empire of Freedom: The Amway Story and What It Means to You, published September 3, 1997, by Prima Lifestyles;
How to Be Like Rich DeVos: Succeeding with Integrity in Business and Life, published 2004 by Health Communications, Inc;
Merchants of Deception: An Insider's Chilling Look at the Worldwide, Multi-Billion Dollar Conspiracy of Lies That Is Amway and Its Motivational Organizations, published 2009 by BookSurge Publishing;
The First Eleven: The Growth of Amway in Britain Through the Lives of Its Local Heroes, published 1984 by AM Publishing;
Promises to Keep: The Amway Phenomenon and How It Works, published 1986 by Berkley Books;
The Direct Selling Revolution: Understanding the Growth of the Amway Corporation, published 1993 by WileyBlackwell;
The Possible Dream: A Candid Look At Amway, published 1977 by Revell;
Profiles of the American Dream: Rich DeVos and Jay Van Andel and the Remarkable Beginnings of Amway, 1997 by Premiere Films
External links
1959 establishments in Michigan
Companies based in Kent County, Michigan
Multi-level marketing companies
Privately held companies based in Michigan
Privately held companies of the United States
Retail companies established in 1959
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Adam Smith (baptised 1723 – 17 July 1790) was a Scottish economist and philosopher who was a pioneer in the thinking of political economy and key figure during the Scottish Enlightenment. Seen by some as "The Father of Economics" or "The Father of Capitalism", he wrote two classic works, The Theory of Moral Sentiments (1759) and An Inquiry into the Nature and Causes of the Wealth of Nations (1776). The latter, often abbreviated as The Wealth of Nations, is considered his magnum opus and the first modern work that treats economics as a comprehensive system and as an academic discipline. Smith refuses to explain the distribution of wealth and power in terms of God's will and instead appeals to natural, political, social, economic and technological factors and the interactions between them. Among other economic theories, the work introduced Smith's idea of absolute advantage.
Smith studied social philosophy at the University of Glasgow and at Balliol College, Oxford, where he was one of the first students to benefit from scholarships set up by fellow Scot John Snell. After graduating, he delivered a successful series of public lectures at the University of Edinburgh, leading him to collaborate with David Hume during the Scottish Enlightenment. Smith obtained a professorship at Glasgow, teaching moral philosophy and during this time, wrote and published The Theory of Moral Sentiments. In his later life, he took a tutoring position that allowed him to travel throughout Europe, where he met other intellectual leaders of his day.
As a reaction to the common policy of protecting national markets and merchants, what came to be known as mercantilism—nowadays often referred to as "cronyism" or "crony capitalism"—Smith laid the foundations of classical free market economic theory. The Wealth of Nations was a precursor to the modern academic discipline of economics. In this and other works, he developed the concept of division of labour and expounded upon how rational self-interest and competition can lead to economic prosperity. Smith was controversial in his own day and his general approach and writing style were often satirised by writers such as Horace Walpole.
Biography
Early life
Smith was born in Kirkcaldy, in Fife, Scotland. His father, also Adam Smith, was a Scottish Writer to the Signet (senior solicitor), advocate and prosecutor (judge advocate) and also served as comptroller of the customs in Kirkcaldy. Smith's mother was born Margaret Douglas, daughter of the landed Robert Douglas of Strathendry, also in Fife; she married Smith's father in 1720. Two months before Smith was born, his father died, leaving his mother a widow. The date of Smith's baptism into the Church of Scotland at Kirkcaldy was 5 June 1723 and this has often been treated as if it were also his date of birth, which is unknown.
Although few events in Smith's early childhood are known, the Scottish journalist John Rae, Smith's biographer, recorded that Smith was abducted by Romani at the age of three and released when others went to rescue him. Smith was close to his mother, who probably encouraged him to pursue his scholarly ambitions. He attended the Burgh School of Kirkcaldy—characterised by Rae as "one of the best secondary schools of Scotland at that period"—from 1729 to 1737, he learned Latin, mathematics, history, and writing.
Formal education
Smith entered the University of Glasgow at age 14 and studied moral philosophy under Francis Hutcheson. Here he developed his passion for the philosophical concepts of reason, civilian liberties, and free speech. In 1740, he was the graduate scholar presented to undertake postgraduate studies at Balliol College, Oxford, under the Snell Exhibition.
Smith considered the teaching at Glasgow to be far superior to that at Oxford, which he found intellectually stifling. In Book V, Chapter II of The Wealth of Nations, he wrote: "In the University of Oxford, the greater part of the public professors have, for these many years, given up altogether even the pretence of teaching." Smith is also reported to have complained to friends that Oxford officials once discovered him reading a copy of David Hume's A Treatise of Human Nature, and they subsequently confiscated his book and punished him severely for reading it. According to William Robert Scott, "The Oxford of [Smith's] time gave little if any help towards what was to be his lifework." Nevertheless, he took the opportunity while at Oxford to teach himself several subjects by reading many books from the shelves of the large Bodleian Library. When Smith was not studying on his own, his time at Oxford was not a happy one, according to his letters. Near the end of his time there, he began suffering from shaking fits, probably the symptoms of a nervous breakdown. He left Oxford University in 1746, before his scholarship ended.
In Book V of The Wealth of Nations, Smith comments on the low quality of instruction and the meager intellectual activity at English universities, when compared to their Scottish counterparts. He attributes this both to the rich endowments of the colleges at Oxford and Cambridge, which made the income of professors independent of their ability to attract students, and to the fact that distinguished men of letters could make an even more comfortable living as ministers of the Church of England.
Smith's discontent at Oxford might be in part due to the absence of his beloved teacher in Glasgow, Francis Hutcheson, who was well regarded as one of the most prominent lecturers at the University of Glasgow in his day and earned the approbation of students, colleagues, and even ordinary residents with the fervor and earnestness of his orations (which he sometimes opened to the public). His lectures endeavoured not merely to teach philosophy, but also to make his students embody that philosophy in their lives, appropriately acquiring the epithet, the preacher of philosophy. Unlike Smith, Hutcheson was not a system builder; rather, his magnetic personality and method of lecturing so influenced his students and caused the greatest of those to reverentially refer to him as "the never to be forgotten Hutcheson"—a title that Smith in all his correspondence used to describe only two people, his good friend David Hume and influential mentor Francis Hutcheson.
Teaching career
Smith began delivering public lectures in 1748 at the University of Edinburgh, sponsored by the Philosophical Society of Edinburgh under the patronage of Lord Kames. His lecture topics included rhetoric and belles-lettres, and later the subject of "the progress of opulence". On this latter topic, he first expounded his economic philosophy of "the obvious and simple system of natural liberty". While Smith was not adept at public speaking, his lectures met with success.
In 1750, Smith met the philosopher David Hume, who was his senior by more than a decade. In their writings covering history, politics, philosophy, economics, and religion, Smith and Hume shared closer intellectual and personal bonds than with other important figures of the Scottish Enlightenment.
In 1751, Smith earned a professorship at Glasgow University teaching logic courses, and in 1752, he was elected a member of the Philosophical Society of Edinburgh, having been introduced to the society by Lord Kames. When the head of Moral Philosophy in Glasgow died the next year, Smith took over the position. He worked as an academic for the next 13 years, which he characterised as "by far the most useful and therefore by far the happiest and most honorable period [of his life]".
Smith published The Theory of Moral Sentiments in 1759, embodying some of his Glasgow lectures. This work was concerned with how human morality depends on sympathy between agent and spectator, or the individual and other members of society. Smith defined "mutual sympathy" as the basis of moral sentiments. He based his explanation, not on a special "moral sense" as the Third Lord Shaftesbury and Hutcheson had done, nor on utility as Hume did, but on mutual sympathy, a term best captured in modern parlance by the 20th-century concept of empathy, the capacity to recognise feelings that are being experienced by another being.
Following the publication of The Theory of Moral Sentiments, Smith became so popular that many wealthy students left their schools in other countries to enroll at Glasgow to learn under Smith. At this time, Smith began to give more attention to jurisprudence and economics in his lectures and less to his theories of morals. For example, Smith lectured that the cause of increase in national wealth is labour, rather than the nation's quantity of gold or silver, which is the basis for mercantilism, the economic theory that dominated Western European economic policies at the time.
In 1762, the University of Glasgow conferred on Smith the title of Doctor of Laws (LL.D.). At the end of 1763, he obtained an offer from British chancellor of the Exchequer Charles Townshend—who had been introduced to Smith by David Hume—to tutor his stepson, Henry Scott, the young Duke of Buccleuch as preparation for a career in international politics. Smith resigned from his professorship in 1764 to take the tutoring position. He subsequently attempted to return the fees he had collected from his students because he had resigned partway through the term, but his students refused.
Tutoring, travels, European intellectuals
Smith's tutoring job entailed touring Europe with Scott, during which time he educated Scott on a variety of subjects. He was paid £300 per year (plus expenses) along with a £300 per year pension; roughly twice his former income as a teacher. Smith first travelled as a tutor to Toulouse, France, where he stayed for a year and a half. According to his own account, he found Toulouse to be somewhat boring, having written to Hume that he "had begun to write a book to pass away the time". After touring the south of France, the group moved to Geneva, where Smith met with the philosopher Voltaire.
From Geneva, the party moved to Paris. Here, Smith met American publisher and diplomat Benjamin Franklin, who a few years later would lead the opposition in the American colonies against four British resolutions from Charles Townshend (in history known as the Townshend Acts), which threatened American colonial self-government and imposed revenue duties on a number of items necessary to the colonies. Smith discovered the Physiocracy school founded by François Quesnay and discussed with their intellectuals. Physiocrats were opposed to mercantilism, the dominating economic theory of the time, illustrated in their motto Laissez faire et laissez passer, le monde va de lui même! (Let do and let pass, the world goes on by itself!).
The wealth of France had been virtually depleted by Louis XIV and Louis XV in ruinous wars, and was further exhausted in aiding the American revolutionary soldiers, against the British. Given that the British economy of the day yielded an income distribution that stood in contrast to that which existed in France, Smith concluded that "with all its imperfections, [the Physiocratic school] is perhaps the nearest approximation to the truth that has yet been published upon the subject of political economy." The distinction between productive versus unproductive labour—the physiocratic classe steril—was a predominant issue in the development and understanding of what would become classical economic theory.
Later years
In 1766, Henry Scott's younger brother died in Paris, and Smith's tour as a tutor ended shortly thereafter. Smith returned home that year to Kirkcaldy, and he devoted much of the next decade to writing his magnum opus. There, he befriended Henry Moyes, a young blind man who showed precocious aptitude. Smith secured the patronage of David Hume and Thomas Reid in the young man's education. In May 1773, Smith was elected fellow of the Royal Society of London, and was elected a member of the Literary Club in 1775. The Wealth of Nations was published in 1776 and was an instant success, selling out its first edition in only six months.
In 1778, Smith was appointed to a post as commissioner of customs in Scotland and went to live with his mother (who died in 1784) in Panmure House in Edinburgh's Canongate. Five years later, as a member of the Philosophical Society of Edinburgh when it received its royal charter, he automatically became one of the founding members of the Royal Society of Edinburgh. From 1787 to 1789, he occupied the honorary position of Lord Rector of the University of Glasgow.
Death
Smith died in the northern wing of Panmure House in Edinburgh on 17 July 1790 after a painful illness. His body was buried in the Canongate Kirkyard. On his deathbed, Smith expressed disappointment that he had not achieved more.
Smith's literary executors were two friends from the Scottish academic world: the physicist and chemist Joseph Black and the pioneering geologist James Hutton. Smith left behind many notes and some unpublished material, but gave instructions to destroy anything that was not fit for publication. He mentioned an early unpublished History of Astronomy as probably suitable, and it duly appeared in 1795, along with other material such as Essays on Philosophical Subjects.
Smith's library went by his will to David Douglas, Lord Reston (son of his cousin Colonel Robert Douglas of Strathendry, Fife), who lived with Smith. It was eventually divided between his two surviving children, Cecilia Margaret (Mrs. Cunningham) and David Anne (Mrs. Bannerman). On the death in 1878 of her husband, the Reverend W. B. Cunningham of Prestonpans, Mrs. Cunningham sold some of the books. The remainder passed to her son, Professor Robert Oliver Cunningham of Queen's College, Belfast, who presented a part to the library of Queen's College. After his death, the remaining books were sold. On the death of Mrs. Bannerman in 1879, her portion of the library went intact to the New College (of the Free Church) in Edinburgh and the collection was transferred to the University of Edinburgh Main Library in 1972.
Personality and beliefs
Character
Not much is known about Smith's personal views beyond what can be deduced from his published articles. His personal papers were destroyed after his death, per his request. He never married, and seems to have maintained a close relationship with his mother, with whom he lived after his return from France and who died six years before him.
Smith was described by several of his contemporaries and biographers as comically absent-minded, with peculiar habits of speech and gait, and a smile of "inexpressible benignity". He was known to talk to himself, a habit that began during his childhood when he would smile in rapt conversation with invisible companions. He also had occasional spells of imaginary illness, and he is reported to have had books and papers placed in tall stacks in his study. According to one story, Smith took Charles Townshend on a tour of a tanning factory, and while discussing free trade, Smith walked into a huge tanning pit from which he needed help to escape. He is also said to have put bread and butter into a teapot, drunk the concoction, and declared it to be the worst cup of tea he ever had. According to another account, Smith distractedly went out walking in his nightgown and ended up outside of town, before nearby church bells brought him back to reality.
James Boswell, who was a student of Smith's at Glasgow University, and later knew him at the Literary Club, says that Smith thought that speaking about his ideas in conversation might reduce the sale of his books, so his conversation was unimpressive. According to Boswell, he once told Sir Joshua Reynolds, that "he made it a rule when in company never to talk of what he understood".
Smith has been alternatively described as someone who "had a large nose, bulging eyes, a protruding lower lip, a nervous twitch, and a speech impediment" and one whose "countenance was manly and agreeable". Smith is said to have acknowledged his looks at one point, saying, "I am a beau in nothing but my books." Smith rarely sat for portraits, so almost all depictions of him created during his lifetime were drawn from memory. The best-known portraits of Smith are the profile by James Tassie and two etchings by John Kay. The line engravings produced for the covers of 19th-century reprints of The Wealth of Nations were based largely on Tassie's medallion.
Religious views
Considerable scholarly debate has occurred about the nature of Smith's religious views. His father had shown a strong interest in Christianity and belonged to the moderate wing of the Church of Scotland, and the fact he received the Snell Exhibition suggests that he may have gone to Oxford with the intention of pursuing a career in the Church of England.
Anglo-American economist Ronald Coase has challenged the view that Smith was a deist, based on the fact that Smith's writings never explicitly invoke God as an explanation of the harmonies of the natural or the human worlds. According to Coase, though Smith does sometimes refer to the "Great Architect of the Universe", later scholars such as Jacob Viner have "very much exaggerated the extent to which Adam Smith was committed to a belief in a personal God", a belief for which Coase finds little evidence in passages such as the one in the Wealth of Nations in which Smith writes that the curiosity of mankind about the "great phenomena of nature", such as "the generation, the life, growth, and dissolution of plants and animals", has led men to "enquire into their causes", and that "superstition first attempted to satisfy this curiosity, by referring all those wonderful appearances to the immediate agency of the gods. Philosophy afterwards endeavoured to account for them, from more familiar causes, or from such as mankind were better acquainted with than the agency of the gods". Some authors argue that Smith's social and economic philosophy is inherently theological and that his entire model of social order is logically dependent on the notion of God's action in nature. Brendan Long argues that Smith was a theist, whereas according to professor Gavin Kennedy, Smith was "in some sense" a Christian.
Smith was also a close friend of David Hume, who, despite debate about his religious views in modern scholarship, was commonly characterised in his own time as an atheist. The publication in 1777 of Smith's letter to William Strahan, in which he described Hume's courage in the face of death in spite of his irreligiosity, attracted considerable controversy.
Published works
The Theory of Moral Sentiments
In 1759, Smith published his first work, The Theory of Moral Sentiments, sold by co-publishers Andrew Millar of London and Alexander Kincaid of Edinburgh. Smith continued making extensive revisions to the book until his death. Although The Wealth of Nations is widely regarded as Smith's most influential work, Smith himself is believed to have considered The Theory of Moral Sentiments to be a superior work.
In the work, Smith critically examines the moral thinking of his time, and suggests that conscience arises from dynamic and interactive social relationships through which people seek "mutual sympathy of sentiments." His goal in writing the work was to explain the source of mankind's ability to form moral judgment, given that people begin life with no moral sentiments at all. Smith proposes a theory of sympathy, in which the act of observing others and seeing the judgments they form of both others and oneself makes people aware of themselves and how others perceive their behaviour. The feedback we receive from perceiving (or imagining) others' judgment creates an incentive to achieve "mutual sympathy of sentiments" with them and leads people to develop habits, and then principles, of behaviour, which come to constitute one's conscience.
Some scholars have perceived a conflict between The Theory of Moral Sentiments and The Wealth of Nations; the former emphasises sympathy for others, while the latter focuses on the role of self-interest. In recent years, however, some scholars of Smith's work have argued that no contradiction exists. They contend that in The Theory of Moral Sentiments, Smith develops a theory of psychology in which individuals seek the approval of the "impartial spectator" as a result of a natural desire to have outside observers sympathise with their sentiments. Rather than viewing The Theory of Moral Sentiments and The Wealth of Nations as presenting incompatible views of human nature, some Smith scholars regard the works as emphasising different aspects of human nature that vary depending on the situation. In the first part – The Theory of Moral Sentiments – he laid down the foundation of his vision of humanity and society. In the second – The Wealth of Nations – he elaborated on the virtue of prudence, which for him meant the relations between people in the private sphere of the economy. It was his plan to further elaborate on the virtue of justice in the third book. Otteson argues that both books are Newtonian in their methodology and deploy a similar "market model" for explaining the creation and development of large-scale human social orders, including morality, economics, as well as language. Ekelund and Hebert offer a differing view, observing that self-interest is present in both works and that "in the former, sympathy is the moral faculty that holds self-interest in check, whereas in the latter, competition is the economic faculty that restrains self-interest."
The Wealth of Nations
Disagreement exists between classical and neoclassical economists about the central message of Smith's most influential work: An Inquiry into the Nature and Causes of the Wealth of Nations (1776). Neoclassical economists emphasise Smith's invisible hand, a concept mentioned in the middle of his work – Book IV, Chapter II – and classical economists believe that Smith stated his programme for promoting the "wealth of nations" in the first sentences, which attributes the growth of wealth and prosperity to the division of labour. He elaborated on the virtue of prudence, which for him meant the relations between people in the private sphere of the economy. It was his plan to further elaborate on the virtue of justice in the third book.
Smith used the term "the invisible hand" in "History of Astronomy" referring to "the invisible hand of Jupiter", and once in each of his The Theory of Moral Sentiments (1759) and The Wealth of Nations (1776). This last statement about "an invisible hand" has been interpreted in numerous ways.
As every individual, therefore, endeavours as much as he can both to employ his capital in the support of domestic industry, and so to direct that industry that its produce may be of the greatest value; every individual necessarily labours to render the annual revenue of the society as great as he can. He generally, indeed, neither intends to promote the public interest, nor knows how much he is promoting it. By preferring the support of domestic to that of foreign industry, he intends only his own security; and by directing that industry in such a manner as its produce may be of the greatest value, he intends only his own gain, and he is in this, as in many other cases, led by an invisible hand to promote an end which was no part of his intention. Nor is it always the worse for the society that it was no part of it. By pursuing his own interest he frequently promotes that of the society more effectually than when he really intends to promote it. I have never known much good done by those who affected to trade for the public good. It is an affectation, indeed, not very common among merchants, and very few words need be employed in dissuading them from it.
Those who regard that statement as Smith's central message also quote frequently Smith's dictum:
It is not from the benevolence of the butcher, the brewer, or the baker, that we expect our dinner, but from their regard to their own interest. We address ourselves, not to their humanity but to their self-love, and never talk to them of our own necessities but of their advantages.However, in The Theory of Moral Sentiments he had a more sceptical approach to self-interest as driver of behaviour:How selfish soever man may be supposed, there are evidently some principles in his nature, which interest him in the fortune of others, and render their happiness necessary to him, though he derives nothing from it except the pleasure of seeing it.
In relation to Mandeville's contention that "Private Vices ... may be turned into Public Benefits", Smith's belief that when an individual pursues his self-interest under conditions of justice, he unintentionally promotes the good of society. Self-interested competition in the free market, he argued, would tend to benefit society as a whole by keeping prices low, while still building in an incentive for a wide variety of goods and services. Nevertheless, he was wary of businessmen and warned of their "conspiracy against the public or in some other contrivance to raise prices." Again and again, Smith warned of the collusive nature of business interests, which may form cabals or monopolies, fixing the highest price "which can be squeezed out of the buyers." Smith also warned that a business-dominated political system would allow a conspiracy of businesses and industry against consumers, with the former scheming to influence politics and legislation. Smith states that the interest of manufacturers and merchants "in any particular branch of trade or manufactures, is always in some respects different from, and even opposite to, that of the public ... The proposal of any new law or regulation of commerce which comes from this order, ought always to be listened to with great precaution, and ought never be adopted till after having been long and carefully examined, not only with the most scrupulous, but with the most suspicious attention." Thus Smith's chief worry seems to be when business is given special protections or privileges from government; by contrast, in the absence of such special political favours, he believed that business activities were generally beneficial to the whole society:
It is the great multiplication of the production of all the different arts, in consequence of the division of labour, which occasions, in a well-governed society, that universal opulence which extends itself to the lowest ranks of the people. Every workman has a great quantity of his own work to dispose of beyond what he himself has occasion for; and every other workman being exactly in the same situation, he is enabled to exchange a great quantity of his own goods for a great quantity, or, what comes to the same thing, for the price of a great quantity of theirs. He supplies them abundantly with what they have occasion for, and they accommodate him as amply with what he has occasion for, and a general plenty diffuses itself through all the different ranks of society. (The Wealth of Nations, I.i.10)
The neoclassical interest in Smith's statement about "an invisible hand" originates in the possibility of seeing it as a precursor of neoclassical economics and its concept of general equilibrium; Samuelson's "Economics" refers six times to Smith's "invisible hand". To emphasise this connection, Samuelson quotes Smith's "invisible hand" statement substituting "general interest" for "public interest". Samuelson concludes: "Smith was unable to prove the essence of his invisible-hand doctrine. Indeed, until the 1940s, no one knew how to prove, even to state properly, the kernel of truth in this proposition about perfectly competitive market."
Very differently, classical economists see in Smith's first sentences his programme to promote "The Wealth of Nations". Using the physiocratical concept of the economy as a circular process, to secure growth the inputs of Period 2 must exceed the inputs of Period 1. Therefore, those outputs of Period 1 which are not used or usable as inputs of Period 2 are regarded as unproductive labour, as they do not contribute to growth. This is what Smith had heard in France from, among others, François Quesnay, whose ideas Smith was so impressed by that he might have dedicated The Wealth of Nations to him had he not died beforehand. To this French insight that unproductive labour should be reduced to use labour more productively, Smith added his own proposal, that productive labour should be made even more productive by deepening the division of labour. Smith argued that deepening the division of labour under competition leads to greater productivity, which leads to lower prices and thus an increasing standard of living—"general plenty" and "universal opulence"—for all. Extended markets and increased production lead to the continuous reorganisation of production and the invention of new ways of producing, which in turn lead to further increased production, lower prices, and improved standards of living. Smith's central message is, therefore, that under dynamic competition, a growth machine secures "The Wealth of Nations". Smith's argument predicted Britain's evolution as the workshop of the world, underselling and outproducing all its competitors. The opening sentences of the "Wealth of Nations" summarise this policy:
The annual labour of every nation is the fund which originally supplies it with all the necessaries and conveniences of life which it annually consumes ... . [T]his produce ... bears a greater or smaller proportion to the number of those who are to consume it ... .[B]ut this proportion must in every nation be regulated by two different circumstances;
first, by the skill, dexterity, and judgment with which its labour is generally applied; and,
secondly, by the proportion between the number of those who are employed in useful labour, and that of those who are not so employed [emphasis added].
However, Smith added that the "abundance or scantiness of this supply too seems to depend more upon the former of those two circumstances than upon the latter."
Other works
Shortly before his death, Smith had nearly all his manuscripts destroyed. In his last years, he seemed to have been planning two major treatises, one on the theory and history of law and one on the sciences and arts. The posthumously published Essays on Philosophical Subjects, a history of astronomy down to Smith's own era, plus some thoughts on ancient physics and metaphysics, probably contain parts of what would have been the latter treatise. Lectures on Jurisprudence were notes taken from Smith's early lectures, plus an early draft of The Wealth of Nations, published as part of the 1976 Glasgow Edition of the works and correspondence of Smith. Other works, including some published posthumously, include Lectures on Justice, Police, Revenue, and Arms (1763) (first published in 1896); and Essays on Philosophical Subjects (1795).
Legacy
In economics and moral philosophy
The Wealth of Nations was a precursor to the modern academic discipline of economics. In this and other works, Smith expounded how rational self-interest and competition can lead to economic prosperity. Smith was controversial in his own day and his general approach and writing style were often satirised by Tory writers in the moralising tradition of Hogarth and Swift, as a discussion at the University of Winchester suggests. In 2005, The Wealth of Nations was named among the 100 Best Scottish Books of all time.
In light of the arguments put forward by Smith and other economic theorists in Britain, academic belief in mercantilism began to decline in Britain in the late 18th century. During the Industrial Revolution, Britain embraced free trade and Smith's laissez-faire economics, and via the British Empire, used its power to spread a broadly liberal economic model around the world, characterised by open markets, and relatively barrier-free domestic and international trade.
George Stigler attributes to Smith "the most important substantive proposition in all of economics". It is that, under competition, owners of resources (for example labour, land, and capital) will use them most profitably, resulting in an equal rate of return in equilibrium for all uses, adjusted for apparent differences arising from such factors as training, trust, hardship, and unemployment.
Paul Samuelson finds in Smith's pluralist use of supply and demand as applied to wages, rents, and profit a valid and valuable anticipation of the general equilibrium modelling of Walras a century later. Smith's allowance for wage increases in the short and intermediate term from capital accumulation and invention contrasted with Malthus, Ricardo, and Karl Marx in their propounding a rigid subsistence–wage theory of labour supply.
Joseph Schumpeter criticised Smith for a lack of technical rigour, yet he argued that this enabled Smith's writings to appeal to wider audiences: "His very limitation made for success. Had he been more brilliant, he would not have been taken so seriously. Had he dug more deeply, had he unearthed more recondite truth, had he used more difficult and ingenious methods, he would not have been understood. But he had no such ambitions; in fact he disliked whatever went beyond plain common sense. He never moved above the heads of even the dullest readers. He led them on gently, encouraging them by trivialities and homely observations, making them feel comfortable all along."
Classical economists presented competing theories to those of Smith, termed the "labour theory of value". Later Marxian economics descending from classical economics also use Smith's labour theories, in part. The first volume of Karl Marx's major work, Das Kapital, was published in German in 1867. In it, Marx focused on the labour theory of value and what he considered to be the exploitation of labour by capital. The labour theory of value held that the value of a thing was determined by the labour that went into its production. This contrasts with the modern contention of neoclassical economics, that the value of a thing is determined by what one is willing to give up to obtain the thing.
The body of theory later termed "neoclassical economics" or "marginalism" formed from about 1870 to 1910. The term "economics" was popularised by such neoclassical economists as Alfred Marshall as a concise synonym for "economic science" and a substitute for the earlier, broader term "political economy" used by Smith. This corresponded to the influence on the subject of mathematical methods used in the natural sciences. Neoclassical economics systematised supply and demand as joint determinants of price and quantity in market equilibrium, affecting both the allocation of output and the distribution of income. It dispensed with the labour theory of value of which Smith was most famously identified with in classical economics, in favour of a marginal utility theory of value on the demand side and a more general theory of costs on the supply side.
The bicentennial anniversary of the publication of The Wealth of Nations was celebrated in 1976, resulting in increased interest for The Theory of Moral Sentiments and his other works throughout academia. After 1976, Smith was more likely to be represented as the author of both The Wealth of Nations and The Theory of Moral Sentiments, and thereby as the founder of a moral philosophy and the science of economics. His homo economicus or "economic man" was also more often represented as a moral person. Additionally, economists David Levy and Sandra Peart in "The Secret History of the Dismal Science" point to his opposition to hierarchy and beliefs in inequality, including racial inequality, and provide additional support for those who point to Smith's opposition to slavery, colonialism, and empire. Emphasised also are Smith's statements of the need for high wages for the poor, and the efforts to keep wages low. In The "Vanity of the Philosopher: From Equality to Hierarchy in Postclassical Economics", Peart and Levy also cite Smith's view that a common street porter was not intellectually inferior to a philosopher, and point to the need for greater appreciation of the public views in discussions of science and other subjects now considered to be technical. They also cite Smith's opposition to the often expressed view that science is superior to common sense.
Smith also explained the relationship between growth of private property and civil government:
Men may live together in society with some tolerable degree of security, though there is no civil magistrate to protect them from the injustice of those passions. But avarice and ambition in the rich, in the poor the hatred of labour and the love of present ease and enjoyment, are the passions which prompt to invade property, passions much more steady in their operation, and much more universal in their influence. Wherever there is great property there is great inequality. For one very rich man there must be at least five hundred poor, and the affluence of the few supposes the indigence of the many. The affluence of the rich excites the indignation of the poor, who are often both driven by want, and prompted by envy, to invade his possessions. It is only under the shelter of the civil magistrate that the owner of that valuable property, which is acquired by the labour of many years, or perhaps of many successive generations, can sleep a single night in security. He is at all times surrounded by unknown enemies, whom, though he never provoked, he can never appease, and from whose injustice he can be protected only by the powerful arm of the civil magistrate continually held up to chastise it. The acquisition of valuable and extensive property, therefore, necessarily requires the establishment of civil government. Where there is no property, or at least none that exceeds the value of two or three days' labour, civil government is not so necessary. Civil government supposes a certain subordination. But as the necessity of civil government gradually grows up with the acquisition of valuable property, so the principal causes which naturally introduce subordination gradually grow up with the growth of that valuable property. (...) Men of inferior wealth combine to defend those of superior wealth in the possession of their property, in order that men of superior wealth may combine to defend them in the possession of theirs. All the inferior shepherds and herdsmen feel that the security of their own herds and flocks depends upon the security of those of the great shepherd or herdsman; that the maintenance of their lesser authority depends upon that of his greater authority, and that upon their subordination to him depends his power of keeping their inferiors in subordination to them. They constitute a sort of little nobility, who feel themselves interested to defend the property and to support the authority of their own little sovereign in order that he may be able to defend their property and to support their authority. Civil government, so far as it is instituted for the security of property, is in reality instituted for the defence of the rich against the poor, or of those who have some property against those who have none at all.
In British imperial debates
Smith opposed empire. He challenged ideas that colonies were key to British prosperity and power. He rejected that other cultures, such as China and India, were culturally and developmentally inferior to Europe. While he favoured "commercial society", he did not support radical social change and the imposition of commercial society on other societies. He proposed that colonies be given independence or that full political rights be extended to colonial subjects.
Smith's chapter on colonies, in turn, would help shape British imperial debates from the mid-19th century onward. The Wealth of Nations would become an ambiguous text regarding the imperial question. In his chapter on colonies, Smith pondered how to solve the crisis developing across the Atlantic among the empire's 13 American colonies. He offered two different proposals for easing tensions. The first proposal called for giving the colonies their independence, and by thus parting on a friendly basis, Britain would be able to develop and maintain a free-trade relationship with them, and possibly even an informal military alliance. Smith's second proposal called for a theoretical imperial federation that would bring the colonies and the metropole closer together through an imperial parliamentary system and imperial free trade.
Smith's most prominent disciple in 19th-century Britain, peace advocate Richard Cobden, preferred the first proposal. Cobden would lead the Anti-Corn Law League in overturning the Corn Laws in 1846, shifting Britain to a policy of free trade and empire "on the cheap" for decades to come. This hands-off approach toward the British Empire would become known as Cobdenism or the Manchester School. By the turn of the century, however, advocates of Smith's second proposal such as Joseph Shield Nicholson would become ever more vocal in opposing Cobdenism, calling instead for imperial federation. As Marc-William Palen notes: "On the one hand, Adam Smith's late nineteenth and early twentieth-century Cobdenite adherents used his theories to argue for gradual imperial devolution and empire 'on the cheap'. On the other, various proponents of imperial federation throughout the British World sought to use Smith's theories to overturn the predominant Cobdenite hands-off imperial approach and instead, with a firm grip, bring the empire closer than ever before." Smith's ideas thus played an important part in subsequent debates over the British Empire.
Portraits, monuments, and banknotes
Smith has been commemorated in the UK on banknotes printed by two different banks; his portrait has appeared since 1981 on the £50 notes issued by the Clydesdale Bank in Scotland, and in March 2007 Smith's image also appeared on the new series of £20 notes issued by the Bank of England, making him the first Scotsman to feature on an English banknote.
A large-scale memorial of Smith by Alexander Stoddart was unveiled on 4 July 2008 in Edinburgh. It is a -tall bronze sculpture and it stands above the Royal Mile outside St Giles' Cathedral in Parliament Square, near the Mercat cross. 20th-century sculptor Jim Sanborn (best known for the Kryptos sculpture at the United States Central Intelligence Agency) has created multiple pieces which feature Smith's work. At Central Connecticut State University is Circulating Capital, a tall cylinder which features an extract from The Wealth of Nations on the lower half, and on the upper half, some of the same text, but represented in binary code. At the University of North Carolina at Charlotte, outside the Belk College of Business Administration, is Adam Smith's Spinning Top. Another Smith sculpture is at Cleveland State University. He also appears as the narrator in the 2013 play The Low Road, centred on a proponent on laissez-faire economics in the late 18th century, but dealing obliquely with the financial crisis of 2007–2008 and the recession which followed; in the premiere production, he was portrayed by Bill Paterson.
A bust of Smith is in the Hall of Heroes of the National Wallace Monument in Stirling.
Residence
Adam Smith resided at Panmure House from 1778 to 1790. This residence has now been purchased by the Edinburgh Business School at Heriot-Watt University and fundraising has begun to restore it. Part of the Northern end of the original building appears to have been demolished in the 19th century to make way for an iron foundry.
As a symbol of free-market economics
Smith has been celebrated by advocates of free-market policies as the founder of free-market economics, a view reflected in the naming of bodies such as the Adam Smith Institute in London, multiple entities known as the "Adam Smith Society", including an historical Italian organisation, and the U.S.-based Adam Smith Society, and the Australian Adam Smith Club, and in terms such as the Adam Smith necktie.
Former US Federal Reserve Chairman Alan Greenspan argues that, while Smith did not coin the term laissez-faire, "it was left to Adam Smith to identify the more-general set of principles that brought conceptual clarity to the seeming chaos of market transactions." Greenspan continues that The Wealth of Nations was "one of the great achievements in human intellectual history." P.J. O'Rourke describes Smith as the "founder of free market economics."
Nobel laureate economist Milton Friedman believed in 1976, 200 years after the publishing of The Wealth of Nations, that the work of Adam Smith was, "...far more immediately relevant today than he was at the Centennial of The Wealth of Nations in 1876."
Other writers have argued that Smith's support for laissez-faire (which in French means leave alone) has been overstated. Herbert Stein wrote that the people who "wear an Adam Smith necktie" do it to "make a statement of their devotion to the idea of free markets and limited government", and that this misrepresents Smith's ideas. Stein writes that Smith "was not pure or doctrinaire about this idea. He viewed government intervention in the market with great skepticism...yet he was prepared to accept or propose qualifications to that policy in the specific cases where he judged that their net effect would be beneficial and would not undermine the basically free character of the system. He did not wear the Adam Smith necktie." In Stein's reading, The Wealth of Nations could justify the Food and Drug Administration, the Consumer Product Safety Commission, mandatory employer health benefits, environmentalism, and "discriminatory taxation to deter improper or luxurious behavior".
Similarly, Vivienne Brown stated in The Economic Journal that in the 20th-century United States, Reaganomics supporters, The Wall Street Journal, and other similar sources have spread among the general public a partial and misleading vision of Smith, portraying him as an "extreme dogmatic defender of laissez-faire capitalism and supply-side economics". In fact, The Wealth of Nations includes the following statement on the payment of taxes:
The subjects of every state ought to contribute towards the support of the government, as nearly as possible, in proportion to their respective abilities; that is, in proportion to the revenue which they respectively enjoy under the protection of the state.
Some commentators have argued that Smith's works show support for a progressive, not flat, income tax and that he specifically named taxes that he thought should be required by the state, among them luxury-goods taxes and tax on rent. Yet Smith argued for the "impossibility of taxing the people, in proportion to their economic revenue, by any capitation". Smith argued that taxes should principally go toward protecting "justice" and "certain publick institutions" that were necessary for the benefit of all of society, but that could not be provided by private enterprise.
Additionally, Smith outlined the proper expenses of the government in The Wealth of Nations, Book V, Ch. I. Included in his requirements of a government is to enforce contracts and provide justice system, grant patents and copy rights, provide public goods such as infrastructure, provide national defence, and regulate banking. The role of the government was to provide goods "of such a nature that the profit could never repay the expense to any individual" such as roads, bridges, canals, and harbours. He also encouraged invention and new ideas through his patent enforcement and support of infant industry monopolies. He supported partial public subsidies for elementary education, and he believed that competition among religious institutions would provide general benefit to the society. In such cases, however, Smith argued for local rather than centralised control: "Even those publick works which are of such a nature that they cannot afford any revenue for maintaining themselves ... are always better maintained by a local or provincial revenue, under the management of a local and provincial administration, than by the general revenue of the state" (Wealth of Nations, V.i.d.18). Finally, he outlined how the government should support the dignity of the monarch or chief magistrate, such that they are equal or above the public in fashion. He even states that monarchs should be provided for in a greater fashion than magistrates of a republic because "we naturally expect more splendor in the court of a king than in the mansion-house of a doge". In addition, he allowed that in some specific circumstances, retaliatory tariffs may be beneficial:
The recovery of a great foreign market will generally more than compensate the transitory inconvenience of paying dearer during a short time for some sorts of goods.
However, he added that in general, a retaliatory tariff "seems a bad method of compensating the injury done to certain classes of our people, to do another injury ourselves, not only to those classes, but to almost all the other classes of them".
Economic historians such as Jacob Viner regard Smith as a strong advocate of free markets and limited government (what Smith called "natural liberty"), but not as a dogmatic supporter of laissez-faire.
Economist Daniel Klein believes using the term "free-market economics" or "free-market economist" to identify the ideas of Smith is too general and slightly misleading. Klein offers six characteristics central to the identity of Smith's economic thought and argues that a new name is needed to give a more accurate depiction of the "Smithian" identity. Economist David Ricardo set straight some of the misunderstandings about Smith's thoughts on free market. Many continue to fall victim to the thinking that Smith was a free-market economist without exception, though he was not. Ricardo pointed out that Smith was in support of helping infant industries. Smith believed that the government should subsidise newly formed industry, but he did fear that when the infant industry grew into adulthood, it would be unwilling to surrender the government help. Smith also supported tariffs on imported goods to counteract an internal tax on the same good. Smith also fell to pressure in supporting some tariffs in support for national defence.
Some have also claimed, Emma Rothschild among them, that Smith would have supported a minimum wage, although no direct textual evidence supports the claim. Indeed, Smith wrote:
The price of labour, it must be observed, cannot be ascertained very accurately anywhere, different prices being often paid at the same place and for the same sort of labour, not only according to the different abilities of the workmen, but according to the easiness or hardness of the masters. Where wages are not regulated by law, all that we can pretend to determine is what are the most usual; and experience seems to show that law can never regulate them properly, though it has often pretended to do so. (The Wealth of Nations, Book 1, Chapter 8)
However, Smith also noted, to the contrary, the existence of an imbalanced, inequality of bargaining power:
A landlord, a farmer, a master manufacturer, a merchant, though they did not employ a single workman, could generally live a year or two upon the stocks which they have already acquired. Many workmen could not subsist a week, few could subsist a month, and scarce any a year without employment. In the long run, the workman may be as necessary to his master as his master is to him, but the necessity is not so immediate.
See also
Critique of political economy
Organizational capital
List of abolitionist forerunners
List of Fellows of the Royal Society of Arts
People on Scottish banknotes
Adam Smith's America
References
Informational notes
Citations
Bibliography
Helbroner, Robert L. The Essential Adam Smith.
Otteson, James R. (2002). Adam Smith's Marketplace of Life. Cambridge: Cambridge University Press.
Further reading
Hardwick, D. and Marsh, L. (2014). Propriety and Prosperity: New Studies on the Philosophy of Adam Smith. Palgrave Macmillan
Phillipson, Nicholas (2010). Adam Smith: An Enlightened Life, Yale University Press, , 352 pages; scholarly biography
Pichet, Éric (2004). Adam Smith, je connais !, French biography.
Vianello, F. (1999). "Social accounting in Adam Smith", in: Mongiovi, G. and Petri F. (eds.), Value, Distribution and capital. Essays in honour of Pierangelo Garegnani, London: Routledge, .
Wolloch, N. (2015). "Symposium on Jack Russell Weinstein's Adam Smith's Pluralism: Rationality, Education and the Moral Sentiments". Cosmos + Taxis
"Adam Smith and Empire: A New Talking Empire Podcast," Imperial & Global Forum, 12 March 2014.
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Antoine-Laurent de Lavoisier ( ; ; 26 August 17438 May 1794), also Antoine Lavoisier after the French Revolution, was a French nobleman and chemist who was central to the 18th-century chemical revolution and who had a large influence on both the history of chemistry and the history of biology.
It is generally accepted that Lavoisier's great accomplishments in chemistry stem largely from his changing the science from a qualitative to a quantitative one. Lavoisier is most noted for his discovery of the role oxygen plays in combustion. He recognized and named oxygen (1778) and hydrogen (1783), and opposed phlogiston theory. Lavoisier helped construct the metric system, wrote the first extensive list of elements, and helped to reform chemical nomenclature. He predicted the existence of silicon (1787) and discovered that, although matter may change its form or shape, its mass always remains the same. His wife and laboratory assistant, Marie-Anne Paulze Lavoisier, became a renowned chemist in her own right.
Lavoisier was a powerful member of a number of aristocratic councils, and an administrator of the Ferme générale. The Ferme générale was one of the most hated components of the Ancien Régime because of the profits it took at the expense of the state, the secrecy of the terms of its contracts, and the violence of its armed agents. All of these political and economic activities enabled him to fund his scientific research. At the height of the French Revolution, he was charged with tax fraud and selling adulterated tobacco, and was guillotined.
Biography
Early life and education
Antoine-Laurent Lavoisier was born to a wealthy family of the nobility in Paris on 26 August 1743. The son of an attorney at the Parlement of Paris, he inherited a large fortune at the age of five upon the death of his mother. Lavoisier began his schooling at the Collège des Quatre-Nations, University of Paris (also known as the Collège Mazarin) in Paris in 1754 at the age of 11. In his last two years (1760–1761) at the school, his scientific interests were aroused, and he studied chemistry, botany, astronomy, and mathematics. In the philosophy class he came under the tutelage of Abbé Nicolas Louis de Lacaille, a distinguished mathematician and observational astronomer who imbued the young Lavoisier with an interest in meteorological observation, an enthusiasm which never left him. Lavoisier entered the school of law, where he received a bachelor's degree in 1763 and a licentiate in 1764. Lavoisier received a law degree and was admitted to the bar, but never practiced as a lawyer. However, he continued his scientific education in his spare time.
Early scientific work
Lavoisier's education was filled with the ideals of the French Enlightenment of the time, and he was fascinated by Pierre Macquer's dictionary of chemistry. He attended lectures in the natural sciences. Lavoisier's devotion and passion for chemistry were largely influenced by Étienne Condillac, a prominent French scholar of the 18th century. His first chemical publication appeared in 1764. From 1763 to 1767, he studied geology under Jean-Étienne Guettard. In collaboration with Guettard, Lavoisier worked on a geological survey of Alsace-Lorraine in June 1767. In 1764 he read his first paper to the French Academy of Sciences, France's most elite scientific society, on the chemical and physical properties of gypsum (hydrated calcium sulfate), and in 1766 he was awarded a gold medal by the King for an essay on the problems of urban street lighting. In 1768 Lavoisier received a provisional appointment to the Academy of Sciences. In 1769, he worked on the first geological map of France.
Lavoisier as a social reformer
Research benefitting the public good
While Lavoisier is commonly known for his contributions to the sciences, he also dedicated a significant portion of his fortune and work toward benefitting the public. Lavoisier was a humanitarian—he cared deeply about the people in his country and often concerned himself with improving the livelihood of the population by agriculture, industry, and the sciences. The first instance of this occurred in 1765, when he submitted an essay on improving urban street lighting to the French Academy of Sciences.
Three years later in 1768, he focused on a new project to design an aqueduct. The goal was to bring water from the river Yvette into Paris so that the citizens could have clean drinking water. But, since the construction never commenced, he instead turned his focus to purifying the water from the Seine. This was the project that interested Lavoisier in the chemistry of water and public sanitation duties.
Additionally, he was interested in air quality and spent some time studying the health risks associated with gunpowder's effect on the air. In 1772, he performed a study on how to reconstruct the Hôtel-Dieu hospital, after it had been damaged by fire, in a way that would allow proper ventilation and clean air throughout.
At the time, the prisons in Paris were known to be largely unlivable and the prisoners' treatment inhumane. Lavoisier took part in investigations in 1780 (and again in 1791) on the hygiene in prisons and had made suggestions to improve living conditions, suggestions which were largely ignored.
Once a part of the Academy, Lavoisier also held his own competitions to push the direction of research towards bettering the public and his own work.
Sponsorship of the sciences
Lavoisier had a vision of public education having roots in "scientific sociability" and philanthropy.
Lavoisier gained a vast majority of his income through buying stock in the General Farm, which allowed him to work on science full-time, live comfortably, and allowed him to contribute financially to better the community. (It would also contribute to his demise during the Reign of Terror many years later.)
It was very difficult to secure public funding for the sciences at the time, and additionally not very financially profitable for the average scientist, so Lavoisier used his wealth to open a very expensive and sophisticated laboratory in France so that aspiring scientists could study without the barriers of securing funding for their research.
He also pushed for public education in the sciences. He founded two organizations, and Musée des Arts et Métiers, which were created to serve as educational tools for the public. Funded by the wealthy and noble, the Lycée regularly taught courses to the public beginning in 1793.
Ferme générale and marriage
At the age of 26, around the time he was elected to the Academy of Sciences, Lavoisier bought a share in the Ferme générale, a tax farming financial company which advanced the estimated tax revenue to the royal government in return for the right to collect the taxes. On behalf of the Ferme générale Lavoisier commissioned the building of a wall around Paris so that customs duties could be collected from those transporting goods into and out of the city. His participation in the collection of its taxes did not help his reputation when the Reign of Terror began in France, as taxes and poor government reform were the primary motivators during the French Revolution.
Lavoisier consolidated his social and economic position when, in 1771 at age 28, he married Marie-Anne Pierrette Paulze, the 13-year-old daughter of a senior member of the Ferme générale. She was to play an important part in Lavoisier's scientific career—notably, she translated English documents for him, including Richard Kirwan's Essay on Phlogiston and Joseph Priestley's research. In addition, she assisted him in the laboratory and created many sketches and carved engravings of the laboratory instruments used by Lavoisier and his colleagues for their scientific works. Madame Lavoisier edited and published Antoine's memoirs (whether any English translations of those memoirs have survived is unknown as of today) and hosted parties at which eminent scientists discussed ideas and problems related to chemistry.
A portrait of Antoine and Marie-Anne Lavoisier was painted by the famed artist Jacques-Louis David. Completed in 1788 on the eve of the Revolution, the painting was denied a customary public display at the Paris Salon for fear that it might inflame anti-aristocratic passions.
For three years following his entry into the Ferme générale, Lavoisier's scientific activity diminished somewhat, for much of his time was taken up with official Ferme générale business. He did, however, present one important memoir to the Academy of Sciences during this period, on the supposed conversion of water into earth by evaporation. By a very precise quantitative experiment, Lavoisier showed that the "earthy" sediment produced after long-continued reflux heating of water in a glass vessel was not due to a conversion of the water into earth but rather to the gradual disintegration of the inside of the glass vessel produced by the boiling water. He also attempted to introduce reforms in the French monetary and taxation system to help the peasants.
Adulteration of tobacco
The Farmers General held a monopoly of the production, import and sale of tobacco in France, and the taxes they levied on tobacco brought revenues of 30 million livres a year. This revenue began to fall because of a growing black market in tobacco that was smuggled and adulterated, most commonly with ash and water. Lavoisier devised a method of checking whether ash had been mixed in with tobacco: "When a spirit of vitriol, aqua fortis or some other acid solution is poured on ash, there is an immediate very intense effervescent reaction, accompanied by an easily detected noise." Lavoisier also noticed that the addition of a small amount of ash improved the flavour of tobacco. Of one vendor selling adulterated goods, he wrote "His tobacco enjoys a very good reputation in the province... the very small proportion of ash that is added gives it a particularly pungent flavour that consumers look for. Perhaps the Farm could gain some advantage by adding a bit of this liquid mixture when the tobacco is fabricated." Lavoisier also found that while adding a lot of water to bulk the tobacco up would cause it to ferment and smell bad, the addition of a very small amount improved the product. Thereafter the factories of the Farmers General added, as he recommended, a consistent 6.3% of water by volume to the tobacco they processed. To allow for this addition, the Farmers General delivered to retailers seventeen ounces of tobacco while only charging for sixteen. To ensure that only these authorised amounts were added, and to exclude the black market, Lavoisier saw to it that a watertight system of checks, accounts, supervision and testing made it very difficult for retailers to source contraband tobacco or to improve their profits by bulking it up. He was energetic and rigorous in implementing this, and the systems he introduced were deeply unpopular with the tobacco retailers across the country. This unpopularity was to have consequences for him during the French Revolution.
Royal Commission on Agriculture
Lavoisier urged the establishment of a Royal Commission on Agriculture. He then served as its Secretary and spent considerable sums of his own money in order to improve the agricultural yields in the Sologne, an area where farmland was of poor quality. The humidity of the region often led to a blight of the rye harvest, causing outbreaks of ergotism among the population. In 1788 Lavoisier presented a report to the Commission detailing ten years of efforts on his experimental farm to introduce new crops and types of livestock. His conclusion was that despite the possibilities of agricultural reforms, the tax system left tenant farmers with so little that it was unrealistic to expect them to change their traditional practices.
Gunpowder Commission
Lavoisier's researches on combustion were carried out in the midst of a very busy schedule of public and private duties, especially in connection with the Ferme Générale. There were also innumerable reports for and committees of the Academy of Sciences to investigate specific problems on order of the royal government. Lavoisier, whose organizing skills were outstanding, frequently landed the task of writing up such official reports. In 1775 he was made one of four commissioners of gunpowder appointed to replace a private company, similar to the Ferme Générale, which had proved unsatisfactory in supplying France with its munitions requirements. As a result of his efforts, both the quantity and quality of French gunpowder greatly improved, and it became a source of revenue for the government. His appointment to the Gunpowder Commission brought one great benefit to Lavoisier's scientific career as well. As a commissioner, he enjoyed both a house and a laboratory in the Royal Arsenal. Here he lived and worked between 1775 and 1792.
Lavoisier was a formative influence in the formation of the Du Pont gunpowder business because he trained Éleuthère Irénée du Pont, its founder, on gunpowder-making in France; the latter said that the Du Pont gunpowder mills "would never have been started but for his kindness to me."
During the Revolution
In June 1791, Lavoisier made a loan of 71,000 livres to Pierre Samuel du Pont de Nemours to buy a printing works so that du Pont could publish a newspaper, La Correspondance Patriotique. The plan was for this to include both reports of debates in the National Constituent Assembly as well as papers from the Academy of Sciences. The revolution quickly disrupted the elder du Pont's first newspaper, but his son E.I. du Pont soon launched Le Republicain and published Lavoisier's latest chemistry texts.
Lavoisier also chaired the commission set up to establish a uniform system of weights and measures which in March 1791 recommended the adoption of the metric system. The new system of weights and measures was adopted by the Convention on 1 August 1793. Lavoisier was one of the 27 Farmers General who, by order of the Convention, were all to be detained. Although temporarily going into hiding, on 30 November 1793 he handed himself into the Port Royal convent for questioning. He claimed he had not operated on this commission for many years, having instead devoted himself to science.
Lavoisier himself was removed from the commission on weights and measures on 23 December 1793, together with mathematician Pierre-Simon Laplace and several other members, for political reasons.
One of his last major works was a proposal to the National Convention for the reform of French education. He also intervened on behalf of a number of foreign-born scientists including mathematician Joseph Louis Lagrange, helping to exempt them from a mandate stripping all foreigners of possessions and freedom.
Final days and execution
As the French Revolution gained momentum, attacks mounted on the deeply unpopular Ferme générale, and it was eventually abolished in March 1791. In 1792 Lavoisier was forced to resign from his post on the Gunpowder Commission and to move from his house and laboratory at the Royal Arsenal. On 8 August 1793, all the learned societies, including the Academy of Sciences, were suppressed at the request of Abbé Grégoire.
On 24 November 1793, the arrest of all the former tax farmers was ordered. Lavoisier and the other Farmers General faced nine accusations of defrauding the state of money owed to it, and of adding water to tobacco before selling it. Lavoisier drafted their defense, refuting the financial accusations, reminding the court of how they had maintained a consistently high quality of tobacco. The court, however, was inclined to believe that by condemning them and seizing the goods of the Farmers General, it would recover huge sums for the state. Lavoisier was convicted and guillotined on 8 May 1794 in Paris, at the age of 50, along with his 27 co-defendants.
According to popular legend, the appeal to spare his life, in order that he could continue his experiments, was cut short by the judge, Coffinhal: "La République n'a pas besoin de savants ni de chimistes; le cours de la justice ne peut être suspendu." ("The Republic needs neither scholars nor chemists; the course of justice cannot be delayed.") The judge Coffinhal himself would be executed less than three months later, in the wake of the Thermidorian reaction.
Lavoisier's importance to science was expressed by Lagrange who lamented the beheading by saying: "Il ne leur a fallu qu'un moment pour faire tomber cette tête, et cent années peut-être ne suffiront pas pour en reproduire une semblable." ("It took them only an instant to cut off this head, and one hundred years might not suffice to reproduce its like.")
Exoneration
A year and a half after his execution, Lavoisier was completely exonerated by the French government. During the White Terror, his belongings were delivered to his widow. A brief note was included, reading "To the widow of Lavoisier, who was falsely convicted".
Contributions to chemistry
Oxygen theory of combustion
Contrary to prevailing thought at the time, Lavoisier theorized that common air combines with substance when they are burned. He demonstrated this through experiment.
During late 1772 Lavoisier turned his attention to the phenomenon of combustion, the topic on which he was to make his most significant contribution to science. He reported the results of his first experiments on combustion in a note to the Academy on 20 October, in which he reported that when phosphorus burned, it combined with a large quantity of air to produce acid spirit of phosphorus, and that the phosphorus increased in weight on burning. In a second sealed note deposited with the Academy a few weeks later (1 November) Lavoisier extended his observations and conclusions to the burning of sulfur and went on to add that "what is observed in the combustion of sulfur and phosphorus may well take place in the case of all substances that gain in weight by combustion and calcination: and I am persuaded that the increase in weight of metallic calces is due to the same cause."
Joseph Black's "fixed air"
During 1773 Lavoisier determined to review thoroughly the literature on air, particularly "fixed air," and to repeat many of the experiments of other workers in the field. He published an account of this review in 1774 in a book entitled Opuscules physiques et chimiques (Physical and Chemical Essays). In the course of this review, he made his first full study of the work of Joseph Black, the Scottish chemist who had carried out a series of classic quantitative experiments on the mild and caustic alkalies. Black had shown that the difference between a mild alkali, for example, chalk (CaCO3), and the caustic form, for example, quicklime (CaO), lay in the fact that the former contained "fixed air," not common air fixed in the chalk, but a distinct chemical species, now understood to be carbon dioxide (CO2), which was a constituent of the atmosphere. Lavoisier recognized that Black's fixed air was identical with the air evolved when metal calces were reduced with charcoal and even suggested that the air which combined with metals on calcination and increased the weight might be Black's fixed air, that is, CO2.
Joseph Priestley
In the spring of 1774, Lavoisier carried out experiments on the calcination of tin and lead in sealed vessels, the results of which conclusively confirmed that the increase in weight of metals in combustion was due to combination with air. But the question remained about whether it was in combination with common atmospheric air or with only a part of atmospheric air. In October the English chemist Joseph Priestley visited Paris, where he met Lavoisier and told him of the air which he had produced by heating the red calx of mercury with a burning glass and which had supported combustion with extreme vigor. Priestley at this time was unsure of the nature of this gas, but he felt that it was an especially pure form of common air. Lavoisier carried out his own research on this peculiar substance. The result was his memoir On the Nature of the Principle Which Combines with Metals during Their Calcination and Increases Their Weight, read to the Academy on 26 April 1775 (commonly referred to as the Easter Memoir). In the original memoir, Lavoisier showed that the mercury calx was a true metallic calx in that it could be reduced with charcoal, giving off Black's fixed air in the process. When reduced without charcoal, it gave off an air which supported respiration and combustion in an enhanced way. He concluded that this was just a pure form of common air and that it was the air itself "undivided, without alteration, without decomposition" which combined with metals on calcination.
After returning from Paris, Priestley took up once again his investigation of the air from mercury calx. His results now showed that this air was not just an especially pure form of common air but was "five or six times better than common air, for the purpose of respiration, inflammation, and ... every other use of common air". He called the air dephlogisticated air, as he thought it was common air deprived of its phlogiston. Since it was therefore in a state to absorb a much greater quantity of phlogiston given off by burning bodies and respiring animals, the greatly enhanced combustion of substances and the greater ease of breathing in this air were explained.
Pioneer of stoichiometry
Lavoisier's researches included some of the first truly quantitative chemical experiments. He carefully weighed the reactants and products of a chemical reaction in a sealed glass vessel so that no gases could escape, which was a crucial step in the advancement of chemistry. In 1774, he showed that, although matter can change its state in a chemical reaction, the total mass of matter is the same at the end as at the beginning of every chemical change. Thus, for instance, if a piece of wood is burned to ashes, the total mass remains unchanged if gaseous reactants and products are included. Lavoisier's experiments supported the law of conservation of mass. In France it is taught as Lavoisier's Law and is paraphrased from a statement in his Traité Élémentaire de Chimie: "Nothing is lost, nothing is created, everything is transformed." Mikhail Lomonosov (1711–1765) had previously expressed similar ideas in 1748 and proved them in experiments; others whose ideas pre-date the work of Lavoisier include Jean Rey (1583–1645), Joseph Black (1728–1799), and Henry Cavendish (1731–1810).
Chemical nomenclature
Lavoisier, together with Louis-Bernard Guyton de Morveau, Claude-Louis Berthollet, and Antoine François de Fourcroy, submitted a new program for the reforms of chemical nomenclature to the Academy in 1787, for there was virtually no rational system of chemical nomenclature at this time. This work, titled Méthode de nomenclature chimique (Method of Chemical Nomenclature, 1787), introduced a new system which was tied inextricably to Lavoisier's new oxygen theory of chemistry.
The classical elements of earth, air, fire, and water were discarded, and instead some 33 substances which could not be decomposed into simpler substances by any known chemical means were provisionally listed as elements. The elements included light; caloric (matter of heat); the principles of oxygen, hydrogen, and azote (nitrogen); carbon; sulfur; phosphorus; the yet unknown "radicals" of muriatic acid (hydrochloric acid), boric acid, and "fluoric" acid; 17 metals; 5 earths (mainly oxides of yet unknown metals such as magnesia, baria, and strontia); three alkalies (potash, soda, and ammonia); and the "radicals" of 19 organic acids.
The acids, regarded in the new system as compounds of various elements with oxygen, were given names which indicated the element involved together with the degree of oxygenation of that element, for example sulfuric and sulfurous acids, phosphoric and phosphorous acids, nitric and nitrous acids, the "ic" termination indicating acids with a higher proportion of oxygen than those with the "ous" ending.
Similarly, salts of the "ic" acids were given the terminal letters "ate," as in copper sulfate, whereas the salts of the "ous" acids terminated with the suffix "ite," as in copper sulfite.
The total effect of the new nomenclature can be gauged by comparing the new name "copper sulfate" with the old term "vitriol of Venus." Lavoisier's new nomenclature spread throughout Europe and to the United States and became common use in the field of chemistry. This marked the beginning of the anti-phlogistic approach to the field.
Chemical revolution and opposition
Lavoisier is commonly cited as a central contributor to the chemical revolution. His precise measurements and meticulous keeping of balance sheets throughout his experiment were vital to the widespread acceptance of the law of conservation of mass. His introduction of new terminology, a binomial system modeled after that of Linnaeus, also helps to mark the dramatic changes in the field which are referred to generally as the chemical revolution. Lavoisier encountered much opposition in trying to change the field, especially from British phlogistic scientists. Joseph Priestley, Richard Kirwan, James Keir, and William Nicholson, among others, argued that quantification of substances did not imply conservation of mass. Rather than reporting factual evidence, opposition claimed Lavoisier was misinterpreting the implications of his research. One of Lavoisier's allies, Jean Baptiste Biot, wrote of Lavoisier's methodology, "one felt the necessity of linking accuracy in experiments to rigor of reasoning." His opposition argued that precision in experimentation did not imply precision in inferences and reasoning. Despite opposition, Lavoisier continued to use precise instrumentation to convince other chemists of his conclusions, often results to five to eight decimal places. Nicholson, who estimated that only three of these decimal places were meaningful, stated:
Notable works
Easter memoir
The "official" version of Lavoisier's Easter Memoir appeared in 1778. In the intervening period, Lavoisier had ample time to repeat some of Priestley's latest experiments and perform some new ones of his own. In addition to studying Priestley's dephlogisticated air, he studied more thoroughly the residual air after metals had been calcined. He showed that this residual air supported neither combustion nor respiration and that approximately five volumes of this air added to one volume of the dephlogisticated air gave common atmospheric air. Common air was then a mixture of two distinct chemical species with quite different properties. Thus when the revised version of the Easter Memoir was published in 1778, Lavoisier no longer stated that the principle which combined with metals on calcination was just common air but "nothing else than the healthiest and purest part of the air" or the "eminently respirable part of the air". The same year he coined the name oxygen for this constituent of the air, from the Greek words meaning "acid former". He was struck by the fact that the combustion products of such nonmetals as sulfur, phosphorus, charcoal, and nitrogen were acidic. He held that all acids contained oxygen and that oxygen was therefore the acidifying principle.
Dismantling phlogiston theory
Lavoisier's chemical research between 1772 and 1778 was largely concerned with developing his own new theory of combustion. In 1783 he read to the academy his paper entitled Réflexions sur le phlogistique (Reflections on Phlogiston), a full-scale attack on the current phlogiston theory of combustion. That year Lavoisier also began a series of experiments on the composition of water which were to prove an important capstone to his combustion theory and win many converts to it. Many investigators had been experimenting with the combination of Henry Cavendish's inflammable air, which Lavoisier termed hydrogen (Greek for "water-former"), with "dephlogisticated air" (air in the process of combustion, now known to be oxygen) by electrically sparking mixtures of the gases. All of the researchers noted Cavendish's production of pure water by burning hydrogen in oxygen, but they interpreted the reaction in varying ways within the framework of phlogiston theory. Lavoisier learned of Cavendish's experiment in June 1783 via Charles Blagden (before the results were published in 1784), and immediately recognized water as the oxide of a hydroelectric gas.
In cooperation with Laplace, Lavoisier synthesized water by burning jets of hydrogen and oxygen in a bell jar over mercury. The quantitative results were good enough to support the contention that water was not an element, as had been thought for over 2,000 years, but a compound of two gases, hydrogen and oxygen. The interpretation of water as a compound explained the inflammable air generated from dissolving metals in acids (hydrogen produced when water decomposes) and the reduction of calces by inflammable air (a combination of gas from calx with oxygen to form water).
Despite these experiments, Lavoisier's antiphlogistic approach remained unaccepted by many other chemists. Lavoisier labored to provide definitive proof of the composition of water, attempting to use this in support of his theory. Working with Jean-Baptiste Meusnier, Lavoisier passed water through a red-hot iron gun barrel, allowing the oxygen to form an oxide with the iron and the hydrogen to emerge from the end of the pipe. He submitted his findings of the composition of water to the Académie des Sciences in April 1784, reporting his figures to eight decimal places. Opposition responded to this further experimentation by stating that Lavoisier continued to draw the incorrect conclusions and that his experiment demonstrated the displacement of phlogiston from iron by the combination of water with the metal. Lavoisier developed a new apparatus which used a pneumatic trough, a set of balances, a thermometer, and a barometer, all calibrated carefully. Thirty savants were invited to witness the decomposition and synthesis of water using this apparatus, convincing many who attended of the correctness of Lavoisier's theories. This demonstration established water as a compound of oxygen and hydrogen with great certainty for those who viewed it. The dissemination of the experiment, however, proved subpar, as it lacked the details to properly display the amount of precision taken in the measurements. The paper ended with a hasty statement that the experiment was "more than sufficient to lay hold of the certainty of the proposition" of the composition of water and stated that the methods used in the experiment would unite chemistry with the other physical sciences and advance discoveries.
Elementary Treatise of Chemistry
Lavoisier employed the new nomenclature in his Traité élémentaire de chimie (Elementary Treatise on Chemistry), published in 1789. This work represents the synthesis of Lavoisier's contribution to chemistry and can be considered the first modern textbook on the subject. The core of the work was the oxygen theory, and the work became a most effective vehicle for the transmission of the new doctrines. It presented a unified view of new theories of chemistry, contained a clear statement of the law of conservation of mass, and denied the existence of phlogiston. This text clarified the concept of an element as a substance that could not be broken down by any known method of chemical analysis and presented Lavoisier's theory of the formation of chemical compounds from elements. It remains a classic in the history of science. While many leading chemists of the time refused to accept Lavoisier's new ideas, demand for Traité élémentaire as a textbook in Edinburgh was sufficient to merit translation into English within about a year of its French publication. In any event, the Traité élémentaire was sufficiently sound to convince the next generation.
Physiological work
The relationship between combustion and respiration had long been recognized from the essential role which air played in both processes. Lavoisier was almost obliged, therefore, to extend his new theory of combustion to include the area of respiration physiology. His first memoirs on this topic were read to the Academy of Sciences in 1777, but his most significant contribution to this field was made in the winter of 1782–1783 in association with Laplace. The result of this work was published in a memoir, "On Heat." Lavoisier and Laplace designed an ice calorimeter apparatus for measuring the amount of heat given off during combustion or respiration. The outer shell of the calorimeter was packed with snow, which melted to maintain a constant temperature of around an inner shell filled with ice. By measuring the quantity of carbon dioxide and heat produced by confining a live guinea pig in this apparatus, and by comparing the amount of heat produced when sufficient carbon was burned in the ice calorimeter to produce the same amount of carbon dioxide as that which the guinea pig exhaled, they concluded that respiration was, in fact, a slow combustion process. Lavoisier stated, "la respiration est donc une combustion," that is, respiratory gas exchange is a combustion, like that of a candle burning.
This continuous slow combustion, which they supposed took place in the lungs, enabled the living animal to maintain its body temperature above that of its surroundings, thus accounting for the puzzling phenomenon of animal heat. Lavoisier continued these respiration experiments in 1789–1790 in cooperation with Armand Seguin. They designed an ambitious set of experiments to study the whole process of body metabolism and respiration using Seguin as a human guinea pig in the experiments. Their work was only partially completed and published because of the Revolution's disruption, but Lavoisier's pioneering work in this field inspired similar research on physiological processes for generations.
Legacy
Lavoisier's fundamental contributions to chemistry were a result of a conscious effort to fit all experiments into the framework of a single theory. He established the consistent use of the chemical balance, used oxygen to overthrow the phlogiston theory, and developed a new system of chemical nomenclature which held that oxygen was an essential constituent of all acids (which later turned out to be erroneous).
Lavoisier also did early research in physical chemistry and thermodynamics in joint experiments with Laplace. They used a calorimeter to estimate the heat evolved per unit of carbon dioxide produced, eventually finding the same ratio for a flame and animals, indicating that animals produced energy by a type of combustion reaction.
Lavoisier also contributed to early ideas on composition and chemical changes by stating the radical theory, believing that radicals, which function as a single group in a chemical process, combine with oxygen in reactions. He also introduced the possibility of allotropy in chemical elements when he discovered that diamond is a crystalline form of carbon.
He was also responsible for the construction of the gasometer, an expensive instrument he used at his demonstrations. While he used his gasometer exclusively for these, he also created smaller, cheaper, more practical gasometers that worked with a sufficient degree of precision that more chemists could recreate.
Overall, his contributions are considered the most important in advancing chemistry to the level reached in physics and mathematics during the 18th century.
Mount Lavoisier in New Zealand's Paparoa Range was named after him in 1970 by the Department of Scientific and Industrial Research.
Awards and honours
During his lifetime, Lavoisier was awarded a gold medal by the King of France for his work on urban street lighting (1766), and was appointed to the French Academy of Sciences (1768). He was elected as a member of the American Philosophical Society in 1775.
Lavoisier's work was recognized as an International Historic Chemical Landmark by the American Chemical Society, Académie des sciences de L'institut de France and the Société Chimique de France in 1999. Antoine Laurent Lavoisier's Louis 1788 publication entitled Méthode de Nomenclature Chimique, published with colleagues Louis-Bernard Guyton de Morveau, Claude Louis Berthollet, and Antoine François, comte de Fourcroy, was honored by a Citation for Chemical Breakthrough Award from the Division of History of Chemistry of the American Chemical Society, presented at the Académie des Sciences (Paris) in 2015.
A number of Lavoisier Medals have been named and given in Lavoisier's honour, by organizations including the Société chimique de France, the International Society for Biological Calorimetry, and the DuPont company He is also commemorated by the Franklin-Lavoisier Prize, marking the friendship of Antoine-Laurent Lavoisier and Benjamin Franklin. The prize, which includes a medal, is given jointly by the Fondation de la Maison de la Chimie in Paris, France and the Science History Institute in Philadelphia, PA, USA.
Selected writings
Opuscules physiques et chimiques (Paris: Chez Durand, Didot, Esprit, 1774). (Second edition, 1801)
L'art de fabriquer le salin et la potasse, publié par ordre du Roi, par les régisseurs-généraux des Poudres & Salpêtres (Paris, 1779).
Instruction sur les moyens de suppléer à la disette des fourrages, et d'augmenter la subsistence des bestiaux, Supplément à l'instruction sur les moyens de pourvoir à la disette des fourrages, publiée par ordre du Roi le 31 mai 1785 (Instruction on the means of compensating for the food shortage with fodder, and of increasing the subsistence of cattle, Supplement to the instruction on the means of providing for the food shortage with fodder, published by order of King on 31 May 1785).
(with Guyton de Morveau, Claude-Louis Berthollet, Antoine Fourcroy) Méthode de nomenclature chimique (Paris: Chez Cuchet, 1787)
(with Fourcroy, Morveau, Cadet, Baumé, d'Arcet, and Sage) Nomenclature chimique, ou synonymie ancienne et moderne, pour servir à l'intelligence des auteurs. (Paris: Chez Cuchet, 1789)
Traité élémentaire de chimie, présenté dans un ordre nouveau et d'après les découvertes modernes (Paris: Chez Cuchet, 1789; Bruxelles: Cultures et Civilisations, 1965) (lit. Elementary Treatise on Chemistry, presented in a new order and alongside modern discoveries) also here
(with Pierre-Simon Laplace) "Mémoire sur la chaleur," Mémoires de l'Académie des sciences (1780), pp. 355–408.
Mémoire contenant les expériences faites sur la chaleur, pendant l'hiver de 1783 à 1784, par P.S. de Laplace & A. K. Lavoisier (1792)
Mémoires de Physique et de Chimie, de la Société d'Arcueil (1805: posthumous)
In translation
Essays Physical and Chemical (London: for Joseph Johnson, 1776; London: Frank Cass and Company Ltd., 1970) translation by Thomas Henry of Opuscules physiques et chimiques
The Art of Manufacturing Alkaline Salts and Potashes, Published by Order of His Most Christian Majesty, and approved by the Royal Academy of Sciences (1784) trans. by Charles Williamos of L'art de fabriquer le salin et la potasse
(with Pierre-Simon Laplace) Memoir on Heat: Read to the Royal Academy of Sciences, 28 June 1783, by Messrs. Lavoisier & De La Place of the same Academy. (New York: Neale Watson Academic Publications, 1982) trans. by Henry Guerlac of Mémoire sur la chaleur
Essays, on the Effects Produced by Various Processes On Atmospheric Air; With A Particular View To An Investigation Of The Constitution Of Acids, trans. Thomas Henry (London: Warrington, 1783) collects these essays:
"Experiments on the Respiration of Animals, and on the Changes effected on the Air in passing through their Lungs." (Read to the Académie des Sciences, 3 May 1777)
"On the Combustion of Candles in Atmospheric Air and in Dephlogistated Air." (Communicated to the Académie des Sciences, 1777)
"On the Combustion of Kunckel's Phosphorus."
"On the Existence of Air in the Nitrous Acid, and on the Means of decomposing and recomposing that Acid."
"On the Solution of Mercury in Vitriolic Acid."
"Experiments on the Combustion of Alum with Phlogistic Substances, and on the Changes effected on Air in which the Pyrophorus was burned."
"On the Vitriolisation of Martial Pyrites."
"General Considerations on the Nature of Acids, and on the Principles of which they are composed."
"On the Combination of the Matter of Fire with Evaporable Fluids; and on the Formation of Elastic Aëriform Fluids."
“Reflections on Phlogiston”, translation by Nicholas W. Best of “Réflexions sur le phlogistique, pour servir de suite à la théorie de la combustion et de la calcination” (read to the Académie Royale des Sciences over two nights, 28 June and 13 July 1783). Published in two parts:
Method of chymical nomenclature: proposed by Messrs. De Moreau, Lavoisier, Bertholet, and De Fourcroy (1788) Dictionary
Elements of Chemistry, in a New Systematic Order, Containing All the Modern Discoveries (Edinburgh: William Creech, 1790; New York: Dover, 1965) translation by Robert Kerr of Traité élémentaire de chimie. (Dover).
1799 edition
1802 edition: volume 1, volume 2
Some illustrations from 1793 edition
Some more illustrations from the Science History Institute
More illustrations (from Collected Works) from the Science History Institute
See also
Royal Commission on Animal Magnetism
Notes
Further reading
Bailly, J.-S., "Secret Report on Mesmerism or Animal Magnetism", International Journal of Clinical and Experimental Hypnosis, Vol. 50, No. 4, (October 2002), pp. 364–368.
Catalogue of Printed Works by and Memorabilia of Antoine Laurent Lavoisier, 1743–1794... Exhibited at the Grolier Club (New York, 1952).
Duveen, D.I. and H.S. Klickstein, A Bibliography of the Works of Antoine Laurent Lavoisier, 1743–1794 (London, 1954)
Franklin, B., Majault, M.J., Le Roy, J.B., Sallin, C.L., Bailly, J.-S., d'Arcet, J., de Bory, G., Guillotin, J.-I. & Lavoisier, A., "Report of The Commissioners charged by the King with the Examination of Animal Magnetism", International Journal of Clinical and Experimental Hypnosis, Vol.50, No.4, (October 2002), pp. 332–363.
External links
Archives: Fonds Antoine-Laurent Lavoisier, Le Comité Lavoisier, Académie des sciences
Panopticon Lavoisier a virtual museum of Antoine Lavoisier
Bibliography at Panopticon Lavoisier
Les Œuvres de Lavoisier
About his work
Location of Lavoisier's laboratory in Paris
Radio 4 program on the discovery of oxygen by the BBC
Who was the first to classify materials as "compounds"? – Fred Senese
Cornell University's Lavoisier collection
His writings
Les Œuvres de Lavoisier (The Complete Works of Lavoisier) edited by Pietro Corsi (Oxford University) and Patrice Bret (CNRS)
Oeuvres de Lavoisier (Works of Lavoisier) at Gallica BnF in six volumes.
WorldCat author page
Title page, woodcuts, and copperplate engravings by Madame Lavoisier from a 1789 first edition of Traité élémentaire de chimie (all images freely available for download in a variety of formats from Science History Institute Digital Collections at digital.sciencehistory.org.
1743 births
1794 deaths
Scientists from Paris
University of Paris alumni
18th-century French chemists
18th-century French writers
18th-century French male writers
French biologists
Members of the French Academy of Sciences
Fellows of the Royal Society
Discoverers of chemical elements
Independent scientists
Fermiers généraux
People of the Industrial Revolution
French Roman Catholics
French people executed by guillotine during the French Revolution
Executed scientists
Burials at Picpus Cemetery
Members of the American Philosophical Society
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Amitabh Bachchan (; born as Amitabh Srivastava; 11 October 1942) is an Indian actor, film producer, television host, occasional playback singer and former politician, who works in Hindi cinema. In a film career spanning over five decades, he has starred in more than 200 films. Bachchan is widely regarded as one of the most successful and influential actors in the history of Indian cinema. He is referred to as the Shahenshah of Bollywood, Sadi Ke Mahanayak (Hindi for, "Greatest actor of the century"), Star of the Millennium, or Big B. His dominance in the Indian movie scenario during the 1970s80s made the French director François Truffaut call it a "one-man industry".
Bachchan was born in 1942 in Allahabad (now Prayagraj) to the Hindi poet Harivansh Rai Bachchan and his wife, the social activist Teji Bachchan. He was educated at Sherwood College, Nainital, and Kirori Mal College, University of Delhi. His film career started in 1969 as a voice narrator in Mrinal Sen's film Bhuvan Shome. He first gained popularity in the early 1970s for films such as Anand, Zanjeer, Roti Kapada Aur Makaan, Deewaar and Sholay, and achieved greater stardom in later years, dubbed India's "angry young man" for several of his on-screen roles in Hindi films. He consistently starred in top grossing Indian films with critical acclaim since mid 1970s to 80s, such as Amar Akbar Anthony, Don, Trishul, Muqaddar Ka Sikander, Suhaag, Dostana, Naseeb, Laawaris, Kaalia, Namak Halaal, Coolie, Sharaabi and Mard, as well as some of his most acclaimed performances include Namak Haraam, Abhimaan, Majboor, Mili, Chupke Chupke, Kabhi Kabhie, Kaala Patthar, Shaan, Silsila, Shakti, Shahenshah and Agneepath. After taking break from acting in 1990s, his resurgence marked in 2000 with Mohabbatein. Since then he starred in several successful and acclaimed films such as Kabhi Khushi Kabhie Gham, Aankhen, Baghban, Black, Bunty Aur Babli, Sarkar, Kabhi Alvida Naa Kehna, Cheeni Kum, Paa, Piku, Pink and Badla. For Piku, he won his fourth National Film Award for Best Actor, making him the only actor to do so. Bachchan also made an appearance in a Hollywood film, The Great Gatsby (2013), in which he played a non-Indian Jewish character.
He has won numerous accolades in his career, including record four National Film Awards in Best Actor category and many awards at international film festivals and award ceremonies. He has won sixteen Filmfare Awards and is the most nominated performer in any major acting category at Filmfare with 34 nominations in Best Actor and 42 nominations overall. The Government of India honoured him with the Padma Shri in 1984, the Padma Bhushan in 2001, the Padma Vibhushan in 2015 and India's highest award in the field of cinema, the Dadasaheb Phalke Award in 2018 for his contributions to the arts. The Government of France honoured him with its highest civilian honour, Knight of the Legion of honour, in 2007 for his exceptional career in the world of cinema and beyond.
In addition to acting, Bachchan has worked as a playback singer, film producer and television presenter. He has hosted several seasons of the game show Kaun Banega Crorepati, India's version of the game show franchise, Who Wants to Be a Millionaire?. He also entered politics for a time in the 1980s. Bachchan has also been involved in several humanitarian works and he is a leading brand endorser in India. Beyond the Indian subcontinent, he acquired a large overseas following of the South Asian diaspora, as well as others, in markets including Africa (South Africa, Eastern Africa and Mauritius), the Middle East (especially UAE and Egypt), the United Kingdom, Russia, Central Asia, the Caribbean (Guyana, Suriname, and Trinidad and Tobago), Oceania (Fiji, Australia, and New Zealand), Canada and the United States. Bachchan was voted the "greatest star of stage or screen" by BBC Your Millennium online poll in 1999. In October 2003, TIME magazine dubbed Bachchan the "Star of the Millennium".
Early life and family
Bachchan was born on 11 October 1942 in Allahabad (now Prayagraj) to the Hindi poet Harivansh Rai Bachchan, and social activist Teji Bachchan. Harivansh Rai Bachchan was an Awadhi Hindu Kayastha, who was fluent in Awadhi, Hindi and Urdu. Harivansh's ancestors came from a village called Babupatti, in the Raniganj tehsil, in the Pratapgarh district, in the present-day state of Uttar Pradesh, in India. Teji Bachchan was a Punjabi Sikh Khatri from Lyallpur, Punjab, British India (present-day Faisalabad, Punjab, Pakistan). Bachchan has a younger brother, Ajitabh who is 5 years younger than him.
Bachchan's parents were initially going to name him Inquilaab (Hindustani for "Revolution"), inspired by the phrase Inquilab Zindabad (which translates into English as "Long live the revolution") popularly used during the Indian independence struggle; the name Amitabh was suggested to his father by poet Sumitranandan Pant. Although his surname was Shrivastava, Amitabh's father, who opposed the caste system, had adopted the pen name Bachchan ("child-like" in colloquial Hindi), under which he published all of his works. When his father was looking to get him admitted to a school, he and Bachchan's mother decided the family's name should be Bachchan instead of Shrivastava. It is with this last name that Amitabh debuted in films and used for all other practical purposes, Bachchan has become the surname for all of his immediate family. Bachchan's father died in 2003, and his mother in 2007.
Bachchan's secondary education was at Boys' High School & College in Allahabad and Sherwood College in Nainital. He attended Kirori Mal College at the University of Delhi in Delhi. He graduated with a Bachelor of Science degree from Kirori Mal College in 1962. When Bachchan finished his studies his father approached Prithviraj Kapoor, the founder of Prithvi Theatre and patriarch of the Kapoor acting family, to see if there was an opening for him, but Kapoor offered no encouragement. Bachchan was a friend of Rajiv Gandhi and Sanjay Gandhi, before he became an actor. He used to spend time with them when he was a resident in New Delhi. Bachchan's family were very close to the Nehru-Gandhi family of politicians. When Sonia Gandhi first came to India from Italy before her marriage, Bachchan had received her at the Palam International Airport on 13 January 1968. She spent 48 days at Bachchan's house with his parents before her marriage to Rajiv.
Bachchan applied for a role as a newsreader for All India Radio, Delhi but "failed the audition". He became a business executive for Bird & Company in Kolkata (Calcutta), and worked in the theatre before starting his film career. It is thought that his mother might have had some influence in Amitabh Bachchan's choice of career because she always insisted that he should "take centre stage".
Acting career
Early career (1969–1972)
Bachchan made his film debut in 1969, as a voice narrator in Mrinal Sen's National Award-winning film Bhuvan Shome. His first acting role was as one of the seven protagonists in the film Saat Hindustani, directed by Khwaja Ahmad Abbas and featuring Utpal Dutt, Anwar Ali (brother of comedian Mehmood), Madhu and Jalal Agha.
Anand (1971) followed, in which Bachchan starred alongside Rajesh Khanna. His role as a doctor with a cynical view of life garnered Bachchan his first Filmfare Award for Best Supporting Actor. He then played his first antagonist role as an infatuated lover-turned-murderer in Parwana (1971). Following Parwana were several films including Reshma Aur Shera (1971). During this time, he made a guest appearance in the film Guddi which starred his future wife Jaya Bhaduri. He narrated part of the film Bawarchi. In 1972, he made an appearance in the road action comedy Bombay to Goa directed by S. Ramanathan which was moderately successful. Many of Bachchan's films during this early period did not do well. His only film with Mala Sinha, Sanjog (1972) was also a box office failure.
Rise to stardom (1973–1974)
Bachchan was struggling, seen as a "failed newcomer" who, by the age of 30, had twelve flops and only two hits (as a lead in Bombay to Goa and supporting role in Anand). He was offered with a dual role movie by the director O.P Goyle, and writer O.P Ralhan for the film Bandhe Hath in 1973. This was Bachchan's first movie where he had played double role. Bachchan was soon discovered by screenwriter duo Salim–Javed, consisting of Salim Khan and Javed Akhtar. Salim Khan wrote the story, screenplay and script of Zanjeer (1973), and conceived the "angry young man" persona of the lead role. Javed Akhtar came on board as co-writer, and Prakash Mehra, who saw the script as potentially groundbreaking, as the film's director. However, they were struggling to find an actor for the lead "angry young man" role; it was turned down by a number of actors, owing to it going against the "romantic hero" image dominant in the industry at the time. Salim-Javed soon discovered Bachchan and "saw his talent, which most makers didn't. He was exceptional, a genius actor who was in films that weren't good." According to Salim Khan, they "strongly felt that Amitabh was the ideal casting for Zanjeer". Salim Khan introduced Bachchan to Prakash Mehra, and Salim-Javed insisted that Bachchan be cast for the role.
Zanjeer was a crime film with violent action, in sharp contrast to the romantically themed films that had generally preceded it, and it established Amitabh in a new persona—the "angry young man" of Bollywood cinema. He earned his first Filmfare Award nomination for Best Actor, with Filmfare later considering this one of the most iconic performances of Bollywood history. The film was a huge success and one of the highest-grossing films of that year, breaking Bachchan's dry spell at the box office and making him a star. It was the first of many collaborations between Salim-Javed and Amitabh Bachchan; Salim-Javed wrote many of their subsequent scripts with Bachchan in mind for the lead role, and insisted on him being cast for their later films, including blockbusters such as Deewaar (1975) and Sholay (1975). Salim Khan also introduced Bachchan to director Manmohan Desai with whom he formed a long and successful association, alongside Prakash Mehra and Yash Chopra.
Eventually, Bachchan became one of the most successful leading men of the film industry. Bachchan's portrayal of the wronged hero fighting a crooked system and circumstances of deprivation in films like Zanjeer, Deewaar, Trishul, Kaala Patthar and Shakti resonated with the masses of the time, especially the youth who harboured a simmering discontent owing to social ills such as poverty, hunger, unemployment, corruption, social inequality and the brutal excesses of The Emergency. This led to Bachchan being dubbed as the "angry young man", a journalistic catchphrase which became a metaphor for the dormant rage, frustration, restlessness, sense of rebellion and anti-establishment disposition of an entire generation, prevalent in 1970s India.
The year 1973 was also when he married Jaya, and around this time they appeared in several films together: not only Zanjeer but also subsequent films such as Abhimaan, which was released only a month after their marriage and was also successful at the box office. Later, Bachchan played the role of Vikram, once again along with Rajesh Khanna, in the film Namak Haraam, a social drama directed by Hrishikesh Mukherjee and scripted by Biresh Chatterjee addressing themes of friendship. His supporting role won him his second Filmfare Award for Best Supporting Actor.
In 1974, Bachchan made several guest appearances in films such as Kunwara Baap and Dost, before playing a supporting role in Roti Kapda Aur Makaan. The film, directed and written by Manoj Kumar, addressed themes of honesty in the face of oppression and financial and emotional hardship and was the top-earning film of 1974. Bachchan then played the leading role in the film Majboor. The film was a success at the box office.
Superstardom (1975–1988)
In 1975, he starred in a variety of film genres, from the comedy Chupke Chupke and the crime drama Faraar to the romantic drama Mili. This was also the year in which Bachchan starred in two films regarded as important in Hindi cinema history, both written by Salim-Javed, who again insisted on casting Bachchan. The first was Deewaar, directed by Yash Chopra, where he worked with Shashi Kapoor, Nirupa Roy, Parveen Babi, and Neetu Singh, and earned another Filmfare nomination for Best Actor. The film became a major hit at the box office in 1975, ranking in at number four. Indiatimes Movies ranks Deewaar amongst the Top 25 Must See Bollywood Films. The other, released on 15 August 1975, was Sholay, which became the highest-grossing film ever in India at the time, in which Bachchan played the role of Jaidev. Deewaar and Sholay are often credited with exalting Bachchan to the heights of superstardom, two years after he became a star with Zanjeer, and consolidating his domination of the industry throughout the 1970s and 1980s. In 1999, BBC India declared Sholay the "Film of the Millennium" and, like Deewaar, it has been cited by Indiatimes Movies as amongst the Top 25 Must See Bollywood Films. In that same year, the judges of the 50th annual Filmfare Awards awarded it with the special distinction award called the Filmfare Best Film of 50 Years.
In 1976, he was cast by Yash Chopra in the romantic family drama Kabhie Kabhie. Bachchan starred as a young poet, Amit Malhotra, who falls deeply in love with a beautiful young girl named Pooja (Rakhee Gulzar) who ends up marrying someone else (Shashi Kapoor). The film was notable for portraying Bachchan as a romantic hero, a far cry from his "angry young man" roles like Zanjeer and Deewaar. The film evoked a favourable response from critics and audiences alike. Bachchan was again nominated for the Filmfare Best Actor Award for his role in the film. That same year he played a double role in the hit Adalat as father and son. In 1977, he won his first Filmfare Best Actor Award for his performance in Amar Akbar Anthony, in which he played the third lead opposite Vinod Khanna and Rishi Kapoor as Anthony Gonsalves. The film was the highest-grossing film of that year. His other successes that year include Parvarish and Khoon Pasina.
He once again resumed double roles in films such as Kasme Vaade (1978) as Amit and Shankar and Don (1978) playing the characters of Don, a leader of an underworld gang and his look-alike Vijay. His performance won him his second Filmfare Best Actor Award. He also gave towering performances in Yash Chopra's Trishul and Prakash Mehra's Muqaddar Ka Sikandar both of which earned him further Filmfare Best Actor nominations. 1978 is arguably considered his most successful year at the box office since all of his six releases the same year, namely Muqaddar Ka Sikandar, Trishul, Don, Kasme Vaade, Ganga Ki Saugandh and Besharam were massive successes, the former three being the consecutive highest-grossing films of the year, a rare feat in Indian cinema.
In 1979, Bachchan starred in Suhaag which was the highest earning film of that year. In the same year he also enjoyed critical acclaim and commercial success with films like Mr. Natwarlal, Kaala Patthar, The Great Gambler and Manzil. Amitabh was required to use his singing voice for the first time in a song from the film Mr. Natwarlal in which he starred with Rekha. Bachchan's performance in the film saw him nominated for both the Filmfare Award for Best Actor and the Filmfare Award for Best Male Playback Singer. He also received Best Actor nomination for Kaala Patthar and then went on to be nominated again in 1980 for the Raj Khosla directed film Dostana, in which he starred opposite Shatrughan Sinha and Zeenat Aman. Dostana proved to be the top-grossing film of 1980. In 1981, he starred in Yash Chopra's melodrama film Silsila, where he starred alongside his wife Jaya and also Rekha. Other successful films of this period include Shaan (1980), Ram Balram (1980), Naseeb (1981), Lawaaris (1981), Kaalia (1981), Yaarana (1981), Barsaat Ki Ek Raat (1981) and Shakti (1982), also starring Dilip Kumar.
In 1982, he played double roles in the musical Satte Pe Satta and action drama Desh Premee which succeeded at the box office along with mega hits like action comedy Namak Halaal, action drama Khud-Daar and the critically acclaimed drama Bemisal. In 1983, he played a triple role in Mahaan which was not as successful as his previous films. Other releases during that year included Nastik and Pukar which were hits and Andha Kanoon (in which he had an extended guest appearance) was a blockbuster. During a stint in politics from 1984 to 1987, his completed films Mard (1985) and Geraftaar (1985) were released and were major hits. Bachchan had played a role in a special appearance for the film Kaun Jeeta Kaun Haara in the year 1987 and he sang a playback song with Kishore Kumar in this movie.
Coolie incident
On 26 July 1982, while filming a fight scene with co-actor Puneet Issar for Coolie, Bachchan had near-fatal intestinal injury. Bachchan was performing his own stunts in the film and one scene required him to fall onto a table and then on the ground. However, as he jumped towards the table, the corner of the table struck his abdomen, resulting in a splenic rupture from which he lost a significant amount of blood. He required an emergency splenectomy and remained critically ill in hospital for many months, at times close to death. There were long queues of well-wishing fans outside the hospital where he was recuperating; the public response included prayers in places of worship and offers to sacrifice limbs to save him. Nevertheless, he resumed filming later that year after a long period of recuperation. The director, Manmohan Desai, altered the ending of Coolie: Bachchan's character was originally intended to have been killed off; but, after the change of script, the character lived in the end. Desai felt it would have been inappropriate for the man who had just fended off death in real life to be killed on screen. The footage of the fight scene is frozen at the critical moment, and a caption appears onscreen marking it as the instant of the actor's injury. The film was released in 1983, and partly due to the huge publicity of Bachchan's accident, the film was a box office success and the top-grossing film of that year.
Health issues
Later, he was diagnosed with Myasthenia gravis. His illness made him feel weak both mentally and physically and he decided to quit films and venture into politics. At this time he became pessimistic, expressing concern with how a new film would be received, and stating before every release, "Yeh film to flop hogi!" ("This film will flop").
Career fluctuations and sabbatical (1988–1992)
After a three-year stint in politics from 1984 to 1987, Bachchan returned to films in 1988, playing the title role in Shahenshah, which was a box office success. After the success of his comeback film however, his star power began to wane as all of his subsequent films like Jaadugar, Toofan and Main Azaad Hoon (all released in 1989) failed at the box office. He gained success during this period with the crime drama Aaj Ka Arjun (1990) and action crime drama Hum (1991), for which he won his third Filmfare Best Actor Award, but this momentum was short-lived and his string of box office failures continued. Notably, despite the lack of hits, it was during this era that Bachchan won his first National Film Award for Best Actor for his performance as a Mafia don in the 1990 cult film Agneepath. These years would see his last on-screen appearances for some time. After the release of the critically acclaimed epic Khuda Gawah in 1992, Bachchan went into semi-retirement for five years. With the exception of the delayed release of Insaniyat (1994), which was also a box office failure, Bachchan did not appear in any new releases for five years.
Business ventures and acting comeback (1996–1999)
Bachchan turned producer during his temporary retirement period, setting up Amitabh Bachchan Corporation, Ltd. (ABCL) in 1996. ABCL's strategy was to introduce products and services covering an entire cross-section of India's entertainment industry. ABCL's operations were mainstream commercial film production and distribution, audio cassettes and video discs, production and marketing of television software, and celebrity and event management. Soon after the company was launched in 1996, the first film it produced was Tere Mere Sapne, which was a box office hit and launched the careers of actors like Arshad Warsi and southern film star Simran.
In 1997, Bachchan attempted to make his acting comeback with the film Mrityudata, produced by ABCL. Though Mrityudaata attempted to reprise Bachchan's earlier success as an action hero, the film was a failure both financially and critically. ABCL was the main sponsor of the 1996 Miss World beauty pageant, Bangalore, but lost millions. The fiasco and the consequent legal battles surrounding ABCL and various entities after the event, coupled with the fact that ABCL was reported to have overpaid most of its top-level managers, eventually led to its financial and operational collapse in 1997. The company went into administration and was later declared a failed company by the Indian Industries board. The Bombay high court, in April 1999, restrained Bachchan from selling off his Bombay bungalow 'Prateeksha' and two flats until the pending loan recovery cases of Canara Bank were disposed of. Bachchan had, however, pleaded that he had mortgaged his bungalow to raise funds for his company.
Bachchan attempted to revive his acting career, and eventually had commercial success with Bade Miyan Chote Miyan (1998) and Major Saab (1998), and received positive reviews for Sooryavansham (1999), but other films such as Lal Baadshah (1999) and Kohram (1999) were box office failures.
Return to prominence (2000–present)
In 2000, Bachchan appeared in Yash Chopra's box-office hit, Mohabbatein, directed by Aditya Chopra. He played a stern, elder figure who rivalled the character of Shahrukh Khan. His role won him his third Filmfare Award for Best Supporting Actor. Other hits followed, with Bachchan appearing as an older family patriarch in Ek Rishtaa: The Bond of Love (2001), Kabhi Khushi Kabhie Gham... (2001) and Baghban (2003). As an actor, he continued to perform in a range of characters, receiving critical praise for his performances in Aks (2001), Aankhen (2002), Kaante (2002), Khakee (2004), Dev (2004) and Veer-Zaara (2004). His performance in Aks won him his first Filmfare Critics Award for Best Actor.
One project that did particularly well for Bachchan was Sanjay Leela Bhansali's Black (2005). The film starred Bachchan as an ageing teacher of a deaf-blind girl and followed their relationship. His performance was unanimously praised by critics and audiences and won him his second National Film Award for Best Actor, his fourth Filmfare Best Actor Award and his second Filmfare Critics Award for Best Actor. Taking advantage of this resurgence, Amitabh began endorsing a variety of products and services, appearing in many television and billboard advertisements. In 2005 and 2006, he starred with his son Abhishek in the films Bunty Aur Babli (2005), the Godfather tribute Sarkar (2005), and Kabhi Alvida Naa Kehna (2006). All of them were successful at the box office. His later releases in 2006 and early 2007 were Baabul (2006), Ekalavya (2007) and Nishabd (2007), which failed to do well at the box office but his performances in each of them were praised by critics.
In May 2007, two of his films: the romantic comedy Cheeni Kum and the multi-starrer action drama Shootout at Lokhandwala were released. Shootout at Lokhandwala did well at the box office and was declared a hit in India, while Cheeni Kum picked up after a slow start and was a success. A remake of his biggest hit, Sholay (1975), entitled Ram Gopal Varma Ki Aag, released in August of that same year and proved to be a major commercial failure in addition to its poor critical reception. The year also marked Bachchan's first appearance in an English-language film, Rituparno Ghosh's The Last Lear, co-starring Arjun Rampal and Preity Zinta. The film premiered at the 2007 Toronto International Film Festival on 9 September 2007. He received positive reviews from critics who hailed his performance as his best ever since Black. Bachchan was slated to play a supporting role in his first international film, Shantaram, directed by Mira Nair and starring Hollywood actor Johnny Depp in the lead. The film was due to begin filming in February 2008 but due to the writer's strike, was pushed to September 2008. The film is currently "shelved" indefinitely.
Vivek Sharma's Bhoothnath, in which he plays the title role as a ghost, was released on 9 May 2008. Sarkar Raj, the sequel of the 2005 film Sarkar, released in June 2008 and received a positive response at the box office. Paa, which released at the end of 2009 was a highly anticipated project as it saw him playing his own son Abhishek's Progeria-affected 13-year-old son, and it opened to favourable reviews, particularly towards Bachchan's performance and was one of the top-grossing films of 2009. It won him his third National Film Award for Best Actor and fifth Filmfare Best Actor Award. In 2010, he debuted in Malayalam film through Kandahar, directed by Major Ravi and co-starring Mohanlal. The film was based on the hijacking incident of the Indian Airlines Flight 814. Bachchan declined any remuneration for this film. In 2011 he played an aged retired former gangster in Bbuddah... Hoga Terra Baap who protects his son Sonu Sood who is an honest daring police officer from a notorious gangster Prakash Raj who unknowingly hired the latter to perform a contract killing not knowing that the police officer is the gangster's son. Directed By Puri Jagannadh the film won positive reviews and was a commercial success.
In 2013, he made his Hollywood debut in The Great Gatsby making a special appearance opposite Leonardo DiCaprio and Tobey Maguire. In 2014, he played the role of the friendly ghost in the sequel Bhoothnath Returns. The next year, he played the role of a grumpy father experiencing chronic constipation in the critically acclaimed Piku which was also one of the biggest hits of 2015. A review in Daily News and Analysis (DNA) summarised Bachchan's performance as "The heart and soul of Piku clearly belong to Amitabh Bachchan who is in his elements. His performance in Piku, without doubt, finds a place among the top 10 in his illustrious career." Rachel Saltz wrote for The New York Times, "Piku", an offbeat Hindi comedy, would have you contemplate the intestines and mortality of one Bhashkor Banerji and the actor who plays him, Amitabh Bachchan. Bhashkor's life and conversation may revolve around his constipation and fussy hypochondria, but there's no mistaking the scene-stealing energy that Mr. Bachchan, India's erstwhile Angry Young Man, musters for his new role of Cranky Old Man." Well known Indian critic Rajeev Masand wrote on his website, "Bachchan is pretty terrific as Bhashkor, who reminds you of that oddball uncle that you nevertheless have a soft spot for. He bickers with the maids, harrows his hapless helper, and expects that Piku stay unmarried so she can attend to him. At one point, to ward off a possible suitor, he casually mentions that his daughter isn't a virgin; that she's financially independent and sexually independent too. Bachchan embraces the character's many idiosyncrasies, never once slipping into caricature while all along delivering big laughs thanks to his spot-on comic timing." The Guardian summed up, "Bachchan seizes upon his cranky character part, making Bashkor as garrulously funny in his theories on caste and marriage as his system is backed-up." The performance won Bachchan his fourth National Film Award for Best Actor and his third Filmfare Critics Award for Best Actor.
In 2016, he appeared in the women-centric courtroom drama film Pink which was highly praised by critics and with an increasingly good word of mouth, was a resounding success at the domestic and overseas box office. Bachchan's performance in the film received acclaim. According to Raja Sen of Rediff.com, "Amitabh Bachchan, a retired lawyer with bipolar disorder, takes up cudgels on behalf of the girls, delivering courtroom blows with pugilistic grace. Like we know from Prakash Mehra movies, into each life some Bachchan must fall. The girls hang on to him with incredulous desperation, and he bats for them with all he has. At one point Meenal hangs by Bachchan's elbow, words entirely unnecessary. Bachchan towers through Pink – the way he bellows "et cetera" is alone worth having the heavy-hitter at play—but there are softer moments like one where he appears to have dozed off in court, or where he lays his head by his convalescent wife's bedside and needs his hair ruffled and his conviction validated." Writing for Hindustan Times, noted film critic and author Anupama Chopra said of Bachchan's performance, "A special salute to Amitabh Bachchan, who imbues his character with a tragic majesty. Bachchan towers in every sense, but without a hint of showboating. Meena Iyer of The Times of India wrote, "The performances are pitch-perfect with Bachchan leading the way. Writing for NDTV, Troy Ribeiro of Indo-Asian News Service (IANS) stated, 'Amitabh Bachchan as Deepak Sehgall, the aged defence lawyer, shines as always, in a restrained, but powerful performance. His histrionics come primarily in the form of his well-modulated baritone, conveying his emotions and of course, from the well-written lines.' Mike McCahill of The Guardian remarked, "Among an electric ensemble, Taapsee Pannu, Kirti Kulhari and Andrea Tariang give unwavering voice to the girls' struggles; Amitabh Bachchan brings his moral authority to bear as their sole legal ally.
In 2017, he appeared in the third instalment of the Sarkar film series: Ram Gopal Varma's Sarkar 3. That year, he started filming for the swashbuckling action adventure film Thugs of Hindostan with Aamir Khan, Katrina Kaif and Fatima Sana Shaikh which released in November 2018. He co-starred with Rishi Kapoor in 102 Not Out, a comedy drama film directed by Umesh Shukla based on a Gujarati play of the same name written by Saumya Joshi. This film released in May 2018 and reunited him with Kapoor onscreen after a gap of 27 years.
In 2019, he played the role of Badal Gupta in Sujoy Ghosh's Badla. Later that year, he made his Telugu debut in Surender Reddy's Sye Raa Narasimha Reddy as Gosayi Venkanna. He did Gulabo Sitabo in 2020 for which he received Filmfare Critics Award For Best Actor. In 2021, he appeared in Rumy Jaffery's mystery thriller Chehre along with Emraan Hashmi. In 2022, he did 5 films: Jhund, Runway 34, Brahmāstra: Part One – Shiva, Goodbye and Uunchai.
He is all set to appear in Nag Ashwin's Kalki 2898 AD.
Other work
Television appearances
In 2000, Bachchan hosted the first season of Kaun Banega Crorepati (KBC), the Indian adaptation of the British television game show, Who Wants to Be a Millionaire?. The show was well received. A second season followed in 2005 but its run was cut short by Star Plus when Bachchan fell ill in 2006. He then returned to host the fourth season, and has hosted the show since.
In 2009, Bachchan hosted the third season of the reality show Bigg Boss.
In 2010, Bachchan hosted the fourth season of KBC. The fifth season started on 15 August 2011 and ended on 17 November 2011. The show became a massive hit with audiences and broke many TRP Records. CNN IBN awarded Indian of the Year- Entertainment to Team KBC and Bachchan. The Show also grabbed all the major Awards for its category.
The sixth season was also hosted by Bachchan, commencing on 7 September 2012, broadcast on Sony TV and received the highest number of viewers thus far.
In 2014, he debuted in the fictional Sony Entertainment Television TV series titled Yudh playing the lead role of a businessman battling both his personal and professional life.
Voice-acting
Bachchan is known for his deep, baritone voice. He has been a narrator, a playback singer, and presenter for numerous programmes. Some prominent films featuring his narration are Satyajit Ray's 1977 film Shatranj Ke Khiladi. and Ashutosh Gowarikar's 2001 film Lagaan.
He also has done voice-over work for the following movies:
Bhuvan Shome (1969)
Bawarchi (1972)
Balika Badhu (1975)
Tere Mere Sapne (1996)
Hello Brother (1999)
Lagaan (2001)
Fun2shh... Dudes in the 10th Century (2003)
Parineeta (2005)
March of the Penguins (2005), Indian version
Jodhaa Akbar (2008)
Swami (2007)
Zor Lagaa Ke...Haiya! (2009)
Ra.One (2011)
Kahaani (2012)
Krrish 3 (2013)
Mahabharat (2013)
Kochadaiiyaan (Hindi Version) (2014)
CBI documentary (2014) – sanctioned by Central Bureau of Investigation
The Ghazi Attack (2017)
Firangi (2017)
Business investments
Around 1994, Bachchan started Amitabh Bachchan Corporation Ltd (ABCL), an event management, production and distribution company. But the company led into debt with fiasco and gone into bankruptcy, subsequently Bachchan became nearly bankrupt. Reasons of this debacle was flop films such as Mrityudata, Major Saab (produced by this organisation), Miss World 1996 which was organised-managed by ABCL. Due to this he began work for TV, asked for work to Yash Chopra. Once he told that, 'it was darkest time for him'.
He has invested in many upcoming business ventures. In 2013, he bought a 10% stake in Just Dial from which he made a gain of 4600 per cent. He holds a 3.4% equity in Stampede Capital, a financial technology firm specialising in cloud computing for financial markets. The Bachchan family also bought shares worth $252,000 in Meridian Tech, a consulting company in U.S. Recently they made their first overseas investment in Ziddu.com, a cloud based content distribution platform.
Bachchan was named in the Panama Papers and Paradise Papers, leaked confidential documents relating to offshore investment.
Political career
In 1984, Bachchan took a break from acting and briefly entered politics in support of a long-time family friend, Rajiv Gandhi. He contested the Allahabad's (presently Prayagraj Lok Sabha constituency) seat for the 8th Lok Sabha against H. N. Bahuguna, former Chief Minister of Uttar Pradesh. With 68.2% of the votes in his favour, he won by one of the highest victory margins ever in Indian elections. In 1987, Indian Express said his brother Ajitabh Bachchan owned an apartment in Switzerland, giving rise to speculations about his involvement in the "Bofors scandal", revealed in the year before. Bachchan resigned from his seat in July 1987. Ajitabh Bachchan sued Swedish newspaper Dagens Nyheter for linking him to Bofors payments in 1990 and won damages in the United Kingdom. Sten Lindstrom, the Swedish police chief who had investigated the case, said in 2012 that "Indian investigators planted the Bachchan angle on" Dagens Nyheter.
Bachchan's old friend, Amar Singh, helped him during the financial crisis caused by the failure of his company, ABCL. Thereafter Bachchan started supporting the Samajwadi Party, the political party to which Amar Singh belonged. Jaya Bachchan joined the Samajwadi Party and represented the party as an MP in the Rajya Sabha. Bachchan appeared in advertisements and political campaigns for the party. His claim that he too was a farmer in the advertisements were questioned in courts.
Bachchan has claimed to have been banned by film press during the emergency years for his family's friendship with Indira Gandhi.
Bachchan has been accused of using the slogan "blood for blood" in the context of the 1984 anti-Sikh riots. Bachchan has denied the allegation. In October 2014, Bachchan was summoned by a court in Los Angeles for "allegedly instigating violence against the Sikh community". Bachchan in an interview with journalist Arnab Goswami offered to fight the case in court and asked the accusers to file the same as also present proof. He was also one of the trustees of the Rajiv Gandhi Foundation.
Humanitarian and social causes
Bachchan has been involved with many social causes. For example, he donated to clear the debts of nearly 40 beleaguered farmers in Andhra Pradesh and to clear the debts of some 100 Vidarbha farmers. In 2010, he donated to Resul Pookutty's foundation for a medical centre at Kochi, and he has given () to the family of Delhi policeman Subhash Chand Tomar who died after succumbing to injuries during a protest against gang-rape after the 2012 Delhi gang rape case. He founded the Harivansh Rai Bachchan Memorial Trust, named after his father, in 2013. This trust, in association with Urja Foundation, will be powering 3,000 homes in India with electricity through solar energy. In June 2019 he cleared debts of 2100 farmers from Bihar.Bachchan was made a UNICEF goodwill ambassador for the polio Eradication Campaign in India in 2002. In 2013, he and his family donated () to a charitable trust, Plan India, that works for the betterment of young girls in India. He also donated () to the Maharashtra Police Welfare Fund in 2013.
Bachchan was the face of the 'Save Our Tigers' campaign that promoted the importance of tiger conservation in India. He supported the campaign by PETA in India to free Sunder, a 14-year-old elephant who was chained and tortured in a temple in Kolhapur, Maharashtra.
In 2014, it was announced that he had recorded his voice and lent his image to the Hindi and English language versions of the TeachAids software, an international HIV/AIDS prevention education tool developed at Stanford University. He has been a vocal "brand ambassador" of the Swachh Bharat Mission (SBM) and featured in a few advertisements to promote the campaign.
In 2020, Bachchan was helping the Government of India promote its public health message concerning COVID-19 before he and some members of his family themselves became infected. He was hospitalised with reported mild symptoms of the disease on 11 July. He was discharged from hospital on 2 August. During the pandemic he lent his support by donating Oxygen concentrators and 25 cr rupees in various forms.
Personal life
Bachchan has been married to veteran actress and politician Jaya Bhaduri since 3 June 1973, when he was 30 years old, and together they have two children; Abhishek, an actor, and Shweta, an author, journalist and former model. Abhishek married actress Aishwarya Rai, and they have a daughter named Aaradhya. Shweta is married to businessman Nikhil Nanda who is a part of the Kapoor family of actors. They have a daughter, Navya Naveli, and a son, Agastya. Amitabh's family lives in Mumbai in Maharashtra. His younger brother Ajitabh Bachchan is a businessman. He did business and lived in London for brief period of time. Presently he is living in India. He and his family choose to stay away from limelight. His wife Ramola is a fashion designer and was active in business. Ajitabh has one son, Bhim, and three daughters Naina, Namrata and Nilima. Naina Bachchan is married to actor Kunal Kapoor.
Bachchan was famously rumoured to have had an extramarital affair with actress Rekha in the mid-1970s to the early 1980s after they first acted together in Do Anjaane, and later in many successful films like Khoon Pasina, Ganga Ki Saugandh, Muqaddar Ka Sikandar, Mr. Natwarlal, Suhaag, Ram Balram and ending in Silsila, though they have both denied it.
Filmography
Legacy
Bachchan is widely regarded as one of the greatest and most influential actors in the history of Indian cinema. He earned respect among critics for his memorable performances and charismatic screen presence, is also considered one of the most respected public figures of India. Referred to as the "Shahenshah of Bollywood", "Star of the Millennium" or "Big B", He inspired many great and successful Indian cinema actors for many generations including Rajinikanth, Chiranjeevi, Kamal Hassan, Shah Rukh Khan, Akshay Kumar, Manoj Bajpayee, Ajay Devgn, Mohanlal, Ranveer Singh, Allu Arjun and Yash. Referred to as the "Shahenshah of Bollywood", "Star of the Millennium" or "Big B", French director François Truffaut called him a "one-man industry."
In 1999, Bachchan was voted the "greatest star of stage or screen" in a BBC Your Millennium online poll. The organisation noted that "Many people in the western world will not have heard of [him] ... [but it] is a reflection of the huge popularity of Indian films." In October 2003, TIME magazine dubbed Bachchan as "the Undisputed Godfather of Bollywood". In April 2005, The Walter Reade Theater of Lincoln Center in New York honored Bachchan with a special tribute, retrospective—titled "Amitabh Bachchan: The Biggest Film Star in the World".
In the early 80s, Bachchan authorised the use of his likeness for the comic book character Supremo in a series titled The Adventures of Amitabh Bachchan. In May 2014, La Trobe University in Australia named a Scholarship after Bachchan. In June 2000, he became the first living Asian to have been modelled in wax at London's Madame Tussauds Wax Museum. Another statue was installed in New York in 2009, Hong Kong in 2011, Bangkok in 2011, Washington, DC in 2012 and Delhi in 2017.
In March 2010, Bachchan has been named the list of CNN's "top 25 Asian actors of all time". He was named "Hottest Vegetarian male" by PETA India in 2012. He also won the title of "Asia's Sexiest Vegetarian male" in a contest poll run by PETA Asia in 2008.
In Allahabad, the Amitabh Bachchan Sports Complex and Amitabh Bachchan Road are named after him. A government senior secondary school in Saifai, Etawah is called Amitabh Bachchan Government Inter College. There is a waterfall in Sikkim known as Amitabh Bachchan Falls.
In 2022, on the occasion of Bachchan's 80th birthday, not-for-profit organisation Film Heritage Foundation announced a film festival as a part of his 11 films collection had screened in 17 cities across the country shown in limited movies theatres.
Biographies
Several books have been written about Bachchan. The following is the listing of books focused on his life career:
Amitabh Bachchan: the Legend was published in 1999,
To be or not to be: Amitabh Bachchan in 2004,
AB: The Legend (A Photographer's Tribute) in 2006,
Amitabh Bachchan: Ek Jeevit Kimvadanti in 2006,
Amitabh: The Making of a Superstar in 2006,
Looking for the Big B: Bollywood, Bachchan and Me in 2007 and
Bachchanalia in 2009.
Awards and honours
Apart from industry awards won for his performances throughout the years, Bachchan has received several honours for his achievements in the Indian film industry. In 1991, he became the first artist to receive the Filmfare Lifetime Achievement Award, which was established in the name of Raj Kapoor. Bachchan was crowned as Superstar of the Millennium in 2000 at the Filmfare Awards.
In 2001, he was honoured with the Actor of the Century award at the Alexandria International Film Festival in Egypt in recognition of his contribution to the world of cinema. Many other honours for his achievements were conferred upon him at several International Film Festivals, including the Lifetime Achievement Award at the 2010 Asian Film Awards.
In 2003, he was conferred with the Honorary Citizenship of the French town of Deauville. The Government of India awarded him with the Padma Shri in 1984, the Padma Bhushan in 2001, the Padma Vibhushan in 2015 and Dadasaheb Phalke Award in 2019. The then-President of Afghanistan awarded him the Order of Afghanistan in 1991 following the shooting of Khuda Gawah there. The Government of Madhya Pradesh honoured him with Rashtriya Kishore Kumar Samman for 2002–2003.
France's highest civilian honour, the Knight of the Legion of honour, was conferred upon him by the French Government in 2007 for his "exceptional career in the world of cinema and beyond". On 27 July 2012, at the age of 69, Bachchan carried the Olympic torch during the last leg of its relay in London's Southwark.
Bibliography
Soul Curry for You and Me – An Empowering Philosophy That Can Enrich Your Life. (2002)
See also
List of Bollywood actors
Lists of Indian actors
References
Further reading
External links
1942 births
Officers of the Legion of Honour
Male actors in Hindi cinema
Male actors from Mumbai
Indian actor-politicians
Indian amateur radio operators
Indian male film actors
Hindi film producers
Indian male singers
Bollywood playback singers
Indian television presenters
Indian male voice actors
Living people
Best Actor National Film Award winners
Male actors from Prayagraj
Recipients of the Padma Bhushan in arts
Recipients of the Padma Shri in arts
Who Wants to Be a Millionaire?
India MPs 1984–1989
Lok Sabha members from Uttar Pradesh
Recipients of the Padma Vibhushan in arts
Indian male playback singers
People named in the Panama Papers
Film producers from Mumbai
20th-century Indian male actors
21st-century Indian male actors
Male actors in Hindi television
Indian male television actors
Politicians from Prayagraj
Film producers from Uttar Pradesh
People from New Alipore
Filmfare Awards winners
Filmfare Lifetime Achievement Award winners
Screen Awards winners
International Indian Film Academy Awards winners
Zee Cine Awards winners
Indian Hindus
Dadasaheb Phalke Award recipients
People named in the Paradise Papers
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The economy of Alberta is the sum of all economic activity in Alberta, Canada's fourth largest province by population. Alberta's GDP in 2018 was CDN$338.2 billion.
Although Alberta has a presence in many industries such as agriculture, forestry, education, tourism, finance, and manufacturing, the politics and culture of the province have been closely tied to the production of fossil energy since the 1940s. Alberta—with an estimated 1.4 billion cubic metres of unconventional oil resource in the bituminous oil sands—leads Canada as an oil producer.
In 2018, Alberta's energy sector contributed over $71.5 billion to Canada's nominal gross domestic product. According to Statistics Canada, in May 2018, the oil and gas extraction industry reached its highest proportion of Canada's national GDP since 1985, exceeding 7% and "surpass[ing] banking and insurance" with extraction of non-conventional oil from the oilsands reaching an "impressive", all-time high in May 2018. With conventional oil extraction "climbed up to the highs from 2007", the demand for Canadian oil was strong in May.
From 1990 to 2003, Alberta's economy grew by 57% compared to 43% for all of Canada—the strongest economic growth of any region in Canada. In 2006 Alberta's per capita GDP was higher than all US states, and one of the highest figures in the world. In 2006, the deviation from the national average was the largest for any province in Canadian history. Alberta's per capita GDP in 2007 was by far the highest of any province in Canada at C$74,825 (approx. US$75,000). Alberta's per capita GDP in 2007 was 61% higher than the Canadian average of C$46,441 and more than twice that of all the Maritime provinces. From 2004 to 2014 Alberta's "exports of commodities rose 91%, reaching $121 billion in 2014" and 500,000 new jobs were created. In 2014, Alberta's real GDP by expenditure grew by 4.8%, the strongest growth rate among the provinces." In 2017, Alberta's real per capita GDP—the economic output per person—was $71,092, compared to the Canadian average of $47,417. In 2016, Alberta's A grade on its income per capita was based on the fact that it was almost "identical" to that of the "top peer country"—Ireland.
The energy industry provided 7.7% of all jobs in Alberta in 2013, and 140,300 jobs representing 6.1% of total employment of 2,286,900 in Alberta in 2017. The unemployment rate in Alberta peaked in November 2016 at 9.1%. Its lowest point in a ten-year period from July 2009 to July 2019, was in September 2013 at 4.3%. The unemployment rate in the spring of 2019 in Alberta was 6.7% with 21,000 jobs added in April. By July 2019, the seasonally adjusted unemployment rate had increased to 7.0%.
By August 2019, the employment number in Alberta was 2,344,000, following the loss of 14,000 full-time jobs in July, which represented the "largest decline" in Canada according to Statistics Canada.
Beginning in June 2014, the record high volume of worldwide oil inventories in storage—referred to as a global oil glut—caused crude oil prices to collapse at near ten-year low prices. By 2016 West Texas Intermediate (WTI)—the benchmark light, sweet crude oil—reached its lowest price in ten years—US$26.55. In 2012 the price of WTI had reached US$125 and in 2014 the price was $100. By February 2016 the price of Western Canadian Select WCS—the Alberta benchmark heavy crude oil—was US$14.10—the cheapest oil in the world. Alberta boom years from 2010 to 2014 ended with a "long and deep" recession that began in 2014, driven by low commodity pricing ended in 2017. By 2019—five years later—Alberta was still in recovery. Overall, there were approximately 35,000 jobs lost in mining, oil and gas alone. Since 2014, sectors that offered high-wage employment of $30 and above, saw about 100,000 jobs disappear—"construction (down more than 45,000 jobs), mining, oil and gas (down nearly 35,000), and professional services (down 18,000)," according to the economist, Trevor Tombe. There was a decrease in wages, in the number of jobs, and in the number of hours worked. The total loss of incomes from "workers, business, and government" amounted to about 20 percent or about CDN$75 billion less per year. Since 2011, prices have increased in Alberta by 18%. However, a typical worker in Alberta still earns more than a typical worker in all the other provinces and territories.
By March 2016, Alberta lost over 100,000 jobs in the oil patch. In spite of the surplus with the low price of WCS in 2015—99% of Canada's oil exports went to the United States and in 2015 Canada was still their largest exporter of total petroleum—3,789 thousand bpd in September—3,401 thousand bpd in October up from 3,026 thousand bpd in September 2014. By April 2019, two of the major oil companies, still had thousands of workers—Suncor had about 12,500 employees and Canadian Natural Resources had about 10,000 full-time employees.
Alberta has the "lowest taxes overall of any province or territory" in Canada, due in part to having high resource tax revenues. However, overall tax revenues from oil royalties and other non-renewable sources has fallen steeply along with the drop in global oil prices. For example, in 2013, oil tax revenues brought in 9.58 billion, or 21% of the total Provincial budget, whereas in 2018 it had fallen to just 5.43 billion, or 11% of the Provincial budget.
In the spring of 2020, Alberta's economy suffered from the economic fallout of both the COVID-19 pandemic and the 2020 Russia–Saudi Arabia oil price war."
Data
Current overview
According to ATB Financial's Vice President and Chief Economist—Todd Hirsch, who spoke during a April 2, 2020, webinar hosted by the Calgary Chamber of Commerce, the COVID-19 pandemic in Alberta and its "economic fallout will permanently reshape our economy." Hirsch said that he expects that the resulting contraction in Alberta's economy will be the "worst...Alberta has ever seen."
The global price of oil decreased dramatically because of the combination of COVID-19 pandemic and the 2020 Russia–Saudi Arabia oil price war. In March 2020, the United States benchmark crude oil EWest Texas Intermediate (WTI)—upon which Alberta's benchmark crude oil Western Canadian Select (WCS) price is based—dropped to an historical below of US$20 a barrel. The price of WCS bitumen-blend crude was US$3.82 per barrel by the end of March.
In 2018, the low price of heavy oil negatively impacted Alberta's economic growth.
In November 2018, the price of Western Canadian Select (WCS), the benchmark for Canadian heavy crude, hit its record low of less than US$14 a barrel, as a "surge of production met limited pipeline space causing bottlenecks." Previously, from 2008 through 2018, WCS had sold at an average discount of US$17 against West Texas Intermediate (WTI)—the U.S. crude oil benchmark, but by the fall of 2018, the differential between WCS and WTI reached a record of over US$50 per barrel. In response, then Premier Rachel Notley made a December 2 announcement of a mandatory cut of 8.7% in Alberta's oil production. By December 12, after the announcement of the government's "mandated oil output curtailment", the price of WCS rose c. 70% to c. US$41 a barrel with the WTI differential falling from US50 to c. US$11., according to the Financial Post. The WCS price rose to US$28.60 by January 2019, as the international price of oil had begun to recover from the December "sharp downturn" caused by the ongoing China–U.S. trade war In March 2019, the differential of WTI over WCS decreased to $US9.94 as the price of WTI dropped to US$58.15 a barrel, which is 7.5% lower than it was in March 2018, while the price of WCS increased to US$48.21 a barrel which is 35.7% higher than in March 2018. According to TD Economics' September 2019 report, the government's "mandated oil output curtailment", has resulted in a sustained rebound in WCS prices. However, investment and spending were low in the province. The loss of 14, 000 of the full-time jobs out of 2,344,000 in Alberta in July 2019, represented the "largest decline" in employment in Canada for that month, according to Statistics Canada.
In 1985, Alberta's energy industry accounted for 36.1% of the provinces $66.8 billion GDP. In 2006, the mining, oil and gas extraction industry accounted for 29.1% of GDP; by 2012 it was 23.3%; in 2013, it was 24.6% of Alberta's $331.9 billion GDP, and in 2016, the mining, oil and gas extraction industry accounted for about 27.9% of Alberta's GDP.
By comparison, "In 2017, the federal, provincial and territorial governments spent some $724 billion on programs and more than $58 billion on interest payments on their public debt, which, combined, amounted to about 36 percent of Canada’s gross domestic product (GDP). Their combined borrowing that year was $27 billion, and their net financial debt at year-end stood at around $1.2 trillion, about 54 percent of GDP."
In his July 2019 CBC News article, economist Trevor Tombe said that prior to the 2014 recession, Albertans had experienced boom years from 2010 to 2014, with workers earnings reaching exceptional highs. The recession, which "ended over two years ago" in 2017, was "long and deep". By 2019—five years later—the province was still in recovery. Overall, there were approximately 35,000 jobs lost in mining, oil and gas alone. By 2019, the slow recovery and low earnings growth have resulted in workers getting "fewer hours, fewer jobs and, in some cases, lower wages". Tombe said that from 2014 to 2016, Alberta earned CDN$75 billion less per year with the "total incomes of workers, business, and government combined [falling] by nearly 20 per cent". Tombes said that relative to Alberta's "growth path prior to the recession" Alberta's economy is "down $100 billion per year", compared to what was anticipated. Tombes said that the "boom years that ended in 2014 were the outliers" and the lower earnings in 2019 reflect a "natural adjustment that's moving Alberta to a more normal and balanced labour market." While earnings are lower, because of inflation, prices have increased in Alberta by 18% since 2011. "The $1,183 per week a typical worker earns today goes about as far as $1,000 did nearly a decade ago.", according to Tombe. In spite of the typical worker in Alberta earns $1,183 per week compared to Saskatchewan, where the typical worker earns $1,070 per week. The weekly income a typical worker in all the other Canadian provinces and territories is less than that.
Since 2014, sectors that offered high-wage employment of $30 and above, saw about 100,000 jobs disappear—"construction (down more than 45,000 jobs), mining, oil and gas (down nearly 35,000), and professional services (down 18,000)."
Alberta's deficit
Alberta's net debt was $27.5 billion by March 2019, which represents the end of the 2018-19 fiscal year (FY). By November 2018, Alberta's government expenditures were $55 billion while the revenue was about $48 billion, according to a report by the University of Calgary's School of Public Policy (SPP) economist, Trevor Tombe. Capital investment amounted to $4.3 billion. The provincial government employs more than "210,000 full-time equivalent workers across hundreds of departments, boards and other entities." Tombe, cited a $8.3 billion deficit in his November report, prior to the release in February 2019 of the corrected deficit figures, which was "$1.9 billion less in 2018-19 than originally expected", —$6.9-billion deficit instead of the original $8.8-billion".
Alberta's current deficit is "unusual for the province", says Tombe in 2018. During the financial crisis, Alberta's "net asset position equivalent to 15 per cent of GDP"−it "owned more financial assets than it owed in debt."
In 2009 Alberta had $31.7 billion in financial assets.
Alberta's credit rating
On December 3, 2019, Moody's downgraded Alberta's credit rating from Aa2 stable from Aa1 negative and "downgraded the long-term debt ratings of the Alberta Capital Finance Authority and the long-term issuer rating of ATB Financial to Aa2 from Aa1." The agency said that there is a "structural weakness in the provincial economy that remains concentrated and dependent on non-renewable resources ... and remains pressured by a lack of sufficient pipeline capacity to transport oil efficiently with no near-term expectation of a significant rebound in oil-related investments...Alberta's oil and gas sector is carbon-intensive and Alberta's greenhouse gas emissions are the highest among provinces. Alberta is also susceptible to natural disasters including wildfires and floods which could lead to significant mitigation costs by the province."
Alberta's real per capita GDP
In 2006 Alberta's per capita GDP was higher than all US states, and one of the highest figures in the world. In 2006, the deviation from the national average was the largest for any province in Canadian history. In 2007, Alberta's per capita GDP in 2007 was C$74,825 (approx. US$75,000)—by far the highest of any Canadian province—61% higher than the Canadian average of C$46,441 and more than twice that of all the Maritime provinces. In 2017, Alberta's real per capita GDP—the economic output per person—was $71,092, compared to the Canadian average of $47,417. Alberta's A grade on its income per capita was based on the fact that it was almost "identical" to that of the "top peer country" in 2016, Ireland.
In 2017, Alberta's real per capita GDP—the economic output per person—was $71,092 compared to the Canadian average output per person of $47, 417 and Prince Edward Island at $32,123 per person. Since at least 1997, Alberta's per capita GDP has been higher than that of any other province. In 2014, Alberta's reached its highest gap ever—$30,069—between its real capita GDP and the Canadian average.
According to the Conference Board of Canada, in 2016 Alberta earned an "A grade with income per capita almost identical to the top peer country, Ireland." In 2016 income per capita in Alberta was $59,259.
Alberta's GDP compared to other provinces
A table listing annual ""Gross domestic product (GDP) at basic prices, by industry, provinces and territories (x 1,000,000)." from 2014 through 2018 with value chained to 2012 dollars.
Source: Statistics Canada: GDP (totals),
Economic geography
Alberta has a small internal market, and it is relatively distant from major world markets, despite good transportation links to the rest of Canada and to the United States to the south. Alberta is located in the northwestern quadrant of North America, in a region of low population density called the Interior Plains. Alberta is landlocked, and separated by a series of mountain ranges from the nearest outlets to the Pacific Ocean, and by the Canadian Shield from ports on the Lakehead or Hudson Bay. From these ports to major populations centres and markets in Europe or Asia is several thousands of kilometers. The largest population clusters of North America (the Boston – Washington, San Francisco - San Diego, Chicago – Pittsburgh, and Quebec City – Windsor Corridors) are all thousands of kilometers away from Alberta. Partly for this reason, Alberta has never developed a large presence in the industries that have traditionally started industrialization in other places (notably the original Industrial Revolution in Great Britain) but which require large labour forces, and large internal markets or easy transportation to export markets, namely textiles, metallurgy, or transportation-related manufacturing (automotives, ships, or train cars).
Agriculture has been a key industry since the 1870s. The climate is dry, temperate, and continental, with extreme variations between seasons. Productive soils are found in most of the southern half of the province (excluding the mountains), and in certain parts of the north. Agriculture on a large scale is practiced further north in Alberta than anywhere else in North America, extending into the Peace River country above the 55th parallel north. Generally, however, northern Alberta (and areas along the Alberta Rockies) is forested land and logging is more important than agriculture there. Agriculture is divided into primarily field crops in the east, livestock in the west, and a mixture in between and in the parkland belt in the near north.
Conventional oil and gas fields are found throughout the province on an axis running from the northwest to the southeast. Oil sands are found in the northeast, especially around Fort McMurray (the Athabasca Oil Sands).
Because of its (relatively) economically isolated location, Alberta relies heavily on transportation links with the rest of the world. Alberta's historical development has been largely influenced by the development of new transportation infrastructure, (see "trends" below). Alberta is now served by two major transcontinental railways (CN and CP), by three major highway connections to the Pacific (the Trans-Canada via Kicking Horse Pass, the Yellowhead via Yellowhead Pass and the Crowsnest via Crowsnest Pass), and one to the United States (Interstate 15), as well as two international airports (Calgary and Edmonton). Also, Alberta is connected to the TransCanada pipeline system (natural gas) to Eastern Canada, the Northern Border Pipeline (gas), Alliance Pipeline (gas) and Enbridge Pipeline System (oil) to the Eastern United States, the Gas Transmission Northwest and Northwest Pipeline (gas) to the Western United States, and the McNeill HVDC Back-to-back station (electric power) to Saskatchewan.
Economic regions and cities
Since the days of early agricultural settlement, the majority of Alberta's population has been concentrated in the parkland belt (mixed forest-grassland), a boomerang-shaped strip of land extending along the North Saskatchewan River from Lloydminster to Edmonton and then along the Rocky Mountain foothills south to Calgary. This area is slightly more humid and treed than the drier prairie (grassland) region called Palliser's Triangle to its south, and large areas of the south (the "Special Areas") were depopulated during the droughts of the 1920s and 30s. The chernozem (black soil) of the parkland region is more agriculturally productive than the red and grey soils to the south. Urban development has also been most advanced in the parkland belt. Edmonton and Red Deer are parkland cities, while Calgary is on the parkland-prairie fringe. Lethbridge and Medicine Hat are prairie cities. Grande Prairie lies in the Peace River Country a parkland region (with isolated patches of prairie, hence the name) in the northwest isolated from the rest of the parkland by the forested Swan Hills. Fort McMurray is the only urbanized population centre in the boreal forest which covers much of the northern half of the province.
Calgary and Edmonton
The Calgary and Edmonton regions, by far the province's two largest metropolitan regions, account for the majority of the province's population. They are relatively close to each other by the standards of Western Canada and distant from other metropolitan regions such as Vancouver or Winnipeg. This has produced a history of political and economic rivalry and comparison but also economic integration that has created an urbanized corridor between the two cities.
The economic profile of the two regions is slightly different. Both cities are mature service economies built on a base of resource extraction in their hinterlands. However, Calgary is predominant in hosting the regional and national headquarters of oil and gas exploration and drilling companies. Edmonton skews much more towards governments, universities and hospitals as large employers, while Edmonton's suburban fringes (e.g. Fort Saskatchewan, Nisku, Strathcona County (Refinery Row), Leduc, Beaumont, Acheson) are home to most of the province's manufacturing (much of it related to oil and gas).
Calgary-Edmonton Corridor
The Calgary-Edmonton Corridor is the most urbanized region in the province and one of the densest in Canada. Measured from north to south, the region covers a distance of roughly . In 2001, the population of the Calgary-Edmonton Corridor was 2.15 million (72% of Alberta's population). It is also one of the fastest-growing regions in the country. A 2003 study by TD Bank Financial Group found the corridor was the only Canadian urban centre to amass a U.S. level of wealth while maintaining a Canadian-style quality of life, offering universal health care benefits. The study found GDP per capita in the corridor was 10% above average U.S. metropolitan areas and 40% above other Canadian cities at that time.
Calgary–Edmonton rivalry
Seeing Calgary and Edmonton as part of a single economic region as the TD study did in 2003 was novel. The more traditional view had been to see the two cities as economic rivals. For example, in the 1980 both cities claimed to be the "Oil Capital of Canada".
Background
Alberta has always been an export-oriented economy. In line with Harold Innis' "Staples Thesis", the economy has changed substantially as different export commodities have risen or fallen in importance. In sequence, the most important products have been: fur, wheat and beef, and oil and gas.
The development of transportation in Alberta has been crucial to its historical economic development. The North American fur trade relied on birch-bark canoes, York boats, and Red River carts on buffalo trails to move furs out of, and European trade goods into, the region. Immigration into the province was eased tremendously by the arrival of the Canadian Pacific Railway's transcontinental line in 1880s. Commercial farming became viable in the area once the grain trade had developed technologies to handle the bulk export of grain, especially hopper cars and grain elevators. Oil and gas exports have been possible because of increasing pipeline technology.
Prior to the 1950s, Alberta was a primarily agricultural economy, based on the export of wheat, beef, and a few other commodities. The health of economy was closely bound up with the price of wheat.
In 1947 a major oil field was discovered near Edmonton. It was not the first petroleum find in Alberta, but it was large enough to significantly alter the economy of the province (and coincided with growing American demand for energy). Since that time, Alberta's economic fortunes have largely tracked the price of oil, and increasingly natural gas prices. When oil prices spiked during the 1967 Oil Embargo, 1973 oil crisis, and 1979 energy crisis, Alberta's economy boomed. However, during the 1980s oil glut Alberta's economy suffered. Alberta boomed once again during the 2003-2008 oil price spike. In July 2008 the price of oil peaked and began to decline and Alberta's economy soon followed suit, with unemployment doubling within a year. By 2009 with natural gas prices at a long-term low, Alberta's economy was in poor health compared to before, although still relatively better than many other comparable jurisdictions. By 2012 natural gas prices were at a ten-year low, the Canadian dollar was high, and oil prices recovered until June 2014.
The spin-offs from petroleum allowed Alberta to develop many other industries. Oilpatch-related manufacturing is an obvious example, but financial services and government services have also benefited from oil money.
A comparison of the development of Alberta's less oil and gas-endowed neighbours, Saskatchewan and Manitoba, reveals the role petroleum has played. Alberta was once the smallest of the three Prairie Provinces by population in the early 20th century, but by 2009, Alberta's population was 3,632,483 or approximately three times as much as either Saskatchewan (1,023,810) or Manitoba (1,213,815).
Employment
Alberta's economy is a highly developed one in which most people work in services such as healthcare, government, or retail. Primary industries are also of great importance, however.
By March 2016 the unemployment rate in Alberta rose to 7.9%— its "highest level since April 1995 and the first time the province’s rate has surpassed the national average since December 1988." There were 21,200 fewer jobs than February 2015. The unemployment rate was expected to average 7.4% in 2016. The Canadian Association of Petroleum Producers (CAPP) claimed that Alberta lost 35,000 jobs in 2015–25,000 from the oil services sector and 10,000 from exploration and production. Full-time employment increased by 10,000 in February 2016 after falling 20,000 in both December 2015 and January 2016. The natural resources industry lost 7,400 jobs in February. "Year-over-year (y/y), the goods sector lost 56,000 jobs, while the services sector gained 34,800." In 2015 Alberta's population increased by 3,900. While Alberta had a reprieve in job loss in February 2016—up 1,400 jobs after losing jobs in October, November, December 2015 and January 2016—Ontario lost 11,200 jobs, Saskatchewan lost 7,800 jobs and New Brunswick lost 5,700 jobs.
The unemployment rate in spring 2019 in Alberta was 6.7% with 21,000 jobs added in April; in Calgary it was 7.4%, in Edmonton it was 6.9%, in Northern Alberta it was 11.2%, and in Southern Alberta it was 7.8%. By July 2019, the seasonally adjusted unemployment rate had increased to 7.0%, which represented an increase of 0.3% from the previous year. The unemployment rate in Alberta peaked in November 2016 at 9.1%. Its lowest point in a ten-year period from July 2009 to July 2019 was in September 2013 at 4.3%.
By August 2019, the employment number in Alberta was 2,344,000, following the loss of 14,000 full-time jobs in July, which represented that the "largest decline" in Canada according to Statistics Canada.
Employment by industry, Alberta – seasonally adjusted (000s)
Extraction industries
According to the Government of Alberta, the "mining and oil and gas extraction industry accounted for 6.1% of total employment in Alberta in 2017". By April 2019, there were about 145,100 people working directly with the oil and gas industry. In 2013, there were 171,200 people employed in the mining and oil and gas extraction industry.
In 2007 there were 146,900 people working in the mining and oil and gas extraction industry.
Oil and Gas Extraction industry = 69,900
Support Activities for Mining & Oil & Gas Extraction (primarily oil and gas exploration and drilling) = 71,700
Mining other than oil and gas (mainly coal and mineral mining & quarrying) = 5,100
Largest employers of Alberta
According to Alberta Venture magazine's list of the 50 largest employers in the province, the largest employers are:
Sectors
Oil and gas extraction industries
In 2018, Alberta's energy sector contributed over $71.5 billion to Canada's nominal gross domestic product. In 2006, it accounted for 29.1% of Alberta's GDP; by 2012 it was 23.3%; in 2013, it was 24.6%, and in 2016 it was 27.9%. According to Statistics Canada, in May 2018, the oil and gas extraction industry reached its highest proportion of Canada's national GDP since 1985, exceeding 7% and "surpass[ing] banking and insurance". with extraction of non-conventional oil from the oilsands reaching an "impressive", all-time high in May 2018. With conventional oil extraction "climbed up to the highs from 2007", the demand for Canadian oil was strong in May.
Alberta is the largest producer of conventional crude oil, synthetic crude, natural gas and gas products in the country. Alberta is the world's 2nd largest exporter of natural gas and the 4th largest producer. Two of the largest producers of petrochemicals in North America are located in central and north central Alberta. In both Red Deer and Edmonton, world class polyethylene and vinyl manufacturers produce products shipped all over the world, and Edmonton's oil refineries provide the raw materials for a large petrochemical industry to the east of Edmonton. Since the early 1940s, Alberta had supplied oil and gas to the rest of Canada and the United States. The Athabasca River region produces oil for internal and external use. The Athabasca Oil Sands contain the largest proven reserves of oil in the world outside Saudi Arabia.
The Athabasca Oil Sands (sometimes known as the Athabasca Tar sands) have estimated unconventional oil reserves approximately equal to the conventional oil reserves of the rest of the world, estimated to be . With the development of new extraction methods such as steam-assisted gravity drainage (SAGD), which was developed in Alberta, bitumen and synthetic crude oil can be produced at costs close to those of conventional crude. Many companies employ both conventional strip mining and non-conventional in situ methods to extract the bitumen from the oil sands. With current technology and at current prices, about of bitumen are recoverable. Fort McMurray, one of Canada's fastest growing cities, has grown enormously in recent years because of the large corporations which have taken on the task of oil production. As of late 2006 there were over $100 billion in oil sands projects under construction or in the planning stages in northeastern Alberta.
Another factor determining the viability of oil extraction from the oil sands was the price of oil. The oil price increases since 2003 made it more than profitable to extract this oil, which in the past would give little profit or even a loss.
Alberta's economy was negatively impacted by the 2015-2016 oil glut with a record high volume of worldwide oil inventories in storage, with global crude oil collapsing at near ten-year low prices. The United States doubled its 2008 production levels mainly due to substantial improvements in shale "fracking" technology, OPEC members consistently exceeded their production ceiling, and China experienced a marked slowdown in economic growth and crude oil imports.
Mining and Oil and Gas Extraction Industry (2017)
Data Source: Statistics Canada, Labour Force Survey, CANSIM Table 282–0008, 2017 "Employment share is obtained by dividing the number of employment in this industry by total employment in Alberta."
Natural gas
Natural gas has been found at several points, and in 1999, the production of natural gas liquids (ethane, propane, and butanes) totalled , valued at $2.27 billion. Alberta also provides 13% of all the natural gas used in the United States.
Notable gas reserves were discovered in the 1883 near Medicine Hat. The town of Medicine Hat began using gas for lighting the town, and supplying light and fuel for the people, and a number of industries using the gas for manufacturing.
One of North America's benchmarks is Alberta gas-trading price—the AECO "C" spot price.
In 2018, 69% of the marketable natural gas in Canada was produced in Alberta. Forty nine per cent of Alberta's natural gas production is consumed in Alberta. In Alberta, the average household uses of natural gas annually. Domestic demand for natural gas is divided across sectors, with the highest demand—83% coming from "industrial, electrical generation, transportation and other sectors," and 17 percent going towards residential and commercial sectors.
Of the provinces, Alberta is the largest consumer of natural gas at 3.9 billion cubic feet per day.
By August 2019, the Financial Post said that "AECO daily and monthly natural gas prices" were at the lowest they have been since 1992. Canada's largest natural gas producer, Canadian Natural Resources Ltd., announced in early August that it had "shut in gas production of 27,000 million cubic feet per day because of depressed prices. Previously natural gas pipeline drilled in the southern Alberta and shipped to markets in Eastern Canada. By 2019, the entire natural gas industry had was primarily operating in northwestern Alberta and northeastern B.C., which resulted in strained infrastructure. New systems will not be complete until 2021 or 2023. In September 25, 2017 Alberta's benchmark AECO natural gas prices fell into "negative territory – "meaning producers have had to pay customers to take their gas". It happened again in early October with the price per gigajoule dropping to -7 cents. TransCanada (now TC Energy Corp)—which "owns and operates Alberta's "largest natural gas gathering and transmission system, interrupted its pipeline service in the fall of 2017 to complete field maintenance on the Alberta system. In July 2018, RS Energy Group's energy analyst Samir Kayande, said that faced with a glut of natural gas across North America, the continental market price was $3 per gigajoule. Alberta is "awash" with natural gas but faces pipeline bottlenecks. CEOs of nine Alberta natural gas producers requested the Kenney government to mandate production cuts to deal with the crisis. On June 30, the AECO price of gas dropped to 11 cents per gigajoule, because of maintenance issues with the pipeline giant TC Energy Corp.
In 2003 Alberta produced of marketable natural gas. That year, 62% of Alberta's natural gas was shipped to the United States, 24% was used within Alberta, and 14% was used in the rest of Canada. In 2006, Alberta consumed of natural gas. The rest was exported across Canada and to the United States. Royalties to Alberta from natural gas and its byproducts are larger than royalties from crude oil and bitumen. In 2006, there were 13,473 successful natural gas wells drilled in Alberta: 12,029 conventional gas wells and 1,444 coalbed methane wells. There may be up to of coalbed methane in Alberta, although it is unknown how much of this gas might be recoverable. Alberta has one of the most extensive natural gas systems in the world as part of its energy infrastructure, with of energy related pipelines.
Coal
Coal has been mined in Alberta since the late 19th century. Over 1800 mines have operated in Alberta since then.
The coal industry was vital to the early development of several communities, especially those in the foothills and along deep river valleys where coal was close to the surface.
Alberta is still a major coal producer, every two weeks Alberta produces enough coal to fill the Sky Dome in Toronto.
Much of that coal is burned in Alberta for electricity generation. By 2008, Alberta used over 25 million tonnes of coal annually to generate electricity. However, Alberta is set to retire coal power by 2023, ahead of 2030 provincial deadline.
Alberta has vast coal resources and 70 per cent of Canada's coal reserves are located in Alberta. This amounts to 33.6 Gigatonnes.
Vast beds of coal are found extending for hundreds of miles, a short distance below the surface of the plains. The coal belongs to the Cretaceous beds, and while not so heavy as that of the Coal Measures in England is of excellent quality. In the valley of the Bow River, alongside the Canadian Pacific Railway, valuable beds of anthracite coal are still worked. The usual coal deposits of the area of bituminous or semi-bituminous coal. These are largely worked at Lethbridge in southern Alberta and Edmonton in the centre of the province. Many other parts of the province have pits for private use.
Electricity
, Alberta's generating capacity was 16,261 MW, and Alberta has about of transmission lines.
Alberta has 1491 megawatts of wind power capacity.
Production of electricity in Alberta in 2016 by source:
Alberta has added 9,000 MW of new supply since 1998.
Peak for power use in one day was set on July 9, 2015 – 10,520 MW.
Mineral mining
Building stones mined in Alberta include Rundle stone, and Paskapoo sandstone.
Diamonds were first found in Alberta in 1958, and many stones have been found since, although to date no large-scale mines have been developed.
Manufacturing
The Edmonton area, and in particular Nisku is a major centre for manufacturing oil and gas related equipment. As well Edmonton's Refinery Row is home to a petrochemical industry.
According to a 2016 Statistics Canada report Alberta's manufacturing sales year-over-year sales fell 13.2 per cent, with a loss of almost four per cent from December to January. Alberta's economy continued to shrink because of the collapse of the oil and gas sector. The petroleum and coal product manufacturing industry is now third— behind food and chemicals.
Biotechnology
Several companies and services in the biotech sector are clustered around the University of Alberta, for example ColdFX.
Food processing
Owing to the strength of agriculture, food processing was once a major part of the economies of Edmonton and Calgary, but this sector has increasingly moved to smaller centres such as Brooks, the home of XL Foods, responsible for one third of Canada's beef processing in 2011.
Transportation
Edmonton is a major distribution centre for northern communities, hence the nickname "Gateway to the North". Edmonton is one of CN Rail's most important hubs. Since 1996, Canadian Pacific Railway has its headquarters in downtown Calgary.
WestJet, Canada's second largest air carrier, is headquartered in Calgary, by Calgary International Airport, which serves as the airline's primary hub. Prior to its dissolution, Canadian Airlines was headquartered in Calgary by the airport. Prior to its dissolution, Air Canada subsidiary Zip was headquartered in Calgary.
Agriculture and forestry
Agriculture
In the past, cattle, horses, and sheep were reared in the southern prairie region on ranches or smaller holdings. Currently Alberta produces cattle valued at over $3.3 billion, as well as other livestock in lesser quantities. In this region irrigation is widely used. Wheat, accounting for almost half of the $2 billion agricultural economy, is supplemented by canola, barley, rye, sugar beets, and other mixed farming. In 2011, Alberta producers seeded an estimated total of to spring wheat, durum, barley, oats, mixed grains, triticale, canola and dry peas. Of the total seeded area, 94 per cent was harvested as grains and oilseeds and six per cent as greenfeed and silage. Saudi Arabia is a major export target especially for wheat and processed potato products. SA having decided to phase out their own forage and cereal production, Alberta expects this to be an opportunity to fill livestock feed demand in the kingdom.
Agriculture has a significant position in the province's economy. Over three million cattle are residents of the province at one time or another, and Albertan beef has a healthy worldwide market. Although beef could also be a major export to Saudi Arabia, as with wheat and potatoes above, market access is lacking at the moment. Nearly one half of all Canadian beef is produced in Alberta. Alberta is one of the prime producers of plains buffalo (bison) for the consumer market. Sheep for wool and lamb are also raised.
Wheat and canola are primary farm crops, with Alberta leading the provinces in spring wheat production, with other grains also prominent. Much of the farming is dryland farming, often with fallow seasons interspersed with cultivation. Continuous cropping (in which there is no fallow season) is gradually becoming a more common mode of production because of increased profits and a reduction of soil erosion. Across the province, the once common grain elevator is slowly being lost as rail lines are decreased and farmers now truck the grain to central points.
Clubroot (Plasmodiophora brassicae) is a costly disease of Brassicaceae here including canola. In several experiments by Peng et al., out of fungicides, biofungicides, inoculation with beneficial microbes, cultivar resistance, and crop rotation, only genetic resistance combined with more than two years rotation worked susceptible cultivars rotated with other crops did not produce enough improvement.
Alberta is the leading beekeeping province of Canada, with some beekeepers wintering hives indoors in specially designed barns in southern Alberta, then migrating north during the summer into the Peace River valley where the season is short but the working days are long for honeybees to produce honey from clover and fireweed. Hybrid canola also requires bee pollination, and some beekeepers service this need.
Forestry
The vast northern forest reserves of softwood allow Alberta to produce large quantities of lumber, oriented strand board (OSB) and plywood, and several plants in northern Alberta supply North America and the Pacific Rim nations with bleached wood pulp and newsprint.
In 1999, lumber products from Alberta were valued at $4.1 billion of which 72% were exported around the world. Since forests cover approximately 59% of the province's land area, the government allows about to be harvested annually from the forests on public lands.
Services
Despite the high profile of the extractive industries, Alberta has a mature economy and most people work in services. In 2014 there were 1,635.8 thousand people employed in the services-producing sector. Since then, the number has steadily increased to 1754.8 thousand jobs by August 2019, which is an increase of 16.7 thousand jobs from August 2018 This includes wholesale and retail trade; transportation and warehousing; finance, insurance, real estate, rental and leasing; professional, scientific and technical services; business, building and other support services; educational services; health care and social assistance; information, culture and recreation; accommodation and food services; other services (except public administration) and public administration.
Finance
The TSX Venture Exchange is headquartered in Calgary. The city has the second highest number of corporate head offices in Canada after Toronto, and the financial services industry in Calgary has developed to support them. All major banks including the Big Five maintain corporate offices in Calgary, along with smaller banks such as Equitable Group. Recently there has also been a number of fintech companies founded in Calgary such as the National Digital Asset Exchange and Neo Financial, founded by the Skip-the-Dishes team.
One of Canada's largest accounting firms, MNP LLP, is also headquartered in Calgary.
Edmonton hosts the headquarters of the only major Canadian banks west of Toronto: Canadian Western Bank, and ATB Financial, as well as the only province-wide credit union, Servus Credit Union.
Government
Despite Alberta's reputation as a "small government" province, many health care and education professionals are lured to Alberta from other provinces by the higher wages the Alberta government is able to offer because of oil revenues. In 2014 the median household income in Alberta was $100,000 with the average weekly wage at $1,163—23 per cent higher than the Canadian national average.
In their May 2018 report co-authored by C. D. Howe Institute's President and CEO, William B.P. Robson, evaluating "the budgets, estimates and public accounts" of 2017/18 fiscal year that were tabled by senior governments in the Canadian provinces and the federal government in terms of reporting financial information, appropriately, with transparency, and in a timely fashion, Alberta and New Brunswick ranked highest. The report also said that, prior to 2016, Alberta had scored poorly in comparison with other provinces, because of "confusing array of "operating," "saving" and "capital" accounts that were not Public Sector Accounting Standards (PSAS) consistent." but since 2016, Alberta has received A-plus grades. The report said that Alberta and New Brunswick in FY2017 provided "straightforward reconciliations of results with budget intentions, their auditors record no reservations, and their budgets and public accounts are timely."
Technology
Alberta has a burgeoning high tech sector, including prominent technology companies iStockPhoto, Shareworks, Benevity, and Attabotics in Calgary, and Bioware and AltaML in Edmonton. Growth in Calgary's technology sector, particularly at Benevity, fueled predictions of a modest economic recovery in February 2020.
See also
Economy of Canada
Economy of Lethbridge
Canadian Oil Patch, for the petroleum industry
History of the petroleum industry in Canada
Canada's Global Markets Action Plan
Free trade agreements of Canada
References
External links
CBC Digital Archives - Striking Oil in Alberta
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Archimedes of Syracuse (, ; ) was an Ancient Greek mathematician, physicist, engineer, astronomer, and inventor from the ancient city of Syracuse in Sicily. Although few details of his life are known, he is regarded as one of the leading scientists in classical antiquity. Considered the greatest mathematician of ancient history, and one of the greatest of all time, Archimedes anticipated modern calculus and analysis by applying the concept of the infinitely small and the method of exhaustion to derive and rigorously prove a range of geometrical theorems. These include the area of a circle, the surface area and volume of a sphere, the area of an ellipse, the area under a parabola, the volume of a segment of a paraboloid of revolution, the volume of a segment of a hyperboloid of revolution, and the area of a spiral.
Archimedes' other mathematical achievements include deriving an approximation of pi, defining and investigating the Archimedean spiral, and devising a system using exponentiation for expressing very large numbers. He was also one of the first to apply mathematics to physical phenomena, working on statics and hydrostatics. Archimedes' achievements in this area include a proof of the law of the lever, the widespread use of the concept of center of gravity, and the enunciation of the law of buoyancy or Archimedes' principle. He is also credited with designing innovative machines, such as his screw pump, compound pulleys, and defensive war machines to protect his native Syracuse from invasion.
Archimedes died during the siege of Syracuse, when he was killed by a Roman soldier despite orders that he should not be harmed. Cicero describes visiting Archimedes' tomb, which was surmounted by a sphere and a cylinder that Archimedes requested be placed there to represent his mathematical discoveries.
Unlike his inventions, Archimedes' mathematical writings were little known in antiquity. Mathematicians from Alexandria read and quoted him, but the first comprehensive compilation was not made until by Isidore of Miletus in Byzantine Constantinople, while commentaries on the works of Archimedes by Eutocius in the 6th century opened them to wider readership for the first time. The relatively few copies of Archimedes' written work that survived through the Middle Ages were an influential source of ideas for scientists during the Renaissance and again in the 17th century, while the discovery in 1906 of previously lost works by Archimedes in the Archimedes Palimpsest has provided new insights into how he obtained mathematical results.
Biography
Archimedes was born c. 287 BC in the seaport city of Syracuse, Sicily, at that time a self-governing colony in Magna Graecia. The date of birth is based on a statement by the Byzantine Greek historian John Tzetzes that Archimedes lived for 75 years before his death in 212 BC. In the Sand-Reckoner, Archimedes gives his father's name as Phidias, an astronomer about whom nothing else is known. A biography of Archimedes was written by his friend Heracleides, but this work has been lost, leaving the details of his life obscure. It is unknown, for instance, whether he ever married or had children, or if he ever visited Alexandria, Egypt, during his youth. From his surviving written works, it is clear that he maintained collegiate relations with scholars based there, including his friend Conon of Samos and the head librarian Eratosthenes of Cyrene.
The standard versions of Archimedes' life were written long after his death by Greek and Roman historians. The earliest reference to Archimedes occurs in The Histories by Polybius ( 200–118 BC), written about 70 years after his death. It sheds little light on Archimedes as a person, and focuses on the war machines that he is said to have built in order to defend the city from the Romans. Polybius remarks how, during the Second Punic War, Syracuse switched allegiances from Rome to Carthage, resulting in a military campaign under the command of Marcus Claudius Marcellus and Appius Claudius Pulcher, who besieged the city from 213 to 212 BC. He notes that the Romans underestimated Syracuse's defenses, and mentions several machines Archimedes designed, including improved catapults, crane-like machines that could be swung around in an arc, and other stone-throwers. Although the Romans ultimately captured the city, they suffered considerable losses due to Archimedes' inventiveness.
Cicero (106–43 BC) mentions Archimedes in some of his works. While serving as a quaestor in Sicily, Cicero found what was presumed to be Archimedes' tomb near the Agrigentine gate in Syracuse, in a neglected condition and overgrown with bushes. Cicero had the tomb cleaned up and was able to see the carving and read some of the verses that had been added as an inscription. The tomb carried a sculpture illustrating Archimedes' favorite mathematical proof, that the volume and surface area of the sphere are two-thirds that of an enclosing cylinder including its bases. He also mentions that Marcellus brought to Rome two planetariums Archimedes built. The Roman historian Livy (59 BC–17 AD) retells Polybius' story of the capture of Syracuse and Archimedes' role in it.
Plutarch (45–119 AD) wrote in his Parallel Lives that Archimedes was related to King Hiero II, the ruler of Syracuse. He also provides at least two accounts on how Archimedes died after the city was taken. According to the most popular account, Archimedes was contemplating a mathematical diagram when the city was captured. A Roman soldier commanded him to come and meet Marcellus, but he declined, saying that he had to finish working on the problem. This enraged the soldier, who killed Archimedes with his sword. Another story has Archimedes carrying mathematical instruments before being killed because a soldier thought they were valuable items. Marcellus was reportedly angered by Archimedes' death, as he considered him a valuable scientific asset (he called Archimedes "a geometrical Briareus") and had ordered that he should not be harmed.
The last words attributed to Archimedes are "Do not disturb my circles" (Latin, "Noli turbare circulos meos"; Katharevousa Greek, "μὴ μου τοὺς κύκλους τάραττε"), a reference to the mathematical drawing that he was supposedly studying when disturbed by the Roman soldier. There is no reliable evidence that Archimedes uttered these words and they do not appear in Plutarch's account. A similar quotation is found in the work of Valerius Maximus (fl. 30 AD), who wrote in Memorable Doings and Sayings, "" ("... but protecting the dust with his hands, said 'I beg of you, do not disturb this).
Discoveries and inventions
Archimedes' principle
The most widely known anecdote about Archimedes tells of how he invented a method for determining the volume of an object with an irregular shape. According to Vitruvius, a crown for a temple had been made for King Hiero II of Syracuse, who supplied the pure gold to be used. The crown was likely made in the shape of a votive wreath. Archimedes was asked to determine whether some silver had been substituted by the goldsmith without damaging the crown, so he could not melt it down into a regularly shaped body in order to calculate its density.
In this account, Archimedes noticed while taking a bath that the level of the water in the tub rose as he got in, and realized that this effect could be used to determine the golden crown's volume. Archimedes was so excited by this discovery that he took to the streets naked, having forgotten to dress, crying "Eureka!" (, heúrēka!, ). For practical purposes water is incompressible, so the submerged crown would displace an amount of water equal to its own volume. By dividing the mass of the crown by the volume of water displaced, its density could be obtained; if cheaper and less dense metals had been added, the density would be lower than that of gold. Archimedes found that this is what had happened, proving that silver had been mixed in.
The story of the golden crown does not appear anywhere in Archimedes' known works. The practicality of the method described has been called into question due to the extreme accuracy that would be required to measure water displacement. Archimedes may have instead sought a solution that applied the hydrostatics principle known as Archimedes' principle, found in his treatise On Floating Bodies: a body immersed in a fluid experiences a buoyant force equal to the weight of the fluid it displaces. Using this principle, it would have been possible to compare the density of the crown to that of pure gold by balancing it on a scale with a pure gold reference sample of the same weight, then immersing the apparatus in water. The difference in density between the two samples would cause the scale to tip accordingly. Galileo Galilei, who invented a hydrostatic balance in 1586 inspired by Archimedes' work, considered it "probable that this method is the same that Archimedes followed, since, besides being very accurate, it is based on demonstrations found by Archimedes himself."
Law of the lever
While Archimedes did not invent the lever, he gave a mathematical proof of the principle involved in his work On the Equilibrium of Planes. Earlier descriptions of the principle of the lever are found in a work by Euclid and in the Mechanical Problems, belonging to the Peripatetic school of the followers of Aristotle, the authorship of which has been attributed by some to Archytas.
There are several, often conflicting, reports regarding Archimedes' feats using the lever to lift very heavy objects. Plutarch describes how Archimedes designed block-and-tackle pulley systems, allowing sailors to use the principle of leverage to lift objects that would otherwise have been too heavy to move. According to Pappus of Alexandria, Archimedes' work on levers and his understanding of mechanical advantage caused him to remark: "Give me a place to stand on, and I will move the Earth" (). Olympiodorus later attributed the same boast to Archimedes' invention of the baroulkos, a kind of windlass, rather than the lever.
Archimedes' screw
A large part of Archimedes' work in engineering probably arose from fulfilling the needs of his home city of Syracuse. Athenaeus of Naucratis quotes a certain Moschion in a description on how King Hiero II commissioned the design of a huge ship, the Syracusia, which could be used for luxury travel, carrying supplies, and as a display of naval power. The Syracusia is said to have been the largest ship built in classical antiquity and, according to Moschion's account, it was launched by Archimedes. The ship presumably was capable of carrying 600 people and included garden decorations, a gymnasium, and a temple dedicated to the goddess Aphrodite among its facilities. The account also mentions that, in order to remove any potential water leaking through the hull, a device with a revolving screw-shaped blade inside a cylinder was designed by Archimedes.
Archimedes' screw was turned by hand, and could also be used to transfer water from a body of water into irrigation canals. The screw is still in use today for pumping liquids and granulated solids such as coal and grain. Described by Vitruvius, Archimedes' device may have been an improvement on a screw pump that was used to irrigate the Hanging Gardens of Babylon. The world's first seagoing steamship with a screw propeller was the SS Archimedes, which was launched in 1839 and named in honor of Archimedes and his work on the screw.
Archimedes' claw
Archimedes is said to have designed a claw as a weapon to defend the city of Syracuse. Also known as "", the claw consisted of a crane-like arm from which a large metal grappling hook was suspended. When the claw was dropped onto an attacking ship the arm would swing upwards, lifting the ship out of the water and possibly sinking it.
There have been modern experiments to test the feasibility of the claw, and in 2005 a television documentary entitled Superweapons of the Ancient World built a version of the claw and concluded that it was a workable device. Archimedes has also been credited with improving the power and accuracy of the catapult, and with inventing the odometer during the First Punic War. The odometer was described as a cart with a gear mechanism that dropped a ball into a container after each mile traveled.
Heat ray
Archimedes may have written a work on mirrors entitled Catoptrica, and later authors believed he might have used mirrors acting collectively as a parabolic reflector to burn ships attacking Syracuse. Lucian wrote, in the second century AD, that during the siege of Syracuse Archimedes destroyed enemy ships with fire. Almost four hundred years later, Anthemius of Tralles mentions, somewhat hesitantly, that Archimedes could have used burning-glasses as a weapon.
Often called the "", the purported mirror arrangement focused sunlight onto approaching ships, presumably causing them to catch fire. In the modern era, similar devices have been constructed and may be referred to as a heliostat or solar furnace.
Archimedes' alleged heat ray has been the subject of an ongoing debate about its credibility since the Renaissance. René Descartes rejected it as false, while modern researchers have attempted to recreate the effect using only the means that would have been available to Archimedes, mostly with negative results. It has been suggested that a large array of highly polished bronze or copper shields acting as mirrors could have been employed to focus sunlight onto a ship, but the overall effect would have been blinding, dazzling, or distracting the crew of the ship rather than fire.
Astronomical instruments
Archimedes discusses astronomical measurements of the Earth, Sun, and Moon, as well as Aristarchus' heliocentric model of the universe, in the Sand-Reckoner. Without the use of either trigonometry or a table of chords, Archimedes determines the Sun's apparent diameter by first describing the procedure and instrument used to make observations (a straight rod with pegs or grooves), applying correction factors to these measurements, and finally giving the result in the form of upper and lower bounds to account for observational error. Ptolemy, quoting Hipparchus, also references Archimedes' solstice observations in the Almagest. This would make Archimedes the first known Greek to have recorded multiple solstice dates and times in successive years.
Cicero's De re publica portrays a fictional conversation taking place in 129 BC. After the capture of Syracuse in the Second Punic War, Marcellus is said to have taken back to Rome two mechanisms which were constructed by Archimedes and which showed the motion of the Sun, Moon and five planets. Cicero also mentions similar mechanisms designed by Thales of Miletus and Eudoxus of Cnidus. The dialogue says that Marcellus kept one of the devices as his only personal loot from Syracuse, and donated the other to the Temple of Virtue in Rome. Marcellus' mechanism was demonstrated, according to Cicero, by Gaius Sulpicius Gallus to Lucius Furius Philus, who described it thus:
This is a description of a small planetarium. Pappus of Alexandria reports on a now lost treatise by Archimedes dealing with the construction of these mechanisms entitled On Sphere-Making. Modern research in this area has been focused on the Antikythera mechanism, another device built BC probably designed with a similar purpose. Constructing mechanisms of this kind would have required a sophisticated knowledge of differential gearing. This was once thought to have been beyond the range of the technology available in ancient times, but the discovery of the Antikythera mechanism in 1902 has confirmed that devices of this kind were known to the ancient Greeks.
Mathematics
While he is often regarded as a designer of mechanical devices, Archimedes also made contributions to the field of mathematics. Plutarch wrote that Archimedes "placed his whole affection and ambition in those purer speculations where there can be no reference to the vulgar needs of life", though some scholars believe this may be a mischaracterization.
Method of exhaustion
Archimedes was able to use indivisibles (a precursor to infinitesimals) in a way that is similar to modern integral calculus. Through proof by contradiction (reductio ad absurdum), he could give answers to problems to an arbitrary degree of accuracy, while specifying the limits within which the answer lay. This technique is known as the method of exhaustion, and he employed it to approximate the areas of figures and the value of π.
In Measurement of a Circle, he did this by drawing a larger regular hexagon outside a circle then a smaller regular hexagon inside the circle, and progressively doubling the number of sides of each regular polygon, calculating the length of a side of each polygon at each step. As the number of sides increases, it becomes a more accurate approximation of a circle. After four such steps, when the polygons had 96 sides each, he was able to determine that the value of π lay between 3 (approx. 3.1429) and 3 (approx. 3.1408), consistent with its actual value of approximately 3.1416. He also proved that the area of a circle was equal to π multiplied by the square of the radius of the circle ().
Archimedean property
In On the Sphere and Cylinder, Archimedes postulates that any magnitude when added to itself enough times will exceed any given magnitude. Today this is known as the Archimedean property of real numbers.
Archimedes gives the value of the square root of 3 as lying between (approximately 1.7320261) and (approximately 1.7320512) in Measurement of a Circle. The actual value is approximately 1.7320508, making this a very accurate estimate. He introduced this result without offering any explanation of how he had obtained it. This aspect of the work of Archimedes caused John Wallis to remark that he was: "as it were of set purpose to have covered up the traces of his investigation as if he had grudged posterity the secret of his method of inquiry while he wished to extort from them assent to his results." It is possible that he used an iterative procedure to calculate these values.
The infinite series
In Quadrature of the Parabola, Archimedes proved that the area enclosed by a parabola and a straight line is times the area of a corresponding inscribed triangle as shown in the figure at right. He expressed the solution to the problem as an infinite geometric series with the common ratio :
If the first term in this series is the area of the triangle, then the second is the sum of the areas of two triangles whose bases are the two smaller secant lines, and whose third vertex is where the line that is parallel to the parabola's axis and that passes through the midpoint of the base intersects the parabola, and so on. This proof uses a variation of the series which sums to .
Myriad of myriads
In The Sand Reckoner, Archimedes set out to calculate a number that was greater than the grains of sand needed to fill the universe. In doing so, he challenged the notion that the number of grains of sand was too large to be counted. He wrote:There are some, King Gelo (Gelo II, son of Hiero II), who think that the number of the sand is infinite in multitude; and I mean by the sand not only that which exists about Syracuse and the rest of Sicily but also that which is found in every region whether inhabited or uninhabited.To solve the problem, Archimedes devised a system of counting based on the myriad. The word itself derives from the Greek , for the number 10,000. He proposed a number system using powers of a myriad of myriads (100 million, i.e., 10,000 x 10,000) and concluded that the number of grains of sand required to fill the universe would be 8 vigintillion, or 8.
Writings
The works of Archimedes were written in Doric Greek, the dialect of ancient Syracuse. Many written works by Archimedes have not survived or are only extant in heavily edited fragments; at least seven of his treatises are known to have existed due to references made by other authors. Pappus of Alexandria mentions On Sphere-Making and another work on polyhedra, while Theon of Alexandria quotes a remark about refraction from the Catoptrica.
Archimedes made his work known through correspondence with the mathematicians in Alexandria. The writings of Archimedes were first collected by the Byzantine Greek architect Isidore of Miletus (), while commentaries on the works of Archimedes written by Eutocius in the sixth century AD helped to bring his work a wider audience. Archimedes' work was translated into Arabic by Thābit ibn Qurra (836–901 AD), and into Latin via Arabic by Gerard of Cremona (c. 1114–1187). Direct Greek to Latin translations were later done by William of Moerbeke (c. 1215–1286) and Iacobus Cremonensis (c. 1400–1453).
During the Renaissance, the Editio princeps (First Edition) was published in Basel in 1544 by Johann Herwagen with the works of Archimedes in Greek and Latin.
Surviving works
The following are ordered chronologically based on new terminological and historical criteria set by Knorr (1978) and Sato (1986).
Measurement of a Circle
This is a short work consisting of three propositions. It is written in the form of a correspondence with Dositheus of Pelusium, who was a student of Conon of Samos. In Proposition II, Archimedes gives an approximation of the value of pi (), showing that it is greater than and less than .
The Sand Reckoner
In this treatise, also known as Psammites, Archimedes finds a number that is greater than the grains of sand needed to fill the universe. This book mentions the heliocentric theory of the solar system proposed by Aristarchus of Samos, as well as contemporary ideas about the size of the Earth and the distance between various celestial bodies. By using a system of numbers based on powers of the myriad, Archimedes concludes that the number of grains of sand required to fill the universe is 8 in modern notation. The introductory letter states that Archimedes' father was an astronomer named Phidias. The Sand Reckoner is the only surviving work in which Archimedes discusses his views on astronomy.
On the Equilibrium of Planes
There are two books to On the Equilibrium of Planes: the first contains seven postulates and fifteen propositions, while the second book contains ten propositions. In the first book, Archimedes proves the law of the lever, which states that:
Archimedes uses the principles derived to calculate the areas and centers of gravity of various geometric figures including triangles, parallelograms and parabolas.
Quadrature of the Parabola
In this work of 24 propositions addressed to Dositheus, Archimedes proves by two methods that the area enclosed by a parabola and a straight line is 4/3 the area of a triangle with equal base and height. He achieves this in one of his proofs by calculating the value of a geometric series that sums to infinity with the ratio 1/4.
On the Sphere and Cylinder
In this two-volume treatise addressed to Dositheus, Archimedes obtains the result of which he was most proud, namely the relationship between a sphere and a circumscribed cylinder of the same height and diameter. The volume is 3 for the sphere, and 23 for the cylinder. The surface area is 42 for the sphere, and 62 for the cylinder (including its two bases), where is the radius of the sphere and cylinder.
On Spirals
This work of 28 propositions is also addressed to Dositheus. The treatise defines what is now called the Archimedean spiral. It is the locus of points corresponding to the locations over time of a point moving away from a fixed point with a constant speed along a line which rotates with constant angular velocity. Equivalently, in modern polar coordinates (, ), it can be described by the equation with real numbers and .
This is an early example of a mechanical curve (a curve traced by a moving point) considered by a Greek mathematician.
On Conoids and Spheroids
This is a work in 32 propositions addressed to Dositheus. In this treatise Archimedes calculates the areas and volumes of sections of cones, spheres, and paraboloids.
On Floating Bodies
There are two books of On Floating Bodies. In the first book, Archimedes spells out the law of equilibrium of fluids and proves that water will adopt a spherical form around a center of gravity. This may have been an attempt at explaining the theory of contemporary Greek astronomers such as Eratosthenes that the Earth is round. The fluids described by Archimedes are not since he assumes the existence of a point towards which all things fall in order to derive the spherical shape. Archimedes' principle of buoyancy is given in this work, stated as follows:Any body wholly or partially immersed in fluid experiences an upthrust equal to, but opposite in direction to, the weight of the fluid displaced.
In the second part, he calculates the equilibrium positions of sections of paraboloids. This was probably an idealization of the shapes of ships' hulls. Some of his sections float with the base under water and the summit above water, similar to the way that icebergs float.
Ostomachion
Also known as Loculus of Archimedes or Archimedes' Box, this is a dissection puzzle similar to a Tangram, and the treatise describing it was found in more complete form in the Archimedes Palimpsest. Archimedes calculates the areas of the 14 pieces which can be assembled to form a square. Reviel Netz of Stanford University argued in 2003 that Archimedes was attempting to determine how many ways the pieces could be assembled into the shape of a square. Netz calculates that the pieces can be made into a square 17,152 ways. The number of arrangements is 536 when solutions that are equivalent by rotation and reflection are excluded. The puzzle represents an example of an early problem in combinatorics.
The origin of the puzzle's name is unclear, and it has been suggested that it is taken from the Ancient Greek word for "throat" or "gullet", stomachos (). Ausonius calls the puzzle , a Greek compound word formed from the roots of () and ().
The cattle problem
Gotthold Ephraim Lessing discovered this work in a Greek manuscript consisting of a 44-line poem in the Herzog August Library in Wolfenbüttel, Germany in 1773. It is addressed to Eratosthenes and the mathematicians in Alexandria. Archimedes challenges them to count the numbers of cattle in the Herd of the Sun by solving a number of simultaneous Diophantine equations. There is a more difficult version of the problem in which some of the answers are required to be square numbers. A. Amthor first solved this version of the problem in 1880, and the answer is a very large number, approximately 7.760271.
The Method of Mechanical Theorems
This treatise was thought lost until the discovery of the Archimedes Palimpsest in 1906. In this work Archimedes uses indivisibles, and shows how breaking up a figure into an infinite number of infinitely small parts can be used to determine its area or volume. He may have considered this method lacking in formal rigor, so he also used the method of exhaustion to derive the results. As with The Cattle Problem, The Method of Mechanical Theorems was written in the form of a letter to Eratosthenes in Alexandria.
Apocryphal works
Archimedes' Book of Lemmas or Liber Assumptorum is a treatise with 15 propositions on the nature of circles. The earliest known copy of the text is in Arabic. T. L. Heath and Marshall Clagett argued that it cannot have been written by Archimedes in its current form, since it quotes Archimedes, suggesting modification by another author. The Lemmas may be based on an earlier work by Archimedes that is now lost.
It has also been claimed that the formula for calculating the area of a triangle from the length of its sides was known to Archimedes, though its first appearance is in the work of Heron of Alexandria in the 1st century AD. Other questionable attributions to Archimedes' work include the Latin poem Carmen de ponderibus et mensuris (4th or 5th century), which describes the use of a hydrostatic balance to solve the problem of the crown, and the 12th-century text Mappae clavicula, which contains instructions on how to perform assaying of metals by calculating their specific gravities.
Archimedes Palimpsest
The foremost document containing Archimedes' work is the Archimedes Palimpsest. In 1906, the Danish professor Johan Ludvig Heiberg visited Constantinople to examine a 174-page goatskin parchment of prayers, written in the 13th century, after reading a short transcription published seven years earlier by Papadopoulos-Kerameus. He confirmed that it was indeed a palimpsest, a document with text that had been written over an erased older work. Palimpsests were created by scraping the ink from existing works and reusing them, a common practice in the Middle Ages, as vellum was expensive. The older works in the palimpsest were identified by scholars as 10th-century copies of previously lost treatises by Archimedes. The parchment spent hundreds of years in a monastery library in Constantinople before being sold to a private collector in the 1920s. On 29 October 1998, it was sold at auction to an anonymous buyer for $2 million.
The palimpsest holds seven treatises, including the only surviving copy of On Floating Bodies in the original Greek. It is the only known source of The Method of Mechanical Theorems, referred to by Suidas and thought to have been lost forever. Stomachion was also discovered in the palimpsest, with a more complete analysis of the puzzle than had been found in previous texts. The palimpsest was stored at the Walters Art Museum in Baltimore, Maryland, where it was subjected to a range of modern tests including the use of ultraviolet and light to read the overwritten text. It has since returned to its anonymous owner.
The treatises in the Archimedes Palimpsest include:
On the Equilibrium of Planes
On Spirals
Measurement of a Circle
On the Sphere and Cylinder
On Floating Bodies
The Method of Mechanical Theorems
Stomachion
Speeches by the 4th century BC politician Hypereides
A commentary on Aristotle's Categories
Other works
Legacy
Sometimes called the father of mathematics and mathematical physics, Archimedes had a wide influence on mathematics and science.
Mathematics and physics
Historians of science and mathematics almost universally agree that Archimedes was the finest mathematician from antiquity. Eric Temple Bell, for instance, wrote:
Likewise, Alfred North Whitehead and George F. Simmons said of Archimedes:
Reviel Netz, Suppes Professor in Greek Mathematics and Astronomy at Stanford University and an expert in Archimedes notes:
Leonardo da Vinci repeatedly expressed admiration for Archimedes, and attributed his invention Architonnerre to Archimedes. Galileo called him "superhuman" and "my master", while Huygens said, "I think Archimedes is comparable to no one", consciously emulating him in his early work. Leibniz said, "He who understands Archimedes and Apollonius will admire less the achievements of the foremost men of later times". Gauss's heroes were Archimedes and Newton, and Moritz Cantor, who studied under Gauss in the University of Göttingen, reported that he once remarked in conversation that "there had been only three epoch-making mathematicians: Archimedes, Newton, and Eisenstein".
The inventor Nikola Tesla praised him, saying:
Honors and commemorations
There is a crater on the Moon named Archimedes () in his honor, as well as a lunar mountain range, the Montes Archimedes ().
The Fields Medal for outstanding achievement in mathematics carries a portrait of Archimedes, along with a carving illustrating his proof on the sphere and the cylinder. The inscription around the head of Archimedes is a quote attributed to 1st century AD poet Manilius, which reads in Latin: Transire suum pectus mundoque potiri ("Rise above oneself and grasp the world").
Archimedes has appeared on postage stamps issued by East Germany (1973), Greece (1983), Italy (1983), Nicaragua (1971), San Marino (1982), and Spain (1963).
The exclamation of Eureka! attributed to Archimedes is the state motto of California. In this instance, the word refers to the discovery of gold near Sutter's Mill in 1848 which sparked the California Gold Rush.
See also
Concepts
Arbelos
Archimedean point
Archimedes' axiom
Archimedes number
Archimedes paradox
Archimedean solid
Archimedes' twin circles
Methods of computing square roots
Salinon
Steam cannon
Trammel of Archimedes
People
Diocles
Pseudo-Archimedes
Zhang Heng
References
Notes
Citations
Further reading
Boyer, Carl Benjamin. 1991. A History of Mathematics. New York: Wiley. .
Clagett, Marshall. 1964–1984. Archimedes in the Middle Ages 1–5. Madison, WI: University of Wisconsin Press.
Dijksterhuis, Eduard J. [1938] 1987. Archimedes, translated. Princeton: Princeton University Press. .
Gow, Mary. 2005. Archimedes: Mathematical Genius of the Ancient World. Enslow Publishing. .
Hasan, Heather. 2005. Archimedes: The Father of Mathematics. Rosen Central. .
Heath, Thomas L. 1897. Works of Archimedes. Dover Publications. . Complete works of Archimedes in English.
Netz, Reviel, and William Noel. 2007. The Archimedes Codex. Orion Publishing Group. .
Pickover, Clifford A. 2008. Archimedes to Hawking: Laws of Science and the Great Minds Behind Them. Oxford University Press. .
Simms, Dennis L. 1995. Archimedes the Engineer. Continuum International Publishing Group. .
Stein, Sherman. 1999. Archimedes: What Did He Do Besides Cry Eureka?. Mathematical Association of America. .
External links
Heiberg's Edition of Archimedes. Texts in Classical Greek, with some in English.
The Archimedes Palimpsest project at The Walters Art Museum in Baltimore, Maryland
Testing the Archimedes steam cannon
3rd-century BC Greek people
3rd-century BC writers
People from Syracuse, Sicily
Ancient Greek engineers
Ancient Greek inventors
Ancient Greek geometers
Ancient Greek physicists
Hellenistic-era philosophers
Doric Greek writers
Sicilian Greeks
Mathematicians from Sicily
Scientists from Sicily
Ancient Greeks who were murdered
Ancient Syracusans
Fluid dynamicists
Buoyancy
280s BC births
210s BC deaths
Year of birth uncertain
Year of death uncertain
3rd-century BC mathematicians
3rd-century BC Syracusans
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Alternative medicine is any practice that aims to achieve the healing effects of medicine despite lacking biological plausibility, testability, repeatability or evidence of effectiveness. Unlike modern medicine, which employs the scientific method to test plausible therapies by way of responsible and ethical clinical trials, producing repeatable evidence of either effect or of no effect, alternative therapies reside outside of medical science and do not originate from using the scientific method, but instead rely on testimonials, anecdotes, religion, tradition, superstition, belief in supernatural "energies", pseudoscience, errors in reasoning, propaganda, fraud, or other unscientific sources. Frequently used terms for relevant practices are New Age medicine, pseudo-medicine, unorthodox medicine, holistic medicine, fringe medicine, and unconventional medicine, with little distinction from quackery.
Some alternative practices are based on theories that contradict the established science of how the human body works; others resort to the supernatural or superstitious to explain their effect or lack thereof. In others, the practice has plausibility but lacks a positive risk–benefit outcome probability. Research into alternative therapies often fails to follow proper research protocols (such as placebo-controlled trials, blind experiments and calculation of prior probability), providing invalid results. History has shown that if a method is proven to work, it eventually ceases to be alternative and becomes mainstream medicine.
Much of the perceived effect of an alternative practice arises from a belief that it will be effective (the placebo effect), or from the treated condition resolving on its own (the natural course of disease). This is further exacerbated by the tendency to turn to alternative therapies upon the failure of medicine, at which point the condition will be at its worst and most likely to spontaneously improve. In the absence of this bias, especially for diseases that are not expected to get better by themselves such as cancer or HIV infection, multiple studies have shown significantly worse outcomes if patients turn to alternative therapies. While this may be because these patients avoid effective treatment, some alternative therapies are actively harmful (e.g. cyanide poisoning from amygdalin, or the intentional ingestion of hydrogen peroxide) or actively interfere with effective treatments.
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Definitions and terminology
The terms alternative medicine, complementary medicine, integrative medicine, holistic medicine, natural medicine, unorthodox medicine, fringe medicine, unconventional medicine, and new age medicine are used interchangeably as having the same meaning and are almost synonymous in most contexts. Terminology has shifted over time, reflecting the preferred branding of practitioners. For example, the United States National Institutes of Health department studying alternative medicine, currently named the National Center for Complementary and Integrative Health (NCCIH), was established as the Office of Alternative Medicine (OAM) and was renamed the National Center for Complementary and Alternative Medicine (NCCAM) before obtaining its current name. Therapies are often framed as "natural" or "holistic", implicitly and intentionally suggesting that conventional medicine is "artificial" and "narrow in scope".
The meaning of the term "alternative" in the expression "alternative medicine", is not that it is an effective alternative to medical science (though some alternative medicine promoters may use the loose terminology to give the appearance of effectiveness). Loose terminology may also be used to suggest meaning that a dichotomy exists when it does not (e.g., the use of the expressions "Western medicine" and "Eastern medicine" to suggest that the difference is a cultural difference between the Asian east and the European west, rather than that the difference is between evidence-based medicine and treatments that do not work).
Alternative medicine
Alternative medicine is defined loosely as a set of products, practices, and theories that are believed or perceived by their users to have the healing effects of medicine, but whose effectiveness has not been established using scientific methods, or whose theory and practice is not part of biomedicine, or whose theories or practices are directly contradicted by scientific evidence or scientific principles used in biomedicine. "Biomedicine" or "medicine" is that part of medical science that applies principles of biology, physiology, molecular biology, biophysics, and other natural sciences to clinical practice, using scientific methods to establish the effectiveness of that practice. Unlike medicine, an alternative product or practice does not originate from using scientific methods, but may instead be based on hearsay, religion, tradition, superstition, belief in supernatural energies, pseudoscience, errors in reasoning, propaganda, fraud, or other unscientific sources.
Some other definitions seek to specify alternative medicine in terms of its social and political marginality to mainstream healthcare. This can refer to the lack of support that alternative therapies receive from medical scientists regarding access to research funding, sympathetic coverage in the medical press, or inclusion in the standard medical curriculum. For example, a widely used definition devised by the US NCCIH calls it "a group of diverse medical and health care systems, practices, and products that are not generally considered part of conventional medicine". However, these descriptive definitions are inadequate in the present-day when some conventional doctors offer alternative medical treatments and introductory courses or modules can be offered as part of standard undergraduate medical training; alternative medicine is taught in more than half of US medical schools and US health insurers are increasingly willing to provide reimbursement for alternative therapies.
Complementary or integrative medicine
Complementary medicine (CM) or integrative medicine (IM) is when alternative medicine is used together with mainstream functional medical treatment in a belief that it improves the effect of treatments. For example, acupuncture (piercing the body with needles to influence the flow of a supernatural energy) might be believed to increase the effectiveness or "complement" science-based medicine when used at the same time. Significant drug interactions caused by alternative therapies may make treatments less effective, notably in cancer therapy.
Several medical organizations differentiate between complementary and alternative medicine including the UK National Health Service (NHS), Cancer Research UK, and the US Center for Disease Control and Prevention (CDC), the latter of which states that "Complementary medicine is used in addition to standard treatments" whereas "Alternative medicine is used instead of standard treatments."
Complementary and integrative interventions are used to improve fatigue in adult cancer patients.
David Gorski has described integrative medicine as an attempt to bring pseudoscience into academic science-based medicine with skeptics such as Gorski and David Colquhoun referring to this with the pejorative term "quackademia". Robert Todd Carroll described Integrative medicine as "a synonym for 'alternative' medicine that, at its worst, integrates sense with nonsense. At its best, integrative medicine supports both consensus treatments of science-based medicine and treatments that the science, while promising perhaps, does not justify" Rose Shapiro has criticized the field of alternative medicine for rebranding the same practices as integrative medicine.
CAM is an abbreviation of the phrase complementary and alternative medicine. The 2019 World Health Organization (WHO) Global Report on Traditional and Complementary Medicine states that the terms complementary and alternative medicine "refer to a broad set of health care practices that are not part of that country's own traditional or conventional medicine and are not fully integrated into the dominant health care system. They are used interchangeably with traditional medicine in some countries."
The Integrative Medicine Exam by the American Board of Physician Specialties includes the following subjects: Manual Therapies, Biofield Therapies, Acupuncture, Movement Therapies, Expressive Arts, Traditional Chinese Medicine, Ayurveda, Indigenous Medical Systems, Homeopathic Medicine, Naturopathic Medicine, Osteopathic Medicine, Chiropractic, and Functional Medicine.
Other terms
Traditional medicine (TM) refers to certain practices within a culture which have existed since before the advent of medical science, Many TM practices are based on "holistic" approaches to disease and health, versus the scientific evidence-based methods in conventional medicine. The 2019 WHO report defines traditional medicine as "the sum total of the knowledge, skill and practices based on the theories, beliefs and experiences indigenous to different cultures, whether explicable or not, used in the maintenance of health as well as in the prevention, diagnosis, improvement or treatment of physical and mental illness." When used outside the original setting and in the absence of scientific evidence, TM practices are typically referred to as "alternative medicine".
Holistic medicine is another rebranding of alternative medicine. In this case, the words balance and holism are often used alongside complementary or integrative, claiming to take into fuller account the "whole" person, in contrast to the supposed reductionism of medicine.
Challenges in defining alternative medicine
Prominent members of the science and biomedical science community say that it is not meaningful to define an alternative medicine that is separate from a conventional medicine because the expressions "conventional medicine", "alternative medicine", "complementary medicine", "integrative medicine", and "holistic medicine" do not refer to any medicine at all. Others say that alternative medicine cannot be precisely defined because of the diversity of theories and practices it includes, and because the boundaries between alternative and conventional medicine overlap, are porous, and change. Healthcare practices categorized as alternative may differ in their historical origin, theoretical basis, diagnostic technique, therapeutic practice and in their relationship to the medical mainstream. Under a definition of alternative medicine as "non-mainstream", treatments considered alternative in one location may be considered conventional in another.
Critics say the expression is deceptive because it implies there is an effective alternative to science-based medicine, and that complementary is deceptive because it implies that the treatment increases the effectiveness of (complements) science-based medicine, while alternative medicines that have been tested nearly always have no measurable positive effect compared to a placebo. Journalist John Diamond wrote that "there is really no such thing as alternative medicine, just medicine that works and medicine that doesn't", a notion later echoed by Paul Offit: "The truth is there's no such thing as conventional or alternative or complementary or integrative or holistic medicine. There's only medicine that works and medicine that doesn't. And the best way to sort it out is by carefully evaluating scientific studies—not by visiting Internet chat rooms, reading magazine articles, or talking to friends."
Types
Alternative medicine consists of a wide range of health care practices, products, and therapies. The shared feature is a claim to heal that is not based on the scientific method. Alternative medicine practices are diverse in their foundations and methodologies. Alternative medicine practices may be classified by their cultural origins or by the types of beliefs upon which they are based. Methods may incorporate or be based on traditional medicinal practices of a particular culture, folk knowledge, superstition, spiritual beliefs, belief in supernatural energies (antiscience), pseudoscience, errors in reasoning, propaganda, fraud, new or different concepts of health and disease, and any bases other than being proven by scientific methods. Different cultures may have their own unique traditional or belief based practices developed recently or over thousands of years, and specific practices or entire systems of practices.
Unscientific belief systems
Alternative medicine, such as using naturopathy or homeopathy in place of conventional medicine, is based on belief systems not grounded in science.
Traditional ethnic systems
Alternative medical systems may be based on traditional medicine practices, such as traditional Chinese medicine (TCM), Ayurveda in India, or practices of other cultures around the world. Some useful applications of traditional medicines have been researched and accepted within ordinary medicine, however the underlying belief systems are seldom scientific and are not accepted.
Traditional medicine is considered alternative when it is used outside its home region; or when it is used together with or instead of known functional treatment; or when it can be reasonably expected that the patient or practitioner knows or should know that it will not work – such as knowing that the practice is based on superstition.
Supernatural energies
Bases of belief may include belief in existence of supernatural energies undetected by the science of physics, as in biofields, or in belief in properties of the energies of physics that are inconsistent with the laws of physics, as in energy medicine.
Herbal remedies and other substances
Substance based practices use substances found in nature such as herbs, foods, non-vitamin supplements and megavitamins, animal and fungal products, and minerals, including use of these products in traditional medical practices that may also incorporate other methods. Examples include healing claims for non-vitamin supplements, fish oil, Omega-3 fatty acid, glucosamine, echinacea, flaxseed oil, and ginseng. Herbal medicine, or phytotherapy, includes not just the use of plant products, but may also include the use of animal and mineral products. It is among the most commercially successful branches of alternative medicine, and includes the tablets, powders and elixirs that are sold as "nutritional supplements". Only a very small percentage of these have been shown to have any efficacy, and there is little regulation as to standards and safety of their contents.
Religion, faith healing, and prayer
NCCIH classification
The US agency NCCIH has created a classification system for branches of complementary and alternative medicine that divides them into five major groups. These groups have some overlap, and distinguish two types of energy medicine: veritable which involves scientifically observable energy (including magnet therapy, colorpuncture and light therapy) and putative, which invokes physically undetectable or unverifiable energy. None of these energies have any evidence to support that they affect the body in any positive or health promoting way.
Whole medical systems: Cut across more than one of the other groups; examples include traditional Chinese medicine, naturopathy, homeopathy, and ayurveda.
Mind-body interventions: Explore the interconnection between the mind, body, and spirit, under the premise that they affect "bodily functions and symptoms". A connection between mind and body is conventional medical fact, and this classification does not include therapies with proven function such as cognitive behavioral therapy.
"Biology"-based practices: Use substances found in nature such as herbs, foods, vitamins, and other natural substances. (As used here, "biology" does not refer to the science of biology, but is a usage newly coined by NCCIH in the primary source used for this article. "Biology-based" as coined by NCCIH may refer to chemicals from a nonbiological source, such as use of the poison lead in traditional Chinese medicine, and to other nonbiological substances.)
Manipulative and body-based practices: feature manipulation or movement of body parts, such as is done in bodywork, chiropractic, and osteopathic manipulation.
Energy medicine: is a domain that deals with putative and verifiable energy fields:
Biofield therapies are intended to influence energy fields that are purported to surround and penetrate the body. The existence of such energy fields have been disproven.
Bioelectromagnetic-based therapies use verifiable electromagnetic fields, such as pulsed fields, alternating-current, or direct-current fields in a non-scientific manner.
History
The history of alternative medicine may refer to the history of a group of diverse medical practices that were collectively promoted as "alternative medicine" beginning in the 1970s, to the collection of individual histories of members of that group, or to the history of western medical practices that were labeled "irregular practices" by the western medical establishment. It includes the histories of complementary medicine and of integrative medicine. Before the 1970s, western practitioners that were not part of the increasingly science-based medical establishment were referred to "irregular practitioners", and were dismissed by the medical establishment as unscientific and as practicing quackery. Until the 1970s, irregular practice became increasingly marginalized as quackery and fraud, as western medicine increasingly incorporated scientific methods and discoveries, and had a corresponding increase in success of its treatments. In the 1970s, irregular practices were grouped with traditional practices of nonwestern cultures and with other unproven or disproven practices that were not part of biomedicine, with the entire group collectively marketed and promoted under the single expression "alternative medicine".
Use of alternative medicine in the west began to rise following the counterculture movement of the 1960s, as part of the rising new age movement of the 1970s. This was due to misleading mass marketing of "alternative medicine" being an effective "alternative" to biomedicine, changing social attitudes about not using chemicals and challenging the establishment and authority of any kind, sensitivity to giving equal measure to beliefs and practices of other cultures (cultural relativism), and growing frustration and desperation by patients about limitations and side effects of science-based medicine. At the same time, in 1975, the American Medical Association, which played the central role in fighting quackery in the United States, abolished its quackery committee and closed down its Department of Investigation. By the early to mid 1970s the expression "alternative medicine" came into widespread use, and the expression became mass marketed as a collection of "natural" and effective treatment "alternatives" to science-based biomedicine. By 1983, mass marketing of "alternative medicine" was so pervasive that the British Medical Journal (BMJ) pointed to "an apparently endless stream of books, articles, and radio and television programmes urge on the public the virtues of (alternative medicine) treatments ranging from meditation to drilling a hole in the skull to let in more oxygen".
An analysis of trends in the criticism of complementary and alternative medicine (CAM) in five prestigious American medical journals during the period of reorganization within medicine (1965–1999) was reported as showing that the medical profession had responded to the growth of CAM in three phases, and that in each phase, changes in the medical marketplace had influenced the type of response in the journals. Changes included relaxed medical licensing, the development of managed care, rising consumerism, and the establishment of the USA Office of Alternative Medicine (later National Center for Complementary and Alternative Medicine, currently National Center for Complementary and Integrative Health).
Medical education
Mainly as a result of reforms following the Flexner Report of 1910 medical education in established medical schools in the US has generally not included alternative medicine as a teaching topic. Typically, their teaching is based on current practice and scientific knowledge about: anatomy, physiology, histology, embryology, neuroanatomy, pathology, pharmacology, microbiology and immunology. Medical schools' teaching includes such topics as doctor-patient communication, ethics, the art of medicine, and engaging in complex clinical reasoning (medical decision-making). Writing in 2002, Snyderman and Weil remarked that by the early twentieth century the Flexner model had helped to create the 20th-century academic health center, in which education, research, and practice were inseparable. While this had much improved medical practice by defining with increasing certainty the pathophysiological basis of disease, a single-minded focus on the pathophysiological had diverted much of mainstream American medicine from clinical conditions that were not well understood in mechanistic terms, and were not effectively treated by conventional therapies.
By 2001 some form of CAM training was being offered by at least 75 out of 125 medical schools in the US. Exceptionally, the School of Medicine of the University of Maryland, Baltimore, includes a research institute for integrative medicine (a member entity of the Cochrane Collaboration). Medical schools are responsible for conferring medical degrees, but a physician typically may not legally practice medicine until licensed by the local government authority. Licensed physicians in the US who have attended one of the established medical schools there have usually graduated Doctor of Medicine (MD). All states require that applicants for MD licensure be graduates of an approved medical school and complete the United States Medical Licensing Examination (USMLE).
Efficacy
There is a general scientific consensus that alternative therapies lack the requisite scientific validation, and their effectiveness is either unproved or disproved. Many of the claims regarding the efficacy of alternative medicines are controversial, since research on them is frequently of low quality and methodologically flawed. Selective publication bias, marked differences in product quality and standardisation, and some companies making unsubstantiated claims call into question the claims of efficacy of isolated examples where there is evidence for alternative therapies.
The Scientific Review of Alternative Medicine points to confusions in the general population – a person may attribute symptomatic relief to an otherwise-ineffective therapy just because they are taking something (the placebo effect); the natural recovery from or the cyclical nature of an illness (the regression fallacy) gets misattributed to an alternative medicine being taken; a person not diagnosed with science-based medicine may never originally have had a true illness diagnosed as an alternative disease category.
Edzard Ernst, the first university professor of Complementary and Alternative Medicine, characterized the evidence for many alternative techniques as weak, nonexistent, or negative and in 2011 published his estimate that about 7.4% were based on "sound evidence", although he believes that may be an overestimate. Ernst has concluded that 95% of the alternative therapies he and his team studied, including acupuncture, herbal medicine, homeopathy, and reflexology, are "statistically indistinguishable from placebo treatments", but he also believes there is something that conventional doctors can usefully learn from the chiropractors and homeopath: this is the therapeutic value of the placebo effect, one of the strangest phenomena in medicine.
In 2003, a project funded by the CDC identified 208 condition-treatment pairs, of which 58% had been studied by at least one randomized controlled trial (RCT), and 23% had been assessed with a meta-analysis. According to a 2005 book by a US Institute of Medicine panel, the number of RCTs focused on CAM has risen dramatically.
, the Cochrane Library had 145 CAM-related Cochrane systematic reviews and 340 non-Cochrane systematic reviews. An analysis of the conclusions of only the 145 Cochrane reviews was done by two readers. In 83% of the cases, the readers agreed. In the 17% in which they disagreed, a third reader agreed with one of the initial readers to set a rating. These studies found that, for CAM, 38.4% concluded positive effect or possibly positive (12.4%), 4.8% concluded no effect, 0.7% concluded harmful effect, and 56.6% concluded insufficient evidence. An assessment of conventional treatments found that 41.3% concluded positive or possibly positive effect, 20% concluded no effect, 8.1% concluded net harmful effects, and 21.3% concluded insufficient evidence. However, the CAM review used the more developed 2004 Cochrane database, while the conventional review used the initial 1998 Cochrane database.
Alternative therapies do not "complement" (improve the effect of, or mitigate the side effects of) functional medical treatment. Significant drug interactions caused by alternative therapies may instead negatively impact functional treatment by making prescription drugs less effective, such as interference by herbal preparations with warfarin.
In the same way as for conventional therapies, drugs, and interventions, it can be difficult to test the efficacy of alternative medicine in clinical trials. In instances where an established, effective, treatment for a condition is already available, the Helsinki Declaration states that withholding such treatment is unethical in most circumstances. Use of standard-of-care treatment in addition to an alternative technique being tested may produce confounded or difficult-to-interpret results.
Cancer researcher Andrew J. Vickers has stated:
Perceived mechanism of effect
Anything classified as alternative medicine by definition does not have a proven healing or medical effect. However, there are different mechanisms through which it can be perceived to "work". The common denominator of these mechanisms is that effects are mis-attributed to the alternative treatment.
Placebo effect
A placebo is a treatment with no intended therapeutic value. An example of a placebo is an inert pill, but it can include more dramatic interventions like sham surgery. The placebo effect is the concept that patients will perceive an improvement after being treated with an inert treatment. The opposite of the placebo effect is the nocebo effect, when patients who expect a treatment to be harmful will perceive harmful effects after taking it.
Placebos do not have a physical effect on diseases or improve overall outcomes, but patients may report improvements in subjective outcomes such as pain and nausea. A 1955 study suggested that a substantial part of a medicine's impact was due to the placebo effect. However, reassessments found the study to have flawed methodology. This and other modern reviews suggest that other factors like natural recovery and reporting bias should also be considered.
All of these are reasons why alternative therapies may be credited for improving a patient's condition even though the objective effect is non-existent, or even harmful. David Gorski argues that alternative treatments should be treated as a placebo, rather than as medicine. Almost none have performed significantly better than a placebo in clinical trials. Furthermore, distrust of conventional medicine may lead to patients experiencing the nocebo effect when taking effective medication.
Regression to the mean
A patient who receives an inert treatment may report improvements afterwards that it did not cause. Assuming it was the cause without evidence is an example of the regression fallacy. This may be due to a natural recovery from the illness, or a fluctuation in the symptoms of a long-term condition. The concept of regression toward the mean implies that an extreme result is more likely to be followed by a less extreme result.
Other factors
There are also reasons why a placebo treatment group may outperform a "no-treatment" group in a test which are not related to a patient's experience. These include patients reporting more favourable results than they really felt due to politeness or "experimental subordination", observer bias, and misleading wording of questions. In their 2010 systematic review of studies into placebos, Asbjørn Hróbjartsson and Peter C. Gøtzsche write that "even if there were no true effect of placebo, one would expect to record differences between placebo and no-treatment groups due to bias associated with lack of blinding." Alternative therapies may also be credited for perceived improvement through decreased use or effect of medical treatment, and therefore either decreased side effects or nocebo effects towards standard treatment.
Use and regulation
Appeal
Practitioners of complementary medicine usually discuss and advise patients as to available alternative therapies. Patients often express interest in mind-body complementary therapies because they offer a non-drug approach to treating some health conditions.
In addition to the social-cultural underpinnings of the popularity of alternative medicine, there are several psychological issues that are critical to its growth, notably psychological effects, such as the will to believe, cognitive biases that help maintain self-esteem and promote harmonious social functioning, and the post hoc, ergo propter hoc fallacy.
In a 2018 interview with The BMJ, Edzard Ernst stated: "The present popularity of complementary and alternative medicine is also inviting criticism of what we are doing in mainstream medicine. It shows that we aren't fulfilling a certain need-we are not giving patients enough time, compassion, or empathy. These are things that complementary practitioners are very good at. Mainstream medicine could learn something from complementary medicine."
Marketing
Alternative medicine is a profitable industry with large media advertising expenditures. Accordingly, alternative practices are often portrayed positively and compared favorably to "big pharma".
The popularity of complementary & alternative medicine (CAM) may be related to other factors that Ernst mentioned in a 2008 interview in The Independent:
Paul Offit proposed that "alternative medicine becomes quackery" in four ways: by recommending against conventional therapies that are helpful, promoting potentially harmful therapies without adequate warning, draining patients' bank accounts, or by promoting "magical thinking". Promoting alternative medicine has been called dangerous and unethical.
Social factors
Authors have speculated on the socio-cultural and psychological reasons for the appeal of alternative medicines among the minority using them in lieu of conventional medicine. There are several socio-cultural reasons for the interest in these treatments centered on the low level of scientific literacy among the public at large and a concomitant increase in antiscientific attitudes and new age mysticism. Related to this are vigorous marketing of extravagant claims by the alternative medical community combined with inadequate media scrutiny and attacks on critics. Alternative medicine is criticized for taking advantage of the least fortunate members of society.
There is also an increase in conspiracy theories toward conventional medicine and pharmaceutical companies, mistrust of traditional authority figures, such as the physician, and a dislike of the current delivery methods of scientific biomedicine, all of which have led patients to seek out alternative medicine to treat a variety of ailments. Many patients lack access to contemporary medicine, due to a lack of private or public health insurance, which leads them to seek out lower-cost alternative medicine. Medical doctors are also aggressively marketing alternative medicine to profit from this market.
Patients can be averse to the painful, unpleasant, and sometimes-dangerous side effects of biomedical treatments. Treatments for severe diseases such as cancer and HIV infection have well-known, significant side-effects. Even low-risk medications such as antibiotics can have potential to cause life-threatening anaphylactic reactions in a very few individuals. Many medications may cause minor but bothersome symptoms such as cough or upset stomach. In all of these cases, patients may be seeking out alternative therapies to avoid the adverse effects of conventional treatments.
Prevalence of use
According to research published in 2015, the increasing popularity of CAM needs to be explained by moral convictions or lifestyle choices rather than by economic reasoning.
In developing nations, access to essential medicines is severely restricted by lack of resources and poverty. Traditional remedies, often closely resembling or forming the basis for alternative remedies, may comprise primary healthcare or be integrated into the healthcare system. In Africa, traditional medicine is used for 80% of primary healthcare, and in developing nations as a whole over one-third of the population lack access to essential medicines.
In Latin America, inequities against BIPOC communities keep them tied to their traditional practices and therefore, it is often these communities that constitute the majority of users of alternative medicine. Racist attitudes towards certain communities disable them from accessing more urbanized modes of care. In a study that assessed access to care in rural communities of Latin America, it was found that discrimination is a huge barrier to the ability of citizens to access care; more specifically, women of Indigenous and African descent, and lower-income families were especially hurt. Such exclusion exacerbates the inequities that minorities in Latin America already face. Consistently excluded from many systems of westernized care for socioeconomic and other reasons, low-income communities of color often turn to traditional medicine for care as it has proved reliable to them across generations.
Commentators including David Horrobin have proposed adopting a prize system to reward medical research. This stands in opposition to the current mechanism for funding research proposals in most countries around the world. In the US, the NCCIH provides public research funding for alternative medicine. The NCCIH has spent more than US$2.5 billion on such research since 1992 and this research has not demonstrated the efficacy of alternative therapies. As of 2011, the NCCIH's sister organization in the NIC Office of Cancer Complementary and Alternative Medicine had given out grants of around $105 million each year for several years. Testing alternative medicine that has no scientific basis (as in the aforementioned grants) has been called a waste of scarce research resources.
That alternative medicine has been on the rise "in countries where Western science and scientific method generally are accepted as the major foundations for healthcare, and 'evidence-based' practice is the dominant paradigm" was described as an "enigma" in the Medical Journal of Australia. A 15-year systematic review published in 2022 on the global acceptance and use of CAM among medical specialists found the overall acceptance of CAM at 52% and the overall use at 45%.
In the United States
In the United States, the 1974 Child Abuse Prevention and Treatment Act (CAPTA) required that for states to receive federal money, they had to grant religious exemptions to child neglect and abuse laws regarding religion-based healing practices. Thirty-one states have child-abuse religious exemptions.
The use of alternative medicine in the US has increased, with a 50 percent increase in expenditures and a 25 percent increase in the use of alternative therapies between 1990 and 1997 in America. According to a national survey conducted in 2002, "36 percent of U.S. adults aged 18 years and over use some form of complementary and alternative medicine." Americans spend many billions on the therapies annually. Most Americans used CAM to treat and/or prevent musculoskeletal conditions or other conditions associated with chronic or recurring pain. In America, women were more likely than men to use CAM, with the biggest difference in use of mind-body therapies including prayer specifically for health reasons". In 2008, more than 37% of American hospitals offered alternative therapies, up from 27 percent in 2005, and 25% in 2004. More than 70% of the hospitals offering CAM were in urban areas.
A survey of Americans found that 88 percent thought that "there are some good ways of treating sickness that medical science does not recognize". Use of magnets was the most common tool in energy medicine in America, and among users of it, 58 percent described it as at least "sort of scientific", when it is not at all scientific. In 2002, at least 60 percent of US medical schools have at least some class time spent teaching alternative therapies. "Therapeutic touch" was taught at more than 100 colleges and universities in 75 countries before the practice was debunked by a nine-year-old child for a school science project.
Prevalence of use of specific therapies
The most common CAM therapies used in the US in 2002 were prayer (45%), herbalism (19%), breathing meditation (12%), meditation (8%), chiropractic medicine (8%), yoga (5–6%), body work (5%), diet-based therapy (4%), progressive relaxation (3%), mega-vitamin therapy (3%) and Visualization (2%)
In Britain, the most often used alternative therapies were Alexander technique, aromatherapy, Bach and other flower remedies, body work therapies including massage, Counseling stress therapies, hypnotherapy, meditation, reflexology, Shiatsu, Ayurvedic medicine, nutritional medicine, and Yoga. Ayurvedic medicine remedies are mainly plant based with some use of animal materials. Safety concerns include the use of herbs containing toxic compounds and the lack of quality control in Ayurvedic facilities.
According to the National Health Service (England), the most commonly used complementary and alternative medicines (CAM) supported by the NHS in the UK are: acupuncture, aromatherapy, chiropractic, homeopathy, massage, osteopathy and clinical hypnotherapy.
In palliative care
Complementary therapies are often used in palliative care or by practitioners attempting to manage chronic pain in patients. Integrative medicine is considered more acceptable in the interdisciplinary approach used in palliative care than in other areas of medicine. "From its early experiences of care for the dying, palliative care took for granted the necessity of placing patient values and lifestyle habits at the core of any design and delivery of quality care at the end of life. If the patient desired complementary therapies, and as long as such treatments provided additional support and did not endanger the patient, they were considered acceptable." The non-pharmacologic interventions of complementary medicine can employ mind-body interventions designed to "reduce pain and concomitant mood disturbance and increase quality of life."
Regulation
The alternative medicine lobby has successfully pushed for alternative therapies to be subject to far less regulation than conventional medicine. Some professions of complementary/traditional/alternative medicine, such as chiropractic, have achieved full regulation in North America and other parts of the world and are regulated in a manner similar to that governing science-based medicine. In contrast, other approaches may be partially recognized and others have no regulation at all. In some cases, promotion of alternative therapies is allowed when there is demonstrably no effect, only a tradition of use. Despite laws making it illegal to market or promote alternative therapies for use in cancer treatment, many practitioners promote them.
Regulation and licensing of alternative medicine ranges widely from country to country, and state to state. In Austria and Germany complementary and alternative medicine is mainly in the hands of doctors with MDs, and half or more of the American alternative practitioners are licensed MDs. In Germany herbs are tightly regulated: half are prescribed by doctors and covered by health insurance.
Government bodies in the US and elsewhere have published information or guidance about alternative medicine. The U.S. Food and Drug Administration (FDA), has issued online warnings for consumers about medication health fraud. This includes a section on Alternative Medicine Fraud, such as a warning that Ayurvedic products generally have not been approved by the FDA before marketing.
Risks and problems
The National Science Foundation has studied the problematic side of the public's attitudes and understandings of science fiction, pseudoscience, and belief in alternative medicine. They use a quote from Robert L. Park to describe some issues with alternative medicine:
Negative outcomes
According to the Institute of Medicine, use of alternative medical techniques may result in several types of harm:
"Direct harm, which results in adverse patient outcome."
"Economic harm, which results in monetary loss but presents no health hazard;"
"Indirect harm, which results in a delay of appropriate treatment, or in unreasonable expectations that discourage patients and their families from accepting and dealing effectively with their medical conditions;"
Interactions with conventional pharmaceuticals
Forms of alternative medicine that are biologically active can be dangerous even when used in conjunction with conventional medicine. Examples include immuno-augmentation therapy, shark cartilage, bioresonance therapy, oxygen and ozone therapies, and insulin potentiation therapy. Some herbal remedies can cause dangerous interactions with chemotherapy drugs, radiation therapy, or anesthetics during surgery, among other problems. An example of these dangers was reported by Associate Professor Alastair MacLennan of Adelaide University, Australia regarding a patient who almost bled to death on the operating table after neglecting to mention that she had been taking "natural" potions to "build up her strength" before the operation, including a powerful anticoagulant that nearly caused her death.
To ABC Online, MacLennan also gives another possible mechanism:
Side-effects
Conventional treatments are subjected to testing for undesired side-effects, whereas alternative therapies, in general, are not subjected to such testing at all. Any treatment – whether conventional or alternative – that has a biological or psychological effect on a patient may also have potential to possess dangerous biological or psychological side-effects. Attempts to refute this fact with regard to alternative therapies sometimes use the appeal to nature fallacy, i.e., "That which is natural cannot be harmful." Specific groups of patients such as patients with impaired hepatic or renal function are more susceptible to side effects of alternative remedies.
An exception to the normal thinking regarding side-effects is homeopathy. Since 1938, the FDA has regulated homeopathic products in "several significantly different ways from other drugs." Homeopathic preparations, termed "remedies", are extremely dilute, often far beyond the point where a single molecule of the original active (and possibly toxic) ingredient is likely to remain. They are, thus, considered safe on that count, but "their products are exempt from good manufacturing practice requirements related to expiration dating and from finished product testing for identity and strength", and their alcohol concentration may be much higher than allowed in conventional drugs.
Treatment delay
Alternative medicine may discourage people from getting the best possible treatment. Those having experienced or perceived success with one alternative therapy for a minor ailment may be convinced of its efficacy and persuaded to extrapolate that success to some other alternative therapy for a more serious, possibly life-threatening illness. For this reason, critics argue that therapies that rely on the placebo effect to define success are very dangerous. According to mental health journalist Scott Lilienfeld in 2002, "unvalidated or scientifically unsupported mental health practices can lead individuals to forgo effective treatments" and refers to this as opportunity cost. Individuals who spend large amounts of time and money on ineffective treatments may be left with precious little of either, and may forfeit the opportunity to obtain treatments that could be more helpful. In short, even innocuous treatments can indirectly produce negative outcomes. Between 2001 and 2003, four children died in Australia because their parents chose ineffective naturopathic, homeopathic, or other alternative medicines and diets rather than conventional therapies.
Unconventional cancer "cures"
There have always been "many therapies offered outside of conventional cancer treatment centers and based on theories not found in biomedicine. These alternative cancer cures have often been described as 'unproven,' suggesting that appropriate clinical trials have not been conducted and that the therapeutic value of the treatment is unknown." However, "many alternative cancer treatments have been investigated in good-quality clinical trials, and they have been shown to be ineffective.... The label 'unproven' is inappropriate for such therapies; it is time to assert that many alternative cancer therapies have been 'disproven'."
Edzard Ernst has stated:
Rejection of science
Complementary and alternative medicine (CAM) is not as well researched as conventional medicine, which undergoes intense research before release to the public. Practitioners of science-based medicine also discard practices and treatments when they are shown ineffective, while alternative practitioners do not. Funding for research is also sparse making it difficult to do further research for effectiveness of CAM. Most funding for CAM is funded by government agencies. Proposed research for CAM are rejected by most private funding agencies because the results of research are not reliable. The research for CAM has to meet certain standards from research ethics committees, which most CAM researchers find almost impossible to meet. Even with the little research done on it, CAM has not been proven to be effective. Studies that have been done will be cited by CAM practitioners in an attempt to claim a basis in science. These studies tend to have a variety of problems, such as small samples, various biases, poor research design, lack of controls, negative results, etc. Even those with positive results can be better explained as resulting in false positives due to bias and noisy data.
Alternative medicine may lead to a false understanding of the body and of the process of science. Steven Novella, a neurologist at Yale School of Medicine, wrote that government-funded studies of integrating alternative medicine techniques into the mainstream are "used to lend an appearance of legitimacy to treatments that are not legitimate." Marcia Angell considered that critics felt that healthcare practices should be classified based solely on scientific evidence, and if a treatment had been rigorously tested and found safe and effective, science-based medicine will adopt it regardless of whether it was considered "alternative" to begin with. It is possible for a method to change categories (proven vs. unproven), based on increased knowledge of its effectiveness or lack thereof. Prominent supporters of this position are George D. Lundberg, former editor of the Journal of the American Medical Association (JAMA) and the journal's interim editor-in-chief Phil Fontanarosa.
Writing in 1999 in CA: A Cancer Journal for Clinicians Barrie R. Cassileth mentioned a 1997 letter to the US Senate Subcommittee on Public Health and Safety, which had deplored the lack of critical thinking and scientific rigor in OAM-supported research, had been signed by four Nobel Laureates and other prominent scientists. (This was supported by the National Institutes of Health (NIH).)
In March 2009, a staff writer for the Washington Post reported that the impending national discussion about broadening access to health care, improving medical practice and saving money was giving a group of scientists an opening to propose shutting down the National Center for Complementary and Alternative Medicine. They quoted one of these scientists, Steven Salzberg, a genome researcher and computational biologist at the University of Maryland, as saying "One of our concerns is that NIH is funding pseudoscience." They noted that the vast majority of studies were based on fundamental misunderstandings of physiology and disease, and had shown little or no effect.
Writers such as Carl Sagan, a noted astrophysicist, advocate of scientific skepticism and the author of The Demon-Haunted World: Science as a Candle in the Dark (1996), have lambasted the lack of empirical evidence to support the existence of the putative energy fields on which these therapies are predicated.
Sampson has also pointed out that CAM tolerated contradiction without thorough reason and experiment. Barrett has pointed out that there is a policy at the NIH of never saying something does not work, only that a different version or dose might give different results. Barrett also expressed concern that, just because some "alternatives" have merit, there is the impression that the rest deserve equal consideration and respect even though most are worthless, since they are all classified under the one heading of alternative medicine.
Some critics of alternative medicine are focused upon health fraud, misinformation, and quackery as public health problems, notably Wallace Sampson and Paul Kurtz founders of Scientific Review of Alternative Medicine and Stephen Barrett, co-founder of The National Council Against Health Fraud and webmaster of Quackwatch. Grounds for opposing alternative medicine include that:
Alternative therapies typically lack any scientific validation, and their effectiveness is either unproved or disproved.
It is usually based on religion, tradition, superstition, belief in supernatural energies, pseudoscience, errors in reasoning, propaganda, or fraud.
Methods may incorporate or base themselves on traditional medicine, folk knowledge, spiritual beliefs, ignorance or misunderstanding of scientific principles, errors in reasoning, or newly conceived approaches claiming to heal.
Research on alternative medicine is frequently of low quality and methodologically flawed.
Treatments are not part of the conventional, science-based healthcare system.
Where alternative therapies have replaced conventional science-based medicine, even with the safest alternative medicines, failure to use or delay in using conventional science-based medicine has caused deaths.
Many alternative medical treatments are not patentable, which may lead to less research funding from the private sector. In addition, in most countries, alternative therapies (in contrast to pharmaceuticals) can be marketed without any proof of efficacy – also a disincentive for manufacturers to fund scientific research.
English evolutionary biologist Richard Dawkins, in his 2003 book A Devil's Chaplain, defined alternative medicine as a "set of practices that cannot be tested, refuse to be tested, or consistently fail tests." Dawkins argued that if a technique is demonstrated effective in properly performed trials then it ceases to be alternative and simply becomes medicine.
CAM is also often less regulated than conventional medicine. There are ethical concerns about whether people who perform CAM have the proper knowledge to treat patients. CAM is often done by non-physicians who do not operate with the same medical licensing laws which govern conventional medicine, and it is often described as an issue of non-maleficence.
According to two writers, Wallace Sampson and K. Butler, marketing is part of the training required in alternative medicine, and propaganda methods in alternative medicine have been traced back to those used by Hitler and Goebels in their promotion of pseudoscience in medicine.
In November 2011 Edzard Ernst stated that the "level of misinformation about alternative medicine has now reached the point where it has become dangerous and unethical. So far, alternative medicine has remained an ethics-free zone. It is time to change this."
Harriet Hall criticized the low standard of evidence accepted by the alternative medicine community:
Conflicts of interest
Some commentators have said that special consideration must be given to the issue of conflicts of interest in alternative medicine. Edzard Ernst has said that most researchers into alternative medicine are at risk of "unidirectional bias" because of a generally uncritical belief in their chosen subject. Ernst cites as evidence the phenomenon whereby 100% of a sample of acupuncture trials originating in China had positive conclusions. David Gorski contrasts evidence-based medicine, in which researchers try to disprove hyphotheses, with what he says is the frequent practice in pseudoscience-based research, of striving to confirm pre-existing notions. Harriet Hall writes that there is a contrast between the circumstances of alternative medicine practitioners and disinterested scientists: in the case of acupuncture, for example, an acupuncturist would have "a great deal to lose" if acupuncture were rejected by research; but the disinterested skeptic would not lose anything if its effects were confirmed; rather their change of mind would enhance their skeptical credentials.
Use of health and research resources
Research into alternative therapies has been criticized for "diverting research time, money, and other resources from more fruitful lines of investigation in order to pursue a theory that has no basis in biology." Research methods expert and author of Snake Oil Science, R. Barker Bausell, has stated that "it's become politically correct to investigate nonsense." A commonly cited statistic is that the US National Institute of Health had spent $2.5 billion on investigating alternative therapies prior to 2009, with none being found to be effective.
See also
Alternative therapies for developmental and learning disabilities
Conservation medicine
Ethnomedicine
Gallbladder flush
Psychic surgery
Siddha medicine
Notes
References
Bibliography
Further reading
Reprinted in .
World Health Organization
Benchmarks for training in traditional / complementary and alternative medicine
Summary.
Journals
Alternative Medicine Review: A Journal of Clinical Therapeutics. Sandpoint, Idaho : Thorne Research, c. 1996 NLM ID: 9705340
Alternative Therapies in Health and Medicine. Aliso Viejo, California : InnoVision Communications, c1995- NLM ID: 9502013
BMC Complementary and Alternative Medicine . London: BioMed Central, 2001 NLM ID: 101088661
Complementary Therapies in Medicine. Edinburgh; New York : Churchill Livingstone, c. 1993 NLM ID: 9308777
Evidence Based Complementary and Alternative Medicine: eCAM. New York: Hindawi, c. 2004 NLM ID: 101215021
Forschende Komplementärmedizin / Research in Complementary Medicine
Journal for Alternative and Complementary Medicine New York : Mary Ann Liebert, c. 1995
Scientific Review of Alternative Medicine (SRAM)
External links
Pseudoscience
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Arizona State University (Arizona State or ASU) is a public research university in the Phoenix metropolitan area. Founded in 1885 by the 13th Arizona Territorial Legislature, ASU is one of the largest public universities by enrollment in the United States.
One of three universities governed by the Arizona Board of Regents, ASU is a member of the Association of American Universities and classified among "R1: Doctoral Universities – Very High Research Activity". ASU has nearly 145,000 students attending classes, with more than 62,000 students attending online, and 112,000 undergraduates and nearly 30,000 postgraduates across its five campuses and four regional learning centers throughout Arizona. ASU offers 350 degree options from its 17 colleges and more than 170 cross-discipline centers and institutes for undergraduates students, as well as more than 400 graduate degree and certificate programs.
The Arizona State Sun Devils compete in 26 varsity-level sports in the NCAA Division I Pac-12 Conference and is home to over 1,100 registered student organizations. Sun Devil teams have won 165 national championships, including 24 NCAA trophies. 179 Sun Devils have made Olympic teams, winning 60 Olympic medals: 25 gold, 12 silver, and 23 bronze.
ASU reported that its faculty of more than 5,000 scholars included 5 Nobel laureates, 10 MacArthur Fellows, 10 Pulitzer Prize winners, 10 National Academy of Engineering members, 23 National Academy of Sciences members, 26 American Academy of Arts and Sciences members, 41 Guggenheim fellows, 157 National Endowment for the Humanities fellows, and 281 Fulbright Program American Scholars.
History
1885–1929
Arizona State University was established as the Territorial Normal School at Tempe on March 12, 1885, when the 13th Arizona Territorial Legislature passed an act to create a normal school to train teachers for the Arizona Territory. The campus consisted of a single, four-room schoolhouse on a 20-acre plot largely donated by Tempe residents George and Martha Wilson. Classes began with 33 students on February 8, 1886. The curriculum evolved over the years and the name was changed several times; the institution was also known as Tempe Normal School of Arizona (1889–1903), Tempe Normal School (1903–1925), Tempe State Teachers College (1925–1929), Arizona State Teachers College (1929–1945), Arizona State College (1945–1958) and, by a 2–1 margin of the state's voters, Arizona State University in 1958.
In 1923, the school stopped offering high school courses and added a high school diploma to the admissions requirements. In 1925, the school became the Tempe State Teachers College and offered four-year Bachelor of Education degrees as well as two-year teaching certificates. In 1929, the 9th Arizona State Legislature authorized Bachelor of Arts in Education degrees as well, and the school was renamed the Arizona State Teachers College. Under the 30-year tenure of president Arthur John Matthews (1900–1930), the school was given all-college student status. The first dormitories built in the state were constructed under his supervision in 1902. Of the 18 buildings constructed while Matthews was president, six are still in use. Matthews envisioned an "evergreen campus", with many shrubs brought to the campus, and implemented the planting of 110 Mexican Fan Palms on what is now known as Palm Walk, a century-old landmark of the Tempe campus.
During the Great Depression, Ralph Waldo Swetman was hired to succeed President Matthews, coming to Arizona State Teachers College in 1930 from Humboldt State Teachers College where he had served as president. He served a three-year term, during which he focused on improving teacher-training programs. During his tenure, enrollment at the college doubled, topping the 1,000 mark for the first time. Matthews also conceived of a self-supported summer session at the school at Arizona State Teachers College, a first for the school.
1930–1989
In 1933, Grady Gammage, then president of Arizona State Teachers College at Flagstaff, became president of Arizona State Teachers College at Tempe, beginning a tenure that would last for nearly 28 years, second only to Swetman's 30 years at the college's helm. Like President Arthur John Matthews before him, Gammage oversaw the construction of several buildings on the Tempe campus. He also guided the development of the university's graduate programs; the first Master of Arts in Education was awarded in 1938, the first Doctor of Education degree in 1954 and 10 non-teaching master's degrees were approved by the Arizona Board of Regents in 1956. During his presidency, the school's name was changed to Arizona State College in 1945, and finally to Arizona State University in 1958. At the time, two other names were considered: Tempe University and State University at Tempe. Among Gammage's greatest achievements in Tempe was the Frank Lloyd Wright-designed construction of what is Grady Gammage Memorial Auditorium/ASU Gammage. One of the university's hallmark buildings, ASU Gammage was completed in 1964, five years after the president's (and Wright's) death.
Gammage was succeeded by Harold D. Richardson, who had served the school earlier in a variety of roles beginning in 1939, including director of graduate studies, college registrar, dean of instruction, dean of the College of Education and academic vice president. Although filling the role of acting president of the university for just nine months (Dec. 1959 to Sept. 1960), Richardson laid the groundwork for the future recruitment and appointment of well-credentialed research science faculty.
By the 1960s, under G. Homer Durham, the university's 11th president, ASU began to expand its curriculum by establishing several new colleges and, in 1961, the Arizona Board of Regents authorized doctoral degree programs in six fields, including Doctor of Philosophy. By the end of his nine-year tenure, ASU had more than doubled enrollment, reporting 23,000 in 1969.
The next three presidents—Harry K. Newburn (1969–71), John W. Schwada (1971–81) and J. Russell Nelson (1981–89), including and Interim President Richard Peck (1989)—led the university to increased academic stature, the establishment of the ASU West campus in 1984 and its subsequent construction in 1986, a focus on computer-assisted learning and research, and rising enrollment.
1990–present
Under the leadership of Lattie F. Coor, president from 1990 to 2002, ASU grew through the creation of the Polytechnic campus and extended education sites. Increased commitment to diversity, quality in undergraduate education, research, and economic development occurred over his 12-year tenure. Part of Coor's legacy to the university was a successful fundraising campaign: through private donations, more than $500 million was invested in areas that would significantly impact the future of ASU. Among the campaign's achievements were the naming and endowing of Barrett, The Honors College, and the Herberger Institute for Design and the Arts; the creation of many new endowed faculty positions; and hundreds of new scholarships and fellowships.
In 2002, Michael M. Crow became the university's 16th president. At his inauguration, he outlined his vision for transforming ASU into a "New American University"—one that would be open and inclusive, and set a goal for the university to meet Association of American Universities criteria and to become a member. Crow initiated the idea of transforming ASU into "One university in many places"—a single institution comprising several campuses, sharing students, faculty, staff and accreditation. Subsequent reorganizations combined academic departments, consolidated colleges and schools, and reduced staff and administration as the university expanded its West and Polytechnic campuses. ASU's Downtown Phoenix campus was also expanded, with several colleges and schools relocating there. The university established learning centers throughout the state, including the ASU Colleges at Lake Havasu City and programs in Thatcher, Yuma, and Tucson. Students at these centers can choose from several ASU degree and certificate programs.
During Crow's tenure, and aided by hundreds of millions of dollars in donations, ASU began a years-long research facility capital building effort that led to the establishment of the Biodesign Institute at Arizona State University, the Julie Ann Wrigley Global Institute of Sustainability, and several large interdisciplinary research buildings. Along with the research facilities, the university faculty was expanded, including the addition of five Nobel Laureates. Since 2002, the university's research expenditures have tripled and more than 1.5 million square feet of space has been added to the university's research facilities.
The economic downturn that began in 2008 took a particularly hard toll on Arizona, resulting in large cuts to ASU's budget. In response to these cuts, ASU capped enrollment, closed some four dozen academic programs, combined academic departments, consolidated colleges and schools, and reduced university faculty, staff and administrators; with an economic recovery underway in 2011, however, the university continued its campaign to expand the West and Polytechnic Campuses, and establish a low-cost, teaching-focused extension campus in Lake Havasu City. As of 2011, an article in Slate reported that, "the bottom line looks good", noting that:
On May 1, 2014, ASU was listed as one of fifty-five higher education institutions under investigation by the Office of Civil Rights "for possible violations of federal law over the handling of sexual violence and harassment complaints" by Barack Obama's White House Task Force To Protect Students from Sexual Assault. The publicly announced investigation followed two Title IX suits. In July 2014, a group of at least nine current and former students who alleged they were harassed or assaulted asked the federal investigation be expanded.
In August 2014 ASU president Michael Crow appointed a task force comprising faculty and staff, students, and members of the university police force to review the university's efforts to address sexual violence. Crow accepted the recommendations of the task force in November 2014.
In 2015, the Thunderbird School of Global Management became the fifth ASU campus, as the Thunderbird School of Global Management at ASU. Partnerships for education and research with Mayo Clinic established collaborative degree programs in health care and law, and shared administrator positions, laboratories and classes at the Mayo Clinic Arizona campus.
The Beus Center for Law and Society, the new home of ASU's Sandra Day O'Connor College of Law, opened in fall 2016 on the Downtown Phoenix campus, relocating faculty and students from the Tempe campus to the state capital.
Organization and administration
The Arizona Board of Regents governs Arizona State University as well as the state's other public universities; University of Arizona and Northern Arizona University. The Board of Regents is composed of 12 members including 11 who are voting members, and one non-voting member. Members of the board include the state governor and superintendent of public instruction acting as ex-officio members, eight volunteer Regents members with eight-year terms who are appointed by the governor, and two student regents, each with two-year terms, and each serving a one-year term as non-voting apprentices. ABOR provides policy guidance to the state universities of Arizona. ASU has four campuses in metropolitan Phoenix, Arizona, including the Tempe campus in Tempe; the West campus in Glendale; the Downtown Phoenix campus; and the Polytechnic campus in Mesa. ASU also offers courses and degrees through ASU Online and at the ASU Colleges at Lake Havasu City in western Arizona, and offers regional learning programs in Thatcher, Yuma and Tucson.
The Arizona Board of Regents appoints and elects the president of the university, who is considered the institution's chief executive officer and the chief budget officer. The president executes measures enacted by the Board of Regents, controls the university's property, and acts as the university's official representative to the Board of Regents. The chief executive officer is assisted through the administration of the institution by the provost, vice presidents, deans, faculty, directors, department chairs, and other officers. The president also selects and appoints administrative officers and general counsels. The 16th ASU president is Michael M. Crow, who has served since July 1, 2002.
Campuses and locations
Academic programs are spread across four distinct campuses in the Phoenix Metropolitan Area; unlike most multi-campus institutions, however, ASU describes itself as "one university in many places", inferring there is "not a system with separate campuses, and not one main campus with branch campuses." The university considers each campus "distinctive" and academically focused on certain aspects of the overall university mission. The Tempe campus is the university's research and graduate school center. Undergraduate studies on the Tempe campus are research-based programs that prepare students for graduate school, professional school, or employment. The Polytechnic campus is designed with an emphasis on professional and technological programs for direct workforce preparation. The Polytechnic campus is the site of many of the university's simulators and laboratories dedicated for project-based learning. The West campus is focused on interdisciplinary degrees and the liberal arts, while maintaining professional programs with a direct impact on the community and society. The Downtown Phoenix campus focuses on direct urban and public programs such as nursing, public policy, criminal justice, mass communication, and journalism. ASU recently relocated some nursing and health related programs to its new ASU-Mayo Medical School campus. Inter-campus shuttles and light rail allow students and faculty to easily travel between the campuses. In addition to the physical campuses, ASU's "virtual campus" at the university's SkySong Innovation Center, provides online and extended education.
The Arizona Board of Regents reports the ASU facilities inventory totals more than 23 million gross square feet.
Tempe campus
ASU's Tempe campus is in downtown Tempe, Arizona, about east of downtown Phoenix. The campus is considered urban, and is approximately in size. It is arranged around broad pedestrian malls and is completely encompassed by an arboretum. The Tempe campus is also the largest of ASU's campuses, with more than 70,000 students enrolled in at least one class on campus in fall 2017. The campus is considered to range from the streets Rural Road on the east to Mill Avenue on the west, and Apache Boulevard on the south to Rio Salado Parkway on the north.
The Tempe campus is ASU's original campus, and Old Main, the oldest building on campus, still stands. Today's university and the Tempe campus were founded as the Territorial Normal School when first constructed, and was originally a teachers college. There are many notable landmarks on campus, including Grady Gammage Memorial Auditorium, designed by Frank Lloyd Wright; Palm Walk, which is lined by 111 palm trees; Charles Trumbull Hayden Library; the University Club building; Margaret Gisolo Dance Theatre; Arizona State University Art Museum; and University Bridge. Furthermore, the Tempe campus is home to Barrett, The Honors College. In addition, the campus has an extensive public art collection; It was named "the single most impressive venue for contemporary art in Arizona" by Art in America magazine. Against the northwest edge of campus is the Mill Avenue district (part of downtown Tempe), which has a college atmosphere that attracts many students to its restaurants and bars. Students also have Tempe Marketplace, a shopping, dining and entertainment center with an outdoor setting near the northeast border of the campus. The Tempe campus is also home to all of the university's athletic facilities.
West Valley campus
Established in 1984 by the Arizona legislature, the West Valley campus sits on in a suburban area of northwest Phoenix. The West Valley campus lies about northwest of Downtown Phoenix, and about northwest of the Tempe campus. The West Valley campus is designated as a Phoenix Point of Pride and is nearly completely powered by a solar array. The campus serves more than 4,000 students enrolled in at least a single course and offers more than 100 degree programs from the New College of Interdisciplinary Arts and Sciences, the Mary Lou Fulton Teachers College, W. P. Carey School of Business, College of Public Service and Community Solutions, College of Health Solutions, and the College of Nursing and Health Innovation.
Polytechnic campus
Founded in 1996 as "ASU East", the ASU Polytechnic campus serves more than 4,800 students and is home to more than 130 bachelor's, master's and doctoral degrees in professional, technical science, humanities, social science and pre-health programs through the W. P. Carey School of Business/Morrison School of Management and Agribusiness, Mary Lou Fulton Teachers College, Ira A. Fulton Schools of Engineering, and College of Integrative Sciences and Arts. The campus — a desert arboretum — includes outdoor learning labs and spaces as well as leading-edge simulators and indoor lab spaces to support teaching and research in various fields of study. The campus is in southeast Mesa, Arizona, approximately southeast of the Tempe campus, and southeast of downtown Phoenix. The Polytechnic campus sits on the former Williams Air Force Base and is adjacent to the Phoenix-Mesa Gateway Airport and Chandler-Gilbert Community College (Williams campus).
Downtown Phoenix campus
The Downtown Phoenix campus was established in 2006 on the north side of Downtown Phoenix. The campus has an urban design, with several large modern academic buildings intermingled with commercial and retail office buildings. In addition to the new buildings, the campus included the adaptive reuse of several existing structures, including a 1930s era Post Office that is on the National Register of Historic Places. Serving 11,465 students, the campus houses the College of Health Solutions, College of Integrative Science and Arts, College of Nursing and Health Innovation, College of Public Service and Community Solutions, Mary Lou Fulton Teachers College, and Walter Cronkite School of Journalism and Mass Communication. In 2013, the campus added the Sun Devil Fitness Center in conjunction with the original YMCA building. ASU's Sandra Day O'Connor College of Law relocated from Tempe to the Downtown Phoenix campus in 2016.
ASU Colleges at Lake Havasu City
In response to demands for lower-cost public higher education in Arizona, ASU developed the small, undergraduate-only college in Lake Havasu City. ASU Colleges are teaching-focused and provide a selection of popular undergraduate majors. The Lake Havasu City campus offers undergraduate degrees at lower tuition rates than other Arizona research universities and a 15-to-1 student-to-faculty ratio.
ASU Online
ASU Online offers more than 150 undergraduate and graduate degree programs through an online platform. The degree programs delivered online hold the same accreditation as the university's traditional face-to-face programs. ASU Online is headquartered at ASU's SkySong campus in Scottsdale, Arizona. ASU Online was ranked in the Top 4 for Best Online Bachelor's Programs by U.S. News & World Report.
Online students are taught by the same faculty and receive the same diploma as on-campus students. ASU online programs allow students to learn in highly interactive environments through student collaboration and through technological personalized learning environments.
In April 2015, ASU Online announced a partnership with edX to form a one of a kind program called the Global Freshman Academy. The program is open to all potential students. The students do not need to submit a high school transcript or GPA to apply for the courses.
As of spring 2017, more than 25,000 students were enrolled through ASU Online. In June 2014, ASU Online and Starbucks announced a partnership called the Starbucks College Achievement Plan. The Starbucks College Achievement Plan offers all benefits-eligible employees full-tuition coverage when they enroll in any one of ASU Online's undergraduate degree programs.
Mayo Clinic School of Medicine, in collaboration with ASU
In 2016, Mayo Clinic and ASU formed a new platform for health care education and research: the Mayo Clinic and Arizona State University Alliance for Health Care. Beginning in 2017, Mayo Clinic School of Medicine students in Phoenix and Scottsdale are among the first to earn a certificate in the Science of Health Care Delivery, with the option to earn a master's degree in the Science of Health Care Delivery through ASU.
Thunderbird Campus
Thunderbird School of Global Management is one of the newest units of "Arizona State University Knowledge Enterprise." The flagship campus was in Glendale, Arizona, at Thunderbird Field No. 1, a former military airfield from which it derives its name, until 2018 when the Thunderbird School relocated to the Downtown area.
Barrett and O'Connor Center
Following a nearly 15-year presence in Washington, D.C., through more minor means, ASU opened the Barrett and O'Connor Center in 2018 to solidify the university's contacts with the capital city. The center houses ASU's D.C.-based academic programs, including the Washington Bureau of the Walter Cronkite School of Journalism and Mass Communication, the Sandra Day O'Connor College of Law Rule of Law and Governance program, the Capital Scholars program, and the McCain Institute's Next Generation Leaders program, among many others. In addition to hosting classes and internships on-site, special lectures and seminars taught from the Barrett & O'Connor Washington Center are connected to classrooms in Arizona through video-conferencing technology. The Barrett and O'Connor center is located at 1800 I St NW, Washington, DC 20006, close to the White House.
ASU California Center in Downtown Los Angeles
ASU's California Center is located in Los Angeles at the Herald Examiner Building. The center offers undergraduate and graduate degree programs, executive education, workshops and seminars.
Academics
Admissions
As of August 2022, ASU had a systemwide enrolled student population (both in-person and online) of 140,759, a 4% increase over the systemwide total in 2021. Out of that total, approximately 79,000 students were enrolled in-person at one of the ASU campuses, an increase of 3.2% from 2021. Just over 61,000 students were enrolled in ASU Online courses and programs as of August 2022, an increase of roughly 7% in online student enrollment from the previous year.
According to the U.S. News & World Report, for the 2022–2023 academic year ASU admitted 88% of all freshman applicants and classified the school's admissions in the “selective” category. The average high school GPA of incoming first-year students for the 2022–23 academic year was 3.54.
Barrett, The Honors College is ranked among the top honors programs in the nation. Although there are no set minimum admissions criteria for Barrett College, the average GPA of Fall 2017 incoming freshmen was 3.78, with an average SAT score of 1380 and an average ACT score of 29. The Honors college has 7,236 students, with 719 National Merit Scholars.
ASU enrolls 10,268 international students, 14.3% of the total student population. The international student body represents more than 150 nations. The Institute of International Education ranked ASU as the top public university in the U.S. for hosting international students in 2016–2017.
In June 2022, Arizona State University was designated a Hispanic-serving institution (HSI) by the United States Department of Education in recognition of the fact that for the first time in the school's history, during the Fall Semester of 2021 Hispanic students comprised over 25% of the university's total undergraduate enrollment.
Academic programs
ASU offers over 350 majors to undergraduate students, and more than 100 graduate programs leading to numerous masters and doctoral degrees in the liberal arts and sciences, design and arts, engineering, journalism, education, business, law, nursing, public policy, technology, and sustainability. These programs are divided into 16 colleges and schools that are spread across ASU's six campuses. ASU also offers the 4+1 accelerated program, which allows students in their senior year to attain their master's degree the following year. The 4+1 accelerated program is not associated with all majors; for example, in the Mary Lou Fulton Teachers College the 4+1 accelerated program only works with Education Exploratory majors. ASU uses a plus-minus grading system with highest cumulative GPA awarded of 4.0 (at time of graduation). Arizona State University is accredited by the Higher Learning Commission. ASU is one of only four universities in the country to offer a certificate in veterans studies.
Rankings
The 2021 U.S. News & World Report ratings ranked ASU tied for 103rd among universities in the United States and tied for 146th globally. It was also tied for 46th among public universities in the United States, and was ranked 1st among "most innovative schools", tied for 16th in "best undergraduate teaching", 131st in "best value schools", and tied for 191st in "top performers on social mobility" among national universities in the U.S. The innovation ranking, new for 2016, was determined by a poll of top college officials nationwide asking them to name institutions "that are making the most innovative improvements in terms of curriculum, faculty, students, campus life, technology or facilities."
ASU is ranked 42nd–56th in the U.S. and 101st–150th in the world among the top 1000 universities in the 2020 Academic Ranking of World Universities, and 67th U.S./183rd world by the 2020–21 Center for World University Rankings. Money magazine ranked ASU 124th in the country out of 739 schools evaluated for its 2020 "Best Colleges for Your Money" edition. The Wall Street Journal ranks ASU 5th in the nation for producing the best-qualified graduates, determined by a nationwide poll of corporate recruiters.
ASU's Walter Cronkite School of Journalism and Mass Communication has been named one of America's top 10 journalism schools by national publications and organizations for more than a decade. The rankings include: College Magazine (10th), Quality Education and Jobs (6th), and International Student (1st).
For its efforts as a national leader in campus sustainability, ASU was named one of the top 6 "Cool Schools" by the Sierra Club in 2017, was named one of the Princeton Review's most sustainable schools in 2015 and earned an "A−" grade on the 2011 College Sustainability Green Report Card.
Research and Institutes
ASU is classified among "R1: Doctoral Universities – Very High Research Activity". The university spent $673 million in fiscal year 2020, ranking it 43rd nationally. ASU is a NASA designated national space-grant institute and a member of the Universities Research Association. In 2023, it became a member of the Association of American Universities, an elite organization of 71 research universities in the U.S. and Canada. The university is currently in the top 10 for NASA-funded research expenditures.
The university has raised more than $999 million in external funding, and more than 180 companies based on ASU innovations have been launched through the university's exclusive intellectual property management company, Skysong Innovations. The U.S. National Academy of Inventors and the Intellectual Property Owners Association rank ASU in the top 10 nationally and No. 11 globally for U.S. patents awarded to universities in 2020, along with MIT, Stanford and Harvard. ASU jumped to 10th place from 17th in 2017, according to the U.S. National Academy of Inventors and the Intellectual Property Owners Association. Since its inception, Skysong Innovations has fostered the launch of more than 180 companies based on ASU innovations, and attracted more than $999 million in venture funding, including $96 million in fiscal year 2016 alone. In 2013, the Sweden-based University Business Incubator (UBI) Index, named ASU as one of the top universities in the world for business incubation, ranking 17th. UBI reviewed 550 universities and associated business incubators from around the world using an assessment framework that takes more than 50 performance indicators into consideration. As an example, one of ASU's spin-offs (Heliae Development, LLC) raised more than $28 million in venture capital in 2013 alone. In June 2016, ASU received the Entrepreneurial University Award from the Deshpande Foundation, a philanthropic organization that supports social entrepreneurship and innovation.
The university's push to create various institutes has led to greater funding and an increase in the number of researchers in multiple fields. ASU Knowledge Enterprise (KE) advances research, innovation, strategic partnerships, entrepreneurship, economic development and international development. KE is led by Sally C. Morton. KE supports several interdisciplinary research institutes and initiatives. Other notable and famed institutes at ASU are The Institute of Human Origins, L. William Seidman Research Institute (W. P. Carey School of Business), Learning Sciences Institute, Herberger Research Institute, and the Hispanic Research Center. The Biodesign Institute for instance, conducts research on issues such as biomedical and health care outcomes as part of a collaboration with Mayo Clinic to diagnose and treat diseases. The institute has attracted more than $760 million in external funding, filed 860 invention disclosures, nearly 200 patents, and generated 35 spinout companies based on its research. In the early months of the COVID-19 pandemic, Biodesign developed a rapid, saliva-based testing option for the university community, and partnered with the Arizona Department of Health Services to make the saliva-based COVID test available to the public. In October 2021, Biodesign announced their millionth test. The institute also is heavily involved in sustainability research, primarily through reuse of CO2 via biological feedback and various biomasses (e.g. algae) to synthesize clean biofuels. Heliae is a Biodesign Institute spin-off and much of its business centers on algal-derived, high value products. Furthermore, the institute is heavily involved in security research including technology that can detect biological and chemical changes in the air and water. The university has received more than $30 million in funding from the Department of Defense for adapting this technology for use in detecting the presence of biological and chemical weapons. Research conducted at the Biodesign Institute by ASU professor Charles Arntzen made possible the production of Ebola antibodies in specially modified tobacco plants that researchers at Mapp Biopharmaceutical used to create the Ebola therapeutic ZMapp. The treatment is credited with saving the lives of two aid workers. For his work, Arntzen was named the No. 1 honoree among Fast Company's annual "100 Most Creative People in Business" 2015 awards.
World-renowned scholars have been integral to the successes of the institutes associated with the university. ASU students and researchers have been selected as Marshall, Truman, Rhodes, and Fulbright Scholars with the university ranking 1st overall in the U.S. for Fulbright Scholar awards to faculty and 5th overall for recipients of Fulbright U.S. Student awards in the 2015–2016 academic year. ASU faculty includes Nobel Laureates, Royal Society members, National Academy members, and members of the National Institutes of Health, to name a few. ASU Professor Donald Johanson, who discovered the 3.18 million year old fossil hominid Lucy (Australopithecus) in Ethiopia, established the Institute of Human Origins (IHO) in 1981. The institute was first established in Berkeley, California, and later moved to ASU in 1997. As one of the leading research organization in the United States devoted to the science of human origins, IHO pursues a transdisciplinary strategy for field and analytical paleoanthropological research. The Herberger Institute Research Center supports the scholarly inquiry, applied research and creative activity of more than 400 faculty and nearly 5,000 students. The renowned ASU Art Museum, Herberger Institute Community Programs, urban design, and other outreach and initiatives in the arts community round out the research and creative activities of the Herberger Institute. Among well known professors within the Herberger Institute is Johnny Saldaña of the School of Theatre and Film. Saldaña received the 1996 Distinguished Book Award and the prestigious Judith Kase Cooper Honorary Research Award, both from the American Alliance for Theatre Education (AATE). The Julie Ann Wrigley Global Institute of Sustainability is the center of ASU's initiatives focusing on practical solutions to environmental, economic, and social challenges. The institute has partnered with various cities, universities, and organizations from around the world to address issues affecting the global community.
ASU is also involved with NASA in the field of space exploration. To meet the needs of NASA programs, ASU built the LEED Gold Certified, 298,000-square-foot Interdisciplinary Science and Technology Building IV (ISTB 4) at a cost of $110 million in 2012. The building includes space for the School of Earth and Space Exploration (SESE) and includes labs and other facilities for the Ira A. Fulton Schools of Engineering. One of the main projects at ISTB 4 includes the OSIRIS-REx Thermal Emission Spectrometer (OTES). Although ASU built the spectrometers aboard the Martian rovers Spirit and Opportunity, OTES will be the first major scientific instrument completely designed and built at ASU for a NASA space mission. Phil Christensen, the principal investigator for the Mars Global Surveyor Thermal Emission Spectrometer (TES), is a Regents' Professor at ASU. He also serves as the principal investigator for the Mars Odyssey THEMIS instruments, as well as co-investigator for the Mars Exploration Rovers. ASU scientists are responsible for the Mini-TES instruments aboard the Mars Exploration Rovers. The Buseck Center for Meteorite Studies, which is home to rare Martian meteorites and exotic fragments from space, and the Mars Space Flight Facility are on ASU's Tempe campus. In 2017, Lindy Elkins-Tanton of ASU was selected by NASA to lead a deep space mission to Psyche, a metal asteroid believed to be a former planetary core. The $450 million project is the first NASA mission led by the university.
The Army Research Laboratory extended funding for the Arizona State University Flexible Display Center (FDC) in 2009 with a $50 million grant. The university has partnered with the Pentagon on such endeavors since 2004 with an initial $43.7 million grant. In 2012, researchers at the center created the world's largest flexible full-color organic light-emitting diode (OLED), which at the time was 7.4 inches. The following year, the FEDC staff broke their own world record, producing a 14.7-inch version of the display. The technology delivers high-performance while remaining cost-effective during the manufacturing process. Vibrant colors, high switching speeds for video and reduced power consumption are some of the features the center has integrated into the technology. In 2012, ASU eliminated the need for specialized equipment and processing, thereby reducing costs compared to competitive approaches.
Luminosity Lab
The Luminosity Lab is a student-led research and development think tank located on the Tempe campus of ASU. It was founded in 2016 by Dr. Mark Naufel. Fifteen students from multiple disciplines were selected for the initial team.
Notable projects
NASA
A team of students from the Luminosity Lab were finalists in NASA's 2020 BIG Idea Challenge, a national competition to build a probe to explore the darkened regions of the Moon.
A team of students from the Luminosity Lab were among 22 finalists in the Space Robotics Challenge, one of NASA's Centennial Challenges.
X-Prize
In summer 2020, Salesforce CEO Marc Beinhoff partnered with CNBC's Jim Cramer and the X-Prize Foundation, an international mask design competition with an overall prize purse of $1 million. A team of five students from the Luminosity Lab were the winners of the X-prize Next-gen Mask challenge, winning $500,000. The team received national and international press coverage and recognition as the result of being named the top mask of the competition.
Libraries
ASU's faculty and students are served by nine libraries across five campuses: Hayden Library, Noble Library, Music Library and Design and the Arts Library on the Tempe campus; Fletcher Library on the West campus; Downtown Phoenix campus library and Ross-Blakley Law Library at the Downtown Phoenix campus; Polytechnic campus library; and the Thunderbird Library at the Thunderbird campus.
, ASU's libraries held 4.5 million volumes. The Arizona State University library system is ranked the 34th largest research library in the United States and Canada, according to criteria established by the Association of Research Libraries that measures various aspects of quality and size of the collection. The university continues to grow its special collections, such as the recent addition of a privately held collection of manuscripts by poet Rubén Darío.
Hayden Library is on Cady Mall in the center of the Tempe campus and is currently under renovation. It opened in 1966 and is the largest library facility at ASU. An expansion in 1989 created the subterranean entrance underneath Hayden Lawn and is attached to the above-ground portion of the original library. There are two floors underneath Hayden Lawn with a landmark known as the "Beacon of Knowledge" rising from the center. The underground library lights the beacon at night.
The 2013 Capital Improvement Plan, approved by the Arizona Board of Regents, incorporates a $35 million repurposing and renovation project for Hayden Library. The open air moat area that serves as an outdoor study space will be enclosed to increase indoor space for the library. Along with increasing space and renovating the facility, the front entrance of Hayden Library was rebuilt.
Sustainability
, ASU was the top institution of higher education in the United States for solar generating capacity. Today, the university generates over 24 megawatts (MW) of electricity from on-campus solar arrays. This is an increase over the June 2012 total of 15.3 MW. ASU has 88 solar photovoltaic (PV) installations containing 81,424 solar panels across four campuses and the ASU Research Park. An additional 29 MWdc solar installation was dedicated at Red Rock, Pinal County, Arizona, in January 2017, bringing the university's solar generating capacity to 50 MWdc.
Additionally, six wind turbines installed on the roof of the Julie Ann Wrigley Global Institute of Sustainability building on the Tempe campus have operated since October 2008. Under normal conditions, the six turbines produce enough electricity to power approximately 36 computers.
In 2021, ASU researchers installed a passive radiative cooling film to local Tempe bus shelters to cool temperatures during the daytime by radiating heat to space with zero energy use. The film was produced by 3M and cooled shelter temperatures by 4 °C. It was one of the first applications of the cooling film in the country.
ASU's School of Sustainability was the first school in the United States to introduce degrees in the field of sustainability. ASU's School of Sustainability is part of the Wrigley Global Institute of Sustainability. The School was established in spring 2007 and began enrolling undergraduates in fall 2008. The school offers majors, minors, and a number of certificates in sustainability. ASU is also home to the Sustainability Consortium, which was founded by Jay Golden in 2009.
The School of Sustainability has been essential in establishing the university as "a leader in the academics of sustainable business". The university is widely considered to be one of the most ambitious and principled organizations for embedding sustainable practices into its operating model. The university has embraced several challenging sustainability goals. Among the numerous benchmarks outlined in the university's prospectus, is the creation of a large recycling and composting operation that will eliminate 30% and divert 90% of waste from landfills. This endeavor will be aided by educating students about the benefits of avoiding overconsumption that contributes to excessive waste. Sustainability courses have been expanded to attain this goal and many of the university's individual colleges and schools have integrated such material into their lectures and courses. Second, ASU is on track to reduce its rate of water consumption by 50%. The university's most aggressive benchmark is to be the first, large research university to achieve carbon neutrality as it pertains to its Scope 1, 2 and non-transportation Scope 3 greenhouse gas (GHG) emissions.
ASU's College of Integrative Sciences and Arts (CISA) offers degrees and certifications focused on sustainable horticulture, natural resource ecology, indoor farming, desert food production and wildlife management, through its College of Applied Sciences and Arts at ASU's Polytechnic campus. CISA's Burrowing Owl Conservation Project at the Polytechnic campus was noted as one of the distinctive features of ASU in The Sierra Club magazine's ranking of ASU as the top "cool school" for sustainability in 2021.
CISA faculty at the Polytechnic campus in disciplines such as applied biological sciences, and technical communication and user experience, are involved in research and community outreach to promote sustainable use of resources and preservation of species and habitat. Vertical farming, indoor farming and water conservation efforts are just a few of the sustainability initiatives being driven by CISA faculty.
Traditions
Maroon and gold
Gold is the oldest color associated with Arizona State University and dates back to 1896 when the school was named the Tempe Normal School. Maroon and white were later added to the color scheme in 1898. Gold signifies the "golden promise" of ASU. The promise includes every student receiving a valuable educational experience. Gold also signifies the sunshine Arizona is famous for; including the power of the sun and its influence on the climate and the economy. The first uniforms worn by athletes associated with the university were black and white when the "Normals" were the name of the athletic teams. The student section, known as The Inferno, wears gold on game days. Maroon signifies sacrifice and bravery while white represents the balance of negativity and positivity. As it is in the city of Tempe, Arizona, the school's colors adorn the neighboring buildings during big game days and festive events.
Mascot and Spirit Squad
Sparky the Sun Devil is the mascot of Arizona State University and was named by vote of the student body on November 8, 1946. Sparky often travels with the team across the country and has been at every football bowl game in which the university has participated. The university's mascot is not to be confused with the athletics department's logo, the Pitchfork or hand gesture used by those associated with the university. The new logo is used on various sport facilities, uniforms and athletics documents. Arizona State Teacher's College had a different mascot and the sports teams were known as the Owls and later, the Bulldogs. When the school was first established, the Tempe Normal School's teams were simply known as the Normals. Sparky is visible on the sidelines of every home game played in Sun Devil Stadium or other ASU athletic facilities. His routine at football games includes pushups after every touchdown scored by the Sun Devils. He is aided by Sparky's Crew, male yell leaders that must meet physical requirements to participate as members. The female members are known as the Spirit Squad and are categorized into a dance line and spirit line. They are the official squad that represents ASU. The spirit squad competes every year at the ESPN Universal Dance Association (UDA) College Nationals in the Jazz and Hip-Hop categories. They were chosen by the UDA to represent the US at the World Dance Championship 2013 in the Jazz category.
"A" Mountain
A letter has existed on the slope of the mountain since 1918. A "T" followed by an "N" were the first letters to grace the landmark. Tempe Butte, home to "A" Mountain, has had the "A" installed on the slope of its south face since 1938 and is visible from campus just to the south. The original "A" was destroyed by vandals in 1952 with pipe bombs and a new "A", constructed of reinforced concrete, was built in 1955. The vandals were never identified but many speculate the conspirators were students from the rival in-state university (University of Arizona). Many ancient Hohokam petroglyphs were destroyed by the bomb; nevertheless, many of these archeological sites around the mountain remain. There are many traditions surrounding "A" Mountain, including a revived "guarding of the 'A'" in which students camp on the mountainside before games with rival schools. "Whitewashing" of the "A" is a tradition in which incoming freshmen paint the letter white during orientation week and is repainted gold before the first football game of the season. Whitewashing dates back to the 1930s and it grows in popularity every year, with thousands of students going up to paint the "A" every year.
Lantern Walk and Homecoming
The Lantern Walk is one of the oldest traditions at ASU and dates back to 1917. It is considered one of ASU's "most cherished" traditions and is an occasion used to mark the work of those associated with ASU throughout history. Anyone associated with ASU is free to participate in the event, including students, alumni, faculty, employees, and friends. This differs slightly from the original tradition in which the seniors would carry lanterns up "A" Mountain followed by the freshman. The senior class president would describe ASU's traditions and the freshman would repeat an oath of allegiance to the university. It was described as a tradition of "good will between the classes" and a way of ensuring new students would continue the university's traditions with honor. In modern times, the participants walk through campus and follow a path up to "A" Mountain to "light up" Tempe. Keynote speakers, performances, and other events are used to mark the occasion. The night is culminated with a fireworks display. The Lantern Walk was held after the Spring Semester (June) but is now held the week before Homecoming, a tradition that dates to 1924 at ASU. It is held in the fall and in conjunction with a football game.
Victory Bell
In 2012, Arizona State University reintroduced the tradition of ringing a bell after each win for the football team. The ROTC cadets associated with the university transport the bell to various events and ring it after Sun Devil victories. The first Victory Bell, in various forms, was used in the 1930s but the tradition faded in the 1970s when the bell was removed from Memorial Union for renovations. The bell cracked and was no longer capable of ringing. That bell is on the southeast corner of Sun Devil Stadium, near the entrance to the student section. That bell, given to the university in the late 1960s, is painted gold and is a campus landmark.
Sun Devil Marching Band, Devil Walk and songs of the university
The Arizona State University Sun Devil Marching Band, created in 1915 and known as the "Pride of the Southwest", was the first of only two marching bands in the Pac-12 to receive the prestigious Sudler Trophy. The John Philip Sousa Foundation awarded the band the trophy in 1991. The Sun Devil Marching Band remains one of only 28 bands in the nation to have earned the designation. The band performs at every football game played in Sun Devil Stadium. In addition, the Sun Devil Marching Band has made appearances in the Fiesta Bowl, the Rose Bowl, the Holiday Bowl, and the Super Bowl XLII, in addition to many others. Smaller ensembles of band members perform at other sport venues including basketball games at Wells Fargo Arena and baseball games. The Devil Walk is held in Wells Fargo Arena by the football team and involves a more formal introduction of the players to the community; a new approach to the tradition added in 2012 with the arrival of head coach Todd Graham. It begins 2 hours and 15 minutes prior to the game and allows the players to establish rapport with the fans. The walk ends as the team passes the band and fans lined along the path to Sun Devil Stadium. The walk was discontinued when Graham was fired. However, in 2022, interim coach Shaun Aguano announced that the Sun Devil Walk is returning. The most recognizable songs played by the band are "Alma Mater" and ASU's fight songs titled "Maroon and Gold" and the "Al Davis Fight Song". "Alma Mater" was composed by former Music Professor and Director of Sun Devil Marching Band (then known as Bulldog Marching Band), Miles A. Dresskell, in 1937. "Maroon and Gold" was authored by former Director of Sun Devil Marching Band, Felix E. McKernan, in 1948. The "Al Davis Fight Song" (also known as "Go, Go Sun Devils" and "Arizona State University Fight Song") was composed by ASU alumnus Albert Oliver Davis in the 1940s without any lyrics. Recently lyrics were added to the song.
Curtain of Distraction
The Curtain of Distraction is a tradition that appears at every men's and women's basketball game. The tradition started in 2013 in order to get fans to the games. In the second half of basketball games, a portable "curtain" opens up in front of the opponents shooting a free throw and students pop out of the curtain to try and distract the opponent. Some of the skits include an Elvis impersonator, people rubbing mayonnaise on their chest, and people wearing unicorn heads. In 2016, former Olympian Michael Phelps came out of the curtain wearing a Speedo during a game against Oregon State. ESPN estimated that distraction may give ASU a one-to-three point advantage.
Student life
Extracurricular programs
Arizona State University has an active extracurricular involvement program. Located on the second floor of the Student Pavilion at the Tempe campus, Educational Outreach and Student Services (EOSS) provides opportunities for student involvement through clubs, sororities, fraternities, community service, leadership, student government, and co-curricular programming.
The oldest student organization on campus is Devils' Advocates, the volunteer campus tour guide organization, which was founded in 1966 as a way to more competitively recruit National Merit Scholars. There are over 1,100 ASU alumni who can call themselves Advos.
Changemaker Central is a student-run centralized resource hub for student involvement in social entrepreneurship, civic engagement, service-learning, and community service that catalyzes student-driven social change. Changemaker Central locations have opened on all campuses in fall 2011, providing flexible, creative workspaces for everyone in the ASU community. The project is entirely student run and advances ASU's institutional commitments to social embeddedness and entrepreneurship. The space allows students to meet, work and join new networks and collaborative enterprises while taking advantage of ASU's many resources and opportunities for engagement. Changemaker Central has signature programs, including Changemaker Challenge, that support students in their journey to become changemakers by creating communities of support around new solutions/ideas and increasing access to early stage seed funding. The Changemaker Challenge seeks undergraduate and graduate students from across the university who are dedicated to making a difference in our local and global communities through innovation. Students can win up to $10,000 to make their innovative project, prototype, venture or community partnership ideas happen.
In addition to Changemaker Central, the Greek community (Greek Life) at Arizona State University has been important in binding students to the university, and providing social outlets. ASU is also home to one of the nation's first and fastest growing gay fraternities, Sigma Phi Beta, founded in 2003; considered a sign of the growing university's commitment to supporting diversity and inclusion.
The second Eta chapter of Phrateres, a non-exclusive, non-profit social-service club, was installed here in 1958 and became inactive in the 1990s.
There are multiple councils for Greek Life, including the Interfraternity Council (IFC), Multicultural Greek Council (MGC), National Association of Latino Fraternal Organizations (NALFO), National Pan-Hellenic Council (NPHC), Panhellenic Association (PHA), and the Professional Fraternity Council (PFC).
Student media
The State Press is the university's independent, student-operated news publication. The State Press covers news and events on all four ASU campuses. Student editors and managers are solely responsible for the content of the State Press website. These publications are overseen by an independent board and guided by a professional adviser employed by the university.
The Downtown Devil is a student-run news publication website for the Downtown Phoenix Campus, produced by students at the Walter Cronkite School of Journalism and Mass Communication.
ASU has one student-run radio station, Blaze Radio. Blaze Radio is a completely student-run broadcast station owned and funded by the Cronkite School of Journalism. The station broadcasts using a 24-hour online stream on their official website. Blaze Radio plays music 24 hours a day and features daily student-hosted news, music, and sports specialty programs.
Student government
Associated Students of Arizona State University (ASASU) is the student government at Arizona State University. It is composed of the Undergraduate Student Government and the Graduate & Professional Student Association (GPSA). Each ASU campus has a specific USG; USG Tempe (Tempe), USGD (Downtown), USG Polytechnic (Polytechnic) and USG West (West). Members and officers of ASASU are elected annually by the student body.
The Residence Hall Association (RHA) of Arizona State University is the student government for every ASU student living on-campus. Each ASU campus has an RHA that operates independently. RHA's purpose is to improve the quality of residence hall life and provide a cohesive voice for the residents by addressing the concerns of the on-campus populations to university administrators and other campus organizations; providing cultural, diversity, educational, and social programming; establishing and working with individual community councils.
Athletics
Arizona State University's Division I athletic teams are called the Sun Devils, which is also the nickname used to refer to students and alumni of the university. They compete in the Pac-12 Conference in 20 varsity sports. Historically, the university has highly performed in men's, women's, and mixed archery; men's, women's, and mixed badminton; women's golf; women's swimming and diving; baseball; and football. Arizona State University's NCAA Division I-A program competes in 9 varsity sports for men and 11 for women. ASU's athletic director is Ray Anderson, former executive vice president of football operations for the National Football League. Anderson replaced Steve Patterson, who was appointed to the position in 2012, replacing Lisa Love, the former Senior Associate Athletic Director at the University of Southern California. Love was responsible for the hiring of coaches Herb Sendek, the men's basketball coach, and Dennis Erickson, the men's football coach. Erickson was fired in 2011 and replaced by Todd Graham. In December 2017, ASU announced that Herm Edwards would replace Graham as the head football coach. The rival to Arizona State University is University of Arizona.
ASU has won 24 national collegiate team championships in the following sports: baseball (5), men's golf (2), women's golf (8), men's gymnastics (1), softball (2), men's indoor track (1), women's indoor track (2), men's outdoor track (1), women's outdoor track (1), and wrestling (1).
In September 2009, criticism over the seven-figure salaries earned by various coaches at Arizona's public universities (including ASU) prompted the Arizona Board of Regents to re-evaluate the salary and benefit policy for athletic staff. With the 2011 expansion of the Pac-12 Conference, a new $3 billion contract for revenue sharing among all the schools in the conference was established. With the infusion of funds, the salary issue and various athletic department budgeting issues at ASU were addressed. The Pac-12's new media contract with ESPN allowed ASU to hire a new coach in 2012. A new salary and bonus package (maximum bonus of $2.05 million) was instituted and is one of the most lucrative in the conference. ASU also plans to expand its athletic facilities with a public-private investment strategy to create an amateur sports district that can accommodate the Pan American Games and operate as an Olympic Training Center. The athletic district will include a $300 million renovation of Sun Devil Stadium that will include new football facilities. The press box and football offices in Sun Devil Stadium were remodeled in 2012.
Arizona State Sun Devils football was founded in 1896 under coach Fred Irish. The team has played in the 2012 Fight Hunger Bowl, the 2011 Las Vegas bowl, the 2016 Cactus Bowl, and the 2007 Holiday Bowl. The Sun Devils played in the 1997 Rose Bowl and won the Rose Bowl in 1987. The team has appeared in the Fiesta Bowl in 1983, 1977, 1975, 1973, 1972, and 1971 winning 5 of 6. In 1970, and 1975, they were champions of the NCAA Division I FBS National Football Championship. The Sun Devils were Pac-12 Champions in 1986, 1996, and 2007. Altogether, the football team has 17 Conference Championships and has participated in a total of 29 bowl games as of the 2015–2016 season with a 14–14–1 record in those games.
ASU Sun Devils Hockey competed with NCAA Division 1 schools for the first time in 2012, largely due to the success of the program. In 2016, they began as a full-time Division I team.
Eight members of ASU's Women's Swimming and Diving Team were selected to the Pac-10 All-Academic Team on April 5, 2010. In addition, five member of ASU's Men's Swimming and Diving Team were selected to the Pac-10 All-Academic Team on April 6, 2010.
In April 2015, Bobby Hurley was hired as the men's basketball coach, replacing Herb Sendek. Previously, Hurley was the head coach at the University at Buffalo for the UB Bulls as well as an assistant coach at Rhode Island and Wagner University.
In 2015, Bob Bowman was hired as the head swim coach. Previously, Bowman trained Michael Phelps through his Olympic career.
As of Fall 2015, ASU students, including those enrolled in online courses, may avail of a free ticket to all ASU athletic events upon presentation of a valid student ID and reserving one online through their ASU and Ticketmaster account. Tickets may be limited or not available in the 2020–2021 and 2021–2022 school years due to the COVID-19 Pandemic.
Alumni
Arizona State University has produced more than 600,000 alumni worldwide. The Arizona State University Alumni Association is on the Tempe campus in Old Main.
Political figures
The university has produced many notable figures over its 125-year history, including influential U.S. senator Carl Hayden and Barbara Barrett, who served as U.S. Ambassador to Finland under President George W. Bush and served under President Donald Trump as the Secretary of the U.S. Air Force, attained her bachelor's, master's, and law degrees from ASU.
Other notable alumni include nine current or former U.S. Representatives, including Barry Goldwater Jr., Ed Pastor, and Matt Salmon. The economy minister of the United Arab Emirates, Sultan bin Saeed Al Mansoori, earned a bachelor's degree in engineering at ASU. Arizona governors Doug Ducey, Jane Dee Hull, and Evan Mecham also attended Arizona State. U.S. District Court Judge Michael T. Liburdi attended Arizona State for both his undergraduate and Juris Doctor degrees. Peterson Zah, who was the first Navajo president and the last chairman of the Navajo Nation, is an ASU graduate.
Business leaders
Ira A. Fulton, philanthropist and founder of Fulton Homes, Kate Spade, namesake and cofounder of Kate Spade New York, and Larry Carter, CFO of Cisco Systems attended ASU. Alumnus Kevin Warren is the COO of the Minnesota Vikings, and the highest ranking African-American executive working on the business side of an NFL team.
Athletes
Many world renowned athletes have attended the school, including Silver Star recipient Pat Tillman, who left his National Football League career to enlist in the United States Army in the aftermath of the September 11, 2001 terrorist attacks. World Golf Hall of Fame member Phil Mickelson, Baseball Hall of Fame member Reggie Jackson, Major League Baseball home run king Barry Bonds, National Basketball Association All-Star James Harden, and 2011 NFL Defensive Player of the Year Terrell Suggs are all alumni of ASU. ASU alumni enshrined in the Pro Football Hall of Fame include: Curley Culp, Mike Haynes, John Henry Johnson, Randall McDaniel, and Charley Taylor.
Other notable athletes that attended ASU are: Major League Baseball All-Stars Ian Kinsler, Dustin Pedroia, Sal Bando, and Paul Lo Duca; National Basketball Association All-Stars Lionel Hollins and Fat Lever, and NBA All-Star coach Byron Scott; National Football League Pro Bowl selections Jake Plummer and Danny White; 2021 U.S. Open champion golfer Jon Rahm and three-time Olympic gold medalist swimmers Melissa Belote and Jan Henne, and two-time Olympian and double-Olympic gold medalist Megan Jendrick.
Actors, artists, comedians, commentators, and writers
Celebrities who have attended ASU include: Jimmy Kimmel Live! host Jimmy Kimmel; Steve Allen, who was the original host of The Tonight Show; Academy Award-nominated actor Nick Nolte; 11-Time Grammy Award winning singer Linda Ronstadt; singer-songwriter Carolyne Mas; Saturday Night Live and Tommy Boy actor David Spade; Wonder Woman actress Lynda Carter; and Road to Perdition actor Tyler Hoechlin. Influential writers and novelists include: Allison DuBois, whose novels and work inspired the TV miniseries Medium; novelist Amanda Brown; author and spiritual teacher Howard Falco; and best-selling author and Doctor of Animal Science Temple Grandin.
Journalists and commentators include former Monday Night Football announcer, and Sunday Night Football announcer Al Michaels, and writer and cartoonist Jerry Dumas, who is best known for his Sam and Silo comic strip. Radio host Michael Reagan, the son of President Ronald Reagan and actress Jane Wyman, also briefly attended. Conservative author, commentator, and popular historian Larry Schweikart, known nationally for writing the New York Times bestseller A Patriot's History of the United States, attended ASU for his bachelor's and master's degrees.
Faculty
ASU faculty have included former CNN host Aaron Brown, Academic Claude Olney, meta-analysis developer Gene V. Glass, feminist and author Gloria Feldt, physicist Paul Davies, and Pulitzer Prize winner and The Ants coauthor Bert Hölldobler. David Kilcullen, a counterinsurgency theorist, is a professor of practice. Donald Johanson, who discovered the 3.18 million year old fossil hominid Lucy (Australopithecus) in Ethiopia, is also a professor, as well as George Poste, Chief Scientist for the Complex Adaptive Systems Initiative. Former US senator Jeff Flake was appointed as a distinguished dean fellow on December 2, 2020. Nobel laureate faculty include Leland Hartwell, and Edward C. Prescott. On June 12, 2012, Elinor Ostrom, ASU's third Nobel laureate, died at the age of 78.
ASU faculty's achievements include:
5 Nobel laureates
3 members of the Royal Society
24 National Academy members
7 Pulitzer Prize winners
5 Sloan Research Fellows
37 Guggenheim Fellows
250 Fulbright American Scholars
5 MacArthur Fellow
23 members of the American Academy of Arts and Sciences
9 members of the National Academy of Engineering
143 National Endowment for the Humanities fellows
65 American Association for the Advancement of Science Fellows
2 members of the Institute of Medicine
8 Presidential Early Career Awards for Scientists and Engineers
8 American Council of Learned Societies Fellows
34 IEEE Fellows
19 Alexander Von Humboldt Foundation Prize Winners
1 Recipient of the Rockefeller Fellowship
Presidential visits
Arizona State University has been visited by nine United States presidents. President Theodore Roosevelt was the first president to visit campus, speaking on the steps of Old Main on March 20, 1911, while in Arizona to dedicate the Roosevelt Dam. President Lyndon B. Johnson spoke at ASU's Grady Gammage Memorial Auditorium on January 29, 1972, at a memorial service for ASU alumnus Senator Carl T. Hayden. Future president Gerald R. Ford debated Senator Albert Gore, Sr. at Grady Gammage Memorial Auditorium on April 28, 1968, and Ford returned to the same building as a former president to give a lecture on February 24, 1984. President Jimmy Carter visited Arizona PBS at ASU's Walter Cronkite School of Journalism and Mass Communication on July 31, 2015, to promote a memoir. Future president Ronald Reagan gave a political speech at the school's Memorial Union in 1957, and returned to campus as a former president on March 20, 1989, delivering his first ever post-presidential speech at ASU's Wells Fargo Arena. President George H. W. Bush gave a lecture at Wells Fargo Arena on May 5, 1998.
President Bill Clinton became the first sitting president to visit ASU on October 31, 1996, speaking on the Grady Gammage Memorial Auditorium lawn. He returned to ASU in 2006, and in 2014, President Clinton, Hillary Clinton, and Chelsea Clinton came to campus to host the Clinton Global Initiative University. President George W. Bush became the second sitting president to visit the school's campus when he debated Senator John Kerry at the university's Grady Gammage Memorial Auditorium on October 13, 2004. President Barack Obama visited ASU as sitting president on May 13, 2009. President Obama delivered the commencement speech for the Spring 2009 Commencement Ceremony. President Obama had previously visited the school as a United States senator. President Richard Nixon did not visit ASU as president, but visited Phoenix as president on October 31, 1970, at an event that included a performance by the Arizona State University Band, which President Nixon acknowledged. As part of President Nixon's remarks, he stated that, "when I am in Arizona, Arizona State is number one."
See also
KAET (channel 8), a PBS member station owned by Arizona State University.
Notes
References
External links
1885 establishments in Arizona Territory
Arizona State Sun Devils
Universities and colleges established in 1885
Natural Science Collections Alliance members
Public universities and colleges in Arizona
Arizona State University
BSL3 laboratories in the United States
Universities and colleges accredited by the Higher Learning Commission
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Astoria is a port city and the seat of Clatsop County, Oregon, United States. Founded in 1811, Astoria is the oldest city in the state and was the first permanent American settlement west of the Rocky Mountains. The county is the northwest corner of Oregon, and Astoria is located on the south shore of the Columbia River, where the river flows into the Pacific Ocean. The city is named for John Jacob Astor, an investor and entrepreneur from New York City, whose American Fur Company founded Fort Astoria at the site and established a monopoly in the fur trade in the early 19th century. Astoria was incorporated by the Oregon Legislative Assembly on October 20, 1856.
The city is served by the deepwater Port of Astoria. Transportation includes the Astoria Regional Airport. U.S. Route 30 and U.S. Route 101 are the main highways, and the Astoria–Megler Bridge connects to neighboring Washington across the river. The population was 10,181 at the 2020 census.
History
Prehistoric settlements
During archeological excavations in Astoria and Fort Clatsop in 2012, trading items from American settlers with Native Americans were found, including Austrian glass beads and falconry bells. The present area of Astoria belonged to a large, prehistoric Native American trade system of the Columbia Plateau.
19th century
The Lewis and Clark Expedition spent the winter of 1805–1806 at Fort Clatsop, a small log structure southwest of modern-day Astoria. The expedition had hoped a ship would come by that could take them back east, but instead, they endured a torturous winter of rain and cold. They later returned overland and by internal rivers, the way they had traveled west. Today, the fort has been recreated and is part of Lewis and Clark National Historical Park.
In 1811, British explorer David Thompson, the first person known to have navigated the entire length of the Columbia River, reached the partially constructed Fort Astoria near the mouth of the river. He arrived two months after the Pacific Fur Company's ship, the Tonquin. The fort constructed by the Tonquin party established Astoria as a U.S., rather than a British, settlement and became a vital post for American exploration of the continent. It was later used as an American claim in the Oregon boundary dispute with European nations.
The Pacific Fur Company, a subsidiary of John Jacob Astor's American Fur Company, was created to begin fur trading in the Oregon Country. During the War of 1812, in 1813, the company's officers sold its assets to their Canadian rivals, the North West Company, which renamed the site Fort George. The fur trade remained under British control until U.S. pioneers following the Oregon Trail began filtering into the town in the mid-1840s. The Treaty of 1818 established joint U.S. – British occupancy of the Oregon Country.
Washington Irving, a prominent American writer with a European reputation, was approached by John Jacob Astor to mythologize the three-year reign of his Pacific Fur Company. Astoria (1835), written while Irving was Astor's guest, promoted the importance of the region in the American psyche. In Irving's words, the fur traders were "Sinbads of the wilderness", and their venture was a staging point for the spread of American economic power into both the continental interior and outward in Pacific trade.
In 1846, the Oregon Treaty divided the mainland at the 49th parallel north, making Astoria officially part of the United States.
As the Oregon Territory grew and became increasingly more colonized by Americans, Astoria likewise grew as a port city near the mouth of the great river that provided the easiest access to the interior. The first U.S. post office west of the Rocky Mountains was established in Astoria in 1847 and official state incorporation in 1876.
Astoria attracted a host of immigrants beginning in the late 19th century: Nordic settlers, primarily Swedes, Swedish speaking Finns, and Chinese soon became larger parts of the population. The Nordic settlers mostly lived in Uniontown, near the present-day end of the Astoria–Megler Bridge, and took fishing jobs; the Chinese tended to do cannery work, and usually lived either downtown or in bunkhouses near the canneries. By the late 1800s, 22% of Astoria's population was Chinese. Astoria also had a significant population of Indians, especially Sikhs from Punjab; the Ghadar Party, a political movement among Indians on the West Coast of the U.S. and Canada to overthrow British rule in India, was officially founded on July 15, 1913, in Astoria.
20th and 21st centuries
In 1883, and again in 1922, downtown Astoria was devastated by fire, partly because the buildings were constructed mostly of wood, a readily available material. The buildings were entirely raised off the marshy ground on wooden pilings. Even after the first fire, the same building format was used. In the second fire, flames spread quickly again, and the collapsing streets took out the water system. Frantic citizens resorted to dynamite, blowing up entire buildings to create fire stops.
Astoria has served as a port of entry for over a century and remains the trading center for the lower Columbia basin. In the early 1900s, the Callendar Navigation Company was an important transportation and maritime concern based in the city. It has long since been eclipsed in importance by Portland, Oregon, and Seattle, Washington, as economic hubs on the coast of the Pacific Northwest. Astoria's economy centered on fishing, fish processing, and lumber. In 1945, about 30 canneries could be found along the Columbia River.
In the early 20th century, the North Pacific Brewing Company contributed substantially to the economic well-being of the town. Before 1902, the company was owned by John Kopp, who sold the firm to a group of five men, one of whom was Charles Robinson, who became the company's president in 1907. The main plant for the brewery was located on East Exchange Street.
As the Pacific salmon resource diminished, canneries were closed. In 1974, the Bumble Bee Seafoods corporation moved its headquarters out of Astoria and gradually reduced its presence until closing its last Astoria cannery in 1980. The lumber industry likewise declined in the late 20th century. Astoria Plywood Mill, the city's largest employer, closed in 1989. The Burlington Northern and Santa Fe Railway discontinued service to Astoria in 1996, as it did not provide a large enough market.
From 1921 to 1966, a ferry route across the Columbia River connected Astoria with Pacific County, Washington. In 1966, the Astoria–Megler Bridge was opened. The bridge completed U.S. Route 101 and linked Astoria with Washington on the opposite shore of the Columbia, replacing the ferry service.
Today, tourism, Astoria's growing art scene, and light manufacturing are the main economic activities of the city. Logging and fishing persist, but at a fraction of their former levels. Since 1982 it has been a port of call for cruise ships, after the city and port authority spent $10 million in pier improvements to accommodate these larger ships.
To avoid Mexican ports of call during the swine flu outbreak of 2009, many cruises were rerouted to include Astoria. The floating residential community MS The World visited Astoria in June 2009.
The town's seasonal sport fishing tourism has been active for several decades. Visitors attracted by heritage tourism and the historic elements of the city have supplanted fishing in the economy. Since the early 21st century, the microbrewery/brewpub scene and a weekly street market have helped popularize the area as a destination.
In addition to the replicated Fort Clatsop, another point of interest is the Astoria Column, a tower high, built atop Coxcomb Hill above the town. Its inner circular staircase allows visitors to climb to see a panoramic view of the town, the surrounding lands, and the Columbia flowing into the Pacific. The tower was built in 1926. Financing was provided by the Great Northern Railway, seeking to encourage tourists, and Vincent Astor, a great-grandson of John Jacob Astor, in commemoration of the city's role in the family's business history and the region's early history.
Since 1998, artistically inclined fishermen and women from Alaska and the Pacific Northwest have traveled to Astoria for the Fisher Poets Gathering, where poets and singers tell their tales to honor the fishing industry and lifestyle.
Another popular annual event is the Dark Arts Festival, which features music, art, dance, and demonstrations of craft such as blacksmithing and glassblowing, in combination with offerings of a large array of dark craft brews. Dark Arts Festival began as a small gathering at a community arts space. Now Fort George Brewery hosts the event, which draws hundreds of visitors and tour buses from Seattle.
Astoria is the western terminus of the TransAmerica Bicycle Trail, a coast-to-coast bicycle touring route created in 1976 by the Adventure Cycling Association.
Three United States Coast Guard cutters: the Steadfast, Alert, and Elm, are homeported in Astoria.
Geography
According to the United States Census Bureau, the city has a total area of , of which are covered by water.
Climate
Astoria lies within the Mediterranean climate zone (Köppen Csb), with cool winters and mild summers, although short heat waves can occur. Rainfall is most abundant in late fall and winter and is lightest in July and August, averaging about of rain each year. Snowfall is relatively rare, averaging under a year and frequently having none. Nevertheless, when conditions are ripe, significant snowfalls can occur.
Astoria's monthly average humidity is always over 80% throughout the year, with average monthly humidity reaching a high of 84% from November to March, with a low of 81% during May. The average relative humidity in Astoria is 89% in the morning and 73% in the afternoon.
Annually, an average of only 4.2 afternoons have temperatures reaching or higher, and readings are rare. Normally, only one or two nights per year occur when the temperature remains at or above . An average of 31 mornings have minimum temperatures at or below the freezing mark. The record high temperature was on July 1, 1942, and June 27, 2021. The record low temperature was on December 8, 1972, and on December 21, 1990. Even with such a cold record low, afternoons usually remain mild in winter. On average, the coldest daytime high is whereas the lowest daytime maximum on record is . Even during brief heat spikes, nights remain cool. The warmest overnight low is set as early in the year as in May during 2008. Nights close to that record are common with the normally warmest night of the year being at .
On average, 191 days have measurable precipitation. The wettest "water year", defined as October 1 through September 30 of the next year, was from 1915 to 1916 with and the driest from 2000 to 2001 with . The most rainfall in one month was in December 1933, and the most in 24 hours was on November 25, 1998. The most snowfall in one month was in January 1950, and the most snow in 24 hours was on December 11, 1922.
Notes
Demographics
2010 census
As of the 2010 census, 9,477 people, 4,288 households, and 2,274 families were residing in the city. The population density was . The 4,980 housing units had an average density of . The racial makeup of the city was 89.2% White, 0.6% African American, 1.1% Native American, 1.8% Asian, 0.1% Pacific Islander, 3.9% from other races, and 3.3% from two or more races. Hispanics or Latinos of any race were 9.8% of the population.
Of the 4,288 households, 24.6% had children under 18 living with them, 37.9% were married couples living together, 10.8% had a female householder with no husband present, 4.3% had a male householder with no wife present, and 47.0% were not families. About 38.8% of all households were made up of individuals, and 15.1% had someone living alone who was 65 or older. The average household size was 2.15, and the average family size was 2.86.
The median age in the city was 41.9 years; 20.3% of residents were under 18; 8.6% were between 18 and 24; 24.3% were from 25 to 44; 29.9% were from 45 to 64; and 17.1% were 65 or older. The gender makeup of the city was 48.4% male and 51.6% female.
2000 census
As of the 2000 census, 9,813 people, 4,235 households, and 2,469 families resided in the city. The population density was . The 4,858 housing units had an average density of . The racial makeup of the city was 91.08% White, 0.52% Black or African American, 1.14% Native American, 1.94% Asian, 0.19% Pacific Islander, 2.67% from other races, and 2.46% from two or more races. About 5.98% of the population were Hispanics or Latinos of any race.
By ethnicity, 14.2% were German, 11.4% Irish, 10.2% English, 8.3% United States or American, 6.1% Finnish, 5.6% Norwegian, and 5.4% Scottish according to the 2000 United States Census.
Of the 4,235 households, 28.8% had children under 18 living with them, 43.5% were married couples living together, 11.2% had a female householder with no husband present, and 41.7% were not families. About 35.4% of all households were made up of individuals, and 13.6% had someone living alone who was 65 or older. The average household size was 2.26, and the average family size was 2.93.
In the city the age distribution was 24.0% under 18, 9.1% from 18 to 24, 26.4% from 25 to 44, 24.5% from 45 to 64, and 15.9% were 65 or older. The median age was 38 years. For every 100 females, there were 92.3 males. For every 100 females 18 and over, there were 89.9 males.
The median income for a household in the city was $33,011, and for a family was $41,446. Males had a median income of $29,813 versus $22,121 for females. The per capita income for the city was $18,759. About 11.6% of families and 15.9% of the population were below the poverty line, including 22.0% of those under 18 and 9.6% of those 65 or over.
Government
Astoria operates under a council–manager form of city government. Voters elect four councilors by ward and a mayor, who each serve four-year terms. The mayor and council appoint a city manager to conduct the ordinary business of the city. The current mayor is Sean Fitzpatrick, who took office in January 2023. His predecessor, Bruce Jones, served from 2019 to 2022.
Education
The Astoria School District has four primary and secondary schools, including Astoria High School. Clatsop Community College is the city's two-year college. The city also has a library and many parks with historical significance, plus the second oldest Job Corps facility (Tongue Point Job Corps) in the nation. Tongue Point Job Corps center is the only such location in the country which provides seamanship training.
Media
The Astorian (formerly The Daily Astorian) is the main newspaper serving Astoria. It was established , in 1873, and has been in continuous publication since that time. The Coast River Business Journal is a monthly business magazine covering Astoria, Clatsop County, and the Northwest Oregon coast. It, along with The Astorian, is part of the EO Media Group (formerly the East Oregonian Publishing Company) family of Oregon and Washington newspapers. The local NPR station is KMUN 91.9, and KAST 1370 is a local news-talk radio station.
In popular culture and entertainment
Actor Clark Gable is claimed to have begun his career at the Astoria Theatre in 1922.
Leroy E. "Ed" Parsons, called the "Father of Cable Television", developed one of the first community antenna television stations (CATV) in the United States in Astoria starting in 1948.
The early 1960s television series Route 66 filmed the episode entitled "One Tiger to a Hill" in Astoria; it was broadcast on September 21, 1962.
Shanghaied in Astoria is a musical about Astoria's history that has been performed in Astoria every year since 1984.
In recent popular culture, Astoria is most famous for being the setting of the 1985 film The Goonies, which was filmed on location in the city. Other notable movies filmed in Astoria include Short Circuit, The Black Stallion, Kindergarten Cop, Free Willy, Free Willy 2: The Adventure Home, Teenage Mutant Ninja Turtles III, Benji the Hunted, Come See the Paradise, The Ring Two, Into the Wild, The Guardian and Green Room.
A scene in "The Real Thing", episode two of season five (in the 7th year), of the television series Eureka was set in Astoria. The character Jo Lupo parks her vehicle in an unauthorized location while she is meditating on the oceanfront. A tow truck is called to remove the vehicle. A law-enforcement officer whose shoulder clearly displays a patch that reads "Astoria, Oregon" speaks to Jo about the parking violation.
The fourth album of the pop punk band The Ataris was titled So Long, Astoria as an allusion to The Goonies. A song of the same title is the album's first track. The album's back cover features news clippings from Astoria, including a picture of the port's water tower from a 2002 article on its demolition.
The pop punk band Marianas Trench has an album titled Astoria. The band states the album was inspired by 1980s fantasy and adventure films, and The Goonies in particular. That film inspired the title, as it was set in Astoria, the album's artwork, as well as the title of their accompanying US tour (Hey You Guys!!).
Astoria is featured as a city in American Truck Simulator: Oregon.
In the series finale of the TV show Dexter, the title character, Dexter Morgan, ends up in Astoria as the series ends.
Warships named Astoria
Two U.S. Navy cruisers were named USS Astoria: A New Orleans-class heavy cruiser (CA-34) and a Cleveland class light cruiser (CL-90). The former was lost in the Pacific Ocean in combat at the Battle of Savo Island in August 1942, during World War II, and the latter was scrapped in 1971 after being removed from active duty in 1949.
Museums and other points of interest
Astoria Riverwalk with Astoria Riverfront Trolley, Uniontown Neighborhood, Columbia River Maritime Museum, Uppertown Firefighters Museum and Pier 39 Astoria
The Astoria Column (the highest point in Astoria) with nearby Cathedral Tree Trail
Heritage Museum, located in the Old City Hall
Fort Astoria, Fort George Brewery
Astor Building, Liberty Theater
Museum of Whimsy, Astoria Sunday Market, Garden of Surging Waves, Astoria City Hall
Oregon Film Museum, Flavel House
Astoria Regional Airport with CGAS Astoria
Fort Stevens, Clatsop Spit, Fort Clatsop and Youngs River Falls
Sister cities
Astoria has one sister city, as designated by Sister Cities International:
Walldorf, Germany, which is the birthplace of Astoria's namesake, John Jacob Astor, who was born in Walldorf near Heidelberg on July 17, 1763. The sistercityship was founded on Astor's 200th birthday in 1963 in Walldorf by Walldorf's mayor Wilhelm Willinger and Astoria's mayor Harry Steinbock.
Notable people
Grouper, American ambient musician, best known for her critically acclaimed album called Dragging a Dead Deer Up a Hill.
See also
The Clatsop tribe of Native Americans
Socialist Party of Oregon § The Finnish Socialists of Astoria
Western Workmen's Co-operative Publishing Company
Columbia Memorial Hospital
Astoria Regional Airport
National Register of Historic Places listings in Clatsop County, Oregon — 44 Astoria structures and districts listed (2020)
Image gallery
References
Sources
Further reading
Ebeling, Herbert C.: Johann Jakob Astor. Walldorf, Germany: Astor-Stiftung, 1998. .
Leedom, Karen L.: Astoria: An Oregon History. Astoria, Oregon: Rivertide Publishing, 2008. .
Elma MacGibbons reminiscences about her travels in the United States starting in 1898, which were mainly in Oregon and Washington. Includes chapter "Astoria and the Columbia River".
External links
Entry for Astoria in the Oregon Blue Book
Astoria-Warrenton Chamber of Commerce
Astoria Documentary produced by Oregon Public Broadcasting
1811 establishments in Oregon
Cities in Oregon
Populated places established in 1811
Oregon populated places on the Columbia River
Cities in Clatsop County, Oregon
Port cities in Oregon
Populated coastal places in Oregon
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Art Deco, short for the French , and sometimes referred to simply as Deco, is a style of visual arts, architecture, and product design, that first appeared in France in the 1910s (just before World War I), and flourished in the United States and Europe during the 1920s to early 1930s. Through styling and design of the exterior and interior of anything from large structures to small objects, including how people look (clothing, fashion and jewelry), Art Deco has influenced bridges, buildings (from skyscrapers to cinemas), ships, ocean liners, trains, cars, trucks, buses, furniture, and everyday objects like radios and vacuum cleaners.
Art Deco got its name after the 1925 Exposition internationale des arts décoratifs et industriels modernes (International Exhibition of Modern Decorative and Industrial Arts) held in Paris. Art Deco combined the styles of early 20th century Modernist avant-garde, with the fine craftsmanship and rich materials of French historic design, but also sometimes with motifs taken from non-Western cultures. From its outset, Art Deco was influenced by the bold geometric forms of Cubism and the Vienna Secession; the bright colours of Fauvism and of the Ballets Russes; the updated craftsmanship of the furniture of the eras of Louis XVI and Louis Philippe I; and the exoticized styles of China, Japan, India, Persia, ancient Egypt and Maya art.
During its heyday, Art Deco represented luxury, glamour, exuberance, and faith in social and technological progress. The movement featured rare and expensive materials, such as ebony and ivory, and exquisite craftsmanship. The Empire State Building, Chrysler Building, and other skyscrapers of New York City built during the 1920s and 1930s are monuments to the style.
In the 1930s, during the Great Depression, Art Deco gradually became more subdued, paving the way for the International Style and Mid-century modern. New materials arrived, including chrome plating, stainless steel and plastic. A sleeker form of the style, called Streamline Moderne, appeared in the 1930s, featuring curving forms and smooth, polished surfaces. Art Deco was a truly international style, but its dominance ended with the beginning of World War II and the rise of the strictly functional and unadorned styles of modern architecture and the International Style of architecture that followed.
Etymology
Art Deco took its name, short for , from the Exposition Internationale des Arts Décoratifs et Industriels Modernes held in Paris in 1925, though the diverse styles that characterised it had already appeared in Paris and Brussels before World War I.
Arts décoratifs was first used in France in 1858 in the Bulletin de la Société française de photographie. In 1868, the Le Figaro newspaper used the term objets d'art décoratifs for objects for stage scenery created for the Théâtre de l'Opéra. In 1875, furniture designers, textile, jewellers, glass-workers, and other craftsmen were officially given the status of artists by the French government. In response, the École royale gratuite de dessin (Royal Free School of Design), founded in 1766 under King Louis XVI to train artists and artisans in crafts relating to the fine arts, was renamed the École nationale des arts décoratifs (National School of Decorative Arts). It took its present name, ENSAD (École nationale supérieure des arts décoratifs), in 1927.
At the 1925 Exposition, architect Le Corbusier wrote a series of articles about the exhibition for his magazine L'Esprit Nouveau, under the title "1925 EXPO. ARTS. DÉCO.", which were combined into a book, L'art décoratif d'aujourd'hui (Decorative Art Today). The book was a spirited attack on the excesses of the colourful, lavish objects at the Exposition, and on the idea that practical objects such as furniture should not have any decoration at all; his conclusion was that "Modern decoration has no decoration".
The actual term art déco did not appear in print until 1966, in the title of the first modern exhibition on the subject, held by the Museum of Decorative Arts in Paris, Les Années 25 : Art déco, Bauhaus, Stijl, Esprit nouveau, which covered a variety of major styles in the 1920s and 1930s. The term was then used in a 1966 newspaper article by Hillary Gelson in The Times (London, 12 November), describing the different styles at the exhibit.
Art Deco gained currency as a broadly applied stylistic label in 1968 when historian Bevis Hillier published the first major academic book on it, Art Deco of the 20s and 30s. He noted that the term was already being used by art dealers, and cites The Times (2 November 1966) and an essay named Les Arts Déco in Elle magazine (November 1967) as examples. In 1971, he organized an exhibition at the Minneapolis Institute of Arts, which he details in his book The World of Art Deco.
It's also important to mention that, in its time, Art Deco was not only tagged with other names, like style moderne, Moderne, modernistic or style contemporain, but it was also not recognized at the theoretical level as a distinct and homogenous style.
Origins
Society of Decorative Artists (1901–1945)
The emergence of Art Deco was closely connected with the rise in status of decorative artists, who until late in the 19th century were considered simply artisans. The term had been invented in 1875, giving the designers of furniture, textiles, and other decoration official status. The Société des artistes décorateurs (Society of Decorative Artists), or SAD, was founded in 1901, and decorative artists were given the same rights of authorship as painters and sculptors. A similar movement developed in Italy. The first international exhibition devoted entirely to the decorative arts, the Esposizione Internazionale d'Arte Decorativa Moderna, was held in Turin in 1902. Several new magazines devoted to decorative arts were founded in Paris, including Arts et décoration and L'Art décoratif moderne. Decorative arts sections were introduced into the annual salons of the Sociéte des artistes français, and later in the Salon d'Automne. French nationalism also played a part in the resurgence of decorative arts, as French designers felt challenged by the increasing exports of less expensive German furnishings. In 1911, SAD proposed a major new international exposition of decorative arts in 1912. No copies of old styles would be permitted, only modern works. The exhibit was postponed until 1914; and then, because of the war, until 1925, when it gave its name to the whole family of styles known as "Déco".
Parisian department stores and fashion designers also played an important part in the rise of Art Deco. Prominent businesses such as silverware firm Christofle, glass designer René Lalique, and the jewellers Louis Cartier and Boucheron began designing products in more modern styles. Beginning in 1900, department stores recruited decorative artists to work in their design studios. The decoration of the 1912 Salon d'Automne was entrusted to the department store Printemps, and that year it created its own workshop, Primavera. By 1920 Primavera employed more than 300 artists, whose styles ranged from updated versions of Louis XIV, Louis XVI, and especially Louis Philippe furniture made by Louis Süe and the Primavera workshop, to more modern forms from the workshop of the Au Louvre department store. Other designers, including Émile-Jacques Ruhlmann and Paul Follot, refused to use mass production, insisting that each piece be made individually. The early Art Deco style featured luxurious and exotic materials such as ebony, ivory and silk, very bright colours and stylized motifs, particularly baskets and bouquets of flowers of all colours, giving a modernist look.
Vienna Secession and Wiener Werkstätte (1897–1912)
The architects of the Vienna Secession (formed 1897), especially Josef Hoffmann, had a notable influence on Art Deco. His Stoclet Palace, in Brussels (1905–1911), was a prototype of the Art Deco style, featuring geometric volumes, symmetry, straight lines, concrete covered with marble plaques, finely-sculpted ornament, and lavish interiors, including mosaic friezes by Gustav Klimt. Hoffmann was also a founder of the Wiener Werkstätte (1903–1932), an association of craftsmen and interior designers working in the new style. This became the model for the Compagnie des arts français, created in 1919, which brought together André Mare, and Louis Süe, the first leading French Art Deco designers and decorators.
New materials and technologies
New materials and technologies, especially reinforced concrete, were key to the development and appearance of Art Deco. The first concrete house was built in 1853 in the Paris suburbs by François Coignet. In 1877 Joseph Monier introduced the idea of strengthening the concrete with a mesh of iron rods in a grill pattern. In 1893 Auguste Perret built the first concrete garage in Paris, then an apartment building, house, then, in 1913, the Théâtre des Champs-Élysées. The theatre was denounced by one critic as the "Zeppelin of Avenue Montaigne", an alleged Germanic influence, copied from the Vienna Secession. Thereafter, the majority of Art Deco buildings were made of reinforced concrete, which gave greater freedom of form and less need for reinforcing pillars and columns. Perret was also a pioneer in covering the concrete with ceramic tiles, both for protection and decoration. The architect Le Corbusier first learned the uses of reinforced concrete working as a draftsman in Perret's studio.
Other new technologies that were important to Art Deco were new methods in producing plate glass, which was less expensive and allowed much larger and stronger windows, and for mass-producing aluminium, which was used for building and window frames and later, by Corbusier, Warren McArthur, and others, for lightweight furniture.
Théâtre des Champs-Élysées (1910–1913)
The Théâtre des Champs-Élysées (1910–1913), by Auguste Perret, was the first landmark Art Deco building completed in Paris. Previously, reinforced concrete had been used only for industrial and apartment buildings, Perret had built the first modern reinforced-concrete apartment building in Paris on rue Benjamin Franklin in 1903–04. Henri Sauvage, another important future Art Deco architect, built another in 1904 at 7, rue Trétaigne (1904). From 1908 to 1910, the 21-year-old Le Corbusier worked as a draftsman in Perret's office, learning the techniques of concrete construction. Perret's building had clean rectangular form, geometric decoration and straight lines, the future trademarks of Art Deco. The décor of the theatre was also revolutionary; the façade was decorated with high reliefs by Antoine Bourdelle, a dome by Maurice Denis, paintings by Édouard Vuillard, and an Art Deco curtain by Ker-Xavier Roussel. The theatre became the venue for many of the first performances of the Ballets Russes. Perret and Sauvage became the leading Art Deco architects in Paris in the 1920s.
Salon d'Automne (1903–1914)
At its birth between 1910 and 1914, Art Deco was an explosion of colours, featuring bright and often clashing hues, frequently in floral designs, presented in furniture upholstery, carpets, screens, wallpaper and fabrics. Many colourful works, including chairs and a table by Maurice Dufrêne and a bright Gobelin carpet by Paul Follot were presented at the 1912 Salon des artistes décorateurs. In 1912–1913 designer Adrien Karbowsky made a floral chair with a parrot design for the hunting lodge of art collector Jacques Doucet. The furniture designers Louis Süe and André Mare made their first appearance at the 1912 exhibit, under the name of the Atelier français, combining polychromatic fabrics with exotic and expensive materials, including ebony and ivory. After World War I, they became one of the most prominent French interior design firms, producing the furniture for the first-class salons and cabins of the French transatlantic ocean liners.
The vivid hues of Art Deco came from many sources, including the exotic set designs by Léon Bakst for the Ballets Russes, which caused a sensation in Paris just before World War I. Some of the colours were inspired by the earlier Fauvism movement led by Henri Matisse; others by the Orphism of painters such as Sonia Delaunay; others by the movement known as Les Nabis, and in the work of symbolist painter Odilon Redon, who designed fireplace screens and other decorative objects. Bright shades were a feature of the work of fashion designer Paul Poiret, whose work influenced both Art Deco fashion and interior design.
Cubism
The art movement known as Cubism appeared in France between 1907 and 1912, influencing the development of Art Deco. In Art Deco Complete: The Definitive Guide to the Decorative Arts of the 1920s and 1930s Alastair Duncan writes "Cubism, in some bastardized form or other, became the lingua franca of the era's decorative artists." The Cubists, themselves under the influence of Paul Cézanne, were interested in the simplification of forms to their geometric essentials: the cylinder, the sphere, the cone.
In 1912, the artists of the Section d'Or exhibited works considerably more accessible to the general public than the analytical Cubism of Picasso and Braque. The Cubist vocabulary was poised to attract fashion, furniture and interior designers.
The 1912 writings of André Vera, Le Nouveau style, published in the journal L'Art décoratif, expressed the rejection of Art Nouveau forms (asymmetric, polychrome and picturesque) and called for simplicité volontaire, symétrie manifeste, l'ordre et l'harmonie, themes that would eventually become common within Art Deco; though the Deco style was often extremely colourful and often complex.
In the Art Décoratif section of the 1912 Salon d'Automne, an architectural installation was exhibited known as La Maison Cubiste. The façade was designed by Raymond Duchamp-Villon. The décor of the house was by André Mare. La Maison Cubiste was a furnished installation with a façade, a staircase, wrought iron banisters, a bedroom, a living room—the Salon Bourgeois, where paintings by Albert Gleizes, Jean Metzinger, Marie Laurencin, Marcel Duchamp, Fernand Léger and Roger de La Fresnaye were hung. Thousands of spectators at the salon passed through the full-scale model.
The façade of the house, designed by Duchamp-Villon, was not very radical by modern standards; the lintels and pediments had prismatic shapes, but otherwise the façade resembled an ordinary house of the period. For the two rooms, Mare designed the wallpaper, which featured stylized roses and floral patterns, along with upholstery, furniture and carpets, all with flamboyant and colourful motifs. It was a distinct break from traditional décor. The critic Emile Sedeyn described Mare's work in the magazine Art et Décoration: "He does not embarrass himself with simplicity, for he multiplies flowers wherever they can be put. The effect he seeks is obviously one of picturesqueness and gaiety. He achieves it." The Cubist element was provided by the paintings. The installation was attacked by some critics as extremely radical, which helped make for its success. This architectural installation was subsequently exhibited at the 1913 Armory Show, New York City, Chicago and Boston. Thanks largely to the exhibition, the term "Cubist" began to be applied to anything modern, from women's haircuts to clothing to theater performances."
The Cubist influence continued within Art Deco, even as Deco branched out in many other directions. In 1927, Cubists Joseph Csaky, Jacques Lipchitz, Louis Marcoussis, Henri Laurens, the sculptor Gustave Miklos, and others collaborated in the decoration of a Studio House, rue Saint-James, Neuilly-sur-Seine, designed by the architect Paul Ruaud and owned by the French fashion designer Jacques Doucet, also a collector of Post-Impressionist art by Henri Matisse and Cubist paintings (including Les Demoiselles d'Avignon, which he bought directly from Picasso's studio). Laurens designed the fountain, Csaky designed Doucet's staircase, Lipchitz made the fireplace mantel, and Marcoussis made a Cubist rug.
Besides the Cubist artists, Doucet brought in other Deco interior designers to help in decorating the house, including Pierre Legrain, who was in charge of organizing the decoration, and Paul Iribe, Marcel Coard, André Groult, Eileen Gray and Rose Adler to provide furniture. The décor included massive pieces made of macassar ebony, inspired by African art, and furniture covered with Morocco leather, crocodile skin and snakeskin, and patterns taken from African designs.
Cubism's adumbrated geometry became coin of the realm in the 1920s. Art Deco's development of Cubism's selective geometry into a wider array of shapes carried Cubism as a pictorial taxonomy to a much broader audience and wider appeal. (Richard Harrison Martin, Metropolitan Museum of Art)
Influences
Pre-WW1 past
Art Deco was not a single style, but a collection of different and sometimes contradictory styles. In architecture, Art Deco was the successor to and reaction against Art Nouveau, a style which flourished in Europe between 1895 and 1900, and coexisted with the Beaux-Arts and neoclassical that were predominant in European and American architecture. In 1905 Eugène Grasset wrote and published Méthode de Composition Ornementale, Éléments Rectilignes, in which he systematically explored the decorative (ornamental) aspects of geometric elements, forms, motifs and their variations, in contrast with (and as a departure from) the undulating Art Nouveau style of Hector Guimard, so popular in Paris a few years earlier. Grasset stressed the principle that various simple geometric shapes like triangles and squares are the basis of all compositional arrangements. The reinforced-concrete buildings of Auguste Perret and Henri Sauvage, and particularly the Théâtre des Champs-Élysées, offered a new form of construction and decoration which was copied worldwide.
Ancient and non-European civilizations
In decoration, many different styles were borrowed and used by Art Deco. They included pre-modern art from around the world and observable at the Musée du Louvre, Musée de l'Homme and the Musée national des Arts d'Afrique et d'Océanie. There was also popular interest in archaeology due to excavations at Pompeii, Troy, and the tomb of the 18th dynasty Pharaoh Tutankhamun. Artists and designers integrated motifs from ancient Egypt, Africa, Mesopotamia, Greece, Rome, Asia, Mesoamerica and Oceania with Machine Age elements.
Early 20th century avant-garde movements
Other styles borrowed included Futurism, Orphism, Functionalism, and Modernism in general. Cubism discovers its decorative potential within the Art Deco aesthetic, when transposed from the canvas onto a textile material or wallpaper. Sonia Delaunay conceives her dress models in an abstract and geometric style, "as live paintings or sculptures of living forms". Cubist-like designs are created by Louis Barrilet in the stained-glass windows of the American bar at the Atrium Casino in Dax (1926), but also including names of fashionable cocktails. In architecture, the clear contrast between horizontal and vertical volumes, specific both to Russian Constructivism and the Frank Lloyd Wright-Willem Marinus Dudok line, becomes a common device in articulating Art Deco façades, from individual homes and tenement buildings to cinemas or oil stations. Art Deco also used the clashing colours and designs of Fauvism, notably in the work of Henri Matisse and André Derain, inspired the designs of art deco textiles, wallpaper, and painted ceramics. It took ideas from the high fashion vocabulary of the period, which featured geometric designs, chevrons, zigzags, and stylized bouquets of flowers. It was influenced by discoveries in Egyptology, and growing interest in the Orient and in African art. From 1925 onwards, it was often inspired by a passion for new machines, such as airships, automobiles and ocean liners, and by 1930 this influence resulted in the style called Streamline Moderne.
Style of luxury and modernity
Art Deco was associated with both luxury and modernity; it combined very expensive materials and exquisite craftsmanship put into modernistic forms. Nothing was cheap about Art Deco: pieces of furniture included ivory and silver inlays, and pieces of Art Deco jewellery combined diamonds with platinum, jade, coral and other precious materials. The style was used to decorate the first-class salons of ocean liners, deluxe trains, and skyscrapers. It was used around the world to decorate the great movie palaces of the late 1920s and 1930s. Later, after the Great Depression, the style changed and became more sober.
A good example of the luxury style of Art Deco is the boudoir of the fashion designer Jeanne Lanvin, designed by Armand-Albert Rateau (1882–1938) made between 1922 and 1925. It was located in her house at 16 rue Barbet de Jouy, in Paris, which was demolished in 1965. The room was reconstructed in the Museum of Decorative Arts in Paris. The walls are covered with moulded lambris below sculpted bas-reliefs in stucco. The alcove is framed with columns of marble on bases and a plinth of sculpted wood. The floor is of white and black marble, and in the cabinets decorative objects are displayed against a background of blue silk. Her bathroom had a tub and washstand made of sienna marble, with a wall of carved stucco and bronze fittings.
By 1928 the style had become more comfortable, with deep leather club chairs. The study designed by the Paris firm of Alavoine for an American businessman in 1928–30, is now in the Brooklyn Museum.
By the 1930s, the style had been somewhat simplified, but it was still extravagant. In 1932 the decorator Paul Ruaud made the Glass Salon for Suzanne Talbot. It featured a serpentine armchair and two tubular armchairs by Eileen Gray, a floor of mat silvered glass slabs, a panel of abstract patterns in silver and black lacquer, and an assortment of animal skins.
International Exhibition of Modern Decorative and Industrial Arts (1925)
The event that marked the zenith of the style and gave it its name was the International Exhibition of Modern Decorative and Industrial Arts which took place in Paris from April to October in 1925. This was officially sponsored by the French government, and covered a site in Paris of 55 acres, running from the Grand Palais on the right bank to Les Invalides on the left bank, and along the banks of the Seine. The Grand Palais, the largest hall in the city, was filled with exhibits of decorative arts from the participating countries. There were 15,000 exhibitors from twenty different countries, including Austria, Belgium, Czechoslovakia, Denmark, Great Britain, Italy, Japan, the Netherlands, Poland, Spain, Sweden, and the new Soviet Union. Germany was not invited because of tensions after the war; The United States, misunderstanding the purpose of the exhibit, declined to participate. The event was visited by sixteen million people during its seven-month run. The rules of the exhibition required that all work be modern; no historical styles were allowed. The main purpose of the Exhibit was to promote the French manufacturers of luxury furniture, porcelain, glass, metalwork, textiles, and other decorative products. To further promote the products, all the major Paris department stores, and major designers had their own pavilions. The Exposition had a secondary purpose in promoting products from French colonies in Africa and Asia, including ivory and exotic woods.
The Hôtel du Collectionneur was a popular attraction at the Exposition; it displayed the new furniture designs of Emile-Jacques Ruhlmann, as well as Art Deco fabrics, carpets, and a painting by Jean Dupas. The interior design followed the same principles of symmetry and geometric forms which set it apart from Art Nouveau, and bright colours, fine craftsmanship rare and expensive materials which set it apart from the strict functionality of the Modernist style. While most of the pavilions were lavishly decorated and filled with hand-made luxury furniture, two pavilions, those of the Soviet Union and Pavilion de L'Esprit Nouveau, built by the magazine of that name run by Le Corbusier, were built in an austere style with plain white walls and no decoration; they were among the earliest examples of modernist architecture.
Late Art Deco
In 1925, two different competing schools coexisted within Art Deco: the traditionalists, who had founded the Society of Decorative Artists; included the furniture designer Emile-Jacques Ruhlmann, Jean Dunand, the sculptor Antoine Bourdelle, and designer Paul Poiret; they combined modern forms with traditional craftsmanship and expensive materials. On the other side were the modernists, who increasingly rejected the past and wanted a style based upon advances in new technologies, simplicity, a lack of decoration, inexpensive materials, and mass production. The modernists founded their own organisation, The French Union of Modern Artists, in 1929. Its members included architects Pierre Chareau, Francis Jourdain, Robert Mallet-Stevens, Corbusier, and, in the Soviet Union, Konstantin Melnikov; the Irish designer Eileen Gray; the French designer Sonia Delaunay; and the jewellers Georges Fouquet and Jean Puiforcat. They fiercely attacked the traditional art deco style, which they said was created only for the wealthy, and insisted that well-constructed buildings should be available to everyone, and that form should follow function. The beauty of an object or building resided in whether it was perfectly fit to fulfil its function. Modern industrial methods meant that furniture and buildings could be mass-produced, not made by hand.
The Art Deco interior designer Paul Follot defended Art Deco in this way: "We know that man is never content with the indispensable and that the superfluous is always needed...If not, we would have to get rid of music, flowers, and perfumes..!" However, Le Corbusier was a brilliant publicist for modernist architecture; he stated that a house was simply "a machine to live in", and tirelessly promoted the idea that Art Deco was the past and modernism was the future. Le Corbusier's ideas were gradually adopted by architecture schools, and the aesthetics of Art Deco were abandoned. The same features that made Art Deco popular in the beginning, its craftsmanship, rich materials and ornament, led to its decline. The Great Depression that began in the United States in 1929, and reached Europe shortly afterwards, greatly reduced the number of wealthy clients who could pay for the furnishings and art objects. In the Depression economic climate, few companies were ready to build new skyscrapers. Even the Ruhlmann firm resorted to producing pieces of furniture in series, rather than individual hand-made items. The last buildings built in Paris in the new style were the Museum of Public Works by Auguste Perret (now the French Economic, Social and Environmental Council), the Palais de Chaillot by Louis-Hippolyte Boileau, Jacques Carlu and Léon Azéma, and the Palais de Tokyo of the 1937 Paris International Exposition; they looked out at the grandiose pavilion of Nazi Germany, designed by Albert Speer, which faced the equally grandiose socialist-realist pavilion of Stalin's Soviet Union.
After World War II, the dominant architectural style became the International Style pioneered by Le Corbusier, and Mies van der Rohe. A handful of Art Deco hotels were built in Miami Beach after World War II, but elsewhere the style largely vanished, except in industrial design, where it continued to be used in automobile styling and products such as jukeboxes. In the 1960s, it experienced a modest academic revival, thanks in part to the writings of architectural historians such as Bevis Hillier. In the 1970s efforts were made in the United States and Europe to preserve the best examples of Art Deco architecture, and many buildings were restored and repurposed. Postmodern architecture, which first appeared in the 1980s, like Art Deco, often includes purely decorative features. Deco continues to inspire designers, and is often used in contemporary fashion, jewellery, and toiletries.
Painting
There was no section set aside for painting at the 1925 Exposition. Art deco painting was by definition decorative, designed to decorate a room or work of architecture, so few painters worked exclusively in the style, but two painters are closely associated with Art Deco. Jean Dupas painted Art Deco murals for the Bordeaux Pavilion at the 1925 Decorative Arts Exposition in Paris, and also painted the picture over the fireplace in the Maison du Collectionneur exhibit at the 1925 Exposition, which featured furniture by Ruhlmann and other prominent Art Deco designers. His murals were also prominent in the décor of the French ocean liner SS Normandie. His work was purely decorative, designed as a background or accompaniment to other elements of the décor.
The other painter closely associated with the style is Tamara de Lempicka. Born in Poland, she emigrated to Paris after the Russian Revolution. She studied under Maurice Denis and André Lhote, and borrowed many elements from their styles. She painted portraits in a realistic, dynamic and colourful Art Deco style.
In the 1930s a dramatic new form of Art Deco painting appeared in the United States. During the Great Depression, the Federal Art Project of the Works Progress Administration was created to give work to unemployed artists. Many were given the task of decorating government buildings, hospitals and schools. There was no specific art deco style used in the murals; artists engaged to paint murals in government buildings came from many different schools, from American regionalism to social realism; they included Reginald Marsh, Rockwell Kent and the Mexican painter Diego Rivera. The murals were Art Deco because they were all decorative and related to the activities in the building or city where they were painted: Reginald Marsh and Rockwell Kent both decorated U.S. postal buildings, and showed postal employees at work while Diego Rivera depicted automobile factory workers for the Detroit Institute of Arts. Diego Rivera's mural Man at the Crossroads (1933) for 30 Rockefeller Plaza featured an unauthorized portrait of Lenin. When Rivera refused to remove Lenin, the painting was destroyed and a new mural was painted by the Spanish artist Josep Maria Sert.
Sculpture
Monumental and public sculpture
Sculpture was a very common and integral feature of Art Deco architecture. In France, allegorical bas-reliefs representing dance and music by Antoine Bourdelle decorated the earliest Art Deco landmark in Paris, the Théâtre des Champs-Élysées, in 1912. The 1925 Exposition had major sculptural works placed around the site, pavilions were decorated with sculptural friezes, and several pavilions devoted to smaller studio sculpture. In the 1930s, a large group of prominent sculptors made works for the 1937 at Chaillot. Alfred Janniot made the relief sculptures on the façade of the Palais de Tokyo. The Musée d'Art Moderne de la Ville de Paris, and the esplanade in front of the Palais de Chaillot, facing the Eiffel Tower, was crowded with new statuary by Charles Malfray, Henry Arnold, and many others.
Public art deco sculpture was almost always representational, usually of heroic or allegorical figures related to the purpose of the building or room. The themes were usually selected by the patrons, not the artist. Abstract sculpture for decoration was extremely rare.
In the United States, the most prominent Art Deco sculptor for public art was Paul Manship, who updated classical and mythological subjects and themes in an Art Deco style. His most famous work was the statue of Prometheus at Rockefeller Center in New York City, a 20th-century adaptation of a classical subject. Other important works for Rockefeller Center were made by Lee Lawrie, including the sculptural façade and the Atlas statue.
During the Great Depression in the United States, many sculptors were commissioned to make works for the decoration of federal government buildings, with funds provided by the WPA, or Works Progress Administration. They included sculptor Sidney Biehler Waugh, who created stylized and idealized images of workers and their tasks for federal government office buildings. In San Francisco, Ralph Stackpole provided sculpture for the façade of the new San Francisco Stock Exchange building. In Washington D.C., Michael Lantz made works for the Federal Trade Commission building.
In Britain, Deco public statuary was made by Eric Gill for the BBC Broadcasting House, while Ronald Atkinson decorated the lobby of the former Daily Express Building in London (1932).
One of the best known and certainly the largest public Art Deco sculpture is the Christ the Redeemer by the French sculptor Paul Landowski, completed between 1922 and 1931, located on a mountain top overlooking Rio de Janeiro, Brazil.
Studio sculpture
Many early Art Deco sculptures were small, designed to decorate salons. One genre of this sculpture was called the Chryselephantine statuette, named for a style of ancient Greek temple statues made of gold and ivory. They were sometimes made of bronze, or sometimes with much more lavish materials, such as ivory, onyx, alabaster, and gold leaf.
One of the best-known Art Deco salon sculptors was the Romanian-born Demétre Chiparus, who produced colourful small sculptures of dancers. Other notable salon sculptors included Ferdinand Preiss, Josef Lorenzl, Alexander Kelety, Dorothea Charol and Gustav Schmidtcassel. Another important American sculptor in the studio format was Harriet Whitney Frishmuth, who had studied with Auguste Rodin in Paris.
Pierre Le Paguays was a prominent Art Deco studio sculptor, whose work was shown at the 1925 Exposition. He worked with bronze, marble, ivory, onyx, gold, alabaster and other precious materials.
François Pompon was a pioneer of modern stylised animalier sculpture. He was not fully recognised for his artistic accomplishments until the age of 67 at the Salon d'Automne of 1922 with the work Ours blanc, also known as The White Bear, now in the Musée d'Orsay in Paris.
Parallel with these Art Deco sculptors, more avant-garde and abstract modernist sculptors were at work in Paris and New York City. The most prominent were Constantin Brâncuși, Joseph Csaky, Alexander Archipenko, Henri Laurens, Jacques Lipchitz, Gustave Miklos, Jean Lambert-Rucki, Jan et Joël Martel, Chana Orloff and Pablo Gargallo.
Graphic arts
The Art Deco style appeared early in the graphic arts, in the years just before World War I. It appeared in Paris in the posters and the costume designs of Léon Bakst for the Ballets Russes, and in the catalogues of the fashion designers Paul Poiret. The illustrations of Georges Barbier, and Georges Lepape and the images in the fashion magazine La Gazette du bon ton perfectly captured the elegance and sensuality of the style. In the 1920s, the look changed; the fashions stressed were more casual, sportive and daring, with the woman models usually smoking cigarettes. American fashion magazines such as Vogue, Vanity Fair and Harper's Bazaar quickly picked up the new style and popularized it in the United States. It also influenced the work of American book illustrators such as Rockwell Kent. In Germany, the most famous poster artist of the period was Ludwig Hohlwein, who created colourful and dramatic posters for music festivals, beers, and, late in his career, for the Nazi Party.
During the Art Nouveau period, posters usually advertised theatrical products or cabarets. In the 1920s, travel posters, made for steamship lines and airlines, became extremely popular. The style changed notably in the 1920s, to focus attention on the product being advertised. The images became simpler, precise, more linear, more dynamic, and were often placed against a single-color background. In France, popular Art Deco designers included Charles Loupot and Paul Colin, who became famous for his posters of American singer and dancer Josephine Baker. Jean Carlu designed posters for Charlie Chaplin movies, soaps, and theatres; in the late 1930s he emigrated to the United States, where, during the World War, he designed posters to encourage war production. The designer Charles Gesmar became famous making posters for the singer Mistinguett and for Air France. Among the best-known French Art Deco poster designers was Cassandre, who made the celebrated poster of the ocean liner SS Normandie in 1935.
In the 1930s a new genre of posters appeared in the United States during the Great Depression. The Federal Art Project hired American artists to create posters to promote tourism and cultural events.
Architecture
The architectural style of art deco made its debut in Paris in 1903–04, with the construction of two apartment buildings in Paris, one by Auguste Perret on rue Benjamin Franklin and the other on rue Trétaigne by Henri Sauvage. The two young architects used reinforced concrete for the first time in Paris residential buildings; the new buildings had clean lines, rectangular forms, and no decoration on the façades; they marked a clean break with the art nouveau style. Between 1910 and 1913, Perret used his experience in concrete apartment buildings to construct the Théâtre des Champs-Élysées, 15 avenue Montaigne. Between 1925 and 1928 Sauvage constructed the new art deco façade of La Samaritaine department store in Paris.
The Art Deco style was not limited to buildings on land; the ocean liner SS Normandie, whose first voyage was in 1935, featured Art Deco design, including a dining room whose ceiling and decoration were made of glass by Lalique.
Skyscrapers
American skyscrapers marked the summit of the Art Deco style; they became the tallest and most recognizable modern buildings in the world. They were designed to show the prestige of their builders through their height, their shape, their color, and their dramatic illumination at night. The American Radiator Building by Raymond Hood (1924) combined Gothic and Deco modern elements in the design of the building. Black brick on the frontage of the building (symbolizing coal) was selected to give an idea of solidity and to give the building a solid mass. Other parts of the façade were covered in gold bricks (symbolizing fire), and the entry was decorated with marble and black mirrors. Another early Art Deco skyscraper was Detroit's Guardian Building, which opened in 1929. Designed by modernist Wirt C. Rowland, the building was the first to employ stainless steel as a decorative element, and the extensive use of colored designs in place of traditional ornaments.
New York City's skyline was radically changed by the Chrysler Building in Manhattan (completed in 1930), designed by William Van Alen. It was a giant seventy-seven-floor tall advertisement for Chrysler automobiles. The top was crowned by a stainless steel spire, and was ornamented by deco "gargoyles" in the form of stainless steel radiator cap decorations. The base of the tower, thirty-three stories above the street, was decorated with colorful art deco friezes, and the lobby was decorated with art deco symbols and images expressing modernity.
The Chrysler Building was soon surpassed in height by the Empire State Building by William F. Lamb (1931), in a slightly less lavish Deco style and the RCA Building (now 30 Rockefeller Plaza) by Raymond Hood (1933) which together completely changed New York City's skyline. The tops of the buildings were decorated with Art Deco crowns and spires covered with stainless steel, and, in the case of the Chrysler building, with Art Deco gargoyles modeled after radiator ornaments, while the entrances and lobbies were lavishly decorated with Art Deco sculpture, ceramics, and design. Similar buildings, though not quite as tall, soon appeared in Chicago and other large American cities. Rockefeller Center added a new design element: several tall buildings grouped around an open plaza, with a fountain in the middle.
"Cathedrals of Commerce"
The grand showcases of American Art Deco interior design were the lobbies of government buildings, theaters, and particularly office buildings. Interiors were extremely colorful and dynamic, combining sculpture, murals, and ornate geometric design in marble, glass, ceramics and stainless steel. An early example was the Fisher Building in Detroit, by Joseph Nathaniel French; the lobby was highly decorated with sculpture and ceramics. The Guardian Building (originally the Union Trust Building) in Detroit, by Wirt Rowland (1929), decorated with red and black marble and brightly colored ceramics, highlighted by highly polished steel elevator doors and counters. The sculptural decoration installed in the walls illustrated the virtues of industry and saving; the building was immediately termed the "Cathedral of Commerce". The Medical and Dental Building called 450 Sutter Street in San Francisco by Timothy Pflueger was inspired by Mayan architecture, in a highly stylized form; it used pyramid shapes, and the interior walls were covered with highly stylized rows of hieroglyphs.
In France, the best example of an Art Deco interior during this period was the Palais de la Porte Dorée (1931) by Albert Laprade, Léon Jaussely and Léon Bazin. The building (now the National Museum of Immigration, with an aquarium in the basement) was built for the Paris Colonial Exposition of 1931, to celebrate the people and products of French colonies. The exterior façade was entirely covered with sculpture, and the lobby created an Art Deco harmony with a wood parquet floor in a geometric pattern, a mural depicting the people of French colonies; and a harmonious composition of vertical doors and horizontal balconies.
Movie palaces
Many of the best surviving examples of Art Deco are cinemas built in the 1920s and 1930s. The Art Deco period coincided with the conversion of silent films to sound, and movie companies built large display destinations in major cities to capture the huge audience that came to see movies. Movie palaces in the 1920s often combined exotic themes with art deco style; Grauman's Egyptian Theatre in Hollywood (1922) was inspired by ancient Egyptian tombs and pyramids, while the Fox Theater in Bakersfield, California attached a tower in California Mission style to an Art Deco Hall. The largest of all is Radio City Music Hall in New York City, which opened in 1932. Originally designed as theatrical performance space, it quickly transformed into a cinema, which could seat 6,015 customers. The interior design by Donald Deskey used glass, aluminum, chrome, and leather to create a visual escape from reality. The Paramount Theatre in Oakland, California, by Timothy Pflueger, had a colorful ceramic façade, a lobby four stories high, and separate Art Deco smoking rooms for gentlemen and ladies. Similar grand palaces appeared in Europe. The Grand Rex in Paris (1932), with its imposing tower, was the largest cinema in Europe after the 6,000 seats of the Gaumont-Palace (1931-1973). The Gaumont State Cinema in London (1937) had a tower modelled on the Empire State building, covered with cream ceramic tiles and an interior in an Art Deco-Italian Renaissance style. The Paramount Theatre in Shanghai, China (1933) was originally built as a dance hall called The gate of 100 pleasures; it was converted to a cinema after the Communist Revolution in 1949, and now is a ballroom and disco. In the 1930s Italian architects built a small movie palace, the Cinema Impero, in Asmara in what is now Eritrea. Today, many of the movie theatres have been subdivided into multiplexes, but others have been restored and are used as cultural centres in their communities.
Streamline Moderne
In the late 1930s, a new variety of Art Deco architecture became common; it was called Streamline Moderne or simply Streamline, or, in France, the Style Paquebot, or Ocean Liner style. Buildings in the style had rounded corners and long horizontal lines; they were built of reinforced concrete and were almost always white; and they sometimes had nautical features, such as railings and portholes that resembled those on a ship. The rounded corner was not entirely new; it had appeared in Berlin in 1923 in the Mossehaus by Erich Mendelsohn, and later in the Hoover Building, an industrial complex in the London suburb of Perivale. In the United States, it became most closely associated with transport; Streamline moderne was rare in office buildings but was often used for bus stations and airport terminals, such as the terminal at La Guardia airport in New York City that handled the first transatlantic flights, via the PanAm Clipper flying boats; and in roadside architecture, such as gas stations and diners. In the late 1930s a series of diners, modelled upon streamlined railroad cars, were produced and installed in towns in New England; at least two examples still remain and are now registered historic buildings.
Decoration and motifs
Decoration in the Art Deco period went through several distinct phases. Between 1910 and 1920, as Art Nouveau was exhausted, design styles saw a return to tradition, particularly in the work of Paul Iribe. In 1912 André Vera published an essay in the magazine L'Art Décoratif calling for a return to the craftsmanship and materials of earlier centuries and using a new repertoire of forms taken from nature, particularly baskets and garlands of fruit and flowers. A second tendency of Art Deco, also from 1910 to 1920, was inspired by the bright colours of the artistic movement known as the Fauves and by the colourful costumes and sets of the Ballets Russes. This style was often expressed with exotic materials such as sharkskin, mother of pearl, ivory, tinted leather, lacquered and painted wood, and decorative inlays on furniture that emphasized its geometry. This period of the style reached its high point in the 1925 Paris Exposition of Decorative Arts. In the late 1920s and the 1930s, the decorative style changed, inspired by new materials and technologies. It became sleeker and less ornamental. Furniture, like architecture, began to have rounded edges and to take on a polished, streamlined look, taken from the streamline modern style. New materials, such as nickel or chrome-plated steel, aluminium and bakelite, an early form of plastic, began to appear in furniture and decoration.
Throughout the Art Deco period, and particularly in the 1930s, the motifs of the décor expressed the function of the building. Theatres were decorated with sculpture which illustrated music, dance, and excitement; power companies showed sunrises, the Chrysler building showed stylized hood ornaments; The friezes of Palais de la Porte Dorée at the 1931 Paris Colonial Exposition showed the faces of the different nationalities of French colonies. The Streamline style made it appear that the building itself was in motion. The WPA murals of the 1930s featured ordinary people; factory workers, postal workers, families and farmers, in place of classical heroes.
Furniture
French furniture from 1910 until the early 1920s was largely an updating of French traditional furniture styles, and the art nouveau designs of Louis Majorelle, Charles Plumet and other manufacturers. French furniture manufacturers felt threatened by the growing popularity of German manufacturers and styles, particularly the Biedermeier style, which was simple and clean-lined. The French designer Frantz Jourdain, the President of the Paris Salon d'Automne, invited designers from Munich to participate in the 1910 Salon. French designers saw the new German style and decided to meet the German challenge. The French designers decided to present new French styles in the Salon of 1912. The rules of the Salon indicated that only modern styles would be permitted. All of the major French furniture designers took part in Salon: Paul Follot, Paul Iribe, Maurice Dufrêne, André Groult, André Mare and Louis Suë took part, presenting new works that updated the traditional French styles of Louis XVI and Louis Philippe with more angular corners inspired by Cubism and brighter colours inspired by Fauvism and the Nabis.
The painter André Mare and furniture designer Louis Süe both participated the 1912 Salon. After the war the two men joined to form their own company, formally called the Compagnie des Arts Française, but usually known simply as Suë and Mare. Unlike the prominent art nouveau designers like Louis Majorelle, who personally designed every piece, they assembled a team of skilled craftsmen and produced complete interior designs, including furniture, glassware, carpets, ceramics, wallpaper and lighting. Their work featured bright colors and furniture and fine woods, such as ebony encrusted with mother of pearl, abalone and silvered metal to create bouquets of flowers. They designed everything from the interiors of ocean liners to perfume bottles for the label of Jean Patou.The firm prospered in the early 1920s, but the two men were better craftsmen than businessmen. The firm was sold in 1928, and both men left.
The most prominent furniture designer at the 1925 Decorative Arts Exposition was Émile-Jacques Ruhlmann, from Alsace. He first exhibited his works at the 1913 Autumn Salon, then had his own pavilion, the "House of the Rich Collector", at the 1925 Exposition. He used only most rare and expensive materials, including ebony, mahogany, rosewood, ambon and other exotic woods, decorated with inlays of ivory, tortoise shell, mother of pearl, Little pompoms of silk decorated the handles of drawers of the cabinets. His furniture was based upon 18th-century models, but simplified and reshaped. In all of his work, the interior structure of the furniture was completely concealed. The framework usually of oak, was completely covered with an overlay of thin strips of wood, then covered by a second layer of strips of rare and expensive woods. This was then covered with a veneer and polished, so that the piece looked as if it had been cut out of a single block of wood. Contrast to the dark wood was provided by inlays of ivory, and ivory key plates and handles. According to Ruhlmann, armchairs had to be designed differently according to the functions of the rooms where they appeared; living room armchairs were designed to be welcoming, office chairs comfortable, and salon chairs voluptuous. Only a small number of pieces of each design of furniture was made, and the average price of one of his beds or cabinets was greater than the price of an average house.
Jules Leleu was a traditional furniture designer who moved smoothly into Art Deco in the 1920s; he designed the furniture for the dining room of the Élysée Palace, and for the first-class cabins of the steamship Normandie. his style was characterized by the use of ebony, Macassar wood, walnut, with decoration of plaques of ivory and mother of pearl. He introduced the style of lacquered art deco furniture in the late 1920s, and in the late 1930s introduced furniture made of metal with panels of smoked glass. In Italy, the designer Gio Ponti was famous for his streamlined designs.
The costly and exotic furniture of Ruhlmann and other traditionalists infuriated modernists, including the architect Le Corbusier, causing him to write a famous series of articles denouncing the arts décoratif style. He attacked furniture made only for the rich and called upon designers to create furniture made with inexpensive materials and modern style, which ordinary people could afford. He designed his own chairs, created to be inexpensive and mass-produced.
In the 1930s, furniture designs adapted to the form, with smoother surfaces and curved forms. The masters of the late style included Donald Deskey, who was one of the most influential designers; he created the interior of the Radio City Music Hall. He used a mixture of traditional and very modern materials, including aluminium, chrome, and bakelite, an early form of plastic. Other top designers of Art Deco furniture of the 1930s in the United States included Gilbert Rohde, Warren McArthur, and Kem Weber.
The Waterfall style was popular in the 1930s and 1940s, the most prevalent Art Deco form of furniture at the time. Pieces were typically of plywood finished with blond veneer and with rounded edges, resembling a waterfall.
Design
Streamline was a variety of Art Deco which emerged during the mid-1930s. It was influenced by modern aerodynamic principles developed for aviation and ballistics to reduce aerodynamic drag at high velocities. The bullet shapes were applied by designers to cars, trains, ships, and even objects not intended to move, such as refrigerators, gas pumps, and buildings. One of the first production vehicles in this style was the Chrysler Airflow of 1933. It was unsuccessful commercially, but the beauty and functionality of its design set a precedent; meant modernity. It continued to be used in car design well after World War II.
New industrial materials began to influence the design of cars and household objects. These included aluminium, chrome, and bakelite, an early form of plastic. Bakelite could be easily moulded into different forms, and soon was used in telephones, radios and other appliances.
Ocean liners also adopted a style of Art Deco, known in French as the Style Paquebot, or "Ocean Liner Style". The most famous example was the SS Normandie, which made its first transatlantic trip in 1935. It was designed particularly to bring wealthy Americans to Paris to shop. The cabins and salons featured the latest Art Deco furnishings and decoration. The Grand Salon of the ship, which was the restaurant for first-class passengers, was bigger than the Hall of Mirrors of the Palace of Versailles. It was illuminated by electric lights within twelve pillars of Lalique crystal; thirty-six matching pillars lined the walls. This was one of the earliest examples of illumination being directly integrated into architecture. The style of ships was soon adapted to buildings. A notable example is found on the San Francisco waterfront, where the Maritime Museum building, built as a public bath in 1937, resembles a ferryboat, with ship railings and rounded corners. The Star Ferry Terminal in Hong Kong also used a variation of the style.
Textiles
Textiles were an important part of the Art Deco style, in the form of colourful wallpaper, upholstery and carpets, In the 1920s, designers were inspired by the stage sets of the Ballets Russes, fabric designs and costumes from Léon Bakst and creations by the Wiener Werkstätte. The early interior designs of André Mare featured brightly coloured and highly stylized garlands of roses and flowers, which decorated the walls, floors, and furniture. Stylized Floral motifs also dominated the work of Raoul Dufy and Paul Poiret, and in the furniture designs of J.E. Ruhlmann. The floral carpet was reinvented in Deco style by Paul Poiret.
The use of the style was greatly enhanced by the introduction of the pochoir stencil-based printing system, which allowed designers to achieve crispness of lines and very vivid colours. Art Deco forms appeared in the clothing of Paul Poiret, Charles Worth and Jean Patou. After World War I, exports of clothing and fabrics became one of the most important currency earners of France.
Late Art Deco wallpaper and textiles sometimes featured stylized industrial scenes, cityscapes, locomotives and other modern themes, as well as stylized female figures, metallic finishes and geometric designs.
Fashion
The new woman of pre-WW1 days became the Amazon of the Art Deco era. Fashion changed dramatically during this period, thanks in particular to designers Paul Poiret and later Coco Chanel. Poiret introduced an important innovation to fashion design, the concept of draping, a departure from the tailoring and patternmaking of the past. He designed clothing cut along straight lines and constructed of rectangular motifs. His styles offered structural simplicity The corseted look and formal styles of the previous period were abandoned, and fashion became more practical, and streamlined. with the use of new materials, brighter colours and printed designs. The designer Coco Chanel continued the transition, popularising the style of sporty, casual chic.
A particular typology of the era was the Flapper, a woman who cut her hair into a short bob, drank cocktails, smoked in public, and danced late into the night at fashionable clubs, cabarets or bohemian dives. Of course, most women didn't live like this, the Flapper being more a character present in popular imagination than a reality. Another female Art Deco style was the androgynous garçonne of the 1920s, with flattened bosom, dispelled waist and revealed legs, reducing the silhouette to a short tube, topped with a head-hugging cloche hat.
Jewelry
In the 1920s and 1930s, designers including René Lalique and Cartier tried to reduce the traditional dominance of diamonds by introducing more colourful gemstones, such as small emeralds, rubies and sapphires. They also placed greater emphasis on very elaborate and elegant settings, featuring less-expensive materials such as enamel, glass, horn and ivory. Diamonds themselves were cut in less traditional forms; the 1925 Exposition saw many diamonds cut in the form of tiny rods or matchsticks. Other popular Art Deco cuts include:
emerald cut, with long step-cut facets;
asscher cut, more square-shaped than emerald with a high crown and the first diamond cut to ever be patented;
marquise cut, to give the illusion of being bigger and bolder;
baguette cut: small, rectangular step-cut shapes often used to outline bolder stones.
The settings for diamonds also changed; More and more often jewellers used platinum instead of gold, since it was strong and flexible, and could set clusters of stones. Jewellers also began to use more dark materials, such as enamels and black onyx, which provided a higher contrast with diamonds.
Jewellery became much more colourful and varied in style. Cartier and the firm of Boucheron combined diamonds with colourful other gemstones cut into the form of leaves, fruit or flowers, to make brooches, rings, earrings, clips and pendants. Far Eastern themes also became popular; plaques of jade and coral were combined with platinum and diamonds, and vanity cases, cigarette cases and powder boxes were decorated with Japanese and Chinese landscapes made with mother of pearl, enamel and lacquer.
Rapidly changing fashions in clothing brought new styles of jewellery. Sleeveless dresses of the 1920s meant that arms needed decoration, and designers quickly created bracelets of gold, silver and platinum encrusted with lapis-lazuli, onyx, coral, and other colourful stones; Other bracelets were intended for the upper arms, and several bracelets were often worn at the same time. The short haircuts of women in the twenties called for elaborate deco earring designs. As women began to smoke in public, designers created very ornate cigarette cases and ivory cigarette holders. The invention of the wristwatch before World War I inspired jewelers to create extraordinary, decorated watches, encrusted with diamonds and plated with enamel, gold and silver. Pendant watches, hanging from a ribbon, also became fashionable.
The established jewellery houses of Paris in the period, Cartier, Chaumet, Georges Fouquet, Mauboussin, and Van Cleef & Arpels all created jewellery and objects in the new fashion. The firm of Chaumet made highly geometric cigarette boxes, cigarette lighters, pillboxes and notebooks, made of hard stones decorated with jade, lapis lazuli, diamonds and sapphires. They were joined by many young new designers, each with his own idea of deco. Raymond Templier designed pieces with highly intricate geometric patterns, including silver earrings that looked like skyscrapers. Gerard Sandoz was only 18 when he started to design jewelry in 1921; he designed many celebrated pieces based on the smooth and polished look of modern machinery. The glass designer René Lalique also entered the field, creating pendants of fruit, flowers, frogs, fairies or mermaids made of sculpted glass in bright colors, hanging on cords of silk with tassels. The jeweller Paul Brandt contrasted rectangular and triangular patterns, and embedded pearls in lines on onyx plaques. Jean Despres made necklaces of contrasting colours by bringing together silver and black lacquer, or gold with lapis lazuli. Many of his designs looked like highly polished pieces of machines. Jean Dunand was also inspired by modern machinery, combined with bright reds and blacks contrasting with polished metal.
Glass art
Like the Art Nouveau period before it, Art Deco was an exceptional period for fine glass and other decorative objects, designed to fit their architectural surroundings. The most famous producer of glass objects was René Lalique, whose works, from vases to hood ornaments for automobiles, became symbols of the period. He had made ventures into glass before World War I, designing bottles for the perfumes of François Coty, but he did not begin serious production of art glass until after World War I. In 1918, at the age of 58, he bought a large glass works in Combs-la-Ville and began to manufacture both artistic and practical glass objects. He treated glass as a form of sculpture, and created statuettes, vases, bowls, lamps and ornaments. He used demi-crystal rather than lead crystal, which was softer and easier to form, though not as lustrous. He sometimes used coloured glass, but more often used opalescent glass, where part or the whole of the outer surface was stained with a wash. Lalique provided the decorative glass panels, lights and illuminated glass ceilings for the ocean liners in 1927 and the SS Normandie in 1935, and for some of the first-class sleeping cars of the French railroads. At the 1925 Exposition of Decorative Arts, he had his own pavilion, designed a dining room with a table setting and matching glass ceiling for the Sèvres Pavilion, and designed a glass fountain for the courtyard of the Cours des Métiers, a slender glass column which spouted water from the sides and was illuminated at night.
Other notable Art Deco glass manufacturers included Marius-Ernest Sabino, who specialized in figurines, vases, bowls, and glass sculptures of fish, nudes, and animals. For these he often used an opalescent glass which could change from white to blue to amber, depending upon the light. His vases and bowls featured molded friezes of animals, nudes or busts of women with fruit or flowers. His work was less subtle but more colourful than that of Lalique.
Other notable Deco glass designers included Edmond Etling, who also used bright opalescent colours, often with geometric patterns and sculpted nudes; Albert Simonet, and Aristide Colotte and Maurice Marinot, who was known for his deeply etched sculptural bottles and vases. The firm of Daum from the city of Nancy, which had been famous for its Art Nouveau glass, produced a line of Deco vases and glass sculpture, solid, geometric and chunky in form. More delicate multi-coloured works were made by Gabriel Argy-Rousseau, who produced delicately shaded vases with sculpted butterflies and nymphs, and Francois Decorchemont, whose vases were streaked and marbled.
The Great Depression ruined a large part of the decorative glass industry, which depended upon wealthy clients. Some artists turned to designing stained glass windows for churches. In 1937, the Steuben glass company began the practice of commissioning famous artists to produce glassware. Louis Majorelle, famous for his Art Nouveau furniture, designed a remarkable Art Deco stained glass window portraying steel workers for the offices of the Aciéries de Longwy, a steel mill in Longwy, France.
Amiens Cathedral has a rare example of Art Deco stained glass windows in the Chapel of the Sacred Heart, made in 1932-34 by the Paris glass artist Jean Gaudin based on drawings by Jacques Le Breton.
Metal art
Art Deco artists produced a wide variety of practical objects in the Art Deco style, made of industrial materials from traditional wrought iron to chrome-plated steel. The American artist Norman Bel Geddes designed a cocktail set resembling a skyscraper made of chrome-plated steel. Raymond Subes designed an elegant metal grille for the entrance of the Palais de la Porte Dorée, the centre-piece of the 1931 Paris Colonial Exposition. The French sculptor Jean Dunand produced magnificent doors on the theme "The Hunt", covered with gold leaf and paint on plaster (1935).
Animation
Art Deco visuals and imagery was used in multiple animated films including Batman, Night Hood, All's Fair at the Fair, Merry Mannequins, Page Miss Glory, Fantasia and Sleeping Beauty. The architecture is featured in the fictitious underwater city of Rapture in the Bioshock video game series.
Art Deco architecture around the world
Art Deco architecture began in Europe, but by 1939 there were examples in large cities on every continent and in almost every country. This is a selection of prominent buildings on each continent.
For a comprehensive list of existing buildings by country, see: List of Art Deco architecture.
Africa
Most Art Deco buildings in Africa were built during European colonial rule, and often designed by Italian, French and Portuguese architects.
Asia
Many Art Deco buildings in Asia were designed by European architects. But in the Philippines, local architects such as Juan Nakpil, Juan Arellano, Pablo Antonio and others were preeminent. Many Art Deco landmarks in Asia were demolished during the great economic expansion of Asia the late 20th century, but some notable enclaves of the architecture still remain, particularly in Shanghai and Mumbai.
Australia and New Zealand
Melbourne and Sydney, Australia, have several notable Art Deco buildings, including the Manchester Unity Building and the former Russell Street Police Headquarters in Melbourne, the Castlemaine Art Museum in Castlemaine, central Victoria and the Grace Building, AWA Tower and Anzac Memorial in Sydney.
Several towns in New Zealand, including Napier and Hastings were rebuilt in Art Deco style after the 1931 Hawke's Bay earthquake, and many of the buildings have been protected and restored. Napier has been nominated for UNESCO World Heritage Site status, the first cultural site in New Zealand to be nominated. Wellington has retained a sizeable number of Art Deco buildings.
North America
In Canada, surviving Art Deco structures are mainly in the major cities; Montreal, Toronto, Hamilton, Ontario, and Vancouver. They range from public buildings like Vancouver City Hall to commercial buildings (College Park) to public works (R. C. Harris Water Treatment Plant).
In Mexico, the most imposing Art Deco example is interior of the Palacio de Bellas Artes (Palace of Fine Arts), finished in 1934 with its elaborate décor and murals. Examples of Art Deco residential architecture can be found in the Condesa district, many designed by Francisco J. Serrano.
In the United States, Art Deco buildings are found from coast to coast, in all the major cities. It was most widely used for office buildings, train stations, airport terminals, and cinemas; residential buildings are rare. During the 1920s and 1930s architects in the Southwestern United States, particularly in the US state of New Mexico, combined Pueblo Revival with Territorial Style and Art Deco to create Pueblo Deco, as seen in the KiMo Theater in Albuquerque. In the 1930s, the more austere streamline style became popular. Many buildings were demolished between 1945 and the late 1960s, but then efforts began to protect the best examples. The City of Miami Beach established the Miami Beach Architectural District to preserve the fine collection of Art Deco buildings found there.
Central America and the Caribbean
Art Deco buildings can be found throughout Central America, including in Cuba.
Europe
The architectural style first appeared in Paris with the Théâtre des Champs-Élysées (1910–13) by Auguste Perret but then spread rapidly around Europe, until examples could be found in nearly every large city, from London to Moscow. In Germany two variations of Art Deco flourished in the 1920s and 30s: The Neue Sachlichkeit style and Expressionist architecture. Notable examples include Erich Mendelsohn's Mossehaus and Schaubühne in Berlin, Fritz Höger's Chilehaus in Hamburg and his Kirche am Hohenzollernplatz in Berlin, the in Hanover and the in Berlin.
One of the largest Art Deco buildings in Western Europe is the National Basilica of the Sacred Heart in Koekelberg, Brussels. In 1925, architect Albert van Huffel won the Grand Prize for Architecture with his scale model of the basilica at the Exposition Internationale des Arts Décoratifs et Industriels Modernes in Paris.
Spain and Portugal have some striking examples of Art Deco buildings, particularly movie theaters. Examples in Portugal are the Capitólio Theater (1931) and the Éden Cine-Theatre (1937) in Lisbon, the Rivoli Theater (1937) and the Coliseu (1941) in Porto and the Rosa Damasceno Theater (1937) in Santarém. An example in Spain is the Cine Rialto in Valencia (1939).
During the 1930s, Art Deco had a noticeable effect on house design in the United Kingdom, as well as the design of various public buildings. Straight, white-rendered house frontages rising to flat roofs, sharply geometric door surrounds and tall windows, as well as convex-curved metal corner windows, were all characteristic of that period.
The London Underground is famous for many examples of Art Deco architecture, and there are a number of buildings in the style situated along the Golden Mile in Brentford. Also in West London is the Hoover Building, which was originally built for The Hoover Company and was converted into a superstore in the early 1990s.
Bucharest, Romania
Bucharest, once known as the "Little Paris" of the 19th century, engaged in a new design after World War I, redirected its inspiration towards New York City. The 1930s brought a new fashion which echoed in the cinema, theatre, dancing styles, art and architecture. Bucharest during the 1930s was marked by more and more art deco architecture from the bigger boulevards like Bulevardul Magheru to the private houses and smaller districts. The Telephone Palace, an early landmark of modern Bucharest, was the first skyscraper of the city. It was the tallest building between 1933 and the 1950s, with a height of . The architects were Louis Weeks and Edmond van Saanen Algi and engineer Walter Troy. The art deco monuments are a crucial part of the character of Bucharest since they describe and mark an important period from its history, the interbellic life (World War I–World War II). Most of the buildings from those years are prone to catastrophe, as Bucharest is located in an earthquake zone.
India
The Indian Institute of Architects, founded in Mumbai in 1929, played a prominent role in propagating the Art Deco movement. In November 1937, this institute organised the 'Ideal Home Exhibition' held in the Town Hall in Mumbai which spanned over 12 days and attracted about one hundred thousand visitors. As a result, it was declared a success by the 'Journal of the Indian Institute of Architects'. The exhibits displayed the 'ideal', or better described as the most 'modern' arrangements for various parts of the house, paying close detail to avoid architectural blunders and present the most efficient and well-thought-out models. The exhibition focused on various elements of a home ranging from furniture, elements of interior decoration as well as radios and refrigerators using new and scientifically relevant materials and methods.
Guided by their desire to emulate the west, the Indian architects were fascinated by the industrial modernity that Art Deco offered. The western elites were the first to experiment with the technologically advanced facets of Art Deco, and architects began the process of transformation by the early 1930s.
Mumbai's expanding port commerce in the 1930s resulted in the growth of educated middle class population. It also saw an increase of people migrating to Mumbai in search of job opportunities. This led to the pressing need for new developments through Land Reclamation Schemes and construction of new public and residential buildings. Parallelly, the changing political climate in the country and the aspirational quality of the Art Deco aesthetics led to a whole-hearted acceptance of the building style in the city's development. Most of the buildings from this period can be seen spread throughout the city neighbourhoods in areas such as Churchgate, Colaba, Fort, Mohammed Ali Road, Cumbala Hill, Dadar, Matunga, Bandra and Chembur.
South America
Art Deco in South America is especially present in countries which received a great wave of immigration in the first half of the 20th century, with notable works in their richest cities, like São Paulo and Rio de Janeiro in Brazil and Buenos Aires in Argentina. The Kavanagh Building in Buenos Aires (1934), by Sánchez, Lagos and de la Torre, was the tallest reinforced-concrete structure when it was completed and is a notable example of late Art Deco style.
Preservation and Neo Art Deco
In many cities, efforts have been made to protect the remaining Art Deco buildings. In many U.S. cities, historic art deco cinemas have been preserved and turned into cultural centres. Even more modest art deco buildings have been preserved as part of America's architectural heritage; an art deco café and gas station along Route 66 in Shamrock, Texas is an historic monument. The Miami Beach Architectural District protects several hundred old buildings, and requires that new buildings comply with the style. In Havana, Cuba, many Art Deco buildings have badly deteriorated. Efforts are underway to bring the buildings back to their original appearance.
In the 21st century, modern variants of Art Deco, called Neo Art Deco (or Neo-Art Deco), have appeared in some American cities, inspired by the classic Art Deco buildings of the 1920s and 1930s. Examples include the NBC Tower in Chicago, inspired by 30 Rockefeller Plaza in New York City; and Smith Center for the Performing Arts in Las Vegas, Nevada, which includes art deco features from Hoover Dam, 80 km (50 miles) away.
Gallery
See also
Art Deco in Paris
Roaring Twenties
1920s in Western fashion
Années folles
1933 Chicago World's Fair Century of Progress
1936 Fair Park built for Texas Centennial Exposition
Art Deco stamps
Pueblo Deco architecture
Art Nouveau
References
Bibliography
External links
Art Deco Miami Beach
Art Deco Mumbai
Art Deco Montreal
Art Deco Society of Washington
living room interior design
Art Deco Society of California
Art Deco Rio de Janeiro
Art Deco Shanghai
Art Deco Museum in Moscow
Art Deco Society New York
Art Deco Society of Los Angeles
Art Deco Walk in Montreal
20th century in the arts
20th-century architectural styles
Art movements
Decorative arts
Modern art
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ASCII art is a graphic design technique that uses computers for presentation and consists of pictures pieced together from the 95 printable (from a total of 128) characters defined by the ASCII Standard from 1963 and ASCII compliant character sets with proprietary extended characters (beyond the 128 characters of standard 7-bit ASCII). The term is also loosely used to refer to text-based visual art in general. ASCII art can be created with any text editor, and is often used with free-form languages. Most examples of ASCII art require a fixed-width font (non-proportional fonts, as on a traditional typewriter) such as Courier for presentation.
Among the oldest known examples of ASCII art are the
creations by computer-art pioneer Kenneth Knowlton from around 1966, who was working for Bell Labs at the time. "Studies in Perception I" by Knowlton and Leon Harmon from 1966 shows some examples of their early ASCII art.
ASCII art was invented, in large part, because early printers often lacked graphics ability and thus, characters were used in place of graphic marks. Also, to mark divisions between different print jobs from different users, bulk printers often used ASCII art to print large banner pages, making the division easier to spot so that the results could be more easily separated by a computer operator or clerk. ASCII art was also used in early e-mail when images could not be embedded.
History
Typewriter art
Since 1867, typewriters have been used for creating visual art.
TTY and RTTY
TTY stands for "TeleTYpe" or "TeleTYpewriter", and is also known as Teleprinter or Teletype.
RTTY stands for Radioteletype; character sets such as Baudot code, which predated ASCII, were used. According to a chapter in the "RTTY Handbook", text images have been sent via teletypewriter as early as 1923. However, none of the "old" RTTY art has been discovered yet. What is known is that text images appeared frequently on radioteletype in the 1960s and the 1970s.
Line-printer art
In the 1960s, Andries van Dam published a representation of an electronic circuit produced on an IBM 1403 line printer. At the same time, Kenneth Knowlton was producing realistic images, also on line printers, by overprinting several characters on top of one another.
Note that it was not ASCII art in a sense that the 1403 was driven by an EBCDIC-coded platform and the character sets and trains available on the 1403 were derived from EBCDIC rather than ASCII, despite some glyphs commonalities.
ASCII art
The widespread usage of ASCII art can be traced to the computer bulletin board systems of the late 1970s and early 1980s. The limitations of computers of that time period necessitated the use of text characters to represent images. Along with ASCII's use in communication, however, it also began to appear in the underground online art groups of the period. An ASCII comic is a form of webcomic which uses ASCII text to create images. In place of images in a regular comic, ASCII art is used, with the text or dialog usually placed underneath.
During the 1990s, graphical browsing and variable-width fonts became increasingly popular, leading to a decline in ASCII art. Despite this, ASCII art continued to survive through online MUDs, an acronym for "Multi-User Dungeon", (which are textual multiplayer role-playing video games), Internet Relay Chat, Email, message boards, and other forms of online communication which commonly employ the needed fixed-width.
It is seen to this day on the CLI app Neofetch, which displays the logo of the OS on which it is invoked.
ANSI
ASCII and more importantly, ANSI were staples of the early technological era; terminal systems relied on coherent presentation using color and control signals standard in the terminal protocols.
Over the years, warez groups began to enter the ASCII art scene. Warez groups usually release .nfo files with their software, cracks or other general software reverse-engineering releases. The ASCII art will usually include the warez group's name and maybe some ASCII borders on the outsides of the release notes, etc.
BBS systems were based on ASCII and ANSI art, as were most DOS and similar console applications, and the precursor to AOL.
Uses
ASCII art is used wherever text can be more readily printed or transmitted than graphics, or in some cases, where the transmission of pictures is not possible. This includes typewriters, teleprinters, non-graphic computer terminals, printer separators, in early computer networking (e.g., BBSes), email, and Usenet news messages. ASCII art is also used within the source code of computer programs for representation of company or product logos, and flow control or other diagrams. In some cases, the entire source code of a program is a piece of ASCII art – for instance, an entry to one of the earlier International Obfuscated C Code Contest is a program that adds numbers, but visually looks like a binary adder drawn in logic ports.
Some electronic schematic archives represent the circuits using ASCII art.
Examples of ASCII-style art predating the modern computer era can be found in the June 1939, July 1948 and October 1948 editions of Popular Mechanics.
Early computer games played on terminals frequently used ASCII art to simulate graphics, most notably the roguelike genre using ASCII art to visually represent dungeons and monsters within them. "0verkill" is a 2D platform multiplayer shooter game designed entirely in color ASCII art. MPlayer and VLC media player can display videos as ASCII art through the AAlib library. ASCII art is used in the making of DOS-based ZZT games.
Many game walkthrough guides come as part of a basic .txt file; this file often contains the name of the game in ASCII art. Such as below, word art is created using backslashes and other ASCII values in order to create the illusion of 3D.
Types and styles
Different techniques could be used in ASCII art to obtain different artistic effects.
"Typewriter-style" lettering, made from individual letter characters:
Line art, for creating shapes:
.--. /\
'--' /__\ (^._.^)~ <(o.o )>
Solid art, for creating filled objects:
.g@8g. db
'Y8@P' d88b
Shading, using symbols with various intensities for creating gradients or contrasts:
:$#$: "4b. ':.
:$#$: "4b. ':.
Combinations of the above, often used as signatures, for example, at the end of an email:
|\_/| **************************** (\_/)
/ @ @ \ * "Purrrfectly pleasant" * (='.'=)
( > º < ) * Poppy Prinz * (")_(")
`>>x<<´ * ([email protected]) *
/ O \ ****************************
As-pixel characters use combinations of ░ , █ , ▄, ▀ (Block Elements), and/or ⣿, ⣴, ⢁, etc (Braille ASCII) to make pictures:
⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⠿⠿⠿⠿⢿⣿⣿⣿⣿⣿⣿
⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⠟⢁⣴⣾⣿⣷⣦⣌⠙⢿⣿⣿⣿
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⣿⣿⣿⣿⣿⣿⣿⠟⢁⣴⣿⣿⠟⢁⣴⣿⣿⡿⠋⣠⣾⣿⣿⠟⢁⣴⣿⣿⣿⣿
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⣿⣿⣿⠟⢁⣴⣿⣿⣿⣿⣶⣿⣿⡿⠋⣠⣾⣿⣿⠟⢁⣴⣿⣿⣿⣿⣿⣿⣿⣿
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⣿⣿⣿⣿⣷⣶⣶⣶⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿⣿
Emoticons and verticons
The simplest forms of ASCII art are combinations of two or three characters for expressing emotion in text. They are commonly referred to as 'emoticon', 'smilie', or 'smiley'. There is another type of one-line ASCII art that does not require the mental rotation of pictures, which is widely known in Japan as kaomoji (literally "face characters".)
More complex examples use several lines of text to draw large symbols or more complex figures. Hundreds of different text smileys have developed over time, but only a few are generally accepted, used and understood.
ASCII comic
An ASCII comic is a form of webcomic.
The Adventures of Nerd Boy
The Adventures of Nerd Boy, or just Nerd Boy, was an ASCII comic, published by Joaquim Gândara between 5 August 2001 and 17 July 2007, and consisting of 600 strips. They were posted to ASCII art newsgroup alt.ascii-art and on the website. Some strips have been translated to Polish and French.
Styles of the computer underground text art scene
Atari 400/800 ATASCII
The Atari 400/800, which were released in 1979, did not follow the ASCII standard and had their own character set, called ATASCII. The emergence of ATASCII art coincided with the growing popularity of BBS Systems caused by availability of the acoustic couplers that were compatible with the 8-bit home computers. ATASCII text animations are also referred to as "break animations" by the Atari sceners.
C-64 PETSCII
The Commodore 64, which was released in 1982, also did not follow the ASCII standard. The C-64 character set is called PETSCII, an extended form of ASCII-1963. As with the Atari's ATASCII art, C-64 fans developed a similar scene that used PETSCII for their creations.
"Block ASCII" / "High ASCII" style ASCII art on the IBM PC
So-called "block ASCII" or "high ASCII" uses the extended characters of the 8-bit code page 437, which is a proprietary standard introduced by IBM in 1979 (ANSI Standard x3.16) for the IBM PC DOS and MS-DOS operating systems. "Block ASCIIs" were widely used on the PC during the 1990s until the Internet replaced BBSes as the main communication platform. Until then, "block ASCIIs" dominated the PC Text Art Scene.
The first art scene group that focused on the extended character set of the PC in their art work was called "Aces of ANSI Art" (). Some members left in 1990, and formed a group called "ANSI Creators in Demand" (ACiD). In that same year the second major underground art scene group was founded, ICE, "Insane Creators Enterprise".
There is some debate between ASCII and block ASCII artists, with "Hardcore" ASCII artists maintaining that block ASCII art is in fact not ASCII art, because it does not use the 128 characters of the original ASCII standard. On the other hand, block ASCII artists argue that if their art uses only characters of the computers character set, then it is to be called ASCII, regardless if the character set is proprietary or not.
Microsoft Windows does not support the ANSI Standard x3.16. One can view block ASCIIs with a text editor using the font "Terminal", but it will not look exactly as it was intended by the artist. With a special ASCII/ANSI viewer, such as ACiDView for Windows (see ASCII and ANSI art viewers), one can see block ASCII and ANSI files properly. An example that illustrates the difference in appearance is part of this article. Alternatively, one could look at the file using the TYPE command in the command prompt.
"Amiga"/"Oldskool" style ASCII art
In the art scene one popular ASCII style that used the 7-bit standard ASCII character set was the so-called "Oldskool" style. It is also called "Amiga style", due to its origin and widespread use on the Commodore Amiga computers. The style uses primarily the characters: _/\-+=.()<>:. The "oldskool" art looks more like the outlined drawings of shapes than real pictures.
This is an example of "Amiga style" (also referred to as "old school" or "oldskool" style) scene ASCII art.
The Amiga ASCII scene surfaced in 1992, seven years after the introduction of the Commodore Amiga 1000. The Commodore 64 PETSCII scene did not make the transition to the Commodore Amiga as the C64 demo and warez scenes did. Among the first Amiga ASCII art groups were ART, Epsilon Design, Upper Class, Unreal (later known as "DeZign"). This means that the text art scene on the Amiga was actually younger than the text art scene on the PC. The Amiga artists also did not call their ASCII art style "Oldskool". That term was introduced on the PC. When and by whom is unknown and lost in history.
The Amiga style ASCII artwork was most often released in the form of a single text file, which included all the artwork (usually requested), with some design parts in between, as opposed to the PC art scene where the art work was released as a ZIP archive with separate text files for each piece. Furthermore, the releases were usually called "ASCII collections" and not "art packs" like on the IBM PC.
In text editors
_ ___ _ _
| ___|_ _/ ___| | ___| |_
| |_ | | | _| |/ _ \ __|
| _| | | |_| | | __/ |_
|_| |___\|_|\___|\__|
This kind of ASCII art is handmade in a text editor. Popular editors used to make this kind of ASCII art include Microsoft Notepad, CygnusEditor aka. CED (Amiga), and EditPlus2 (PC).
Oldskool font example from the PC, which was taken from the ASCII editor FIGlet.
Newskool style ASCII art
"Newskool" is a popular form of ASCII art which capitalizes on character strings like "$#Xxo". In spite of its name, the style is not "new"; on the contrary, it was very old but fell out of favor and was replaced by "Oldskool" and "Block" style ASCII art. It was dubbed "Newskool" upon its comeback and renewed popularity at the end of the 1990s.
Newskool changed significantly as the result of the introduction of extended proprietary characters. The classic 7-bit standard ASCII characters remain predominant, but the extended characters are often used for "fine tuning" and "tweaking". The style developed further after the introduction and adaptation of Unicode.
Methods for generating ASCII art
While some prefer to use a simple text editor to produce ASCII art, specialized programs, such as JavE have been developed that often simulate the features and tools in bitmap image editors. For Block ASCII art and ANSI art the artist almost always uses a special text editor, because to generate the required characters on a standard keyboard, one needs to know the Alt code for each character. For example, + will produce ▓, + will produce ▒, and + will produce ◘.
The special text editors have sets of special characters assigned to existing keys on the keyboard. Popular DOS-based editors, such as TheDraw and ACiDDraw had multiple sets of different special characters mapped to the function keys to make the use of those characters easier for the artist who can switch between individual sets of characters via basic keyboard shortcuts. PabloDraw is one of the very few special ASCII/ANSI art editors that were developed for Windows.
Image to text conversion
Other programs allow one to automatically convert an image to text characters, which is a special case of vector quantization. A method is to sample the image down to grayscale with less than 8-bit precision, and then assign a character for each value. Such ASCII art generators often allow users to choose the intensity and contrast of the generated image.
Three factors limit the fidelity of the conversion, especially of photographs:
depth (solutions: reduced line spacing; bold style; block elements; colored background; good shading);
sharpness (solutions: a longer text, with a smaller font; a greater set of characters; variable width fonts);
ratio (solutions with compatibility issues: font with a square grid; stylized without extra line spacing).
Examples of converted images are given below.
This is one of the earliest forms of ASCII art, dating back to the early days of the 1960s minicomputers and teletypes. During the 1970s, it was popular in US malls to get a t-shirt with a photograph printed in ASCII art on it from an automated kiosk containing a computer, and London's Science Museum had a similar service to produce printed portraits. With the advent of the web, HTML and CSS, many ASCII conversion programs will now quantize to a full RGB colorspace, enabling colorized ASCII images.
Still images or movies can also be converted to ASCII on various UNIX and UNIX-like systems using the AAlib (black and white) or libcaca (colour) graphics device driver, or the VLC media player or mpv under Windows, Linux or macOS; all of which render the screen using ASCII symbols instead of pixels.
There are also a number of smartphone applications, such as ASCII cam for Android, that generate ASCII art in real-time using input from the phone's camera. These applications typically allow the ASCII art to be saved as either a text file or as an image made up of ASCII text.
Non fixed-width ASCII
Most ASCII art is created using a monospaced font, such as Courier, where all characters are identical in width. Early computers in use when ASCII art came into vogue had monospaced fonts for screen and printer displays. Today, most of the more commonly used fonts in word processors, web browsers and other programs are proportional fonts, such as Helvetica or Times Roman, where different widths are used for different characters. ASCII art drawn for a fixed width font will usually appear distorted, or even unrecognizable when displayed in a proportional font.
Some ASCII artists have produced art for display in proportional fonts. These ASCIIs, rather than using a purely shade-based correspondence, use characters for slopes and borders and use block shading. These ASCIIs generally offer greater precision and attention to detail than fixed-width ASCIIs for a lower character count, although they are not as universally accessible since they are usually relatively font-specific.
Animated ASCII art
Animated ASCII art started in 1970 from so-called VT100 animations produced on VT100 terminals. These animations were simply text with cursor movement instructions, deleting and erasing the characters necessary to appear animated. Usually, they represented a long hand-crafted process undertaken by a single person to tell a story.
Contemporary web browser revitalized animated ASCII art again. It became possible to display animated ASCII art via JavaScript or Java applets. Static ASCII art pictures are loaded and displayed one after another, creating the animation, very similar to how movie projectors unreel film reel and project the individual pictures on the big screen at movie theaters. A new term was born: "ASCIImation" – another name of animated ASCII art. A seminal work in this arena is the Star Wars ASCIImation. More complicated routines in JavaScript generate more elaborate ASCIImations showing effects like Morphing effects, star field emulations, fading effects and calculated images, such as mandelbrot fractal animations.
There are now many tools and programs that can transform raster images into text symbols; some of these tools can operate on streaming video. For example, the music video for American singer Beck's song "Black Tambourine" is made up entirely of ASCII characters that approximate the original footage. VLC, a media player software, can render any video in colored ASCII through the libcaca module.
Other text-based visual art
There are a variety of other types of art using text symbols from character sets other than ASCII and/or some form of color coding. Despite not being pure ASCII, these are still often referred to as "ASCII art". The character set portion designed specifically for drawing is known as the line drawing characters or pseudo-graphics.
ANSI art
The IBM PC graphics hardware in text mode uses 16 bits per character. It supports a variety of configurations, but in its default mode under DOS they are used to give 256 glyphs from one of the IBM PC code pages (Code page 437 by default), 16 foreground colors, eight background colors, and a flash option. Such art can be loaded into screen memory directly. ANSI.SYS, if loaded, also allows such art to be placed on screen by outputting escape sequences that indicate movements of the screen cursor and color/flash changes. If this method is used then the art becomes known as ANSI art. The IBM PC code pages also include characters intended for simple drawing which often made this art appear much cleaner than that made with more traditional character sets. Plain text files are also seen with these characters, though they have become far less common since Windows GUI text editors (using the Windows ANSI code page) have largely replaced DOS-based ones.
Shift_JIS and Japan
In Japan, ASCII art (AA) is mainly known as Shift_JIS art. Shift JIS offers a larger selection of characters than plain ASCII (including characters from Japanese scripts and fullwidth forms of ASCII characters), and may be used for text-based art on Japanese websites.
Often, such artwork is designed to be viewed with the default Japanese font on a platform, such as the proportional MS P Gothic.
Kaomoji
Users on ASCII-NET, in which the word ASCII refers to the ASCII Corporation rather than the American Standard Code for Information Interchange, popularised a style of in which the face appears upright rather than rotated.
Unicode
Unicode would seem to offer the ultimate flexibility in producing text based art with its huge variety of characters. However, finding a suitable fixed-width font is likely to be difficult if a significant subset of Unicode is desired. (Modern UNIX-style operating systems do provide complete fixed-width Unicode fonts, e.g. for xterm. Windows has the Courier New font, which includes characters like ┌╥─╨┐♥☺Ƹ̵̡Ӝ̵̨̄Ʒ). Also, the common practice of rendering Unicode with a mixture of variable width fonts is likely to make predictable display hard, if more than a tiny subset of Unicode is used. ≽ʌⱷ҅ᴥⱷʌ≼ is an adequate representation of a cat's face in a font with varying character widths.
Control and combining characters
The combining characters mechanism of Unicode provides considerable ways of customizing the style, even obfuscating the text (e.g. via an online generator like Obfuscator, which focuses on the filters). Glitcher is one example of Unicode art, initiated in 2012: These symbols, intruding up and down, are made by combining lots of diacritical marks. It’s a kind of art. There’s quite a lot of artists who use the Internet or specific social networks as their canvas. The corresponding creations are favored in web browsers (thanks to their always better support), as geekily stylized usernames for social networks. With a fair compatibility, and among different online tools, [Facebook symbols] showcases various types of Unicode art, mainly for aesthetic purpose (Ɯıḳĭƥḙȡḯả Wîkipêȡıẚ Ẉǐḳîṗȅḍȉā Ẃįḵįṗẻḑìẵ Ẉĭḵɪṕḗdïą Ẇïƙỉpểɗĭà Ẅȉḱïṕȩđĩẵ etc.). Besides, the creations can be hand-crafted (by programming), or pasted from mobile applications (e.g. the category of 'fancy text' tools on Android). The underlying technique dates back to the old systems that incorporated control characters, though. E.g. the German composite ö would be imitated on ZX Spectrum by overwriting " after backspace and o.
Overprinting (surprint)
In the 1970s and early 1980s it was popular to produce a kind of text art that relied on overprinting. This could be produced either on a screen or on a printer by typing a character, backing up, and then typing another character, just as on a typewriter. This developed into sophisticated graphics in some cases, such as the PLATO system (circa 1973), where superscript and subscript allowed a wide variety of graphic effects. A common use was for emoticons, with WOBTAX and VICTORY both producing convincing smiley faces. Overprinting had previously been used on typewriters, but the low-resolution pixelation of characters on video terminals meant that overprinting here produced seamless pixel graphics, rather than visibly overstruck combinations of letters on paper.
Beyond pixel graphics, this was also used for printing photographs, as the overall darkness of a particular character space dependent on how many characters, as well as the choice of character, were printed in a particular place. Thanks to the increased granularity of tone, photographs were often converted to this type of printout. Even manual typewriters or daisy wheel printers could be used. The technique has fallen from popularity since all cheap printers can easily print photographs, and a normal text file (or an e-mail message or Usenet posting) cannot represent overprinted text. However, something similar has emerged to replace it: shaded or colored ASCII art, using ANSI video terminal markup or color codes (such as those found in HTML, IRC, and many internet message boards) to add a bit more tone variation. In this way, it is possible to create ASCII art where the characters only differ in color.
See also
Micrography
Types and styles: Alt code, ASCII stereogram, box-drawing characters, emoticon, FILE ID.DIZ, .nfo (release info file)
Pre-ASCII history: Calligram, Concrete poetry, Typewriter, Typewriter mystery game, Teleprinter, Radioteletype
Related art: ANSI art, ASCII porn, ATASCII, Fax art, PETSCII, Shift JIS art, Text semigraphics
Related context: Bulletin board system (BBS), Computer art scene, :Category:Artscene groups
Software: AAlib, cowsay
Unicode: Homoglyph, Duplicate characters in Unicode
References
Further reading
(Polish translators: Ania Górecka [ag], Asia Mazur [as], Błażej Kozłowski [bug], Janusz [jp], Łukasz Dąbrowski [luk], Łukasz Tyrała [lt.], Łukasz Wilk [wilu], Marcin Gliński [fsc])
External links
media4u.ch - ASCII Art (ASCII Art Movie. The Matrix in ASCII Art)
TexArt.io ASCII Art collection
Textfiles.com archive
Sixteen Colors ANSI Art and ASCII Art Archive
Defacto2.net Scene NFO Files Archive
Chris.com ASCII art collection
"As-Pixel Characters" ASCII art collection
ASCII Art Animation of Star Wars, "ASCIIMATION"
ASCII Keyboard Art Collection
Animasci
Video to ASCII Demonstration in 4 stages
Computer art
Digital art
New media art
Internet art
Multimedia
Wikipedia articles with ASCII art
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Australian English (AusE, AusEng, AuE, AuEng, en-AU) is the set of varieties of the English language native to Australia. It is the country's common language and de facto national language; while Australia has no official language, English is the first language of the majority of the population, and has been entrenched as the de facto national language since British settlement, being the only language spoken in the home for 72% of Australians. It is also the main language used in compulsory education, as well as federal, state and territorial legislatures and courts.
Australian English began to diverge from British and Irish English after the First Fleet established the Colony of New South Wales in 1788. Australian English arose from a dialectal melting pot created by the intermingling of early settlers who were from a variety of dialectal regions of Great Britain and Ireland, though its most significant influences were the dialects of Southeast England. By the 1820s, the native-born colonists' speech was recognisably distinct from speakers in Britain and Ireland.
Australian English differs from other varieties in its phonology, pronunciation, lexicon, idiom, grammar and spelling. Australian English is relatively consistent across the continent, although it encompasses numerous regional and sociocultural varieties. "General Australian" describes the de facto standard dialect, which is perceived to be free of pronounced regional or sociocultural markers and is often used in the media.
History
The earliest Australian English was spoken by the first generation of native-born colonists in the Colony of New South Wales from the end of the 18th century. These native-born children were exposed to a wide range of dialects from across the British Isles. Similar to early American English, the process of dialect levelling and koineisation which ensued produced a relatively homogeneous new variety of English which was easily understood by all. Peter Miller Cunningham's 1827 book Two Years in New South Wales described the distinctive accent and vocabulary that had developed among the native-born colonists.
The dialects of South East England, including most notably the traditional Cockney dialect of London, were particularly influential on the development of the new variety and constituted "the major input of the various sounds that went into constructing" Australian English. All the other regions of England were represented among the early colonists. A large proportion of early convicts and colonists were from Ireland, and spoke Irish as a sole or first language. They were joined by other non-native speakers of English from Scotland and Wales.
The first of the Australian gold rushes in the 1850s began a large wave of immigration, during which about two percent of the population of the United Kingdom emigrated to the colonies of New South Wales and Victoria. The Gold Rushes brought immigrants and linguistic influences from many parts of the world. An example was the introduction of vocabulary from American English, including some terms later considered to be typically Australian, such as bushwhacker and squatter. This American influence was continued with the popularity of American films from the early 20th century and the influx of American military personnel during World War II; seen in the enduring persistence of such universally-accepted terms as okay and guys.
The publication of Edward Ellis Morris's Austral English: A Dictionary Of Australasian Words, Phrases And Usages in 1898, which extensively catalogued Australian English vocabulary, started a wave of academic interest and codification during the 20th century which resulted in Australian English becoming established as an endonormative variety with its own internal norms and standards. This culminated in publications such as the 1981 first edition of the Macquarie Dictionary, a major English language dictionary based on Australian usage, and the 1988 first edition of The Australian National Dictionary, a historical dictionary documenting the history of Australian English vocabulary and idiom.
Phonology and pronunciation
The most obvious way in which Australian English is distinctive from other varieties of English is through its unique pronunciation. It shares most similarity with New Zealand English. Like most dialects of English, it is distinguished primarily by the phonetic quality of its vowels.
Vowels
The vowels of Australian English can be divided according to length. The long vowels, which include monophthongs and diphthongs, mostly correspond to the tense vowels used in analyses of Received Pronunciation (RP) as well as its centring diphthongs. The short vowels, consisting only of monophthongs, correspond to the RP lax vowels.
There exist pairs of long and short vowels with overlapping vowel quality giving Australian English phonemic length distinction, which is also present in some regional south-eastern dialects of the UK and eastern seaboard dialects in the US. An example of this feature is the distinction between ferry and fairy .
As with New Zealand English and General American English, the weak-vowel merger is complete in Australian English: unstressed is merged into (schwa), unless it is followed by a velar consonant. Examples of this feature are the following pairings, which are pronounced identically in Australian English: Rosa's and roses, as well as Lennon and Lenin. Other examples are the following pairs, which rhyme in Australian English: abbott with rabbit, and dig it with bigot.
Most varieties of Australian English exhibit only a partial trap-bath split. The words bath, grass and can't are always pronounced with the "long" of father. Throughout the majority of the country, the "flat" of man is the dominant pronunciation for the a vowel in the following words: dance, advance, plant, example and answer. The exception is the state of South Australia, where a more advanced trap-bath split has taken place, and where the dominant pronunciation of all the preceding words incorporates the "long" of father.
Consonants
There is little variation in the sets of consonants used in different English dialects but there are variations in how these consonants are used. Australian English is no exception.
Australian English is uniformly non-rhotic; that is, the sound does not appear at the end of a syllable or immediately before a consonant. As with many non-rhotic dialects, linking can occur when a word that has a final in the spelling comes before another word that starts with a vowel. An intrusive may similarly be inserted before a vowel in words that do not have in the spelling in certain environments, namely after the long vowel and after word final . This can be heard in "law-r-and order", where an intrusive R is voiced between the AW and the A.
As with North American English, Intervocalic alveolar flapping is a feature of Australian English: prevocalic and surface as the alveolar tap after sonorants other than as well as at the end of a word or morpheme before any vowel in the same breath group. Examples of this feature are that the following pairs are pronounced similarly or identically: latter and ladder, as well as rated and raided.
Yod-dropping generally occurs after , , , but not after , and . Accordingly, suit is pronounced as , lute as , Zeus as and enthusiasm as . Other cases of and , as well as and , have coalesced to , , and respectively for many speakers. is generally retained in other consonant clusters.
In common with most varieties of Scottish English and American English, the phoneme is pronounced by older Australians as a "dark" (velarised) l () in almost all positions, unlike other dialects such as Received Pronunciation, Hiberno (Irish) English and most Australians from the Millennial generation onwards, where a light l (i.e. a non-velarised l) is used in many positions.
The wine–whine merger is complete in Australian English.
Pronunciation
Differences in stress, weak forms and standard pronunciation of isolated words occur between Australian English and other forms of English, which while noticeable do not impair intelligibility.
The affixes -ary, -ery, -ory, -bury, -berry and -mony (seen in words such as necessary, mulberry and matrimony) can be pronounced either with a full vowel () or a schwa (). Although some words like necessary are almost universally pronounced with the full vowel, older generations of Australians are relatively likely to pronounce these affixes with a schwa as is typical in British English. Meanwhile, younger generations are relatively likely to use a full vowel.
Words ending in unstressed -ile derived from Latin adjectives ending in -ilis are pronounced with a full vowel, so that fertile sounds like fur tile rather than rhyming with turtle .
In addition, miscellaneous pronunciation differences exist when compared with other varieties of English in relation to various isolated words, with some of those pronunciations being unique to Australian English. For example:
As with American English, the vowel in yoghurt and the prefix homo- (as in homosexual or homophobic) are pronounced with rather than ;
Vitamin, migraine and privacy are all pronounced with in the stressed syllable () rather than ;
Dynasty and patronise, by contrast, are usually subject to trisyllabic laxing () like in Britain, alongside US-derived ;
The prefix paedo- (as in paedophile) is pronounced rather than ;
In loanwords, the vowel spelled with is often nativized as the vowel (), as in American English, rather than the vowel (), as in British English. For example, pasta is pronounced , analogous to American English , rather than , as in British English.
Urinal is stressed on the first syllable and with the schwa for I: ;
Harass and harassment are pronounced with the stress on the second, rather than the first syllable;
The suffix -sia (as in Malaysia, Indonesia and Polynesia, but not Tunisia) is pronounced rather than ;
The word foyer is pronounced , rather than ;
Tomato, vase and data are pronounced with instead of : , with being uncommon but acceptable;
Zebra and leisure are pronounced and rather than and , both having disyllabic laxing;
Status varies between British-derived with the vowel and American-derived with the vowel;
Conversely, precedence, precedent and derivatives are mainly pronounced with the vowel in the stressed syllable, rather than : ;
Basil is pronounced , rather than ;
Conversely, cache is usually pronounced , rather than the more conventional ;
Buoy is pronounced as (as in boy) rather than ;
The E in congress and progress is not reduced: ;
Conversely, the unstressed O in silicon, phenomenon and python stands for a schwa: ;
In Amazon, Lebanon and marathon, however, the unstressed O stands for the vowel, somewhat as with American English: ;
The colour name maroon is pronounced with the vowel: .
Variation
Relative to many other national dialect groupings, Australian English is relatively homogeneous across the country. Some relatively minor regional differences in pronunciation exist. A limited range of word choices is strongly regional in nature. Consequently, the geographical background of individuals may be inferred if they use words that are peculiar to particular Australian states or territories and, in some cases, even smaller regions. In addition, some Australians speak creole languages derived from Australian English, such as Australian Kriol, Torres Strait Creole and Norfuk.
Academic research has also identified notable sociocultural variation within Australian English, which is mostly evident in phonology.
Regional variation
Although Australian English is relatively homogeneous, there are some regional variations. The dialects of English spoken in the various states and territories of Australia differ slightly in vocabulary and phonology.
Most regional differences are in word usage. Swimming clothes are known as cossies or swimmers in New South Wales, togs in Queensland, and bathers in Victoria, Tasmania, Western Australia and South Australia. What Queensland calls a stroller is usually called a pram in Victoria, Western Australia, South Australia, New South Wales, and Tasmania.
Preference for some synonymous words also differ between states. Garbage (i.e., garbage bin, garbage truck) dominates over rubbish in New South Wales and Queensland, while rubbish is more popular in Victoria, Tasmania, Western Australia and South Australia.
Additionally, the word footy generally refers to the most popular football code in an area; that is, rugby league or rugby union depending on the local area, in most of New South Wales and Queensland, and Australian rules football elsewhere. In some pockets of Melbourne & Western Sydney 'football' and more rarely 'footy' will refer to Association football. Beer glasses are also named differently in different states. Distinctive grammatical patterns exist such as the use of the interrogative eh (also spelled ay or aye), which is particularly associated with Queensland. Secret Santa () and Kris Kringle are used in all states, with the former being more common in Queensland.
South Australia
The most pronounced variation in phonology is between South Australia and the other states and territories. The trap–bath split is more complete in South Australia, in contrast to the other states. Accordingly, words such as dance, advance, plant, example and answer are pronounced with (as in father) far more frequently in South Australia while the older (as in mad) is dominant elsewhere in Australia. L-vocalisation is also more common in South Australia than other states.
Centring diphthongs
In Western Australian and Queensland English, the vowels in near and square are typically realised as centring diphthongs (), whereas in the other states they may also be realised as monophthongs: .
Salary–celery merger
A feature common in Victorian English is salary–celery merger, whereby a Victorian pronunciation of Ellen may sound like Alan and Victoria's capital city Melbourne may sound like Malbourne to speakers from other states. There is also regional variation in before (as in school and pool).
Full-fool allophones
In some parts of Australia, notably Victoria, a fully backed allophone of , transcribed , is common before . As a result, the pairs full/fool and pull/pool differ phonetically only in vowel length for those speakers. The usual allophone for is further forward in Queensland and New South Wales than Victoria.
Sociocultural variation
The General Australian accent serves as the standard variety of English across the country. According to linguists, it emerged during the 19th century. General Australian is the dominant variety across the continent, and is particularly so in urban areas. The increasing dominance of General Australian reflects its prominence on radio and television since the latter half of the 20th century.
Recent generations have seen a comparatively smaller proportion of the population speaking with the Broad sociocultural variant, which differs from General Australian in its phonology. The Broad variant is found across the continent and is relatively more prominent in rural and outer-suburban areas.
A largely historical Cultivated sociocultural variant, which adopted features of British Received Pronunciation and which was commonplace in official media during the early 20th century, had become largely extinct by the onset of the 21st century.
Australian Aboriginal English is made up of a range of forms which developed differently in different parts of Australia, and are said to vary along a continuum, from forms close to Standard Australian English to more non-standard forms. There are distinctive features of accent, grammar, words and meanings, as well as language use.
Academics have noted the emergence of numerous ethnocultural dialects of Australian English that are spoken by people from some minority non-English speaking backgrounds. These ethnocultural varieties contain features of General Australian English as adopted by the children of immigrants blended with some non-English language features, such as Afro-Asiatic languages and languages of Asia. Samoan English is also influencing Australian English. Other ethnolects include those of Lebanese and Vietnamese Australians.
A high rising terminal in Australian English was noted and studied earlier than in other varieties of English. The feature is sometimes called Australian questioning intonation. Research published in 1986, regarding vernacular speech in Sydney, suggested that high rising terminal was initially spread by young people in the 1960s. It found that the high rising terminal was used more than twice as often by young people than older people, and is more common among women than men. In the United Kingdom, it has occasionally been considered one of the variety's stereotypical features, and its spread there is attributed to the popularity of Australian soap operas.
Vocabulary
Intrinsic traits
Australian English has many words and idioms which are unique to the dialect and have been written on extensively.
Internationally well-known examples of Australian terminology include outback, meaning a remote, sparsely populated area, the bush, meaning either a native forest or a country area in general, and g'day, a greeting. Dinkum, or fair dinkum means "true" or "is that true?", among other things, depending on context and inflection. The derivative dinky-di means "true" or devoted: a "dinky-di Aussie" is a "true Australian".
Australian poetry, such as "The Man from Snowy River", as well as folk songs such as "Waltzing Matilda", contain many historical Australian words and phrases that are understood by Australians even though some are not in common usage today.
Australian English, in common with British English, uses the word mate to mean friend, as well as the word bloody as a mild expletive or intensifier. Bloody is taken to be milder in Australia than it is in the UK, where the word is considered profanity.
Several words used by Australians were at one time used in the United Kingdom but have since fallen out of usage or changed in meaning there. For example, creek in Australia, as in North America, means a stream or small river, whereas in the UK it is typically a watercourse in a marshy area; paddock in Australia means field, whereas in the UK it means a small enclosure for livestock; bush or scrub in Australia, as in North America, means a wooded area, whereas in England they are commonly used only in proper names (such as Shepherd's Bush and Wormwood Scrubs).
Some elements of Aboriginal languages have been adopted by Australian English—mainly as names for places, flora and fauna (for example dingo) and local culture. Many such are localised, and do not form part of general Australian use, while others, such as kangaroo, boomerang, budgerigar, wallaby and so on have become international. Other examples are cooee and hard yakka. The former is used as a high-pitched call, for attracting attention, (pronounced ) which travels long distances. Cooee is also a notional distance: "if he's within cooee, we'll spot him". Hard yakka means "hard work" and is derived from yakka, from the Jagera/Yagara language once spoken in the Brisbane region. Also of Aboriginal origin is the word bung, from the Sydney pidgin English (and ultimately from the Sydney Aboriginal language), meaning "dead", with some extension to "broken" or "useless". Many towns or suburbs of Australia have also been influenced or named after Aboriginal words. The best-known example is the capital, Canberra, named after a local Ngunnawal language word thought to mean "women's breasts" or "meeting place".
Litotes, such as "not bad", "not much" and "you're not wrong", are also used. Diminutives and hypocorisms are common and are often used to indicate familiarity. Some common examples are arvo (afternoon), barbie (barbecue), smoko (cigarette break), Aussie (Australian) and Straya (Australia). This may also be done with people's names to create nicknames (other English speaking countries create similar diminutives). For example, "Gazza" from Gary, or "Smitty" from John Smith. The use of the suffix -o originates in , which is both a postclitic and a suffix with much the same meaning as in Australian English.
In informal speech, incomplete comparisons are sometimes used, such as "sweet as" (as in "That car is sweet as."). "Full", "fully" or "heaps" may precede a word to act as an intensifier (as in "The waves at the beach were heaps good."). This was more common in regional Australia and South Australia but has been in common usage in urban Australia for decades. The suffix "-ly" is sometimes omitted in broader Australian English. For instance, "really good" can become "real good".
Australia's switch to the metric system in the 1970s changed most of the country's vocabulary of measurement from imperial to metric measures. Since the switch to metric, heights of individuals are listed in centimetres on official documents and distances by road on signs are listed in terms of kilometres and metres.
Comparison with other varieties
Where British and American English vocabulary differs, sometimes Australian English shares a usage with one of those varieties, as with petrol (AmE: gasoline) and mobile phone (AmE: cellular phone) which are shared with British English, or truck (BrE: lorry) and eggplant (BrE: aubergine) which are shared with American English.
In other circumstances, Australian English sometimes favours a usage which is different from both British and American English as with:
Differences exist between Australian English and other varieties of English, where different terms can be used for the same subject or the same term can be ascribed different meanings. Non-exhaustive examples of terminology associated with food, transport and clothing is used below to demonstrate the variations which exist between Australian English and other varieties:
Food – capsicum (BrE: (red/green) pepper; AmE: bell pepper); (potato) chips (refers both to BrE crisps and AmE French fries); chook (sanga) (BrE and AmE: chicken (sandwich)); coriander (shared with BrE. AmE: cilantro); entree (refers to AmE appetizer whereas AmE entree is referred to in AusE as main course); eggplant (shared with AmE. BrE: aubergine); fairy floss (BrE: candy floss; AmE: cotton candy); ice block or icy pole (BrE: ice lolly; AmE: popsicle); jelly (refers to AmE Jell-o whereas AmE jelly refers to AusE jam); lollies (BrE: sweets; AmE: candy); marinara (sauce) (refers to a tomato-based sauce in AmE and BrE but a seafood sauce in AusE); mince or minced meat (shared with BrE. AmE: ground meat); prawn (which in BrE refers to large crustaceans only, with small crustaceans referred to as shrimp. AmE universally: shrimp); snow pea (shared with AmE. BrE mangetout); pumpkin (AmE: squash, except for the large orange variety - AusE squash refers only to a small number of uncommon species; BrE: marrow); tomato sauce (also used in BrE. AmE: ketchup); zucchini (shared with AmE. BrE: courgette)
Transport – aeroplane (shared with BrE. AmE: airplane); bonnet (shared with BrE. AmE: hood); bumper (shared with BrE. AmE: fender); car park (shared with BrE. AmE: parking lot); convertible (shared with AmE. BrE: cabriolet); footpath (BrE: pavement; AmE: sidewalk); horse float (BrE: horsebox; AmE: horse trailer); indicator (shared with BrE. AmE: turn signal); peak hour (BrE and AmE: rush hour); petrol (shared with BrE. AmE: gasoline); railway (shared with BrE. AmE: railroad); sedan (car) (shared with AmE. BrE: saloon (car)); semitrailer (shared with AmE. BrE: artic or articulated lorry); station wagon (shared with AmE. BrE: estate car); truck (shared with AmE. BrE: lorry); ute (BrE and AmE: pickup truck); windscreen (shared with BrE. AmE: windshield)
Clothing – gumboots (BrE: Wellington boots or Wellies; AmE: rubber boots or galoshes); jumper (shared with BrE. AmE: sweater); nappy (shared with BrE. AmE: diaper); overalls (shared with AmE. BrE: dungarees); raincoat (shared with AmE. BrE: mackintosh or mac); runners or sneakers (footwear) (BrE: trainers. AmE: sneakers); sandshoe (BrE: pump or plimsoll. AmE: tennis shoe); singlet (BrE: vest. AmE: tank top or wifebeater); skivvy (BrE: polo neck; AmE: turtleneck); swimmers or togs or bathers (BrE: swimming costume. AmE: bathing suit or swimsuit); thongs (refers to BrE and AmE flip-flops (footwear). In BrE and AmE refers to g-string (underwear))
Terms with different meanings in Australian English
There also exist words which in Australian English are ascribed different meanings from those ascribed in other varieties of English, for instance:
Asian in Australian (and American) English commonly refers to people of East Asian ancestry, while in British English it commonly refers to people of South Asian ancestry
Biscuit in Australian (and British) English refers to AmE cookie and cracker, while in American English it refers to a leavened bread product
(potato) Chips refers both to British English crisps (which is not commonly used in Australian English) and to American English French fries (which is used alongside hot chips)
Football in Australian English most commonly refers to Australian rules football, rugby league or rugby union. In British English, football is most commonly used to refer to association football, while in North American English football is used to refer to gridiron
Pants in Australian (and American) English most commonly refers to British English trousers, but in British English refers to Australian English underpants
Nursery in Australian English generally refers to a plant nursery, whereas in British English and American English it also often refers to a child care or daycare for pre-school age children
Paddock in Australian English refers to an open field or meadow whereas in American and British English it refers to a small agricultural enclosure
Premier in Australian English refers specifically to the head of government of an Australian state, whereas in British English it is used interchangeably with Prime Minister
Public school in Australian (and American) English refers to a state school. Australian and American English use private school to mean a non-government or independent school, in contrast with British English which uses public school to refer to the same thing
Pudding in Australian (and American) English refers to a particular sweet dessert dish, while in British English it often refers to dessert (the food course) in general
Thongs in Australian English refer to British and American English flip-flop (footwear), whereas in both American and British English it refers to Australian English G-string (underwear) (in Australian English the singular "thong" can refer to one half of a pair of the footwear or to a G-string, so care must be taken as to context)
Vest in Australian (and American) English refers to a padded upper garment or British English waistcoat but in British English refers to Australian English singlet
Idioms taking different forms in Australian English
In addition to the large number of uniquely Australian idioms in common use, there are instances of idioms taking different forms in Australian English than in other varieties, for instance:
A drop in the ocean (shared with BrE usage) as opposed to AmE a drop in the bucket
A way to go (shared with BrE usage) as opposed to AmE a ways to go
Home away from home (shared with AmE usage) as opposed to BrE home from home
Take (something) with a grain of salt (shared with AmE usage) as opposed to UK take with a pinch of salt
Touch wood (shared with BrE usage) as opposed to AmE knock on wood
Wouldn't touch (something) with a ten-foot pole (shared with AmE usage) as opposed to BrE wouldn't touch with a barge pole
British and American English terms not commonly used in Australian English
There are extensive terms used in other varieties of English which are not widely used in Australian English. These terms usually do not result in Australian English speakers failing to comprehend speakers of other varieties of English, as Australian English speakers will often be familiar with such terms through exposure to media or may ascertain the meaning using context.
Non-exhaustive selections of British English and American English terms not commonly used in Australian English together with their definitions or Australian English equivalents are found in the collapsible table below:
British English terms not widely used in Australian English
Allotment (gardening): A community garden not connected to a dwelling
Artic or articulated lorry (vehicle): Australian English semi-trailer)
Aubergine (vegetable): Australian English eggplant
Bank holiday: Australian English public holiday
Barmy: Crazy, mad or insane.
Bedsit: Australian English studio (apartment)
Belisha beacon: A flashing light atop a pole used to mark a pedestrian crossing
Bin lorry: Australian English: garbage truck
Bobby: A police officer, particularly one of lower rank
Cagoule: A lightweight raincoat or windsheeter
Candy floss (confectionery): Australian English fairy floss
Cash machine: Australian English automatic teller machine
Chav: Lower socio-economic person comparable to Australian English bogan
Child-minder: Australian English babysitter
Chivvy: To hurry (somebody) along. Australian English nag
Chrimbo: Abbreviation for Christmas comparable to Australian English Chrissy
Chuffed: To be proud (especially of oneself)
Cleg (insect): Australian English horsefly
Clingfilm: A plastic wrap used in food preparation. Australian English Glad wrap/cling wrap
Community payback: Australian English community service
Comprehensive school: Australian English state school or public school
Cooker: A kitchen appliance. Australian English stove and/or oven
Coppice: An area of cleared woodland
Council housing: Australian English public housing
Counterpane: A bed covering. Australian English bedspread
Courgette: A vegetable. Australian English zucchini
Creche: Australian English child care centre
(potato) Crisps: Australian English (potato) chips
Current account: Australian English transaction account
Dell: A small secluded hollow or valley
Do: Australian English party or social gathering
Doddle: An easy task
Doss (verb): To spend time idly
Drawing pin: Australian English thumb tack
Dungarees: Australian English overalls
Dustbin: Australian English garbage bin/rubbish bin
Dustcart: Australian English garbage truck/rubbish truck
Duvet: Australian English doona
Elastoplast or plaster: An adhesive used to cover small wounds. Australian English band-aid
Electrical lead: Australian English electrical cord
Estate car: Australian English station wagon
Fairy cake: Australian English cupcake
Father Christmas: Australian English Santa Claus
Fen: A low and frequently flooded area of land, similar to Australian English swamp
Free phone: Australian English toll-free
Gammon: Meat from the hind leg of pork. Australian English makes no distinction between gammon and ham
Git: A foolish person. Equivalent to idiot or moron
Goose pimples: Australian English goose bumps
Hacked off: To be irritated or upset, often with a person
Hairgrip: Australian English hairpin or bobbypin
Half-term: Australian English school holiday
Haulier: Australian English hauler
Heath: An area of dry grass or shrubs, similar to Australian English shrubland
Hoover(verb): Australian English to vacuum
Horsebox: Australian English horse float
Ice lolly: Australian English ice block or icy pole
Juicy bits: Small pieces of fruit residue found in fruit juice. Australian English pulp
Kip: To sleep
Kitchen roll: Australian English paper towel
Landslip: Australian English landslide
Lavatory: Australian English toilet (lavatory is used in Australian English for toilets on aeroplanes)
Lido: A public swimming pool
Lorry: Australian English truck
Loudhailer: Australian English megaphone
Mackintosh or mac: Australian English raincoat
Mangetout: Australian English snow pea
Marrow: Australian English squash
Minidish: A satellite dish for domestic (especially television) use
Moggie: A domestic short-haired cat
Moor: A low area prone to flooding, similar to Australian English swampland
Nettled: Irritated (especially with somebody)
Nosh: A meal or spread of food
Off-licence: Australian English bottle shop/Bottle-o
Pak choi: Australian English bok choy
Pavement: Australian English footpath
Pelican crossing: Australian English pedestrian crossing or zebra crossing
Peaky: Unwell or sickly
(red or green) Pepper (vegetable): Australian English capsicum
People carrier (vehicle): Australian English people mover
Pikey: An itinerant person. Similar to Australian English tramp
Pillar box: Australian English post box
Pillock: A mildly offensive term for a foolish or obnoxious person, similar to idiot or moron. Also refers to male genetalia
Plimsoll (footwear): Australian English sandshoe
Pneumatic drill: Australian English jackhammer
Polo neck (garment): Australian English skivvy
Poorly: Unwell or sick
Press-up (exercise): Australian English push-up
Pushchair: A wheeled cart for pushing a baby. Australian English: stroller or pram
Pusher: A wheeled cart for pushing a baby. Australian English: stroller or pram
Rodgering: A mildly offensive term for sexual intercourse, similar to Australian English rooting
Saloon (car): Australian English sedan
Scratchings (food): Solid material left after rendering animal (especially pork) fat. Australian English crackling)
Sellotape: Australian English sticky tape
Shan't: Australian English will not
Skive (verb): To play truant, particularly from an educational institution. Australian English to wag
Sleeping policeman: Australian English speed hump or speed bump
Snog (verb): To kiss passionately, equivalent to Australian English pash
Sod: A mildly offensive term for an unpleasant person
Spinney: A small area of trees and bushes
Strimmer: Australian English whipper snipper or line trimmer
Swan (verb): To move from one plact to another ostentatiously
Sweets: Australian English lollies
Tailback: A long queue of stationary or slow-moving traffic
Tangerine: Australian English mandarin
Tipp-Ex: Australian English white out or liquid paper
Trainers: Athletic footwear. Australian English runners or ‘’sneakers.’’
Turning (noun): Where one road branches from another. Australian English turn
Utility room: A room containing washing or other home appliances, similar to Australian English laundry
Value-added tax (VAT): Australian English goods and services tax (GST)
Wellington boots: Australian English gumboots
White spirit: Australian English turpentine
American English terms not widely used in Australian English
Acclimate: Australian English acclimatise
Airplane: Australian English aeroplane
Aluminum: Australian English aluminium
Baby carriage: Australian English stroller or pram
Bangs: A hair style. Australian English fringe
Baseboard (architecture): Australian English skirting board
Bayou: Australian English swamp/billabong
Bell pepper: Australian English capsicum
Bellhop: Australian English hotel porter
Beltway: Australian English ring road
Boondocks: An isolated, rural area. Australian English the sticks or Woop Woop or Beyond the black stump
Broil (cooking technique): Australian English grill
Bullhorn: Australian English megaphone
Burglarize: Australian English burgle
Busboy: A subclass of (restaurant) waiter
Candy: Australian English lollies
Cellular phone: Australian English mobile phone
Cilantro: Australian English coriander
Comforter: Australian English doona
Condominium: Australian English apartment
Counter-clockwise: Australian English anticlockwise
Coveralls: Australian English overalls
Crapshoot: A risky venture
Diaper: Australian English nappy
Downtown: Australian English central business district
Drapes: Australian English curtains
Drugstore: Australian English pharmacy or chemist
Drywall: Australian English plasterboard
Dumpster: Australian English skip bin
Fall (season): Australian English autumn
Fanny pack: Australian English bum bag
Faucet: Australian English tap
Flashlight: Australian English torch
Freshman: A first year student at a highschool or university
Frosting (cookery): Australian English icing
Gasoline: Australian English petrol
Gas pedal: Australian English accelerator
Gas Station: Australian English service station or petrol station
Glove compartment: Australian English glovebox
Golden raisin: Australian English sultana
Grifter: Australian English con artist
Ground beef: Australian English minced beef or mince
Hood (vehicle): Australian English bonnet
Hot tub: Australian English spa or spa bath
Jell-o: Australian English jelly
Ladybug: Australian English ladybird
Mail-man: Australian English postman or postie
Mass transit: Australian English public transport
Math: Australian English maths
Mineral spirits: Australian English turpentine
Nightstand: Australian English bedside table
Out-of-state: Australian English interstate
Pacifier: Australian English dummy
Parking lot: Australian English car park
Penitentiary: Australian English prison or jail
Period(punctuation): Australian English full stop
Play hooky (verb): To play truant from an educational institution. Equivalent to Australian English (to) wag
Popsicle: Australian English ice block or icy pole
Railroad: Australian English railway
Railroad ties: Australian English Railway sleepers
Rappel: Australian English abseil
Realtor: Australian English real estate agent
Root (sport): To enthusiastically support a sporting team. Equivalent to Australian English barrack
Row house: Australian English terrace house
Sales tax: Australian English goods and services tax (GST)
Saran wrap: Australian English plastic wrap or cling wrap
Scad: Australian English a large quantity
Scallion: Australian English spring onion
Sharpie (pen): Australian English permanent marker or texta or felt pen
Shopping cart: Australian English shopping trolley
Sidewalk: Australian English footpath
Silverware or flatware: Australian English cutlery
Soda pop: Australian English soft drink
Streetcar: Australian English tram
Sweater: Garment. Australian English jumper
Sweatpants: Australian English tracksuit pants/trackies
Tailpipe: Australian English exhaust pipe
Takeout: Australian English takeaway
Trash can: Australian English garbage bin or rubbish bin
Trunk (vehicle): Australian English boot
Turn signal: Australian English indicator
Turtleneck: Australian English skivvy
Upscale and downscale: Australian English upmarket and downmarket
Vacation: Australian English holiday
Windshield: Australian English windscreen
Grammar
The general rules of English Grammar which apply to Australian English are described at English grammar. Grammatical differences between varieties of English are minor relative to differences in phonology and vocabulary and do not generally affect intelligibility. Examples of grammatical differences between Australian English and other varieties include:
Collective nouns are generally singular in construction, e.g., the government was unable to decide as opposed to the government were unable to decide or the group was leaving as opposed to the group were leaving. This is in common with American English.
Australian English has an extreme distaste for the modal verbs shall (in non-legal contexts), shan't and ought (in place of will, won't and should respectively), which are encountered in British English. However, shall is found in the Australian Constitution, Acts of Parliament, and other formal or legal documents such as contracts.
Using should with the same meaning as would, e.g. I should like to see you, encountered in British English, is almost never encountered in Australian English.
River follows the name of the river in question, e.g., Brisbane River, rather than the British convention of coming before the name, e.g., River Thames. This is also the case in North American and New Zealand English. In South Australian English however, the reverse applies when referring to the following three rivers: Murray, Darling and Torrens. The Derwent in Tasmania also follows this convention.
While prepositions before days may be omitted in American English, i.e., She resigned Thursday, they are retained in Australian English: She resigned on Thursday. This is shared with British English.
The institutional nouns hospital and university do not take the definite article: She's in hospital, He's at university. This is in contrast to American English where the is required: In the hospital, At the university.
On the weekend is used in favour of the British at the weekend which is not encountered in Australian English.
Ranges of dates use to, i.e., Monday to Friday, rather than Monday through Friday. This is shared with British English and is in contrast to American English.
When speaking or writing out numbers, and is always inserted before the tens, i.e., one hundred and sixty-two rather than one hundred sixty-two. This is in contrast to American English, where the insertion of and is acceptable but nonetheless either casual or informal.
The preposition to in write to (e.g. "I'll write to you") is always retained, as opposed to American usage where it may be dropped.
Australian English does not share the British usage of read (v) to mean "study" (v). Therefore, it may be said that "He studies medicine" but not that "He reads medicine".
When referring to time, Australians will refer to 10:30 as half past ten and do not use the British half ten. Similarly, a quarter to ten is used for 9:45 rather than (a) quarter of ten, which is sometimes found in American English.
Australian English does not share the British English meaning of sat to include sitting or seated. Therefore, uses such as I've been sat here for an hour are not encountered in Australian English.
To have a shower or have a bath are the most common usages in Australian English, in contrast to American English which uses take a shower and take a bath.
The past participle of saw is sawn (e.g. sawn-off shotgun) in Australian English, in contrast to the American English sawed.
The verb visit is transitive in Australian English. Where the object is a person or people, American English also uses visit with, which is not found in Australian English.
An outdoor event which is cancelled due to inclement weather is rained out in Australian English. This is in contrast to British English where it is said to be rained off.
In informal speech, sentence-final but may be used, e.g. "I don't want to go but" in place of "But I don't want to go". This is also found in Scottish English.
In informal speech, the discourse markers yeah no (or yeah nah) and no yeah (or nah yeah) may be used to mean "no" and "yes" respectively.
Spelling and style
As in all English-speaking countries, there is no central authority that prescribes official usage with respect to matters of spelling, grammar, punctuation or style.
Spelling
There are several dictionaries of Australian English which adopt a descriptive approach. The Macquarie Dictionary is most commonly used by universities, governments and courts as the standard for Australian English spelling. The Australian Oxford Dictionary is another commonly-used dictionary of Australian English.
Australian spelling is significantly closer to British than American spelling, as it did not adopt the systematic reforms promulgated in Noah Webster's 1828 Dictionary. Notwithstanding, the Macquarie Dictionary often lists most American spellings as acceptable secondary variants.
The minor systematic differences which occur between Australian and American spelling are summarised below:
French-derived words which in American English end with or, such as color, honor, behavior and labor, are spelt with our in Australian English: colour, honour, behaviour and labour. Exceptions are the Australian Labor Party and some (especially South Australian) placenames which use Harbor, notably Victor Harbor.
Words which in American English end with ize, such as realize, recognize and apologize are spelt with ise in Australian English: realise, recognise and apologise. The British Oxford spelling, which uses the ize endings, remains a minority variant. The Macquarie Dictionary says that the -ise form as opposed to -ize sits at 3:1. The sole exception to this is capsize, which is used in all varieties.
Words which in American English end with yze, such as analyze, paralyze and catalyze are spelt with yse in Australian English: analyse, paralyse and catalyse.
French-derived words which in American English end with er, such as fiber, center and meter are spelt with re in Australian English: fibre, centre and metre (the unit of measurement only, not physical devices; so gasometer, voltmeter).
Words which end in American English end with log, such as catalog, dialog and monolog are usually spelt with logue in Australian English: catalogue, dialogue and monologue; however, the Macquarie Dictionary lists the log spelling as the preferred variant for analog.
A double-consonant l is retained in Australian English when adding suffixes to words ending in l where the consonant is unstressed, contrary to American English. Therefore, Australian English favours cancelled, counsellor, and travelling over American canceled, counselor and traveling.
Where American English uses a double-consonant ll in the words skillful, willful, enroll, distill, enthrall, fulfill and installment, Australian English uses a single consonant: skilful, wilful, enrol, distil, enthral, fulfil and instalment. However, the Macquarie Dictionary has noted a growing tendency to use the double consonant.
The American English defense and offense are spelt defence and offence in Australian English.
In contrast with American English, which uses practice and license for both nouns and verbs, practice and licence are nouns while practise and license are verbs in Australian English.
Words with ae and oe are often maintained in words such as oestrogen and paedophilia, in contrast to the American English practice of using e alone (as in estrogen and pedophilia). The Macquarie Dictionary has noted a shift within Australian English towards using e alone, and now lists some words such as encyclopedia, fetus, eon or hematite with the e spelling as the preferred variant and hence Australian English varies by word when it comes to these sets of words.
Minor systematic difference which occur between Australian and British spelling are as follows:
Words often ending in eable in British English end in able in Australian English. Therefore, Australian English favours livable over liveable, sizable over sizeable, movable over moveable, etc., although both variants are acceptable.
Words often ending in eing in British English end in ing in Australian English. Therefore, Australian English favours aging over ageing, or routing over routeing, etc., although both variants are acceptable.
Words often ending in mme in British English end in m in Australian English. Therefore, Australian English favours program over programme (in all contexts) and aerogram over aerogramme, although both variants are acceptable. Similar to Canada, New Zealand and the United States, (kilo)gram is the only spelling.
Other examples of individual words where the preferred spelling is listed by the Macquarie Dictionary as being different from current British spellings include analog as opposed to analogue, guerilla as opposed to guerrilla, verandah as opposed to veranda, burqa as opposed to burka, pastie (noun) as opposed to pasty, neuron as opposed to neurone, hicup as opposed to hicough, annex as opposed to annexe, raccoon as opposed to racoon etc. Unspaced forms such as onto, anytime, alright and anymore are also listed as being equally as acceptable as their spaced counterparts.
There is variation between and within varieties of English in the treatment of -t and -ed endings for past tense verbs. The Macquarie Dictionary does not favour either, but it suggests that leaped, leaned or learned (with -ed endings) are more common but spelt and burnt (with -t endings) are more common.
Different spellings have existed throughout Australia's history. What are today regarded as American spellings were popular in Australia throughout the late 19th and early 20th centuries, with the Victorian Department of Education endorsing them into the 1970s and The Age newspaper until the 1990s. This influence can be seen in the spelling of the Australian Labor Party and also in some place names such as Victor Harbor. The Concise Oxford English Dictionary has been attributed with re-establishing the dominance of the British spellings in the 1920s and 1930s. For a short time during the late 20th century, Harry Lindgren's 1969 spelling reform proposal (Spelling Reform 1 or SR1) gained some support in Australia and was adopted by the Australian Teachers' Federation.
Punctuation and style
Prominent general style guides for Australian English include the Cambridge Guide to Australian English Usage, the Australian Government Style Manual (formerly the Style Manual: For Authors, Editors and Printers), the Australian Handbook for Writers and Editors and the Complete Guide to English Usage for Australian Students.
Both single and double quotation marks are in use, with single quotation marks preferred for use in the first instance, with double quotation marks reserved for quotes of speech within speech. Logical (as opposed to typesetter's) punctuation is preferred for punctuation marks at the end of quotations. For instance, Sam said he 'wasn't happy when Jane told David to "go away"'. is used in preference to Sam said he "wasn't happy when Jane told David to 'go away.'"
The DD/MM/YYYY date format is followed and the 12-hour clock is generally used in everyday life (as opposed to service, police, and airline applications).
With the exception of screen sizes, metric units are used in everyday life, having supplanted imperial units upon the country's switch to the metric system in the 1970s, although imperial units persist in casual references to a person's height. Tyre and bolt sizes (for example) are defined in imperial units where appropriate for technical reasons.
In betting, decimal odds are used in preference to fractional odds, as used in the United Kingdom, or moneyline odds in the United States.
Keyboard layout
There are two major English language keyboard layouts, the United States layout and the United Kingdom layout. Keyboards and keyboard software for the Australian market universally uses the US keyboard layout, which lacks the pound (£), euro and negation symbols and uses a different layout for punctuation symbols from the UK keyboard layout.
See also
The Australian National Dictionary
Australian English vocabulary
New Zealand English
South African English
Zimbabwean English
Falkland Islands English
Diminutives in Australian English
International Phonetic Alphabet chart for English dialects
Strine
References
Citations
Works cited
Further reading
Mitchell, Alexander G. (1995). The Story of Australian English. Sydney: Dictionary Research Centre.
External links
Aussie English, The Illustrated Dictionary of Australian English
Australian National Dictionary Centre
free newsletter from the Australian National Dictionary Centre, which includes articles on Australian English
Australian Word Map at the ABC—documents regionalisms
R. Mannell, F. Cox and J. Harrington (2009), An Introduction to Phonetics and Phonology, Macquarie University
Aussie English for beginners—the origins, meanings and a quiz to test your knowledge at the National Museum of Australia.
Languages attested from the 18th century
Dialects of English
Sociolinguistics
Languages of the Cocos (Keeling) Islands
Oceanian dialects of English
Languages of Australia
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American Airlines Flight 77 was a scheduled domestic transcontinental passenger flight from Dulles International Airport in Northern Virginia to Los Angeles International Airport in California. The Boeing 757-223 aircraft serving the flight was hijacked by five al-Qaeda terrorists on the morning of September 11, 2001, as part of the September 11 attacks. The hijacked airliner was deliberately crashed into the Pentagon in Arlington County, Virginia, killing all 64 aboard and another 125 in the building.
Flight 77 became airborne at 08:20. Thirty-one minutes after takeoff, the attackers stormed the cockpit and forced the passengers and crew to the rear of the cabin, threatening the hostages but initially sparing all of them. Lead hijacker Hani Hanjour assumed control of the aircraft after having undergone extensive flight training as part of his preparation for the attack. In the meantime, two people aboard discreetly made phone calls to family members and relayed information on the situation without the knowledge of their assailants.
Hanjour flew the airplane into the west side of the Pentagon at 09:37 ET. Many people witnessed the impact, and news sources began reporting on the incident within minutes, but no clear footage of the crash itself is available to the public. The 757 severely damaged an area of the Pentagon and caused a large fire that took several days to extinguish. By 10:10 a.m., the damage inflicted by the plane as well as the ignited jet fuel led to a localized collapse of the Pentagon's western flank, followed forty minutes later by another five stories of the structure. Flight 77 was the third of four passenger jets to be commandeered by terrorists that morning, and the last to reach a target intended by al-Qaeda. The hijacking was to be coordinated with that of United Airlines Flight 93, which was flown in the direction of Washington, D.C., the U.S. capital. The terrorists on Flight 93 had their sights set on a federal government building not far from the Pentagon, but were forced to crash the plane in a Pennsylvania field when the passengers fought for control after being alerted to the previous suicide attacks, including Flight 77's.
The damaged sections of the Pentagon were rebuilt in 2002, with occupants moving back into the completed areas that August. The 184 victims of the attack are memorialized in the Pentagon Memorial adjacent to the crash site. The park contains a bench for each of the victims, arranged according to their year of birth.
Background
The flight was commandeered as part of the September 11 attacks. The attacks themselves cost somewhere in the region of $400,000 and $500,000 to execute, but the source of this financial support remains unknown. Led by Khalid Sheikh Mohammed, who was described as being the "principal architect" of the attacks in the 9/11 Commission Report, al-Qaeda was motivated by several factors, not least of which was anti-Americanism and anti-Western sentiment. Because al-Qaeda only had the resources to commandeer four passenger jets, there was disagreement between Mohammed and Osama bin Laden over which targets should be prioritized. Mohammed favored striking the Twin Towers of the World Trade Center complex in New York City, while bin-Laden was bent on toppling the United States federal government, a goal he believed could be accomplished by destroying the Pentagon, the White House and the United States Capitol. Though bin Laden himself expressed a preference for the destruction of the White House over the Capitol, his subordinates disagreed, citing its difficulty in striking from the air. Hani Hanjour―likely while in the presence of fellow Flight 77 accomplice Nawaf al-Hazmi―scoped out the DMV on July 20, 2001 by renting a plane and taking a practice flight from Fairfield, New Jersey to Gaithersburg, Maryland in order to determine the feasibility of each of the possible candidates.
In the end, 19 terrorists participated in the attacks against the United States, consisting of three groups of five men each and one group of four. The nine hijackers on Flight 77 and United Airlines Flight 93 were assigned the task of striking governmental structures in or near the national capital of Washington, D.C., and as such, the objective was for the two hijackings to be coordinated insofar as both planes being aimed towards targets in the Washington metropolitan area. Significant complications faced by the four terrorists on Flight 93 ensured that Flight 77 was the only one to successfully attack a target intended by al-Qaeda when it struck the Pentagon in Arlington County, Virginia at 09:37, while a passenger uprising forced the hijackers aboard Flight 93 to crash the plane in rural Pennsylvania.
Regardless, the degree of coordination between Flight 77 and Flight 93 was evidently less than that of American Airlines Flight 11 and United Airlines Flight 175, the two airliners that were flown into the Twin Towers of the World Trade Center 17 minutes apart in a joint attack on New York City. Flights 11 and 175 both departed from Logan International Airport in Boston for Los Angeles International Airport, and crashed into targets that stood next to each other, in contrast to the Pentagon and the federal government building Flight 93 was set to crash into, which were simply located in the same general area.
One noteworthy difference between the attacks in the National Capital Region and those in New York is that the teams on Flights 77 and 93 did not follow suit with their counterparts on Flights 11 and 175 by booking planes from the same airport with the same California destination in mind. Flight 77's group hijacked a plane out of Dulles International Airport in Virginia, conveniently situated near the Pentagon and consequently the capital, on a flight path destined for LAX. Conversely, Flight 93 departed from Newark International Airport in New Jersey, nearly 200 miles northeast of D.C., bound for San Francisco International Airport. There was also no contact between Hanjour and Flight 93 hijacker pilot Ziad Jarrah on the day of the attacks, whereas Mohamed Atta and Marwan al-Shehhi spoke over the phone while preparing to board their respective flights, apparently to confirm the attacks were ready to begin.
The reason why al-Qaeda selected four planes from three airports instead of two airports remains unknown, but it is believed that the act of hijacking two planes on the same flight path would have enabled better coordination between the teams on Flight 11 and Flight 175, both of which clearly succeeded, unlike Flight 77 and Flight 93’s only partially successful attack on the U.S. government.
Hijackers
The hijackers on American Airlines Flight77 were five Saudi men between the ages of 20 and 29. They were led by Hanjour, who piloted the aircraft into the Pentagon. Hanjour first arrived in the United States in 1990.
Hanjour trained at the CRM Airline Training Center in Scottsdale, Arizona, earning his FAA commercial pilot's certificate in April 1999. He had wanted to be a commercial pilot for Saudia but was rejected when he applied to the civil aviation school in Jeddah in 1999. Hanjour's brother later explained that, frustrated at not finding a job, Hanjour "increasingly turned his attention toward religious texts and cassette tapes of militant Islamic preachers." Hanjour returned to Saudi Arabia after being certified as a pilot, but left again in late 1999, telling his family he was going to the United Arab Emirates to work for an airline. Hanjour likely went to Afghanistan, where Al-Qaeda recruits were screened for special skills they might have. Already having selected the Hamburg cell members, Al Qaeda leaders selected Hanjour to lead the fourth team of hijackers.
In December 2000, Hanjour arrived in San Diego, joining "muscle" hijackers Nawaf al-Hazmi and Khalid al-Mihdhar, who had been there since January of that year. Alec Station, the CIA's unit dedicated to tracking Osama bin Laden, had discovered that al-Hazmi and al-Mihdhar had multiple-entry visas to the United States. An FBI agent inside the unit and his supervisor Mark Rossini (Former Federal Bureau of Investigation Supervisory Agent) sought to alert FBI headquarters, but the CIA officer supervising Rossini at Alec Station rebuffed him on the grounds that the FBI lacked jurisdiction.
Soon after arriving in San Diego, Hanjour and Hazmi left for Mesa, Arizona, where Hanjour began refresher training at Arizona Aviation. In April 2001, they relocated to Falls Church, Virginia, where they awaited the arrival of the remaining "muscle" hijackers. One of these men, Majed Moqed, arrived on May 2, 2001, with Flight175 hijacker Ahmed al-Ghamdi from Dubai at Dulles International Airport. They moved into an apartment with Hazmi and Hanjour.
On May 21, 2001, Hanjour rented a room in Paterson, New Jersey, where he stayed with other hijackers through the end of August. The last Flight77 "muscle" hijacker, Salem al-Hazmi, arrived on June 29, 2001, with Abdulaziz al-Omari (a hijacker of Flight11) at John F. Kennedy International Airport from the United Arab Emirates. They stayed with Hanjour.
Hanjour received ground instruction and did practice flights at Air Fleet Training Systems in Teterboro, New Jersey, and at Caldwell Flight Academy in Fairfield, New Jersey. Hanjour moved out of the room in Paterson and arrived at the Valencia Motel in Laurel, Maryland, on September 2, 2001. While in Maryland, Hanjour and fellow hijackers trained at Gold's Gym in Greenbelt. On September 10, he completed a certification flight, using a terrain recognition system for navigation, at Congressional Air Charters in Gaithersburg, Maryland.
On September 10 Nawaf al-Hazmi, accompanied by other hijackers, checked into the Marriott in Herndon, Virginia, near Dulles Airport.
Suspected accomplices
According to a U.S. State Department cable leaked in the WikiLeaks dump in February 2010, the FBI has investigated another suspect, Mohammed al-Mansoori. He had associated with three Qatari citizens who flew from Los Angeles to London (via Washington) and Qatar on the eve of the attacks, after allegedly surveying the World Trade Center and the White House. U.S. law enforcement officials said the data about the four men was "just one of many leads that were thoroughly investigated at the time and never led to terrorism charges." An official added that the three Qatari citizens had never been questioned by the FBI. Eleanor Hill, the former staff director for the congressional joint inquiry on the September 11 attacks, said the cable reinforces questions about the thoroughness of the FBI's investigation. She also said that the inquiry concluded the hijackers had a support network that helped them in different ways.
The three Qatari men were booked to fly from Los Angeles to Washington on September 10, 2001, on the same plane that was hijacked and piloted into the Pentagon on the following day. Instead, they flew from Los Angeles to Qatar, via Washington and London. While the cable said Mansoori was currently under investigation, U.S. law enforcement officials said there was no active investigation of him or of the Qatari citizens mentioned in the cable.
Flight
The aircraft involved in the hijacking was a Boeing 757-223 (registration The aircraft had its first flight on April 25, 1991 and was delivered to American Airlines on May 8, 1991. The crew included Captain Charles Burlingame (51) (a Naval Academy graduate and former fighter pilot), First Officer David Charlebois (39), purser Renee May and flight attendants Michele Heidenberger, Jennifer Lewis and Kenneth Lewis. The capacity of the aircraft was 188 passengers, but with 58 passengers on September 11, the load factor was 33 percent. American Airlines said Tuesdays were the least-traveled day of the week, with the same load factor seen on Tuesdays in the previous three months for Flight77. Passenger Barbara Olson, whose husband Theodore Olson served as the 42nd Solicitor General of the United States, was en route to a recording of the TV show Politically Incorrect. A group of three 11-year-old children, their chaperones, and two National Geographic Society staff members were also on board, embarking on an educational trip west to the Channel Islands National Marine Sanctuary near Santa Barbara, California. Former Georgetown University basketball coach John Thompson had originally booked a ticket on Flight77. As he would tell the story many times in the following years, including a September 12, 2011 interview on Jim Rome's radio show, he had been scheduled to appear on that show on September 12, 2001. Thompson was planning to be in Las Vegas for a friend's birthday on September 13, and initially insisted on traveling to Rome's Los Angeles studio on the 11th. However, this did not work for the show, which wanted him to travel on the day of the show. After a Rome staffer personally assured Thompson he would be able to travel from Los Angeles to Las Vegas immediately after the show, Thompson changed his travel plans. He would later feel the impact from the crash at his home near the Pentagon.
Boarding and departure
On the morning of September 11, 2001, the five hijackers arrived at Washington Dulles International Airport. At 07:15 AM ET, Khalid al-Mihdhar and Majed Moqed checked in at the American Airlines ticket counter for Flight77, arriving at the passenger security checkpoint a few minutes later at 07:18. Both men set off the metal detector and were put through secondary screening. Moqed continued to set off the alarm, so he was searched with a hand wand. The Hazmi brothers checked in together at the ticket counter at 07:29. Hani Hanjour checked in separately and arrived at the passenger security checkpoint at 07:35. Hanjour was followed minutes later at the checkpoint by Salem and Nawaf al-Hazmi, who also set off the metal detector's alarm. The screener at the checkpoint never resolved what set off the alarm. As seen in security footage later released, Nawaf al-Hazmi appeared to have an unidentified item in his back pocket. Utility knives up to four inches were permitted at the time by the Federal Aviation Administration (FAA) as carry-on items. The passenger security checkpoint at Dulles International Airport was operated by Argenbright Security, under contract with United Airlines.
The hijackers were all selected for extra screening of their checked bags. Hanjour, al-Mihdhar, and Moqed were chosen by the Computer Assisted Passenger Prescreening System (CAPPS) criteria, while the brothers Nawaf and Salem al-Hazmi were selected because they did not provide adequate identification and were deemed suspicious by the airline check-in agent. Hanjour, Mihdhar, and Nawaf al-Hazmi did not check any bags for the flight. Checked bags belonging to Moqed and Salem al-Hazmi were held until they boarded the aircraft.
Flight 77 was scheduled to depart for Los Angeles at 08:10; 58 passengers boarded through Gate D26, including the five hijackers. The 53 other passengers on board excluding the hijackers were 26 men, 22 women, and five children ranging in age from three to eleven. On the flight, Hani Hanjour was seated up front in 1B, while Salem and Nawaf al-Hazmi were likewise seated in first class, in seats 5E and 5F. Majed Moqed and Khalid al-Mihdhar were seated farther back in 12A and 12B, in economy class. Flight77 left the gate on time and took off from Runway 30 at Dulles at 08:20. The attacks were already underway by this point, as American Airlines Flight 11 had been hijacked six minutes earlier. Shortly after Flight 77 became airborne, FAA flight controller Danielle O'Brien made a routine handoff of the flight to a colleague at the FAA's Indianapolis Center. For reasons she couldn't explain and would never fully understand, O'Brien didn't use one of her normal sendoffs to the pilots: "Good day," or "Have a nice flight." Instead, she wished them, "Good luck."
Flight 77 reached its assigned cruising altitude of at 8:46 a.m., four minutes after the hijacking of United Airlines Flight 175 commenced and the very same minute Flight 11 crashed into the North Tower of the World Trade Center. The final communication between Flight 77 and controllers on the ground occurred four minutes later at 08:50:51, as Hanjour and his team prepared to strike.
Hijacking
The terrorists launched their assault at 08:51, by which point the North Tower had been on fire for around five minutes and Flight 175 was within 12 minutes of striking the South Tower. Flight 93 had also become airborne from Newark at 08:42, but had been delayed on the runway for as long as 42 minutes and would not be seized until 09:28, ruining al-Qaeda's plan to harmonize its takeover with Flight 77's. Three minutes after the hijacking began, according to the commission, the attackers on Flight 77 were in full control of the aircraft. The modus operandi of Hanjour’s group was in stark contrast to the other three teams, in that while the victims were threatened with knives and box cutters, there were no reports of any injuries or deaths prior to the crash; both pilots were spared when the cockpit was breached, and the use of chemical weapons or bomb threats was not reported by either of the two people who made phone calls from the rear of the cabin. At 08:54, as the plane flew in the vicinity over Pike County, Ohio, it began deviating from its normal assigned flight path and turned south. Two minutes later, the plane's transponder was switched off. The flight's autopilot was promptly engaged and set on a course heading eastbound towards Washington, D.C.
The FAA was aware at this point there was an emergency on board the airplane. After learning of a second hijacking involving an American Airlines aircraft and the hijacking of a United Airlines jet, American Airlines' executive vice president Gerard Arpey ordered a nationwide ground stop for the airline. For several minutes, Indianapolis Air Route Traffic Control Center and dispatchers for American Airlines made several failed attempts to contact the hijacked airliner, giving up just as Flight 175 flew into the World Trade Center's South Tower at 09:03. The plane had been flying over an area of limited radar coverage at the time of its hijacking. With air controllers unable to contact the flight by radio, an Indianapolis official declared that it had possibly crashed at 09:09, twenty-eight minutes before it actually did. Sometime between 09:17 and 09:22, Hanjour broadcast a deceptive announcement via the cabin’s public address system, advising those aboard that the plane was being hijacked and that their best chance of survival was by not resisting. This tactic was used on Flight 11 and on Flight 93 with the aim of deceiving the passengers and crew into believing the plan was to land the plane after securing a ransom; in both cases, however, the terrorists’ understanding of the internal communication systems used aboard aircraft was evidently not as good as Hanjour's, as they keyed the wrong microphone and unintentionally allowed controllers on the ground to eavesdrop.
Calls
Two people on board the aircraft made a total of three phone calls to contacts on the ground. At 09:12, flight attendant Renee May made a phone call lasting just under two minutes to her mother, Nancy May, in Las Vegas. During the phone call, she made the erroneous claim that "six persons" had forced "us" to the rear of the airplane, but did not explain whether the people crowded together were crew members, passengers, or both. May asked her mother to contact American Airlines, which she and her husband promptly did, although the company was well-aware of the hijacking by this point.
At 09:16, Barbara Olson made a call to her husband Ted, quietly explaining that the plane had been hijacked and that those responsible were armed with knives and box cutters. She revealed that everyone, including the pilots, had been moved to the back of the cabin and that the call was being made without the knowledge of the hostage takers. The connection dropped a minute into the conversation. Theodore Olson contacted the command center at the Department of Justice, and tried unsuccessfully to contact Attorney General John Ashcroft. Barbara Olson called again five minutes later, informing her husband of the announcement Hanjour―"the pilot"―made over the loudspeaker, and asked him, "What do I tell the pilot to do?" Inquired of her whereabouts, Barbara replied saying that they were flying low over a residential area. In the background, Ted overheard another passenger mentioning that the plane was flying northeast. He then made his wife aware of the suicide attacks on the World Trade Center, causing her to go quiet; Ted wondered if this meant she had been shocked into silence. After expressing their feelings and reassuring one another, the call cut off for the last time, at 9:26 a.m.
Crash
At 9:29 a.m., one minute after Flight 93 was hijacked, the terrorists aboard Flight 77 disengaged the autopilot and took manual control of the plane. Turning and descending rapidly as it made its final approach toward Washington, the airplane was detected again on radar screens by controllers at Dulles, who mistook it for a military fighter at first glance due to its high speed and maneuvering.
While Flight77 was west-southwest of the Pentagon in Arlington County, Virginia, it made a 330-degree spiral turn clockwise. By the end of the revolution, the 757 was descending , pointed toward the Pentagon and downtown Washington. Advancing the throttles to full power, Hanjour rapidly began diving toward his target. The wings clipped five street lights as the plane flew level above the ground, while the right wing in particular struck a portable generator, creating a smoke trail seconds before smashing into the Pentagon.
Flying at a speed of over the Navy Annex Building adjacent to Arlington National Cemetery, Flight77 crashed into the Pentagon's western flank at 09:37:46. The plane struck the establishment at the first-floor level and was rolled slightly to the left, with the right wing elevated as it crashed. The front part of the fuselage immediately disintegrated upon impact, while the mid and tail sections continued moving for another fraction of a second, with tail section debris penetrating farthest into the building. In total, the aircraft took eight-tenths of a second to pass through the three outermost of the structure's five rings and unleashed a fireball that rose above the building. The 64 people aboard the flight were killed instantly, while a further 125 people in the Pentagon were either killed outright or fatally injured.
In the minutes leading up to the crash, Reagan Airport controllers had asked a passing Air National Guard Lockheed C-130 Hercules to identify and follow the aircraft. The pilot, Lieutenant Colonel Steven O'Brien, told them he believed it was either a Boeing757 or 767, observing that its silver fuselage meant it was most likely an American Airlines jet. O'Brien mentioned having difficulty picking out the airplane in the "East Coast haze", but moments later reported seeing a "huge" fireball. His initial assumption as he approached the crash site was that the plane had simply hit the ground, but upon closer inspection he saw the damage done to the Pentagon's west side and relayed to Reagan control, "Looks like that aircraft crashed into the Pentagon, sir."
At the time of the attacks, approximately 18,000 people worked in the Pentagon, 4,000 fewer than before renovations began in 1998. The section of the Pentagon that was struck, which had recently been renovated at a cost of $250million (~$ in ), housed the Naval Command Center.
The fatalities in the Pentagon included 55 military personnel and 70 civilians. Of those 125 killed, 92 were on the first floor, 31 were on the second floor, and two were on the third. Seven Defense Intelligence Agency civilian employees were killed while the Office of the Secretary of Defense lost one contractor. The U.S. Army suffered 75 fatalities53 civilians (47 employees and six contractors) and 22 soldierswhile the U.S. Navy suffered 42 fatalitiesnine civilians (six employees and three contractors) and 33 sailors. Lieutenant General Timothy Maude, an Army deputy chief of staff, was the highest-ranking military officer killed at the Pentagon; also killed was retired Rear Admiral Wilson Flagg, a passenger on the plane. LT Mari-Rae Sopper, JAGC, USNR, was also on board the flight, and was the first Navy Judge Advocate ever to be killed in action. Another 106 were injured on the ground and were treated at area hospitals.
On the side where the plane hit, the Pentagon is bordered by Interstate 395 and Washington Boulevard. Motorist Mary Lyman, who was on I-395, saw the airplane pass over at a "steep angle toward the ground and going fast" and then saw the cloud of smoke from the Pentagon. Omar Campo, another witness, was on the other side of the road:
Afework Hagos, a computer programmer, was on his way to work and stuck in a traffic jam near the Pentagon when the airplane flew over. "There was a huge screaming noise and I got out of the car as the plane came over. Everybody was running away in different directions. It was tilting its wings up and down like it was trying to balance. It hit some lampposts on the way in." Daryl Donley witnessed the crash and took some of the first photographs of the site.
USA Today reporter Mike Walter was driving on Washington Boulevard when he witnessed the crash:
Terrance Kean, who lived in a nearby apartment building, heard the noise of loud jet engines, glanced out his window, and saw a "very, very large passenger jet". He watched "it just plow right into the side of the Pentagon. The nose penetrated into the portico. And then it sort of disappeared, and there was fire and smoke everywhere." Tim Timmerman, who is a pilot himself, noticed American Airlines markings on the aircraft as he saw it hit the Pentagon. Other drivers on Washington Boulevard, Interstate 395, and Columbia Pike witnessed the crash, as did people in Pentagon City, Crystal City, and other nearby locations.
Rescue and recovery
Rescue efforts began immediately after the crash. Almost all the successful rescues of survivors occurred within half an hour of the impact. Initially, rescue efforts were led by the military and civilian employees within the building. Within minutes, the first fire companies arrived and found these volunteers searching near the impact site. The firemen ordered them to leave as they were not properly equipped or trained to deal with the hazards.
The Arlington County Fire Department (ACFD) assumed command of the immediate rescue operation within ten minutes of the crash. ACFD Assistant Chief James Schwartz implemented an incident command system (ICS) to coordinate response efforts among multiple agencies. It took about an hour for the ICS structure to become fully operational. Firefighters from Fort Myer and Reagan National Airport arrived within minutes. Rescue and firefighting efforts were impeded by rumors of additional incoming planes. Chief Schwartz ordered two evacuations during the day in response to these rumors.
As firefighters attempted to extinguish the fires, they watched the building in fear of a structural collapse. One firefighter remarked that they "pretty much knew the building was going to collapse because it started making weird sounds and creaking." Officials saw a cornice of the building move and ordered an evacuation. Minutes later, at 10:10, the upper floors of the damaged area of the Pentagon collapsed. The collapsed area was about at its widest point and at its deepest. The amount of time between impact and collapse allowed everyone on the fourth and fifth levels to evacuate safely before the structure collapsed. After 11:00, firefighters mounted a two-pronged attack against the fires. Officials estimated temperatures of up to . While progress was made against the interior fires by late afternoon, firefighters realized a flammable layer of wood under the Pentagon's slate roof had caught fire and begun to spread. Typical firefighting tactics were rendered useless by the reinforced structure as firefighters were unable to reach the fire to extinguish it. Firefighters instead made firebreaks in the roof on September 12 to prevent further spreading. At 18:00 on the 12th, Arlington County issued a press release stating the fire was "controlled" but not fully "extinguished". Firefighters continued to put out smaller fires that ignited in the succeeding days.
Various pieces of aircraft debris were found within the wreckage at the Pentagon. While on fire and escaping from the Navy Command Center, Lt. Kevin Shaeffer observed a chunk of the aircraft's nose cone and the nose landing gear in the service road between rings B and C. Early in the morning on Friday, September 14, Fairfax County Urban Search and Rescue Team members Carlton Burkhammer and Brian Moravitz came across an "intact seat from the plane's cockpit", while paramedics and firefighters located the two black boxes near the punch out hole in the A–E drive, nearly into the building. The cockpit voice recorder was too badly damaged and charred to retrieve any information, though the flight data recorder yielded useful information. Investigators also found a part of Nawaf al-Hazmi's driver's license in the North Parking Lot rubble pile. Personal effects belonging to victims were found and taken to Fort Myer.
Remains
Army engineers determined by 17:30 on the first day that no survivors remained in the damaged section of the building. In the days after the crash, news reports emerged that up to 800 people had died. Army soldiers from Fort Belvoir were the first teams to survey the interior of the crash site and noted the presence of human remains. Federal Emergency Management Agency (FEMA) Urban Search and Rescue teams, including Fairfax County Urban Search and Rescue assisted the search for remains, working through the National Interagency Incident Management System (NIIMS). Kevin Rimrodt, a Navy photographer surveying the Navy Command Center after the attacks, remarked that "there were so many bodies, I'd almost step on them. So I'd have to really take care to look backwards as I'm backing up in the dark, looking with a flashlight, making sure I'm not stepping on somebody." Debris from the Pentagon was taken to the Pentagon's north parking lot for more detailed search for remains and evidence.
Remains recovered from the Pentagon were photographed, and turned over to the Armed Forces Medical Examiner office, located at Dover Air Force Base in Delaware. The medical examiner's office was able to identify remains belonging to 179 of the victims. Investigators eventually identified 184 of the 189 people who died in the attack. The remains of the five hijackers were identified through a process of elimination, and were turned over as evidence to the Federal Bureau of Investigation (FBI). On September 21, the ACFD relinquished control of the crime scene to the FBI. The Washington Field Office, National Capital Response Squad (NCRS), and the Joint Terrorism Task Force (JTTF) led the crime scene investigation at the Pentagon.
By October 2, 2001, the search for evidence and remains was complete and the site was turned over to Pentagon officials. In 2002, the remains of 25 victims were buried collectively at Arlington National Cemetery, with a five-sided granite marker inscribed with the names of all the victims in the Pentagon. The ceremony also honored the five victims whose remains were never found.
Flight recorders
About 03:40 on September 14, a paramedic and a firefighter who were searching through the debris of the impact site found two dark boxes, about long. They called for an FBI agent, who in turn called for someone from the National Transportation Safety Board (NTSB). The NTSB employee confirmed that these were the flight recorders ("black boxes") from American Airlines Flight77. Dick Bridges, deputy manager for Arlington County, Virginia, said the cockpit voice recorder was damaged on the outside and the flight data recorder was charred. Bridges said the recorders were found "right where the plane came into the building".
The cockpit voice recorder was transported to the NTSB lab in Washington, D.C., to see what data was salvageable. In its report, the NTSB identified the unit as an L-3 Communications, Fairchild Aviation Recorders model A-100A cockpit voice recordera device which records on magnetic tape. No usable segments of tape were found inside the recorder; according to the NTSB's report, "[t]he majority of the recording tape was fused into a solid block of charred plastic". On the other hand, all the data from the flight data recorder, which used a solid-state drive, was recovered.
Continuity of operations
At the moment of impact, Secretary of Defense Donald Rumsfeld was in his office on the other side of the Pentagon, away from the crash site. He ran to the site and assisted the injured. Rumsfeld returned to his office, and went to a conference room in the Executive Support Center where he joined a secure videoteleconference with Vice President Dick Cheney and other officials. On the day of the attacks, DoD officials considered moving their command operations to Site R, a backup facility in Pennsylvania. Secretary of Defense Rumsfeld insisted he remain at the Pentagon, and sent Deputy Secretary Paul Wolfowitz to Site R. The National Military Command Center (NMCC) continued to operate at the Pentagon, even as smoke entered the facility. Engineers and building managers manipulated the ventilation and other building systems that still functioned to draw smoke out of the NMCC and bring in fresh air.
During a press conference held inside the Pentagon at 18:42, Rumsfeld announced, "The Pentagon's functioning. It will be in business tomorrow." Pentagon employees returned the next day to offices in mostly unaffected areas of the building. By the end of September, more workers returned to the lightly damaged areas of the Pentagon.
Aftermath
Early estimates on rebuilding the damaged section of the Pentagon were that it would take three years to complete. However, the project moved forward at an accelerated pace and was completed by the first anniversary of the attack. The rebuilt section of the Pentagon includes a small indoor memorial and chapel at the point of impact. An outdoor memorial, commissioned by the Pentagon and designed by Julie Beckman and Keith Kaseman, was completed on schedule for its dedication on September 11, 2008. Since September 11, American Airlines continued to fly from Dulles International Airport to Los Angeles International Airport until 2020, when flights were permanently suspended. As of 2022, American Airlines operates the flight from Washington to LAX from Ronald Reagan Washington National Airport as Flight 1275 departing at 08:55 using an Airbus A321neo.
Security camera videos
The Department of Defense released filmed footage on May 16, 2006, that was recorded by a security camera of American Airlines Flight77 crashing into the Pentagon, with a plane visible in one frame, as a "thin white blur" and an explosion following. The images were made public in response to a December 2004 Freedom of Information Act request by Judicial Watch. Some still images from the video had previously been released and publicly circulated, but this was the first official release of the edited video of the crash.
A nearby Citgo service station also had security cameras, but a video released on September 15, 2006, did not show the crash because the camera was pointed away from the crash site.
The Doubletree Hotel, located nearby neighborhood of Crystal City, also had a security camera video. The FBI released the video on December 4, 2006, in response to a FOIA lawsuit filed by Scott Bingham. The footage is "grainy and the focus is soft, but a rapidly growing tower of smoke is visible in the distance on the upper edge of the frame as the plane crashes into the building."
Memorials
On September 12, 2002, Defense Secretary Donald Rumsfeld and General Richard Myers, Chairman of the Joint Chiefs of Staff, dedicated the Victims of Terrorist Attack on the Pentagon Memorial at Arlington National Cemetery. The memorial specifically honors the five individuals for whom no identifiable remains were found. This included Dana Falkenberg, age three, who was aboard American Airlines Flight77 with her parents and older sister. A portion of the remains of 25 other victims are also buried at the site. The memorial is a pentagonal granite marker high. On five sides of the memorial along the top are inscribed the words "Victims of Terrorist Attack on the Pentagon September 11, 2001". Aluminum plaques, painted black, are inscribed with the names of the 184 victims of the terrorist attack. The site is located in Section 64, on a slight rise, which gives it a view of the Pentagon.
At the National September 11 Memorial, the names of the Pentagon victims are inscribed on six panels at the South Pool.
The Pentagon Memorial, located just southwest of The Pentagon in Arlington County, Virginia, is a permanent outdoor memorial to the 184 people who died as victims in the building and on American Airlines Flight77 during the September11 attacks. Designed by Julie Beckman and Keith Kaseman of the architectural firm of Kaseman Beckman Advanced Strategies with engineers Buro Happold, the memorial opened on September 11, 2008, seven years after the attack.
Nationalities of victims on the aircraft
The 53 passengers (excluding the hijackers) and six crew were from:
See also
American Airlines Flight 11
United Airlines Flight 93
United Airlines Flight 175
List of aircraft hijackings
References
Works cited
External links
Picture of Aircraft Pre 9-11
Arlington County After-Action Report, July 23, 2002
(September 11, 2001)
(September 12, 2001)
2001 fires in the United States
2001 in Virginia
2001 murders in the United States
Accidents and incidents involving the Boeing 757
Aircraft hijackings in the United States
Airliner accidents and incidents caused by hijacking
Airliner accidents and incidents in Virginia
Airliner accidents and incidents involving deliberate crashes
Airliners involved in the September 11 attacks
77
Articles containing video clips
Attacks on military installations in the 2000s
Attacks in the United States in 2001
Attacks on government buildings and structures
Aviation accidents and incidents in the United States in 2001
Dulles International Airport
Filmed murder–suicides
Islamic terrorism in the United States
Mass murder in 2001
Mass murder in Virginia
Mass murder in the United States
Murder–suicides in Virginia
Murder–suicides in the United States
September 2001 crimes in the United States
Suicides in Virginia
Terrorist incidents in the United States in 2001
The Pentagon
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An ambush is a surprise attack by people lying in wait in a concealed position. Ambushes have been used consistently throughout history, from ancient to modern warfare. In the 20th century, an ambush might involve thousands of soldiers on a large scale, such as over a choke point such as a mountain pass, or a small irregulars band or insurgent group attacking a regular armed force patrols. Theoretically, a single well-armed and concealed soldier could ambush other troops in a surprise attack. Sometimes an ambush can involve the exclusive or combined use of improvised explosive devices, that allow the attackers to hit enemy convoys or patrols while minimizing the risk of being exposed to return fire.
History
This use by early people of ambushing may date as far back as two million years when anthropologists have recently suggested that ambush techniques were used to hunt large game.
One example from ancient times is the Battle of the Trebia river. Hannibal encamped within striking distance of the Romans with the Trebia River between them, and placed a strong force of cavalry and infantry in concealment, near the battle zone. He had noticed, says Polybius, a "place between the two camps, flat indeed and treeless, but well adapted for an ambuscade, as it was traversed by a water-course with steep banks, densely overgrown with brambles and other thorny plants, and here he proposed to lay a stratagem to surprise the enemy". When the Roman infantry became entangled in combat with his army, the hidden ambush force attacked the Roman infantry in the rear. The result was slaughter and defeat for the Romans. Nevertheless, the battle also displays the effects of good tactical discipline on the part of the ambushed force. Although most of the legions were lost, about 10,000 Romans cut their way through to safety, maintaining unit cohesion. This ability to maintain discipline and break out or maneuver away from a kill zone is a hallmark of good troops and training in any ambush situation.
Ambushes were widely utilized by the Lusitanians, in particular by their chieftain Viriathus. Their usual tactic, called concursare, involved repeatedly charging and retreating, forcing the enemy to eventually give them chase, in order to set up ambushes in difficult terrain where allied forces would be awaiting. In his first victory, he eluded the siege of Roman praetor Gaius Vetilius and attracted him to a narrow pass next to the Barbesuda river, where he destroyed his army and killed the praetor. Viriathus's ability to turn chases into ambushes would grant him victories over a number of Roman generals. Another famous Lusitanian ambush was performed by Curius and Apuleius on Roman general Quintus Fabius Maximus Servilianus, who led a numerically superior army complete with war elephants and Numidian cavalry. The ambush allowed Curius and Apuleius to steal Servilianus's loot train, although a tactic error in their retreat led to the Romans retaking the train and putting the Lusitanians to flight. Viriathus later defeated Servilianus with a surprise attack.
Possibly the most famous ambush in ancient warfare was that sprung by Germanic warchief Arminius against the Romans at Battle of the Teutoburg Forest. This particular ambush was to affect the course of Western history. The Germanic forces demonstrated several principles needed for a successful ambush. They took cover in difficult forested terrain, allowing the warriors time and space to mass without detection. They had the element of surprise, and this was also aided by the defection of Arminius from Roman ranks prior to the battle. They sprang the attack when the Romans were most vulnerable; when they had left their fortified camp, and were on the march in a pounding rainstorm.
The Germans did not dawdle at the hour of decision but attacked quickly, using a massive series of short, rapid, vicious charges against the length of the whole Roman line, with charging units sometimes withdrawing to the forest to regroup while others took their place. The Germans also used blocking obstacles, erecting a trench and earthen wall to hinder Roman movement along the route of the killing zone. The result was mass slaughter of the Romans, and the destruction of three legions. The Germanic victory caused a limit on Roman expansion in the West. Ultimately, it established the Rhine as the boundary of the Roman Empire for the next four hundred years, until the decline of the Roman influence in the West. The Roman Empire made no further concerted attempts to conquer Germania beyond the Rhine.
There are many notable examples of ambushes during the Roman-Persian Wars. A year after their victory at Carrhae, the Parthians invaded Syria but were driven back after a Roman ambush near Antigonia. Roman Emperor Julian was mortally wounded in an ambush near Samarra in 363 during the retreat from his Persian campaign. A Byzantine invasion of Persian Armenia was repelled by a small force at Anglon who performed a meticulous ambush by using the rough terrain as force multiplier and concealing in houses. Heraclius' discovery of a planned ambush by Shahrbaraz in 622 was a decisive factor in his campaign.
Arabia during Muhammad's era
According to Muslim tradition, Islamic Prophet Muhammad used ambush tactics in his military campaigns. His first such use was during the Caravan raids. In the Kharrar caravan raid, Sa`d ibn Abi Waqqas was ordered to lead a raid against the Quraysh. His group consisted of about twenty Muhajirs. This raid was about a month after the previous one. Sa'd, with his soldiers, set up an ambush in the valley of Kharrar on the road to Mecca and waited to raid a Meccan caravan returning from Syria. However, the caravan had already passed and the Muslims returned to Medina without any loot.
Arab tribes during Muhammad's era also used ambush tactics. One example retold in Muslim tradition is said to have taken place during the First Raid on Banu Thalabah. The Banu Thalabah tribe were already aware of the impending attack; so they lay in wait for the Muslims, and when Muhammad ibn Maslama arrived at the site, the Banu Thalabah with 100 men ambushed the Muslims while they were making preparation to sleep and, after a brief resistance, killed them all except for Muhammad ibn Maslama, who feigned death. A Muslim who happened to pass that way found him and assisted him to return to Medina. The raid was unsuccessful.
Procedure
In modern warfare, an ambush is most often employed by ground troops up to platoon size against enemy targets, which may be other ground troops, or possibly vehicles. However, in some situations, especially when deep behind enemy lines, the actual attack will be carried out by a platoon, a company-sized unit will be deployed to support the attack group, setting up and maintaining a forward patrol harbour from which the attacking force will deploy, and to which they will retire after the attack.
Planning
Ambushes are complex multi-phase operations and are therefore usually planned in some detail. First, a suitable killing zone is identified. This is the place where the ambush will be laid. It is generally a place where enemy units are expected to pass, and which gives reasonable cover for the deployment, execution and extraction phases of the ambush patrol. A path along a wooded valley floor would be a typical example.
Ambush can be described geometrically as:
Linear, when a number of firing units are equally distant from the linear kill zone.
L-shaped, when a short leg of firing units are placed to enfilade (fire the length of) the sides of the linear kill zone.
V-shaped, when the firing units are distant from the kill zone at the end where the enemy enters, so the firing units lay down bands of intersecting and interlocking fire. This ambush is normally triggered only when the enemy is well into the kill zone. The intersecting bands of fire prevent any attempt of moving out of the kill zone.
Viet Cong ambush techniques
Ambush criteria: The terrain for the ambush had to meet strict criteria:
provide concealment to prevent detection from the ground or air
enable ambush force to deploy, encircle and divide the enemy
allow for heavy weapons emplacements to provide sustained fire
enable the ambush force to set up observation posts for early detection of the enemy
permit the secret movement of troops to the ambush position and the dispersal of troops during withdrawal
One important feature of the ambush was that the target units should 'pile up' after being attacked, thus preventing them any easy means of withdrawal from the kill zone and hindering their use of heavy weapons and supporting fire. Terrain was usually selected which would facilitate this and slow down the enemy. Any terrain around the ambush site which was not favorable to the ambushing force, or which offered some protection to the target, was heavily mined and booby trapped or pre-registered for mortars.
Ambush units: The NVA/VC ambush formations consisted of:
lead-blocking element
main-assault element
rear-blocking element
observation posts
command post
Other elements might also be included if the situation demanded, such as a sniper screen along a nearby avenue of approach to delay enemy reinforcements.
Command posts: When deploying into an ambush site, the NVA first occupied several observation posts, placed to detect the enemy as early as possible and to report on the formation it was using, its strength and firepower, as well as to provide early warning to the unit commander. Usually one main OP and several secondary OPs were established. Runners and occasionally radios were used to communicate between the OPs and the main command post. The OPs were located so that they could observe enemy movement into the ambush and often they would remain in position throughout the ambush in order to report routes of reinforcement and withdrawal by the enemy as well as his maneuver options. Frequently the OPs were reinforced to squad size and served as flank security. The command post was situated in a central location, often on terrain which afforded it a vantage point overlooking the ambush site.
Recon methods: Reconnaissance elements observing a potential ambush target on the move generally stayed 300–500 meters away. Sometimes a "leapfrogging" recon technique was used. Surveillance units were echeloned one behind the other. As the enemy drew close to the first, it fell back behind the last recon team, leaving an advance group in its place. This one in turn fell back as the enemy again closed the gap, and the cycle rotated. This method helped keep the enemy under continuous observation from a variety of vantage points, and allowed the recon groups to cover one another.
See also
Ambush predator
Viet Cong and PAVN battle tactics
Flanking maneuver
Flypaper theory (strategy)
List of military tactics
Sniper
References
Extract from Lt Col Anthony B. Herbert's Soldiers handbook
US Army Ranger Handbook section 5-14 for ambushes and 6-11 for reaction to ambushes
Assault tactics
Military tactics
Guerrilla warfare tactics
Military operations by type
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Agarose gel electrophoresis is a method of gel electrophoresis used in biochemistry, molecular biology, genetics, and clinical chemistry to separate a mixed population of macromolecules such as DNA or proteins in a matrix of agarose, one of the two main components of agar. The proteins may be separated by charge and/or size (isoelectric focusing agarose electrophoresis is essentially size independent), and the DNA and RNA fragments by length. Biomolecules are separated by applying an electric field to move the charged molecules through an agarose matrix, and the biomolecules are separated by size in the agarose gel matrix.
Agarose gel is easy to cast, has relatively fewer charged groups, and is particularly suitable for separating DNA of size range most often encountered in laboratories, which accounts for the popularity of its use. The separated DNA may be viewed with stain, most commonly under UV light, and the DNA fragments can be extracted from the gel with relative ease. Most agarose gels used are between 0.7–2% dissolved in a suitable electrophoresis buffer.
Properties of agarose gel
Agarose gel is a three-dimensional matrix formed of helical agarose molecules in supercoiled bundles that are aggregated into three-dimensional structures with channels and pores through which biomolecules can pass. The 3-D structure is held together with hydrogen bonds and can therefore be disrupted by heating back to a liquid state. The melting temperature is different from the gelling temperature, depending on the sources, agarose gel has a gelling temperature of 35–42 °C and a melting temperature of 85–95 °C. Low-melting and low-gelling agaroses made through chemical modifications are also available.
Agarose gel has large pore size and good gel strength, making it suitable as an anticonvection medium for the electrophoresis of DNA and large protein molecules. The pore size of a 1% gel has been estimated from 100 nm to 200–500 nm, and its gel strength allows gels as dilute as 0.15% to form a slab for gel electrophoresis. Low-concentration gels (0.1–0.2%) however are fragile and therefore hard to handle. Agarose gel has lower resolving power than polyacrylamide gel for DNA but has a greater range of separation, and is therefore used for DNA fragments of usually 50–20,000 bp in size. The limit of resolution for standard agarose gel electrophoresis is around 750 kb, but resolution of over 6 Mb is possible with pulsed field gel electrophoresis (PFGE). It can also be used to separate large proteins, and it is the preferred matrix for the gel electrophoresis of particles with effective radii larger than 5–10 nm. A 0.9% agarose gel has pores large enough for the entry of bacteriophage T4.
The agarose polymer contains charged groups, in particular pyruvate and sulphate. These negatively charged groups create a flow of water in the opposite direction to the movement of DNA in a process called electroendosmosis (EEO), and can therefore retard the movement of DNA and cause blurring of bands. Higher concentration gels would have higher electroendosmotic flow. Low EEO agarose is therefore generally preferred for use in agarose gel electrophoresis of nucleic acids, but high EEO agarose may be used for other purposes. The lower sulphate content of low EEO agarose, particularly low-melting point (LMP) agarose, is also beneficial in cases where the DNA extracted from gel is to be used for further manipulation as the presence of contaminating sulphates may affect some subsequent procedures, such as ligation and PCR. Zero EEO agaroses however are undesirable for some applications as they may be made by adding positively charged groups and such groups can affect subsequent enzyme reactions. Electroendosmosis is a reason agarose is used in preference to agar as the agaropectin component in agar contains a significant amount of negatively charged sulphate and carboxyl groups. The removal of agaropectin in agarose substantially reduces the EEO, as well as reducing the non-specific adsorption of biomolecules to the gel matrix. However, for some applications such as the electrophoresis of serum proteins, a high EEO may be desirable, and agaropectin may be added in the gel used.
Migration of nucleic acids in agarose gel
Factors affecting migration of nucleic acid in gel
A number of factors can affect the migration of nucleic acids: the dimension of the gel pores (gel concentration), size of DNA being electrophoresed, the voltage used, the ionic strength of the buffer, and the concentration of intercalating dye such as ethidium bromide if used during electrophoresis.
Smaller molecules travel faster than larger molecules in gel, and double-stranded DNA moves at a rate that is inversely proportional to the logarithm of the number of base pairs. This relationship however breaks down with very large DNA fragments, and separation of very large DNA fragments requires the use of pulsed field gel electrophoresis (PFGE), which applies alternating current from different directions and the large DNA fragments are separated as they reorient themselves with the changing field.
For standard agarose gel electrophoresis, larger molecules are resolved better using a low concentration gel while smaller molecules separate better at high concentration gel. Higher concentration gels, however, require longer run times (sometimes days).
The movement of the DNA may be affected by the conformation of the DNA molecule, for example, supercoiled DNA usually moves faster than relaxed DNA because it is tightly coiled and hence more compact. In a normal plasmid DNA preparation, multiple forms of DNA may be present. Gel electrophoresis of the plasmids would normally show the negatively supercoiled form as the main band, while nicked DNA (open circular form) and the relaxed closed circular form appears as minor bands. The rate at which the various forms move however can change using different electrophoresis conditions, and the mobility of larger circular DNA may be more strongly affected than linear DNA by the pore size of the gel.
Ethidium bromide which intercalates into circular DNA can change the charge, length, as well as the superhelicity of the DNA molecule, therefore its presence in gel during electrophoresis can affect its movement. For example, the positive charge of ethidium bromide can reduce the DNA movement by 15%. Agarose gel electrophoresis can be used to resolve circular DNA with different supercoiling topology.
DNA damage due to increased cross-linking will also reduce electrophoretic DNA migration in a dose-dependent way.
The rate of migration of the DNA is proportional to the voltage applied, i.e. the higher the voltage, the faster the DNA moves. The resolution of large DNA fragments however is lower at high voltage. The mobility of DNA may also change in an unsteady field – in a field that is periodically reversed, the mobility of DNA of a particular size may drop significantly at a particular cycling frequency. This phenomenon can result in band inversion in field inversion gel electrophoresis (FIGE), whereby larger DNA fragments move faster than smaller ones.
Migration anomalies
"Smiley" gels - this edge effect is caused when the voltage applied is too high for the gel concentration used.
Overloading of DNA - overloading of DNA slows down the migration of DNA fragments.
Contamination - presence of impurities, such as salts or proteins can affect the movement of the DNA.
Mechanism of migration and separation
The negative charge of its phosphate backbone moves the DNA towards the positively charged anode during electrophoresis. However, the migration of DNA molecules in solution, in the absence of a gel matrix, is independent of molecular weight during electrophoresis. The gel matrix is therefore responsible for the separation of DNA by size during electrophoresis, and a number of models exist to explain the mechanism of separation of biomolecules in gel matrix. A widely accepted one is the Ogston model which treats the polymer matrix as a sieve. A globular protein or a random coil DNA moves through the interconnected pores, and the movement of larger molecules is more likely to be impeded and slowed down by collisions with the gel matrix, and the molecules of different sizes can therefore be separated in this sieving process.
The Ogston model however breaks down for large molecules whereby the pores are significantly smaller than size of the molecule. For DNA molecules of size greater than 1 kb, a reptation model (or its variants) is most commonly used. This model assumes that the DNA can crawl in a "snake-like" fashion (hence "reptation") through the pores as an elongated molecule. A biased reptation model applies at higher electric field strength, whereby the leading end of the molecule become strongly biased in the forward direction and pulls the rest of the molecule along. Real-time fluorescence microscopy of stained molecules, however, showed more subtle dynamics during electrophoresis, with the DNA showing considerable elasticity as it alternately stretching in the direction of the applied field and then contracting into a ball, or becoming hooked into a U-shape when it gets caught on the polymer fibres.
General procedure
The details of an agarose gel electrophoresis experiment may vary depending on methods, but most follow a general procedure.
Casting of gel
The gel is prepared by dissolving the agarose powder in an appropriate buffer, such as TAE or TBE, to be used in electrophoresis. The agarose is dispersed in the buffer before heating it to near-boiling point, but avoid boiling. The melted agarose is allowed to cool sufficiently before pouring the solution into a cast as the cast may warp or crack if the agarose solution is too hot. A comb is placed in the cast to create wells for loading sample, and the gel should be completely set before use.
The concentration of gel affects the resolution of DNA separation. The agarose gel is composed of microscopic pores through which the molecules travel, and there is an inverse relationship between the pore size of the agarose gel and the concentration – pore size decreases as the density of agarose fibers increases. High gel concentration improves separation of smaller DNA molecules, while lowering gel concentration permits large DNA molecules to be separated. The process allows fragments ranging from 50 base pairs to several mega bases to be separated depending on the gel concentration used. The concentration is measured in weight of agarose over volume of buffer used (g/ml). For a standard agarose gel electrophoresis, a 0.8% gel gives good separation or resolution of large 5–10kb DNA fragments, while 2% gel gives good resolution for small 0.2–1kb fragments. 1% gels is often used for a standard electrophoresis. High percentage gels are often brittle and may not set evenly, while low percentage gels (0.1-0.2%) are fragile and not easy to handle. Low-melting-point (LMP) agarose gels are also more fragile than normal agarose gel. Low-melting point agarose may be used on its own or simultaneously with standard agarose for the separation and isolation of DNA. PFGE and FIGE are often done with high percentage agarose gels.
Loading of samples
Once the gel has set, the comb is removed, leaving wells where DNA samples can be loaded. Loading buffer is mixed with the DNA sample before the mixture is loaded into the wells. The loading buffer contains a dense compound, which may be glycerol, sucrose, or Ficoll, that raises the density of the sample so that the DNA sample may sink to the bottom of the well. If the DNA sample contains residual ethanol after its preparation, it may float out of the well. The loading buffer also includes colored dyes such as xylene cyanol and bromophenol blue used to monitor the progress of the electrophoresis. The DNA samples are loaded using a pipette.
Electrophoresis
Agarose gel electrophoresis is most commonly done horizontally in a subaquaeous mode whereby the slab gel is completely submerged in buffer during electrophoresis. It is also possible, but less common, to perform the electrophoresis vertically, as well as horizontally with the gel raised on agarose legs using an appropriate apparatus. The buffer used in the gel is the same as the running buffer in the electrophoresis tank, which is why electrophoresis in the subaquaeous mode is possible with agarose gel.
For optimal resolution of DNA greater than 2kb in size in standard gel electrophoresis, 5 to 8 V/cm is recommended (the distance in cm refers to the distance between electrodes, therefore this recommended voltage would be 5 to 8 multiplied by the distance between the electrodes in cm). Voltage may also be limited by the fact that it heats the gel and may cause the gel to melt if it is run at high voltage for a prolonged period, especially if the gel used is LMP agarose gel. Too high a voltage may also reduce resolution, as well as causing band streaking for large DNA molecules. Too low a voltage may lead to broadening of band for small DNA fragments due to dispersion and diffusion.
Since DNA is not visible in natural light, the progress of the electrophoresis is monitored using colored dyes. Xylene cyanol (light blue color) comigrates large DNA fragments, while Bromophenol blue (dark blue) comigrates with the smaller fragments. Less commonly used dyes include Cresol Red and Orange G which migrate ahead of bromophenol blue. A DNA marker is also run together for the estimation of the molecular weight of the DNA fragments. Note however that the size of a circular DNA like plasmids cannot be accurately gauged using standard markers unless it has been linearized by restriction digest, alternatively a supercoiled DNA marker may be used.
Staining and visualization
DNA as well as RNA are normally visualized by staining with ethidium bromide, which intercalates into the major grooves of the DNA and fluoresces under UV light. The intercalation depends on the concentration of DNA and thus, a band with high intensity will indicate a higher amount of DNA compared to a band of less intensity. The ethidium bromide may be added to the agarose solution before it gels, or the DNA gel may be stained later after electrophoresis. Destaining of the gel is not necessary but may produce better images. Other methods of staining are available; examples are MIDORI Green, SYBR Green, GelRed, methylene blue, brilliant cresyl blue, Nile blue sulphate, and crystal violet. SYBR Green, GelRed and other similar commercial products are sold as safer alternatives to ethidium bromide as it has been shown to be mutagenic in Ames test, although the carcinogenicity of ethidium bromide has not actually been established. SYBR Green requires the use of a blue-light transilluminator. DNA stained with crystal violet can be viewed under natural light without the use of a UV transilluminator which is an advantage, however it may not produce a strong band.
When stained with ethidium bromide, the gel is viewed with an ultraviolet (UV) transilluminator. The UV light excites the electrons within the aromatic ring of ethidium bromide, and once they return to the ground state, light is released, making the DNA and ethidium bromide complex fluoresce. Standard transilluminators use wavelengths of 302/312-nm (UV-B), however exposure of DNA to UV radiation for as little as 45 seconds can produce damage to DNA and affect subsequent procedures, for example reducing the efficiency of transformation, in vitro transcription, and PCR. Exposure of DNA to UV radiation therefore should be limited. Using a higher wavelength of 365 nm (UV-A range) causes less damage to the DNA but also produces much weaker fluorescence with ethidium bromide. Where multiple wavelengths can be selected in the transilluminator, shorter wavelength can be used to capture images, while longer wavelength should be used if it is necessary to work on the gel for any extended period of time.
The transilluminator apparatus may also contain image capture devices, such as a digital or polaroid camera, that allow an image of the gel to be taken or printed.
For gel electrophoresis of protein, the bands may be visualised with Coomassie or silver stains.
Downstream procedures
The separated DNA bands are often used for further procedures, and a DNA band may be cut out of the gel as a slice, dissolved and purified. Contaminants however may affect some downstream procedures such as PCR, and low melting point agarose may be preferred in some cases as it contains fewer of the sulphates that can affect some enzymatic reactions. The gels may also be used for blotting techniques.
Buffers
In general, the ideal buffer should have good conductivity, produce less heat and have a long life. There are a number of buffers used for agarose electrophoresis; common ones for nucleic acids include Tris/Acetate/EDTA (TAE) and Tris/Borate/EDTA (TBE). The buffers used contain EDTA to inactivate many nucleases which require divalent cation for their function. The borate in TBE buffer can be problematic as borate can polymerize, and/or interact with cis diols such as those found in RNA. TAE has the lowest buffering capacity, but it provides the best resolution for larger DNA. This means a lower voltage and more time, but a better product.
Many other buffers have been proposed, e.g. lithium borate (LB), iso electric histidine, pK matched goods buffers, etc.; in most cases the purported rationale is lower current (less heat) and or matched ion mobilities, which leads to longer buffer life. Tris-phosphate buffer has high buffering capacity but cannot be used if DNA extracted is to be used in phosphate sensitive reaction. LB is relatively new and is ineffective in resolving fragments larger than 5 kbp; However, with its low conductivity, a much higher voltage could be used (up to 35 V/cm), which means a shorter analysis time for routine electrophoresis. As low as one base pair size difference could be resolved in 3% agarose gel with an extremely low conductivity medium (1 mM lithium borate).
Other buffering system may be used in specific applications, for example, barbituric acid-sodium barbiturate or Tris-barbiturate buffers may be used for in agarose gel electrophoresis of proteins, for example in the detection of abnormal distribution of proteins.
Applications
Estimation of the size of DNA molecules following digestion with restriction enzymes, e.g., in restriction mapping of cloned DNA.
Estimation of the DNA concentration by comparing the intensity of the nucleic acid band with the corresponding band of the size marker.
Analysis of products of a polymerase chain reaction (PCR), e.g., in molecular genetic diagnosis or genetic fingerprinting
Separation of DNA fragments for extraction and purification.
Separation of restricted genomic DNA prior to Southern transfer, or of RNA prior to Northern transfer.
Separation of proteins, for example, screening of protein abnormalities in clinical chemistry.
Agarose gels are easily cast and handled compared to other matrices and nucleic acids are not chemically altered during electrophoresis. Samples are also easily recovered. After the experiment is finished, the resulting gel can be stored in a plastic bag in a refrigerator.
Electrophoresis is performed in buffer solutions to reduce pH changes due to the electric field, which is important because the charge of DNA and RNA depends on pH, but running for too long can exhaust the buffering capacity of the solution. Further, different preparations of genetic material may not migrate consistently with each other, for morphological or other reasons.
See also
Gel electrophoresis
Immunodiffusion, Immunoelectrophoresis
SDD-AGE
Northern blot
SDS-polyacrylamide gel electrophoresis
Southern blot
References
External links
How to run a DNA or RNA gel
Animation of gel analysis of DNA restriction fragments
Video and article of agarose gel electrophoresis
Step by step photos of running a gel and extracting DNA
Drinking straw electrophoresis!
A typical method from wikiversity
Building a gel electrophoresis chamber
Biological techniques and tools
Molecular biology
Electrophoresis
Polymerase chain reaction
Articles containing video clips
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Antimicrobial resistance (AMR) occurs when microbes evolve mechanisms that protect them from the effects of antimicrobials (drugs used to treat infections). All classes of microbes can evolve resistance where the drugs are no longer effective. Fungi evolve antifungal resistance. Viruses evolve antiviral resistance. Protozoa evolve antiprotozoal resistance, and bacteria evolve antibiotic resistance. Together all of these come under the umbrella of antimicrobial resistance. Microbes resistant to multiple antimicrobials are called multidrug resistant (MDR) and are sometimes referred to as superbugs. Although antimicrobial resistance is a naturally occurring process, it is often the result of improper usage of the drugs and management of the infections.
Antibiotic resistance is a major subset of AMR, that applies specifically to bacteria that become resistant to antibiotics. Resistance in bacteria can arise naturally by genetic mutation, or by one species acquiring resistance from another. Resistance can appear spontaneously because of random mutations, but also arises through spreading of resistant genes through horizontal gene transfer. However, extended use of antibiotics appears to encourage selection for mutations which can render antibiotics ineffective. Antifungal resistance is a subset of AMR, that specifically applies to fungi that have become resistant to antifungals. Resistance to antifungals can arise naturally, for example by genetic mutation or through aneuploidy. Extended use of antifungals leads to development of antifungal resistance through various mechanisms.
Clinical conditions due to infections caused by microbes containing AMR cause millions of deaths each year. In 2019 there were around 1.27 million deaths globally caused by bacterial AMR. Infections caused by resistant microbes are more difficult to treat, requiring higher doses of antimicrobial drugs, more expensive antibiotics, or alternative medications which may prove more toxic. These approaches may also cost more.
The prevention of antibiotic misuse, which can lead to antibiotic resistance, includes taking antibiotics only when prescribed. Narrow-spectrum antibiotics are preferred over broad-spectrum antibiotics when possible, as effectively and accurately targeting specific organisms is less likely to cause resistance, as well as side effects. For people who take these medications at home, education about proper use is essential. Health care providers can minimize spread of resistant infections by use of proper sanitation and hygiene, including handwashing and disinfecting between patients, and should encourage the same of the patient, visitors, and family members.
Rising drug resistance is caused mainly by use of antimicrobials in humans and other animals, and spread of resistant strains between the two. Growing resistance has also been linked to releasing inadequately treated effluents from the pharmaceutical industry, especially in countries where bulk drugs are manufactured. Antibiotics increase selective pressure in bacterial populations, killing vulnerable bacteria; this increases the percentage of resistant bacteria which continue growing. Even at very low levels of antibiotic, resistant bacteria can have a growth advantage and grow faster than vulnerable bacteria. Similarly, the use of antifungals in agriculture increases selective pressure in fungal populations which triggers the emergence of antifungal resistance. As resistance to antimicrobials becomes more common there is greater need for alternative treatments. Calls for new antimicrobial therapies have been issued, but there is very little development of new drugs which would lead to an improved research process.
Antimicrobial resistance is increasing globally due to increased prescription and dispensing of antibiotic drugs in developing countries. Estimates are that 700,000 to several million deaths result per year and continues to pose a major public health threat worldwide. Each year in the United States, at least 2.8 million people become infected with bacteria that are resistant to antibiotics and at least 35,000 people die and US$55 billion is spent on increased health care costs and lost productivity. According to World Health Organization (WHO) estimates, 350 million deaths could be caused by AMR by 2050. By then, the yearly death toll will be 10 million, according to a United Nations report.
There are public calls for global collective action to address the threat that include proposals for international treaties on antimicrobial resistance. The burden of worldwide antibiotic resistance is not completely identified, but low-and middle- income countries with weaker healthcare systems are more affected, with mortality being the highest in sub-Saharan Africa. During the COVID-19 pandemic, priorities changed with action against antimicrobial resistance slowing due to scientists and governments focusing more on SARS-CoV-2 research. At the same time the threat of AMR has increased during the pandemic.
Definition
The WHO defines antimicrobial resistance as a microorganism's resistance to an antimicrobial drug that was once able to treat an infection by that microorganism. A person cannot become resistant to antibiotics. Resistance is a property of the microbe, not a person or other organism infected by a microbe. All types of microbes can develop drug resistance. Thus, there are antibiotic, antifungal, antiviral and antiparasitic resistance.
Antibiotic resistance is a subset of antimicrobial resistance. This more specific resistance is linked to bacteria and thus broken down into two further subsets, microbiological and clinical. Microbiological resistance is the most common and occurs from genes, mutated or inherited, that allow the bacteria to resist the mechanism to kill the microbe associated with certain antibiotics. Clinical resistance is shown through the failure of many therapeutic techniques where the bacteria that are normally susceptible to a treatment become resistant after surviving the outcome of the treatment. In both cases of acquired resistance, the bacteria can pass the genetic catalyst for resistance through horizontal gene transfer: conjugation, transduction, or transformation. This allows the resistance to spread across the same species of pathogen or even similar bacterial pathogens.
Overview
WHO report released April 2014 stated, "this serious threat is no longer a prediction for the future, it is happening right now in every region of the world and has the potential to affect anyone, of any age, in any country. Antibiotic resistance—when bacteria change so antibiotics no longer work in people who need them to treat infections—is now a major threat to public health."
Global deaths attributable to AMR numbered 1.27 million in 2019. That year, AMR may have contributed to 5 million deaths and one in five people who died due to AMR were children under five years old.
In 2018, WHO considered antibiotic resistance to be one of the biggest threats to global health, food security and development. Deaths attributable to AMR vary by area:
The European Centre for Disease Prevention and Control calculated that in 2015 there were 671,689 infections in the EU and European Economic Area caused by antibiotic-resistant bacteria, resulting in 33,110 deaths. Most were acquired in healthcare settings. In 2019 there were 133,000 deaths caused by AMR.
Causes
Antimicrobial resistance is mainly caused by the overuse/misuse of antimicrobials. This leads to microbes either evolving a defense against drugs used to treat them, or certain strains of microbes that have a natural resistance to antimicrobials becoming much more prevalent than the ones that are easily defeated with medication. While antimicrobial resistance does occur naturally over time, the use of antimicrobial agents in a variety of settings both within the healthcare industry and outside of has led to antimicrobial resistance becoming increasingly more prevalent.
Although many microbes develop resistance to antibiotics over time though natural mutation, overprescribing and inappropriate prescription of antibiotics have accelerated the problem. It is possible that as many as 1 in 3 prescriptions written for antibiotics are unnecessary. Every year, approximately 154 million prescriptions for antibiotics are written. Of these, up to 46 million are unnecessary or inappropriate for the condition that the patient has. Microbes may naturally develop resistance through genetic mutations that occur during cell division, and although random mutations are rare, many microbes reproduce frequently and rapidly, increasing the chances of members of the population acquiring a mutation that increases resistance. Many individuals stop taking antibiotics when they begin to feel better. When this occurs, it is possible that the microbes that are less susceptible to treatment still remain in the body. If these microbes are able to continue to reproduce, this can lead to an infection by bacteria that are less susceptible or even resistant to an antibiotic.
Natural occurrence
Antimicrobial resistance can evolve naturally due to continued exposure to antimicrobials. Natural selection means that organisms that are able to adapt to their environment, survive, and continue to produce offspring. As a result, the types of microorganisms that are able to survive over time with continued attack by certain antimicrobial agents will naturally become more prevalent in the environment, and those without this resistance will become obsolete.
Some contemporary antimicrobial resistances have also evolved naturally before the use of antimicrobials of human clinical uses. For instance, methicillin-resistance evolved as a pathogen of hedgehogs, possibly as a co-evolutionary adaptation of the pathogen to hedgehogs that are infected by a dermatophyte that naturally produces antibiotics. Also, many soil fungi and bacteria are natural competitors and the original antibiotic Penicillin discovered by Alexander Fleming rapidly lost clinical effectiveness in treating humans and, furthermore, none of the other natural penicillins (F, K, N, X, O, U1 or U6) are currently in clinical use.
Antimicrobial resistance can be acquired from other microbes through swapping genes in a process termed horizontal gene transfer. This means that once a gene for resistance to an antibiotic appears in a microbial community, it can then spread to other microbes in the community, potentially moving from a non-disease causing microbe to a disease-causing microbe. This process is heavily driven by the “natural selection” processes that happen during antibiotic use or misuse.
Over time, most of the strains of bacteria and infections present will be the type resistant to the antimicrobial agent being used to treat them, making this agent now ineffective to defeat most microbes. With the increased use of antimicrobial agents, there is a speeding up of this natural process.
Self-medication
In 89% of countries, antibiotics can only be prescribed by a doctor and supplied by a pharmacy. Self-medication by consumers is defined as "the taking of medicines on one's own initiative or on another person's suggestion, who is not a certified medical professional", and it has been identified as one of the primary reasons for the evolution of antimicrobial resistance. Self-medication with antibiotics is an unsuitable way of using them but a common practice in resource-constrained countries. The practice exposes individuals to the risk of bacteria that have developed antimicrobial resistance. Many people resort to this out of necessity, when access to a physician is unavailable due to lockdowns and GP surgery closures, or when the patients have a limited amount of time or money to see a prescribing doctor. This increased access makes it extremely easy to obtain antimicrobials and an example is India, where in the state of Punjab 73% of the population resorted to treating their minor health issues and chronic illnesses through self-medication.
Self-medication is higher outside the hospital environment, and this is linked to higher use of antibiotics, with the majority of antibiotics being used in the community rather than hospitals. The prevalence of self-medication in low- and middle-income countries (LMICs) ranges from 8.1% to very high at 93%. Accessibility, affordability, and conditions of health facilities, as well as the health-seeking behavior, are factors that influence self-medication in low- and middle-income countries (LMICs). Two significant issues with self-medication are the lack of knowledge of the public on, firstly, the dangerous effects of certain antimicrobials (for example ciprofloxacin which can cause tendonitis, tendon rupture and aortic dissection) and, secondly, broad microbial resistance and when to seek medical care if the infection is not clearing. In order to determine the public's knowledge and preconceived notions on antibiotic resistance, a screening of 3,537 articles published in Europe, Asia, and North America was done. Of the 55,225 total people surveyed in the articles, 70% had heard of antibiotic resistance previously, but 88% of those people thought it referred to some type of physical change in the human body. With so many people around the world with the ability to self-medicate using antibiotics, and a vast majority unaware of what antimicrobial resistance is, it makes the increase of antimicrobial resistance and its global negative impact much more likely.
Clinical misuse
Clinical misuse by healthcare professionals is another contributor to increased antimicrobial resistance. Studies done in the US show that the indication for treatment of antibiotics, choice of the agent used, and the duration of therapy was incorrect in up to 50% of the cases studied. In 2010 and 2011 about a third of antibiotic prescriptions in outpatient settings in the United States were not necessary. Another study in an intensive care unit in a major hospital in France has shown that 30% to 60% of prescribed antibiotics were unnecessary. These inappropriate uses of antimicrobial agents promote the evolution of antimicrobial resistance by supporting the bacteria in developing genetic alterations that lead to resistance.
According to research conducted in the USA that aimed to evaluate physicians' attitudes and knowledge on antimicrobial resistance in ambulatory settings, only 63% of those surveyed reported antibiotic resistance as a problem in their local practices, while 23% reported the aggressive prescription of antibiotics as necessary to avoid failing to provide adequate care. This demonstrates how a majority of doctors underestimate the impact that their own prescribing habits have on antimicrobial resistance as a whole. It also confirms that some physicians may be overly cautious and prescribe antibiotics for both medical or legal reasons, even when clinical indications for use of these medications are not always confirmed. This can lead to unnecessary antimicrobial use, a pattern which may have worsened during the COVID-19 pandemic.
Studies have shown that common misconceptions about the effectiveness and necessity of antibiotics to treat common mild illnesses contribute to their overuse.
Pandemics, disinfectants and healthcare systems
Increased antibiotic use during the early waves of the COVID-19 pandemic may exacerbate this global health challenge. Moreover, pandemic burdens on some healthcare systems may contribute to antibiotic-resistant infections. On the other hand, "increased hand hygiene, decreased international travel, and decreased elective hospital procedures may have reduced AMR pathogen selection and spread in the short term" during the COVID-19 pandemic. The use of disinfectants such as alcohol-based hand sanitizers, and antiseptic hand wash may also have the potential to increase antimicrobial resistance. Extensive use of disinfectants can lead to mutations that induce antimicrobial resistance.
Environmental pollution
Untreated effluents from pharmaceutical manufacturing industries, hospitals and clinics, and inappropriate disposal of unused or expired medication can expose microbes in the environment to antibiotics and trigger the evolution of resistance.
Food production
Livestock
The antimicrobial resistance crisis also extends to the food industry, specifically with food producing animals. With an ever-increasing human population, there is constant pressure to intensify productivity in many agricultural sectors, including the production of meat as a source of protein. Antibiotics are fed to livestock to act as growth supplements, and a preventative measure to decrease the likelihood of infections.
This can result in the transfer of resistant bacterial strains into the food that humans eat, causing potentially fatal transfer of disease. While the practice of using antibiotics as growth promoters does result in better yields and meat products, it is a major issue and needs to be decreased in order to prevent antimicrobial resistance. Though the evidence linking antimicrobial usage in livestock to antimicrobial resistance is limited, the World Health Organization Advisory Group on Integrated Surveillance of Antimicrobial Resistance strongly recommended the reduction of use of medically important antimicrobials in livestock. Additionally, the Advisory Group stated that such antimicrobials should be expressly prohibited for both growth promotion and disease prevention in food producing animals.
By mapping antimicrobial consumption in livestock globally, it was predicted that in 228 countries there would be a total 67% increase in consumption of antibiotics by livestock by 2030. In some countries such as Brazil, Russia, India, China, and South Africa it is predicted that a 99% increase will occur. Several countries have restricted the use of antibiotics in livestock, including Canada, China, Japan, and the US. These restrictions are sometimes associated with a reduction of the prevalence of antimicrobial resistance in humans.
Pesticides
Most pesticides protect crops against insects and plants, but in some cases antimicrobial pesticides are used to protect against various microorganisms such as bacteria, viruses, fungi, algae, and protozoa. The overuse of many pesticides in an effort to have a higher yield of crops has resulted in many of these microbes evolving a tolerance against these antimicrobial agents. Currently there are over 4000 antimicrobial pesticides registered with the US Environmental Protection Agency (EPA) and sold to market, showing the widespread use of these agents. It is estimated that for every single meal a person consumes, 0.3 g of pesticides is used, as 90% of all pesticide use is in agriculture. A majority of these products are used to help defend against the spread of infectious diseases, and hopefully protect public health. But out of the large amount of pesticides used, it is also estimated that less than 0.1% of those antimicrobial agents, actually reach their targets. That leaves over 99% of all pesticides used available to contaminate other resources. In soil, air, and water these antimicrobial agents are able to spread, coming in contact with more microorganisms and leading to these microbes evolving mechanisms to tolerate and further resist pesticides. The use of antifungal azole pesticides that drive environmental azole resistance have been linked to azole resistance cases in the clinical setting. The same issues confront the novel antifungal classes (e.g. orotomides) which are again being used in both the clinic and agriculture.
Prevention
There have been increasing public calls for global collective action to address the threat, including a proposal for an international treaty on antimicrobial resistance. Further detail and attention is still needed in order to recognize and measure trends in resistance on the international level; the idea of a global tracking system has been suggested but implementation has yet to occur. A system of this nature would provide insight to areas of high resistance as well as information necessary for evaluating programs, introducing interventions and other changes made to fight or reverse antibiotic resistance.
Duration of antimicrobials
Delaying or minimizing the use of antibiotics for certain conditions may help safely reduce their use. Antimicrobial treatment duration should be based on the infection and other health problems a person may have. For many infections once a person has improved there is little evidence that stopping treatment causes more resistance. Some, therefore, feel that stopping early may be reasonable in some cases. Other infections, however, do require long courses regardless of whether a person feels better.
Delaying antibiotics for ailments such as a sore throat and otitis media may have not different in the rate of complications compared with immediate antibiotics, for example. When treating respiratory tract infections, clinical judgement is required as to the appropriate treatment (delayed or immediate antibiotic use).
Monitoring and mapping
There are multiple national and international monitoring programs for drug-resistant threats, including methicillin-resistant Staphylococcus aureus (MRSA), vancomycin-resistant S. aureus (VRSA), extended spectrum beta-lactamase (ESBL) producing Enterobacterales, vancomycin-resistant Enterococcus (VRE), and multidrug-resistant Acinetobacter baumannii (MRAB).
ResistanceOpen is an online global map of antimicrobial resistance developed by HealthMap which displays aggregated data on antimicrobial resistance from publicly available and user submitted data. The website can display data for a radius from a location. Users may submit data from antibiograms for individual hospitals or laboratories. European data is from the EARS-Net (European Antimicrobial Resistance Surveillance Network), part of the ECDC. ResistanceMap is a website by the Center for Disease Dynamics, Economics & Policy and provides data on antimicrobial resistance on a global level.
By comparison there is a lack of national and international monitoring programs for antifungal resistance.
Limiting antimicrobial use in humans
Antimicrobial stewardship programmes appear useful in reducing rates of antimicrobial resistance. The antimicrobial stewardship program will also provide pharmacists with the knowledge to educate patients that antibiotics will not work for a virus for example.
Excessive antimicrobial use has become one of the top contributors to the evolution of antimicrobial resistance. Since the beginning of the antimicrobial era, antimicrobials have been used to treat a wide range of infectious diseases. Overuse of antimicrobials has become the primary cause of rising levels of antimicrobial resistance. The main problem is that doctors are willing to prescribe antimicrobials to ill-informed individuals who believe that antimicrobials can cure nearly all illnesses, including viral infections like the common cold. In an analysis of drug prescriptions, 36% of individuals with a cold or an upper respiratory infection (both usually viral in origin) were given prescriptions for antibiotics. These prescriptions accomplished nothing other than increasing the risk of further evolution of antibiotic resistant bacteria. Using antimicrobials without prescription is another driving force leading to the overuse of antibiotics to self-treat diseases like the common cold, cough, fever, and dysentery resulting in an epidemic of antibiotic resistance in countries like Bangladesh, risking its spread around the globe. Introducing strict antibiotic stewardship in the outpatient setting to reduce inappropriate prescribing of antibiotics may reduce the emerging bacterial resistance.
The WHO AWaRe (Access, Watch, Reserve) antibiotic book has been introduced to guide antibiotic choice for the 30 most common infections in adults and children to reduce inappropriate prescribing in primary care and hospitals. Narrow spectrum antibiotics are preferred due to their lower resistance potential and broad-spectrum antibiotics are only recommended for people with more severe symptoms. Some antibiotics are more likely to confer resistance, so are kept as reserve antibiotics in the AWaRe book.
Various diagnostic strategies have been employed to prevent the overuse of antifungal therapy in the clinic, proving a safe alternative to empirical antifungal therapy, and thus underpinning antifungal stewardship schemes.
At the hospital level
Antimicrobial stewardship teams in hospitals are encouraging optimal use of antimicrobials. The goals of antimicrobial stewardship are to help practitioners pick the right drug at the right dose and duration of therapy while preventing misuse and minimizing the development of resistance. Stewardship interventions may reduce the length of stay by an average of slightly over 1 day while not increasing the risk of death.
At the primary care level
Given the volume of care provided in primary care (general practice), recent strategies have focused on reducing unnecessary antimicrobial prescribing in this setting. Simple interventions, such as written information explaining when taking antibiotics is not necessary, for example in common infections of the upper respiratory tract, have been shown to reduce antibiotic prescribing. Various tools are also available to help professionals decide if prescribing antimicrobials is necessary.
Parental expectations, driven by the worry for their children's health, can influence how often children are prescribed antibiotics. Parents often rely on their clinician for advice and reassurance. However a lack of plain language information and not having adequate time for consultation negatively impacts this relationship. In effect parents often rely on past experiences in their expectations rather than reassurance from the clinician. Adequate time for consultation and plain language information can help parents make informed decisions and avoid unnecessary antibiotic use.
The prescriber should closely adhere to the five rights of drug administration: the right patient, the right drug, the right dose, the right route, and the right time. Microbiological samples should be taken for culture and sensitivity testing before treatment when indicated and treatment potentially changed based on the susceptibility report.
Health workers and pharmacists can help tackle antibiotic resistance by: enhancing infection prevention and control; only prescribing and dispensing antibiotics when they are truly needed; prescribing and dispensing the right antibiotic(s) to treat the illness.
At the individual level
People can help tackle resistance by using antibiotics only when prescribed by a doctor; completing the full prescription, never sharing antibiotics with others or using leftover prescriptions.
Country examples
The Netherlands has the lowest rate of antibiotic prescribing in the OECD, at a rate of 11.4 defined daily doses (DDD) per 1,000 people per day in 2011. The defined daily dose (DDD) is a statistical measure of drug consumption, defined by the World Health Organization (WHO).
Germany and Sweden also have lower prescribing rates, with Sweden's rate having been declining since 2007.
Greece, France and Belgium have high prescribing rates for antibiotics of more than 28 DDD.
Water, sanitation, hygiene
Infectious disease control through improved water, sanitation and hygiene (WASH) infrastructure needs to be included in the antimicrobial resistance (AMR) agenda. The "Interagency Coordination Group on Antimicrobial Resistance" stated in 2018 that "the spread of pathogens through unsafe water results in a high burden of gastrointestinal disease, increasing even further the need for antibiotic treatment." This is particularly a problem in developing countries where the spread of infectious diseases caused by inadequate WASH standards is a major driver of antibiotic demand. Growing usage of antibiotics together with persistent infectious disease levels have led to a dangerous cycle in which reliance on antimicrobials increases while the efficacy of drugs diminishes. The proper use of infrastructure for water, sanitation and hygiene (WASH) can result in a 47–72 percent decrease of diarrhea cases treated with antibiotics depending on the type of intervention and its effectiveness. A reduction of the diarrhea disease burden through improved infrastructure would result in large decreases in the number of diarrhea cases treated with antibiotics. This was estimated as ranging from 5 million in Brazil to up to 590 million in India by the year 2030. The strong link between increased consumption and resistance indicates that this will directly mitigate the accelerating spread of AMR. Sanitation and water for all by 2030 is Goal Number 6 of the Sustainable Development Goals.
An increase in hand washing compliance by hospital staff results in decreased rates of resistant organisms.
Water supply and sanitation infrastructure in health facilities offer significant co-benefits for combatting AMR, and investment should be increased. There is much room for improvement: WHO and UNICEF estimated in 2015 that globally 38% of health facilities did not have a source of water, nearly 19% had no toilets and 35% had no water and soap or alcohol-based hand rub for handwashing.
Industrial wastewater treatment
Manufacturers of antimicrobials need to improve the treatment of their wastewater (by using industrial wastewater treatment processes) to reduce the release of residues into the environment.
Limiting antimicrobial use in animals and farming
It is established that the use of antibiotics in animal husbandry can give rise to AMR resistances in bacteria found in food animals to the antibiotics being administered (through injections or medicated feeds). For this reason only antimicrobials that are deemed "not-clinically relevant" are used in these practices.
Unlike resistance to antibacterials, antifungal resistance can be driven by arable farming, currently there is no regulation on the use of similar antifungal classes in agriculture and the clinic.
Recent studies have shown that the prophylactic use of "non-priority" or "non-clinically relevant" antimicrobials in feeds can potentially, under certain conditions, lead to co-selection of environmental AMR bacteria with resistance to medically important antibiotics. The possibility for co-selection of AMR resistances in the food chain pipeline may have far-reaching implications for human health.
Country examples
Europe
In 1997, European Union health ministers voted to ban avoparcin and four additional antibiotics used to promote animal growth in 1999. In 2006 a ban on the use of antibiotics in European feed, with the exception of two antibiotics in poultry feeds, became effective. In Scandinavia, there is evidence that the ban has led to a lower prevalence of antibiotic resistance in (nonhazardous) animal bacterial populations. As of 2004, several European countries established a decline of antimicrobial resistance in humans through limiting the use of antimicrobials in agriculture and food industries without jeopardizing animal health or economic cost.
United States
The United States Department of Agriculture (USDA) and the Food and Drug Administration (FDA) collect data on antibiotic use in humans and in a more limited fashion in animals. The FDA first determined in 1977 that there is evidence of emergence of antibiotic-resistant bacterial strains in livestock. The long-established practice of permitting OTC sales of antibiotics (including penicillin and other drugs) to lay animal owners for administration to their own animals nonetheless continued in all states.
In 2000, the FDA announced their intention to revoke approval of fluoroquinolone use in poultry production because of substantial evidence linking it to the emergence of fluoroquinolone-resistant Campylobacter infections in humans. Legal challenges from the food animal and pharmaceutical industries delayed the final decision to do so until 2006. Fluroquinolones have been banned from extra-label use in food animals in the USA since 2007. However, they remain widely used in companion and exotic animals.
Global action plans and awareness
The increasing interconnectedness of the world and the fact that new classes of antibiotics have not been developed and approved for more than 25 years highlight the extent to which antimicrobial resistance is a global health challenge. A global action plan to tackle the growing problem of resistance to antibiotics and other antimicrobial medicines was endorsed at the Sixty-eighth World Health Assembly in May 2015. One of the key objectives of the plan is to improve awareness and understanding of antimicrobial resistance through effective communication, education and training. This global action plan developed by the World Health Organization was created to combat the issue of antimicrobial resistance and was guided by the advice of countries and key stakeholders. The WHO's global action plan is composed of five key objectives that can be targeted through different means, and represents countries coming together to solve a major problem that can have future health consequences. These objectives are as follows:
improve awareness and understanding of antimicrobial resistance through effective communication, education and training.
strengthen the knowledge and evidence base through surveillance and research.
reduce the incidence of infection through effective sanitation, hygiene and infection prevention measures.
optimize the use of antimicrobial medicines in human and animal health.
develop the economic case for sustainable investment that takes account of the needs of all countries and to increase investment in new medicines, diagnostic tools, vaccines and other interventions.
Steps towards progress
React based in Sweden has produced informative material on AMR for the general public.
Videos are being produced for the general public to generate interest and awareness.
The Irish Department of Health published a National Action Plan on Antimicrobial Resistance in October 2017. The Strategy for the Control of Antimicrobial Resistance in Ireland (SARI), Iaunched in 2001 developed Guidelines for Antimicrobial Stewardship in Hospitals in Ireland in conjunction with the Health Protection Surveillance Centre, these were published in 2009. Following their publication a public information campaign 'Action on Antibiotics' was launched to highlight the need for a change in antibiotic prescribing. Despite this, antibiotic prescribing remains high with variance in adherence to guidelines.
The United Kingdom published a 20-year vision for antimicrobial resistance that sets out the goal of containing and controlling AMR by 2040. The vision is supplemented by a 5-year action plan running from 2019 to 2024, building on the previous action plan (2013-2018).
Antibiotic Awareness Week
The World Health Organization has promoted the first World Antibiotic Awareness Week running from 16 to 22 November 2015. The aim of the week is to increase global awareness of antibiotic resistance. It also wants to promote the correct usage of antibiotics across all fields in order to prevent further instances of antibiotic resistance.
World Antibiotic Awareness Week has been held every November since 2015. For 2017, the Food and Agriculture Organization of the United Nations (FAO), the World Health Organization (WHO) and the World Organisation for Animal Health (OIE) are together calling for responsible use of antibiotics in humans and animals to reduce the emergence of antibiotic resistance.
United Nations
In 2016 the Secretary-General of the United Nations convened the Interagency Coordination Group (IACG) on Antimicrobial Resistance. The IACG worked with international organizations and experts in human, animal, and plant health to create a plan to fight antimicrobial resistance. Their report released in April 2019 highlights the seriousness of antimicrobial resistance and the threat it poses to world health. It suggests five recommendations for member states to follow in order to tackle this increasing threat. The IACG recommendations are as follows:
Accelerate progress in countries
Innovate to secure the future
Collaborate for more effective action
Invest for a sustainable response
Strengthen accountability and global governance
Mechanisms and organisms
Bacteria
The five main mechanisms by which bacteria exhibit resistance to antibiotics are:
Drug inactivation or modification: for example, enzymatic deactivation of penicillin G in some penicillin-resistant bacteria through the production of β-lactamases. Drugs may also be chemically modified through the addition of functional groups by transferase enzymes; for example, acetylation, phosphorylation, or adenylation are common resistance mechanisms to aminoglycosides. Acetylation is the most widely used mechanism and can affect a number of drug classes.
Alteration of target- or binding site: for example, alteration of PBP—the binding target site of penicillins—in MRSA and other penicillin-resistant bacteria. Another protective mechanism found among bacterial species is ribosomal protection proteins. These proteins protect the bacterial cell from antibiotics that target the cell's ribosomes to inhibit protein synthesis. The mechanism involves the binding of the ribosomal protection proteins to the ribosomes of the bacterial cell, which in turn changes its conformational shape. This allows the ribosomes to continue synthesizing proteins essential to the cell while preventing antibiotics from binding to the ribosome to inhibit protein synthesis.
Alteration of metabolic pathway: for example, some sulfonamide-resistant bacteria do not require para-aminobenzoic acid (PABA), an important precursor for the synthesis of folic acid and nucleic acids in bacteria inhibited by sulfonamides, instead, like mammalian cells, they turn to using preformed folic acid.
Reduced drug accumulation: by decreasing drug permeability or increasing active efflux (pumping out) of the drugs across the cell surface These pumps within the cellular membrane of certain bacterial species are used to pump antibiotics out of the cell before they are able to do any damage. They are often activated by a specific substrate associated with an antibiotic, as in fluoroquinolone resistance.
Ribosome splitting and recycling: for example, drug-mediated stalling of the ribosome by lincomycin and erythromycin unstalled by a heat shock protein found in Listeria monocytogenes, which is a homologue of HflX from other bacteria. Liberation of the ribosome from the drug allows further translation and consequent resistance to the drug.
There are several different types of germs that have developed a resistance over time.
The six pathogens causing most deaths associated with resistance are Escherichia coli, Staphylococcus aureus, Klebsiella pneumoniae, Streptococcus pneumoniae, Acinetobacter baumannii, and Pseudomonas aeruginosa. They were responsible for 929,000 deaths attributable to resistance and 3.57 million deaths associated with resistance in 2019.
Penicillinase-producing Neisseria gonorrhoeae developed a resistance to penicillin in 1976. Another example is Azithromycin-resistant Neisseria gonorrhoeae, which developed a resistance to azithromycin in 2011.
In gram-negative bacteria, plasmid-mediated resistance genes produce proteins that can bind to DNA gyrase, protecting it from the action of quinolones. Finally, mutations at key sites in DNA gyrase or topoisomerase IV can decrease their binding affinity to quinolones, decreasing the drug's effectiveness.
Some bacteria are naturally resistant to certain antibiotics; for example, gram-negative bacteria are resistant to most β-lactam antibiotics due to the presence of β-lactamase. Antibiotic resistance can also be acquired as a result of either genetic mutation or horizontal gene transfer. Although mutations are rare, with spontaneous mutations in the pathogen genome occurring at a rate of about 1 in 105 to 1 in 108 per chromosomal replication, the fact that bacteria reproduce at a high rate allows for the effect to be significant. Given that lifespans and production of new generations can be on a timescale of mere hours, a new (de novo) mutation in a parent cell can quickly become an inherited mutation of widespread prevalence, resulting in the microevolution of a fully resistant colony. However, chromosomal mutations also confer a cost of fitness. For example, a ribosomal mutation may protect a bacterial cell by changing the binding site of an antibiotic but may result in slower growth rate. Moreover, some adaptive mutations can propagate not only through inheritance but also through horizontal gene transfer. The most common mechanism of horizontal gene transfer is the transferring of plasmids carrying antibiotic resistance genes between bacteria of the same or different species via conjugation. However, bacteria can also acquire resistance through transformation, as in Streptococcus pneumoniae uptaking of naked fragments of extracellular DNA that contain antibiotic resistance genes to streptomycin, through transduction, as in the bacteriophage-mediated transfer of tetracycline resistance genes between strains of S. pyogenes, or through gene transfer agents, which are particles produced by the host cell that resemble bacteriophage structures and are capable of transferring DNA.
Antibiotic resistance can be introduced artificially into a microorganism through laboratory protocols, sometimes used as a selectable marker to examine the mechanisms of gene transfer or to identify individuals that absorbed a piece of DNA that included the resistance gene and another gene of interest.
Recent findings show no necessity of large populations of bacteria for the appearance of antibiotic resistance. Small populations of Escherichia coli in an antibiotic gradient can become resistant. Any heterogeneous environment with respect to nutrient and antibiotic gradients may facilitate antibiotic resistance in small bacterial populations. Researchers hypothesize that the mechanism of resistance evolution is based on four SNP mutations in the genome of E. coli produced by the gradient of antibiotic.
In one study, which has implications for space microbiology, a non-pathogenic strain E. coli MG1655 was exposed to trace levels of the broad spectrum antibiotic chloramphenicol, under simulated microgravity (LSMMG, or Low Shear Modeled Microgravity) over 1000 generations. The adapted strain acquired resistance to not only chloramphenicol, but also cross-resistance to other antibiotics; this was in contrast to the observation on the same strain, which was adapted to over 1000 generations under LSMMG, but without any antibiotic exposure; the strain in this case did not acquire any such resistance. Thus, irrespective of where they are used, the use of an antibiotic would likely result in persistent resistance to that antibiotic, as well as cross-resistance to other antimicrobials.
In recent years, the emergence and spread of β-lactamases called carbapenemases has become a major health crisis. One such carbapenemase is New Delhi metallo-beta-lactamase 1 (NDM-1), an enzyme that makes bacteria resistant to a broad range of beta-lactam antibiotics. The most common bacteria that make this enzyme are gram-negative such as E. coli and Klebsiella pneumoniae, but the gene for NDM-1 can spread from one strain of bacteria to another by horizontal gene transfer.
Viruses
Specific antiviral drugs are used to treat some viral infections. These drugs prevent viruses from reproducing by inhibiting essential stages of the virus's replication cycle in infected cells. Antivirals are used to treat HIV, hepatitis B, hepatitis C, influenza, herpes viruses including varicella zoster virus, cytomegalovirus and Epstein–Barr virus. With each virus, some strains have become resistant to the administered drugs.
Antiviral drugs typically target key components of viral reproduction; for example, oseltamivir targets influenza neuraminidase, while guanosine analogs inhibit viral DNA polymerase. Resistance to antivirals is thus acquired through mutations in the genes that encode the protein targets of the drugs.
Resistance to HIV antivirals is problematic, and even multi-drug resistant strains have evolved. One source of resistance is that many current HIV drugs, including NRTIs and NNRTIs, target reverse transcriptase; however, HIV-1 reverse transcriptase is highly error prone and thus mutations conferring resistance arise rapidly. Resistant strains of the HIV virus emerge rapidly if only one antiviral drug is used. Using three or more drugs together, termed combination therapy, has helped to control this problem, but new drugs are needed because of the continuing emergence of drug-resistant HIV strains.
Fungi
Infections by fungi are a cause of high morbidity and mortality in immunocompromised persons, such as those with HIV/AIDS, tuberculosis or receiving chemotherapy. The fungi Candida, Cryptococcus neoformans and Aspergillus fumigatus cause most of these infections and antifungal resistance occurs in all of them. Multidrug resistance in fungi is increasing because of the widespread use of antifungal drugs to treat infections in immunocompromised individuals and the use of some agricultural antifungals. Antifungal resistant disease is associated with increased mortality.
Some fungi (e.g. Candida krusei and fluconazole) exhibit intrinsic resistance to certain antifungal drugs or classes, whereas some species develop antifungal resistance to external pressures. Antifungal resistance is a One Health concern, driven by multiple extrinsic factors, including extensive fungicidal use, overuse of clinical antifungals, environmental change and host factors.
In the USA fluconazole-resistant Candida species and azole resistance in Aspergillus fumigatus have been highlighted as a growing threat.
More than 20 species of Candida can cause candidiasis infection, the most common of which is Candida albicans. Candida yeasts normally inhabit the skin and mucous membranes without causing infection. However, overgrowth of Candida can lead to candidiasis. Some Candida species (e.g. Candida glabrata) are becoming resistant to first-line and second-line antifungal agents such as echinocandins and azoles.
The emergence of Candida auris as a potential human pathogen that sometimes exhibits multi-class antifungal drug resistance is concerning and has been associated with several outbreaks globally. The WHO has released a priority fungal pathogen list, including pathogens with antifungal resistance.
The identification of antifungal resistance is undermined by limited classical diagnosis of infection, where a culture is lacking, preventing susceptibility testing. National and international surveillance schemes for fungal disease and antifungal resistance are limited, hampering the understanding of the disease burden and associated resistance. The application of molecular testing to identify genetic markers associating with resistance may improve the identification of antifungal resistance, but the diversity of mutations associated with resistance is increasing across the fungal species causing infection. In addition, a number of resistance mechanisms depend on up-regulation of selected genes (for instance reflux pumps) rather than defined mutations that are amenable to molecular detection.
Due to the limited number of antifungals in clinical use and the increasing global incidence of antifungal resistance, using the existing antifungals in combination might be beneficial in some cases but further research is needed. Similarly, other approaches that might help to combat the emergence of antifungal resistance could rely on the development of host-directed therapies such as immunotherapy or vaccines.
Parasites
The protozoan parasites that cause the diseases malaria, trypanosomiasis, toxoplasmosis, cryptosporidiosis and leishmaniasis are important human pathogens.
Malarial parasites that are resistant to the drugs that are currently available to infections are common and this has led to increased efforts to develop new drugs. Resistance to recently developed drugs such as artemisinin has also been reported. The problem of drug resistance in malaria has driven efforts to develop vaccines.
Trypanosomes are parasitic protozoa that cause African trypanosomiasis and Chagas disease (American trypanosomiasis). There are no vaccines to prevent these infections so drugs such as pentamidine and suramin, benznidazole and nifurtimox are used to treat infections. These drugs are effective but infections caused by resistant parasites have been reported.
Leishmaniasis is caused by protozoa and is an important public health problem worldwide, especially in sub-tropical and tropical countries. Drug resistance has "become a major concern".
Global and genomic data
In 2022, genomic epidemiologists reported results from a global survey of antimicrobial resistance via genomic wastewater-based epidemiology, finding large regional variations, providing maps, and suggesting resistance genes are also passed on between microbial species that are not closely related. The WHO provides the Global Antimicrobial Resistance and Use Surveillance System (GLASS) reports which summarize annual (e.g. 2020's) data on international AMR, also including an interactive dashboard.
Epidemiology
United Kingdom
Public Health England reported that the total number of antibiotic resistant infections in England rose by 9% from 55,812 in 2017 to 60,788 in 2018, but antibiotic consumption had fallen by 9% from 20.0 to 18.2 defined daily doses per 1,000 inhabitants per day between 2014 and 2018.
United States
The Centers for Disease Control and Prevention reported that more than 2.8 million cases of antibiotic resistance have been reported. However, in 2019 overall deaths from antibiotic-resistant infections decreased by 18% and deaths in hospitals decreased by 30%.
The COVID pandemic caused a reversal of much of the progress made on attenuating the effects of antibiotic resistance, resulting in more antibiotic use, more resistant infections, and less data on preventative action. Hospital-onset infections and deaths both increased by 15% in 2020, and significantly higher rates of infections were reported for 4 out of 6 types of healthcare associated infections.
History
The 1950s to 1970s represented the golden age of antibiotic discovery, where countless new classes of antibiotics were discovered to treat previously incurable diseases such as tuberculosis and syphilis. However, since that time the discovery of new classes of antibiotics has been almost nonexistent, and represents a situation that is especially problematic considering the resiliency of bacteria shown over time and the continued misuse and overuse of antibiotics in treatment.
The phenomenon of antimicrobial resistance caused by overuse of antibiotics was predicted as early as 1945 by Alexander Fleming who said "The time may come when penicillin can be bought by anyone in the shops. Then there is the danger that the ignorant man may easily under-dose himself and by exposing his microbes to nonlethal quantities of the drug make them resistant." Without the creation of new and stronger antibiotics an era where common infections and minor injuries can kill, and where complex procedures such as surgery and chemotherapy become too risky, is a very real possibility. Antimicrobial resistance can lead to epidemics of enormous proportions if preventive actions are not taken. In this day and age current antimicrobial resistance leads to longer hospital stays, higher medical costs, and increased mortality.
Society and culture
Innovation policy
Since the mid-1980s pharmaceutical companies have invested in medications for cancer or chronic disease that have greater potential to make money and have "de-emphasized or dropped development of antibiotics". On 20 January 2016 at the World Economic Forum in Davos, Switzerland, more than "80 pharmaceutical and diagnostic companies" from around the world called for "transformational commercial models" at a global level to spur research and development on antibiotics and on the "enhanced use of diagnostic tests that can rapidly identify the infecting organism". A number of countries are considering or implementing delinked payment models for new antimicrobials whereby payment is based on value rather than volume of drug sales. This offers the opportunity to pay for valuable new drugs even if they are reserved for use in relatively rare drug resistant infections.
Legal frameworks
Some global health scholars have argued that a global, legal framework is needed to prevent and control antimicrobial resistance. For instance, binding global policies could be used to create antimicrobial use standards, regulate antibiotic marketing, and strengthen global surveillance systems. Ensuring compliance of involved parties is a challenge. Global antimicrobial resistance policies could take lessons from the environmental sector by adopting strategies that have made international environmental agreements successful in the past such as: sanctions for non-compliance, assistance for implementation, majority vote decision-making rules, an independent scientific panel, and specific commitments.
United States
For the United States 2016 budget, U.S. president Barack Obama proposed to nearly double the amount of federal funding to "combat and prevent" antibiotic resistance to more than $1.2 billion. Many international funding agencies like USAID, DFID, SIDA and Bill & Melinda Gates Foundation have pledged money for developing strategies to counter antimicrobial resistance.
On 27 March 2015, the White House released a comprehensive plan to address the increasing need for agencies to combat the rise of antibiotic-resistant bacteria. The Task Force for Combating Antibiotic-Resistant Bacteria developed The National Action Plan for Combating Antibiotic-Resistant Bacteria with the intent of providing a roadmap to guide the US in the antibiotic resistance challenge and with hopes of saving many lives. This plan outlines steps taken by the Federal government over the next five years needed in order to prevent and contain outbreaks of antibiotic-resistant infections; maintain the efficacy of antibiotics already on the market; and to help to develop future diagnostics, antibiotics, and vaccines.
The Action Plan was developed around five goals with focuses on strengthening health care, public health veterinary medicine, agriculture, food safety and research, and manufacturing. These goals, as listed by the White House, are as follows:
Slow the Emergence of Resistant Bacteria and Prevent the Spread of Resistant Infections
Strengthen National One-Health Surveillance Efforts to Combat Resistance
Advance Development and use of Rapid and Innovative Diagnostic Tests for Identification and Characterization of Resistant Bacteria
Accelerate Basic and Applied Research and Development for New Antibiotics, Other Therapeutics, and Vaccines
Improve International Collaboration and Capacities for Antibiotic Resistance Prevention, Surveillance, Control and Antibiotic Research and Development
The following are goals set to meet by 2020:
Establishment of antimicrobial programs within acute care hospital settings
Reduction of inappropriate antibiotic prescription and use by at least 50% in outpatient settings and 20% inpatient settings
Establishment of State Antibiotic Resistance (AR) Prevention Programs in all 50 states
Elimination of the use of medically important antibiotics for growth promotion in food-producing animals.
Policies
According to World Health Organization, policymakers can help tackle resistance by strengthening resistance-tracking and laboratory capacity and by regulating and promoting the appropriate use of medicines. Policymakers and industry can help tackle resistance by: fostering innovation and research and development of new tools; and promoting cooperation and information sharing among all stakeholders.
Policy evaluation
Measuring the costs and benefits of strategies to combat AMR is difficult and policies may only have effects in the distant future. In other infectious diseases this problem has been addressed by using mathematical models. More research is needed to understand how AMR develops and spreads so that mathematical modelling can be used to anticipate the likely effects of different policies.
Further research
Rapid testing and diagnostics
Distinguishing infections requiring antibiotics from self-limiting ones is clinically challenging. In order to guide appropriate use of antibiotics and prevent the evolution and spread of antimicrobial resistance, diagnostic tests that provide clinicians with timely, actionable results are needed.
Acute febrile illness is a common reason for seeking medical care worldwide and a major cause of morbidity and mortality. In areas with decreasing malaria incidence, many febrile patients are inappropriately treated for malaria, and in the absence of a simple diagnostic test to identify alternative causes of fever, clinicians presume that a non-malarial febrile illness is most likely a bacterial infection, leading to inappropriate use of antibiotics. Multiple studies have shown that the use of malaria rapid diagnostic tests without reliable tools to distinguish other fever causes has resulted in increased antibiotic use.
Antimicrobial susceptibility testing (AST) can facilitate a precision medicine approach to treatment by helping clinicians to prescribe more effective and targeted antimicrobial therapy. At the same time with traditional phenotypic AST it can take 12 to 48 hours to obtain a result due to the time taken for organisms to grow on/in culture media. Rapid testing, possible from molecular diagnostics innovations, is defined as "being feasible within an 8-h working shift". There are several commercial Food and Drug Administration-approved assays available which can detect AMR genes from a variety of specimen types. Progress has been slow due to a range of reasons including cost and regulation. Genotypic AMR characterisation methods are, however, being increasingly used in combination with machine learning algorithms in research to help better predict phenotypic AMR from organism genotype.
Optical techniques such as phase contrast microscopy in combination with single-cell analysis are another powerful method to monitor bacterial growth. In 2017, scientists from Sweden published a method that applies principles of microfluidics and cell tracking, to monitor bacterial response to antibiotics in less than 30 minutes overall manipulation time. Recently, this platform has been advanced by coupling microfluidic chip with optical tweezing in order to isolate bacteria with altered phenotype directly from the analytical matrix.
Rapid diagnostic methods have also been trialled as antimicrobial stewardship interventions to influence the healthcare drivers of AMR. Serum procalcitonin measurement has been shown to reduce mortality rate, antimicrobial consumption and antimicrobial-related side-effects in patients with respiratory infections, but impact on AMR has not yet been demonstrated. Similarly, point of care serum testing of the inflammatory biomarker C-reactive protein has been shown to influence antimicrobial prescribing rates in this patient cohort, but further research is required to demonstrate an effect on rates of AMR. Clinical investigation to rule out bacterial infections are often done for patients with pediatric acute respiratory infections. Currently it is unclear if rapid viral testing affects antibiotic use in children.
Vaccines
Microorganisms usually do not develop resistance to vaccines because vaccines reduce the spread of the infection and target the pathogen in multiple ways in the same host and possibly in different ways between different hosts. Furthermore, if the use of vaccines increases, there is evidence that antibiotic resistant strains of pathogens will decrease; the need for antibiotics will naturally decrease as vaccines prevent infection before it occurs. However, there are well documented cases of vaccine resistance, although these are usually much less of a problem than antimicrobial resistance.
While theoretically promising, antistaphylococcal vaccines have shown limited efficacy, because of immunological variation between Staphylococcus species, and the limited duration of effectiveness of the antibodies produced. Development and testing of more effective vaccines is underway.
Two registrational trials have evaluated vaccine candidates in active immunization strategies against S. aureus infection. In a phase II trial, a bivalent vaccine of capsular proteins 5 & 8 was tested in 1804 hemodialysis patients with a primary fistula or synthetic graft vascular access. After 40 weeks following vaccination a protective effect was seen against S. aureus bacteremia, but not at 54 weeks following vaccination. Based on these results, a second trial was conducted which failed to show efficacy.
Merck tested V710, a vaccine targeting IsdB, in a blinded randomized trial in patients undergoing median sternotomy. The trial was terminated after a higher rate of multiorgan system failure–related deaths was found in the V710 recipients. Vaccine recipients who developed S. aureus infection were five times more likely to die than control recipients who developed S. aureus infection.
Numerous investigators have suggested that a multiple-antigen vaccine would be more effective, but a lack of biomarkers defining human protective immunity keep these proposals in the logical, but strictly hypothetical arena.
Alternating therapy
Alternating therapy is a proposed method in which two or three antibiotics are taken in a rotation versus taking just one antibiotic such that bacteria resistant to one antibiotic are killed when the next antibiotic is taken. Studies have found that this method reduces the rate at which antibiotic resistant bacteria emerge in vitro relative to a single drug for the entire duration.
Studies have found that bacteria that evolve antibiotic resistance towards one group of antibiotic may become more sensitive to others. This phenomenon can be used to select against resistant bacteria using an approach termed collateral sensitivity cycling, which has recently been found to be relevant in developing treatment strategies for chronic infections caused by Pseudomonas aeruginosa. Despite its promise, large-scale clinical and experimental studies revealed limited evidence of susceptibility to antibiotic cycling across various pathogens.
Development of new drugs
Since the discovery of antibiotics, research and development (R&D) efforts have provided new drugs in time to treat bacteria that became resistant to older antibiotics, but in the 2000s there has been concern that development has slowed enough that seriously ill people may run out of treatment options. Another concern is that practitioners may become reluctant to perform routine surgeries because of the increased risk of harmful infection. Backup treatments can have serious side-effects; for example, antibiotics like aminoglycosides (such as amikacin, gentamicin, kanamycin, streptomycin, etc.) used for the treatment of drug-resistant tuberculosis and cystic fibrosis can cause respiratory disorders, deafness and kidney failure.
The potential crisis at hand is the result of a marked decrease in industry research and development. Poor financial investment in antibiotic research has exacerbated the situation. The pharmaceutical industry has little incentive to invest in antibiotics because of the high risk and because the potential financial returns are less likely to cover the cost of development than for other pharmaceuticals. In 2011, Pfizer, one of the last major pharmaceutical companies developing new antibiotics, shut down its primary research effort, citing poor shareholder returns relative to drugs for chronic illnesses. However, small and medium-sized pharmaceutical companies are still active in antibiotic drug research. In particular, apart from classical synthetic chemistry methodologies, researchers have developed a combinatorial synthetic biology platform on single cell level in a high-throughput screening manner to diversify novel lanthipeptides.
In the 5–10 years since 2010, there has been a significant change in the ways new antimicrobial agents are discovered and developed – principally via the formation of public-private funding initiatives. These include CARB-X, which focuses on nonclinical and early phase development of novel antibiotics, vaccines, rapid diagnostics; Novel Gram Negative Antibiotic (GNA-NOW), which is part of the EU's Innovative Medicines Initiative; and Replenishing and Enabling the Pipeline for Anti-infective Resistance Impact Fund (REPAIR). Later stage clinical development is supported by the AMR Action Fund, which in turn is supported by multiple investors with the aim of developing 2-4 new antimicrobial agents by 2030. The delivery of these trials is facilitated by national and international networks supported by the Clinical Research Network of the National Institute for Health and Care Research (NIHR), European Clinical Research Alliance in Infectious Diseases (ECRAID) and the recently formed ADVANCE-ID, which is a clinical research network based in Asia. The Global Antimicrobial Research and Development Partnership (GARDP) is generating new evidence for global AMR threats such as neonatal sepsis, treatment of serious bacterial infections and sexually transmitted infections as well as addressing global access to new and strategically important antibacterial drugs.
The discovery and development of new antimicrobial agents has been facilitated by regulatory advances, which have been principally led by the European Medicines Agency (EMA) and the Food and Drug Administration (FDA). These processes are increasingly aligned although important differences remain and drug developers must prepare separate documents. New development pathways have been developed to help with the approval of new antimicrobial agents that address unmet needs such as the Limited Population Pathway for Antibacterial and Antifungal Drugs (LPAD). These new pathways are required because of difficulties in conducting large definitive phase III clinical trials in a timely way.
Some of the economic impediments to the development of new antimicrobial agents have been addressed by innovative reimbursement schemes that delink payment of antimicrobials from volume-based sales. In the UK, a market entry reward scheme has been pioneered by the National Institute for Clinical Excellence (NICE) whereby an annual subscription fee is paid for use of strategically valuable antimicrobial agents – cefiderocol and ceftazidime-aviabactam are the first agents to be used in this manner and the scheme is potential blueprint for comparable programs in other countries.
The available classes of antifungal drugs are still limited but as of 2021 novel classes of antifungals are being developed and are undergoing various stages of clinical trials to assess performance.
Scientists have started using advanced computational approaches with supercomputers for the development of new antibiotic derivatives to deal with antimicrobial resistance.
Biomaterials
Using antibiotic-free alternatives in bone infection treatment may help decrease the use of antibiotics and thus antimicrobial resistance. The bone regeneration material bioactive glass S53P4 has shown to effectively inhibit the bacterial growth of up to 50 clinically relevant bacteria including MRSA and MRSE.
Nanomaterials
During the last decades, copper and silver nanomaterials have demonstrated appealing features for the development of a new family of antimicrobial agents.
Rediscovery of ancient treatments
Similar to the situation in malaria therapy, where successful treatments based on ancient recipes have been found, there has already been some success in finding and testing ancient drugs and other treatments that are effective against AMR bacteria.
Computational community surveillance
One of the key tools identified by the WHO and others for the fight against rising antimicrobial resistance is improved surveillance of the spread and movement of AMR genes through different communities and regions. Recent advances in high-throughput DNA sequencing as a result of the Human Genome Project have resulted in the ability to determine the individual microbial genes in a sample. Along with the availability of databases of known antimicrobial resistance genes, such as the Comprehensive Antimicrobial Resistance Database (CARD) and ResFinder, this allows the identification of all the antimicrobial resistance genes within the sample - the so-called “resistome”. In doing so, a profile of these genes within a community or environment can be determined, providing insights into how antimicrobial resistance is spreading through a population and allowing for the identification of resistance that is of concern.
Phage therapy
Phage therapy is the therapeutic use of bacteriophages to treat pathogenic bacterial infections. Phage therapy has many potential applications in human medicine as well as dentistry, veterinary science, and agriculture.
Phage therapy relies on the use of naturally occurring bacteriophages to infect and lyse bacteria at the site of infection in a host. Due to current advances in genetics and biotechnology these bacteriophages can possibly be manufactured to treat specific infections. Phages can be bioengineered to target multidrug-resistant bacterial infections, and their use involves the added benefit of preventing the elimination of beneficial bacteria in the human body. Phages destroy bacterial cell walls and membrane through the use of lytic proteins which kill bacteria by making many holes from the inside out. Bacteriophages can even possess the ability to digest the biofilm that many bacteria develop that protect them from antibiotics in order to effectively infect and kill bacteria. Bioengineering can play a role in creating successful bacteriophages.
Understanding the mutual interactions and evolutions of bacterial and phage populations in the environment of a human or animal body is essential for rational phage therapy.
Bacteriophagics are used against antibiotic resistant bacteria in Georgia (George Eliava Institute) and in one institute in Wrocław, Poland. Bacteriophage cocktails are common drugs sold over the counter in pharmacies in eastern countries. In Belgium, four patients with severe musculoskeletal infections received bacteriophage therapy with concomitant antibiotics. After a single course of phage therapy, no recurrence of infection occurred and no severe side-effects related to the therapy were detected.
See also
References
Books
Journals
16-minute film about a post-antibiotic world. Review:
External links
Animation of Antibiotic Resistance
Bracing for Superbugs: Strengthening environmental action in the One Health response to antimicrobial resistance UNEP, 2023.
CDC Guideline "Management of Multidrug-Resistant Organisms in Healthcare Settings, 2006"
Antimicrobial Stewardship Project, at the Center for Infectious Disease Research and Policy (CIDRAP), University of Minnesota
AMR Industry Alliance, "members from large R&D pharma, generic manufacturers, biotech, and diagnostic companies"
Why won't antibiotics cure us anymore? - prof. dr. Nathaniel Martin (Universiteit Leiden)
Evolutionary biology
Health disasters
Pharmaceuticals policy
Veterinary medicine
Global issues
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Al-Qaeda is a pan-Islamist militant organization led by Sunni Jihadists who self-identify as a vanguard spearheading a global Islamist revolution to unite the Muslim world under a supra-national Islamic state known as the Caliphate. Its members are mostly composed of Arabs, but also include other peoples. Al-Qaeda has mounted attacks on civilian, economic and military targets of America and its allies; such as the USS Cole bombing, 1998 US embassy bombings and the September 11 attacks. The organization is designated as a terrorist group by NATO, UN Security Council, the European Union, and various countries around the world.
The organization was founded in a series of meetings held in Peshawar during 1988, attended by Abdullah Azzam, Osama bin Laden, Muhammad Atef, Ayman al-Zawahiri and other veterans of the Soviet–Afghan War. Building upon the networks of Maktab al-Khidamat, the founding members decided to create an organization named "Al-Qaeda" to serve as a "vanguard" for jihad. When Saddam Hussein invaded and occupied Kuwait in 1990, bin Laden offered to support Saudi Arabia by sending his Mujahideen fighters. His offer was rebuffed by the Saudi government, which instead sought the aid of the United States. The stationing of U.S. troops in Arabian Peninsula prompted bin Laden to declare a jihad against the Saudi rulers, whom he denounced as murtadd (apostates), and against the US. During 1992–1996, Al-Qaeda established its headquarters in Sudan until it was expelled in 1996. It shifted its base to the Taliban-ruled Afghanistan and later expanded to other parts of the world, primarily in the Middle East and South Asia. In 1996 and 1998, bin Laden issued two fatāwā that demanded the withdrawal of U.S. troops from Saudi Arabia.
In 1998, Al-Qaeda conducted the US embassy bombings in Kenya and Tanzania, which killed 224 people. The U.S. retaliated by launching Operation Infinite Reach, against al-Qaeda targets in Afghanistan and Sudan. In 2001, Al-Qaeda carried out the September 11 attacks, resulting in nearly 3,000 deaths, long-term health consequences of nearby residents, damaging global economic markets, triggering drastic geo-political changes as well as generating profound cultural influence across the world. The U.S. launched the war on terror in response and invaded Afghanistan to depose the Taliban and destroy al-Qaeda. In 2003, a U.S.-led coalition invaded Iraq, overthrowing the Ba'athist regime which they falsely accused of having ties with al-Qaeda. In 2004, al-Qaeda launched its Iraqi regional branch. After pursuing him for almost a decade, the U.S. military killed bin Laden in Pakistan in May 2011.
Al-Qaeda members believe that a Judeo-Christian alliance (led by the United States) is waging a war against Islam and conspiring to destroy Islam. Al-Qaeda also opposes man-made laws, and seek to implement sharīʿah (Islamic law) in Muslim countries. AQ fighters characteristically deploy tactics such as suicide attacks (Inghimasi and Istishhadi operations) involving simultaneous bombing of several targets in battle-zones. Al-Qaeda's Iraq branch, which later morphed into the Islamic State of Iraq after 2006, was responsible for numerous sectarian attacks against Shias during its Iraqi insurgency. Al-Qaeda ideologues envision the violent removal of all foreign and secularist influences in Muslim countries, which it denounces as corrupt deviations. Following the death of bin Laden in 2011, al-Qaeda vowed to avenge his killing. The group was then led by Egyptian Ayman al-Zawahiri until his death in 2022. , they have reportedly suffered from a deterioration of central command over its regional operations.
Organization
Al-Qaeda only indirectly controls its day-to-day operations. Its philosophy calls for the centralization of decision making, while allowing for the decentralization of execution. The top leaders of Al-Qaeda have defined the organization's ideology and guiding strategy, and they have also articulated simple and easy-to-receive messages. At the same time, mid-level organizations were given autonomy, but they had to consult with top management before large-scale attacks and assassinations. Top management included the shura council as well as committees on military operations, finance, and information sharing. Through the information committees of Al-Qaeda, Zawahiri placed special emphasis on communicating with his groups. However, after the war on terror, Al-Qaeda's leadership has become isolated. As a result, the leadership has become decentralized, and the organization has become regionalized into several Al-Qaeda groups.
Many Western analysts do not believe that the global jihadist movement is driven at every level by Al-Qaeda's leadership. However, bin Laden held considerable ideological influence over revolutionary Islamist movements across the world. Experts argue that Al-Qaeda has fragmented into a number of disparate regional movements, and that these groups bear little connection with one another.
This view mirrors the account given by Osama bin Laden in his October 2001 interview with Tayseer Allouni:
however, Bruce Hoffman saw Al-Qaeda as a cohesive network that was strongly led from the Pakistani tribal areas.
Affiliates
Al-Qaeda has the following direct affiliates:
Al-Qaeda in the Arabian Peninsula (AQAP)
Al-Qaeda in the Indian Subcontinent (AQIS)
Al-Qaeda in the Islamic Maghreb (AQIM)
Al Shabaab
Hurras al-Din
Jama'at Nasr al-Islam wal Muslimin (JNIM)
The following are presently believed to be indirect affiliates of Al-Qaeda:
Caucasus Emirate (factions)
Fatah al-Islam
Islamic Jihad Union
Islamic Movement of Uzbekistan
Jaish-e-Mohammed
Jemaah Islamiyah
Lashkar-e-Taiba
Moroccan Islamic Combatant Group
Al-Qaeda's former affiliates include the following:
Abu Sayyaf (pledged allegiance to ISIL in 2014)
Al-Mourabitoun (joined JNIM in 2017)
Al-Qaeda in Iraq (became the Islamic State of Iraq, which later seceded from al-Qaeda and became ISIL)
Al-Qaeda in the Lands Beyond the Sahel (inactive since 2015)
Ansar al-Islam (majority merged with ISIL in 2014)
Ansar Dine (joined JNIM in 2017)
Islamic Jihad of Yemen (became AQAP)
Movement for Oneness and Jihad in West Africa (merged with Al-Mulathameen to form Al-Mourabitoun in 2013)
Rajah Sulaiman movement
Al-Nusra Front (dissolved in 2017, merged with other Islamist organizations to form Hayat Tahrir al-Sham and split ties)
Leadership
Osama bin Laden (1988–May 2011)
Osama bin Laden served as the emir of Al-Qaeda from the organization's founding in 1988 until his assassination by US forces on May 1, 2011. Atiyah Abd al-Rahman was alleged to be second in command prior to his death on August 22, 2011.
Bin Laden was advised by a Shura Council, which consists of senior Al-Qaeda members. The group was estimated to consist of 20–30 people.
After May 2011
Ayman al-Zawahiri had been Al-Qaeda's deputy emir and assumed the role of emir following bin Laden's death. Al-Zawahiri replaced Saif al-Adel, who had served as interim commander.
On June 5, 2012, Pakistani intelligence officials announced that al-Rahman's alleged successor as second in command, Abu Yahya al-Libi, had been killed in Pakistan.
Nasir al-Wuhayshi was alleged to have become Al-Qaeda's overall second in command and general manager in 2013. He was concurrently the leader of Al-Qaeda in the Arabian Peninsula (AQAP) until he was killed by a US airstrike in Yemen in June 2015. Abu Khayr al-Masri, Wuhayshi's alleged successor as the deputy to Ayman al-Zawahiri, was killed by a US airstrike in Syria in February 2017. Al Qaeda's next alleged number two leader, Abdullah Ahmed Abdullah, was killed by Israeli agents. His pseudonym was Abu Muhammad al-Masri, who was killed in November 2020 in Iran. He was involved in the 1998 bombings of the US embassies in Kenya and Tanzania.
Al-Qaeda's network was built from scratch as a conspiratorial network which drew upon the leadership of a number of regional nodes. The organization divided itself into several committees, which include:
The Military Committee, which is responsible for training operatives, acquiring weapons, and planning attacks.
The Money/Business Committee, which funds the recruitment and training of operatives through the hawala banking system. US-led efforts to eradicate the sources of "terrorist financing" were most successful in the year immediately following the September 11 attacks. Al-Qaeda continues to operate through unregulated banks, such as the 1,000 or so hawaladars in Pakistan, some of which can handle deals of up to million. The committee also procures false passports, pays Al-Qaeda members, and oversees profit-driven businesses. In the 9/11 Commission Report, it was estimated that Al-Qaeda required $30million per year to conduct its operations.
The Law Committee reviews Sharia law, and decides upon courses of action conform to it.
The Islamic Study/Fatwah Committee issues religious edicts, such as an edict in 1998 telling Muslims to kill Americans.
The Media Committee ran the now-defunct newspaper Nashrat al Akhbar () and handled public relations.
In 2005, Al-Qaeda formed As-Sahab, a media production house, to supply its video and audio materials.
After Al-Zawahiri (2022 - present)
Al-Zawahiri was killed on July 31, 2022 in a drone strike in Afghanistan. In February 2023, a report from the United Nations, based on member state intelligence, concluded that de facto leadership of Al-Qaeda had passed to Saif al-Adel, who was operating out of Iran. Adel, a former Egyptian army officer, became a military instructor in Al-Qaeda camps in the 1990s and was known for his involvement in the Battle of Mogadishu. The report stated that al-Adel's leadership could not officially be declared by al-Qaeda because of "political sensitivities" of Afghan government in acknowledging the death of Al-Zawahiri as well as due to "theological and operational" challenges posed by the location of al-Adel in Iran.
Command structure
Most of Al Qaeda's top leaders and operational directors were veterans who fought against the Soviet invasion of Afghanistan in the 1980s. Osama bin Laden and his deputy, Ayman al-Zawahiri, were the leaders who were considered the operational commanders of the organization. Nevertheless, Al-Qaeda is not operationally managed by Ayman al-Zawahiri. Several operational groups exist, which consult with the leadership in situations where attacks are in preparation. Al-Qaeda central (AQC) is a conglomerate of expert committees, each in supervision of distinct tasks and objectives. Its membership is mostly composed of Egyptian Islamist leaders who participated in the anti-communist Afghan Jihad. Assisting them are hundreds of Islamic field operatives and commanders, based in various regions of the Muslim World. The central leadership assumes control of the doctrinal approach and overall propaganda campaign; while the regional commanders were empowered with independence in military strategy and political maneuvering. This novel hierarchy made it possible for the organisation to launch wide-range offensives.
When asked in 2005 about the possibility of Al-Qaeda's connection to the July 7, 2005 London bombings, Metropolitan Police Commissioner Sir Ian Blair said: "Al-Qaeda is not an organization. Al-Qaeda is a way of working... but this has the hallmark of that approach... Al-Qaeda clearly has the ability to provide training... to provide expertise... and I think that is what has occurred here." On August 13, 2005, The Independent newspaper, reported that the July7 bombers had acted independently of an Al-Qaeda mastermind.
Nasser al-Bahri, who was Osama bin Laden's bodyguard for four years in the run-up to 9/11 wrote in his memoir a highly detailed description of how the group functioned at that time. Al-Bahri described Al-Qaeda's formal administrative structure and vast arsenal. However, the author Adam Curtis argued that the idea of Al-Qaeda as a formal organization is primarily an American invention. Curtis contended the name "Al-Qaeda" was first brought to the attention of the public in the 2001 trial of bin Laden and the four men accused of the 1998 US embassy bombings in East Africa. Curtis wrote:
During the 2001 trial, the US Department of Justice needed to show that bin Laden was the leader of a criminal organization in order to charge him in absentia under the Racketeer Influenced and Corrupt Organizations Act. The name of the organization and details of its structure were provided in the testimony of Jamal al-Fadl, who said he was a founding member of the group and a former employee of bin Laden. Questions about the reliability of al-Fadl's testimony have been raised by a number of sources because of his history of dishonesty, and because he was delivering it as part of a plea bargain agreement after being convicted of conspiring to attack US military establishments. Sam Schmidt, a defense attorney who defended al-Fadl said:
Field operatives
The number of individuals in the group who have undergone proper military training, and are capable of commanding insurgent forces, is largely unknown. Documents captured in the raid on bin Laden's compound in 2011 show that the core Al-Qaeda membership in 2002 was 170. In 2006, it was estimated that Al-Qaeda had several thousand commanders embedded in 40 countries. , it was believed that no more than 200–300 members were still active commanders.
According to the 2004 BBC documentary The Power of Nightmares, Al-Qaeda was so weakly linked together that it was hard to say it existed apart from bin Laden and a small clique of close associates. The lack of any significant numbers of convicted Al-Qaeda members, despite a large number of arrests on terrorism charges, was cited by the documentary as a reason to doubt whether a widespread entity that met the description of Al-Qaeda existed. Al-Qaeda's commanders, as well as its sleeping agents, are hiding in different parts of the world to this day. They are mainly hunted by the American and Israeli secret services.
Insurgent forces
According to author Robert Cassidy, Al-Qaeda maintains two separate forces which are deployed alongside insurgents in Iraq and Pakistan. The first, numbering in the tens of thousands, was "organized, trained, and equipped as insurgent combat forces" in the Soviet–Afghan war. The force was composed primarily of foreign mujahideen from Saudi Arabia and Yemen. Many of these fighters went on to fight in Bosnia and Somalia for global jihad. Another group, which numbered 10,000 in 2006, live in the West and have received rudimentary combat training.
Other analysts have described Al-Qaeda's rank and file as being "predominantly Arab" in its first years of operation, but that the organization also includes "other peoples" . It has been estimated that 62 percent of Al-Qaeda members have a university education. In 2011 and the following year, the Americans successfully settled accounts with Osama bin Laden, Anwar al-Awlaki, the organization's chief propagandist, and Abu Yahya al-Libi's deputy commander. The optimistic voices were already saying it was over for Al-Qaeda. Nevertheless, it was around this time that the Arab Spring greeted the region, the turmoil of which came great to Al-Qaeda's regional forces. Seven years later, Ayman al-Zawahiri became arguably the number one leader in the organization, implementing his strategy with systematic consistency. Tens of thousands loyal to Al-Qaeda and related organizations were able to challenge local and regional stability and ruthlessly attack their enemies in the Middle East, Africa, South Asia, Southeast Asia, Europe and Russia alike. In fact, from Northwest Africa to South Asia, Al-Qaeda had more than two dozen "franchise-based" allies. The number of Al-Qaeda militants was set at 20,000 in Syria alone, and they had 4,000 members in Yemen and about 7,000 in Somalia. The war was not over.
In 2001, Al-Qaeda had around 20 functioning cells and 70,000 insurgents spread over sixty nations. According to latest estimates, the number of active-duty soldiers under its command and allied militias have risen to approximately 250,000 by 2018.
Financing
Al-Qaeda usually does not disburse funds for attacks, and very rarely makes wire transfers. In the 1990s, financing came partly from the personal wealth of Osama bin Laden. Other sources of income included the heroin trade and donations from supporters in Kuwait, Saudi Arabia and other Islamic Gulf states. A WikiLeaks-released 2009 internal US government cable stated that "terrorist funding emanating from Saudi Arabia remains a serious concern."
Among the first pieces of evidence regarding Saudi Arabia's support for Al-Qaeda was the so-called "Golden Chain", a list of early Al-Qaeda funders seized during a 2002 raid in Sarajevo by Bosnian police. The hand-written list was validated by Al-Qaeda defector Jamal al-Fadl, and included the names of both donors and beneficiaries. Osama bin-Laden's name appeared seven times among the beneficiaries, while 20 Saudi and Gulf-based businessmen and politicians were listed among the donors. Notable donors included Adel Batterjee, and Wael Hamza Julaidan. Batterjee was designated as a terror financier by the US Department of the Treasury in 2004, and Julaidan is recognized as one of Al-Qaeda's founders.
Documents seized during the 2002 Bosnia raid showed that Al-Qaeda widely exploited charities to channel financial and material support to its operatives across the globe. Notably, this activity exploited the International Islamic Relief Organization (IIRO) and the Muslim World League (MWL). The IIRO had ties with Al-Qaeda associates worldwide, including Al-Qaeda's deputy Ayman al Zawahiri. Zawahiri's brother worked for the IIRO in Albania and had actively recruited on behalf of Al-Qaeda. The MWL was openly identified by Al-Qaeda's leader as one of the three charities Al-Qaeda primarily relied upon for funding sources.
Allegations of Qatari support
Several Qatari citizens have been accused of funding Al-Qaeda. This includes Abd Al-Rahman al-Nuaimi, a Qatari citizen and a human-rights activist who founded the Swiss-based non-governmental organization (NGO) Alkarama. On December 18, 2013, the US Treasury designated Nuaimi as a terrorist for his activities supporting Al-Qaeda. The US Treasury has said Nuaimi "has facilitated significant financial support to Al-Qaeda in Iraq, and served as an interlocutor between Al-Qaeda in Iraq and Qatar-based donors".
Nuaimi was accused of overseeing a $2million monthly transfer to Al-Qaeda in Iraq as part of his role as mediator between Iraq-based Al-Qaeda senior officers and Qatari citizens. Nuaimi allegedly entertained relationships with Abu-Khalid al-Suri, Al-Qaeda's top envoy in Syria, who processed a $600,000 transfer to Al-Qaeda in 2013. Nuaimi is also known to be associated with Abd al-Wahhab Muhammad 'Abd al-Rahman al-Humayqani, a Yemeni politician and founding member of Alkarama, who was listed as a Specially Designated Global Terrorist (SDGT) by the US Treasury in 2013. The US authorities claimed that Humayqani exploited his role in Alkarama to fundraise on behalf of Al-Qaeda in the Arabian Peninsula (AQAP). A prominent figure in AQAP, Nuaimi was also reported to have facilitated the flow of funding to AQAP affiliates based in Yemen. Nuaimi was also accused of investing funds in the charity directed by Humayqani to ultimately fund AQAP. About ten months after being sanctioned by the US Treasury, Nuaimi was also restrained from doing business in the UK.
Another Qatari citizen, Kalifa Mohammed Turki Subayi, was sanctioned by the US Treasury on June 5, 2008, for his activities as a "Gulf-based Al-Qaeda financier". Subayi's name was added to the UN Security Council's Sanctions List in 2008 on charges of providing financial and material support to Al-Qaeda senior leadership. Subayi allegedly moved Al-Qaeda recruits to South Asia-based training camps. He also financially supported Khalid Sheikh Mohammed, a Pakistani national and senior Al-Qaeda officer who is believed to be the mastermind behind the September 11 attack according to the 9/11 Commission Report.
Qataris provided support to al-Qaeda through the country's largest NGO, the Qatar Charity. Al-Qaeda defector al-Fadl, who was a former member of Qatar Charity, testified in court that Abdullah Mohammed Yusef, who served as Qatar Charity's director, was affiliated to Al-Qaeda and simultaneously to the National Islamic Front, a political group that gave al-Qaeda leader Osama Bin Laden harbor in Sudan in the early 1990s.
It was alleged that in 1993 Osama bin Laden was using Middle East based Sunni charities to channel financial support to Al-Qaeda operatives overseas. The same documents also report Bin Laden's complaint that the failed assassination attempt of Egyptian President Hosni Mubarak had compromised the ability of Al-Qaeda to exploit charities to support its operatives to the extent it was capable of before 1995.
Qatar financed Al-Qaeda's enterprises through Al-Qaeda's former affiliate in Syria, Jabhat al-Nusra. The funding was primarily channeled through kidnapping for ransom. The Consortium Against Terrorist Finance (CATF) reported that the Gulf country has funded al-Nusra since 2013. In 2017, Asharq Al-Awsat estimated that Qatar had disbursed $25million in support of al-Nusra through kidnapping for ransom. In addition, Qatar has launched fundraising campaigns on behalf of al-Nusra. Al-Nusra acknowledged a Qatar-sponsored campaign "as one of the preferred conduits for donations intended for the group".
Strategy
In the disagreement over whether Al-Qaeda's objectives are religious or political, Mark Sedgwick describes Al-Qaeda's strategy as political in the immediate term but with ultimate aims that are religious.
On March 11, 2005, Al-Quds Al-Arabi published extracts from Saif al-Adel's document "Al Qaeda's Strategy to the Year 2020". Abdel Bari Atwan summarizes this strategy as comprising five stages to rid the Ummah from all forms of oppression:
Provoke the United States and the West into invading a Muslim country by staging a massive attack or string of attacks on US soil that results in massive civilian casualties.
Incite local resistance to occupying forces.
Expand the conflict to neighboring countries and engage the US and its allies in a long war of attrition.
Convert Al-Qaeda into an ideology and set of operating principles that can be loosely franchised in other countries without requiring direct command and control, and via these franchises incite attacks against the US and countries allied with the US until they withdraw from the conflict, as happened with the 2004 Madrid train bombings, but which did not have the same effect with the July 7, 2005 London bombings.
The US economy will finally collapse by 2020, under the strain of multiple engagements in numerous places. This will lead to a collapse in the worldwide economic system, and lead to global political instability. This will lead to a global jihad led by Al-Qaeda, and a Wahhabi Caliphate will then be installed across the world.
Atwan noted that, while the plan is unrealistic, "it is sobering to consider that this virtually describes the downfall of the Soviet Union."
According to Fouad Hussein, a Jordanian journalist and author who has spent time in prison with Al-Zarqawi, Al-Qaeda's strategy consists of seven phases and is similar to the plan described in Al Qaeda's Strategy to the year 2020. These phases include:
"The Awakening." This phase was supposed to last from 2001 to 2003. The goal of the phase is to provoke the United States to attack a Muslim country by executing an attack that kills many civilians on US soil.
"Opening Eyes." This phase was supposed to last from 2003 to 2006. The goal of this phase was to recruit young men to the cause and to transform the Al-Qaeda group into a movement. Iraq was supposed to become the center of all operations with financial and military support for bases in other states.
"Arising and Standing up", was supposed to last from 2007 to 2010. In this phase, Al-Qaeda wanted to execute additional attacks and focus their attention on Syria. Hussein believed other countries in the Arabian Peninsula were also in danger.
Al-Qaeda expected a steady growth among their ranks and territories due to the declining power of the regimes in the Arabian Peninsula. The main focus of attack in this phase was supposed to be on oil suppliers and cyberterrorism, targeting the US economy and military infrastructure.
The declaration of an Islamic Caliphate, which was projected between 2013 and 2016. In this phase, Al-Qaeda expected the resistance from Israel to be heavily reduced.
The declaration of an "Islamic Army" and a "fight between believers and non-believers", also called "total confrontation".
"Definitive Victory", projected to be completed by 2020.
According to the seven-phase strategy, the war is projected to last less than two years.
According to Charles Lister of the Middle East Institute and Katherine Zimmerman of the American Enterprise Institute, the new model of Al-Qaeda is to "socialize communities" and build a broad territorial base of operations with the support of local communities, also gaining income independent of the funding of sheiks.
Name
The English name of the organization is a simplified transliteration of the Arabic noun (), which means "the foundation" or "the base". The initial al- is the Arabic definite article "the", hence "the base". In Arabic, Al-Qaeda has four syllables (). However, since two of the Arabic consonants in the name are not phones found in the English language, the common naturalized English pronunciations include , and . Al-Qaeda's name can also be transliterated as al-Qaida, al-Qa'ida, or el-Qaida.
The doctrinal concept of "Al-Qaeda" was first coined by the Palestinian Islamist scholar and Jihadist leader Abdullah Azzam in an April 1988 issue of Al-Jihad magazine to describe a religiously committed vanguard of Muslims who wage armed Jihad globally to liberate oppressed Muslims from foreign invaders, establish sharia (Islamic law) across the Islamic World by overthrowing the ruling secular governments; and thus restore the past Islamic prowess. This was to be implemented by establishing an Islamic state that would nurture generations of Muslim soldiers that would perpetually attack United States and its allied governments in the Muslim World. Numerous historical models were cited by Azzam as successful examples of his call; starting from the early Muslim conquests of the 7th century to the recent anti-Soviet Afghan Jihad of 1980s. According to Azzam's world-view: It is about time to think about a state that would be a solid base for the distribution of the (Islamic) creed, and a fortress to host the preachers from the hell of the Jahiliyyah [the pre-Islamic period].
Bin Laden explained the origin of the term in a videotaped interview with Al Jazeera journalist Tayseer Alouni in October 2001:
It has been argued that two documents seized from the Sarajevo office of the Benevolence International Foundation prove the name was not simply adopted by the mujahideen movement and that a group called Al-Qaeda was established in August 1988. Both of these documents contain minutes of meetings held to establish a new military group, and contain the term "Al-Qaeda".
Former British Foreign Secretary Robin Cook wrote that the word Al-Qaeda should be translated as "the database", because it originally referred to the computer file of the thousands of mujahideen militants who were recruited and trained with CIA help to defeat the Russians. In April 2002, the group assumed the name Qa'idat al-Jihad ( ), which means "the base of Jihad". According to Diaa Rashwan, this was "apparently as a result of the merger of the overseas branch of Egypt's al-Jihad, which was led by Ayman al-Zawahiri, with the groups Bin Laden brought under his control after his return to Afghanistan in the mid-1990s."
Ideology
The militant Islamist Salafist movement of Al-Qaeda developed during the Islamic revival and the rise of the Islamist movement after the Iranian Revolution (1978–1979) and the Afghan Jihad (1979–1989). Many scholars have argued that the writings of Islamic author and thinker Sayyid Qutb inspired the Al-Qaeda organization. In the 1950s and 1960s, Qutb preached that because of the lack of sharia law, the Muslim world was no longer Muslim, and had reverted to the pre-Islamic ignorance known as jahiliyyah. To restore Islam, Qutb argued that a vanguard of righteous Muslims was needed in order to establish "true Islamic states", implement sharia, and rid the Muslim world of any non-Muslim influences. In Qutb's view, the enemies of Islam included "world Jewry", which "plotted conspiracies" and opposed Islam. Qutb envisioned this vanguard to march forward to wage armed Jihad against tyrannical regimes after purifying from the wider Jahili societies and organising themselves under a righteous Islamic leadership; which he viewed as the model of early Muslims in the Islamic state of Medina under the leadership of Islamic Prophet Muhammad. This idea would directly influence many Islamist figures such as Abdullah Azzam and Usama Bin Laden; and became the core rationale for the formulation of "Al-Qaeda" concept in the near future. Outlining his strategy to topple the existing secular orders, Qutb argued in Milestones: [It is necessary that] a Muslim community to come into existence which believes that ‘there is no deity except God,’ which commits itself to obey none but God, denying all other authority, and which challenges the legality of any law which is not based on this belief.. . It should come into the battlefield with the determination that its strategy, its social organization, and the relationship between its individuals should be firmer and more powerful than the existing jahili system.
In the words of Mohammed Jamal Khalifa, a close college friend of bin Laden:
Qutb also influenced Ayman al-Zawahiri. Zawahiri's uncle and maternal family patriarch, Mafouz Azzam, was Qutb's student, protégé, personal lawyer, and an executor of his estate. Azzam was one of the last people to see Qutb alive before his execution. Zawahiri paid homage to Qutb in his work Knights under the Prophet's Banner.
Qutb argued that many Muslims were not true Muslims. Some Muslims, Qutb argued, were apostates. These alleged apostates included leaders of Muslim countries, since they failed to enforce sharia law. He also alleged that the West approaches the Muslim World with a "crusading spirit"; in spite of the decline of religious values in the 20th century Europe. According to Qutb; the hostile and imperialist attitudes exhibited by Europeans and Americans towards Muslim countries, their support for Zionism, etc. reflected hatred amplified over a millennia of wars such as the Crusades and was born out of Roman materialist and utilitarian outlooks that viewed the world in monetary terms.
Formation
The Afghan jihad against the pro-Soviet government further developed the Salafist Jihadist movement which inspired Al-Qaeda. During this period, Al-Qaeda embraced the ideals of the South Asian militant revivalist Sayyid Ahmad Shahid (d. 1831/1246 A.H) who led a Jihad movement against British India from the frontiers of Afghanistan and Khyber-Pakhtunkwa in the early 19th century. Al-Qaeda readily adopted Sayyid Ahmad's doctrines such as returning to the purity of early generations (Salaf as-Salih), antipathy towards Western influences and restoration of Islamic political power. According to Pakistani journalist Hussain Haqqani,
Objectives
The long-term objective of Al-Qaeda is to unite the Muslim World under a supra-national Islamic state known as the Khilafah (Caliphate), headed by an elected Caliph descended from the Ahl al-Bayt (Prophetic family). The immediate objectives include the expulsion of American troops from the Arabian Peninsula, waging armed Jihad to topple US-allied governments in the region, etc.
The following are the goals and some of the general policies outlined in Al-Qaeda's Founding Charter "Al-Qaeda's Structure and Bylaws" issued in the meetings in Peshawar in 1988.:
Theory of Islamic State
Al-Qaeda aims to establish an Islamic state in the Arab World, modelled after the Rashidun Caliphate, by initiating a global Jihad against the "International Jewish-Crusader Alliance" led by the United States, which it sees as the "external enemy" and against the secular governments in Muslim countries, that are described as "the apostate domestic enemy". Once foreign influences and the secular ruling authorities are removed from Muslim countries through Jihad; al-Qaeda supports elections to choose the rulers of its proposed Islamic states. This is to be done through representatives of leadership councils (Shura) that would ensure the implementation of Shari'a (Islamic law). However, it opposes elections that institute parliaments which empower Muslim and non-Muslim legislators to collaborate in making laws of their own choosing. In the second edition of his book Knights Under the Banner of the Prophet, Ayman Al Zawahiri writes:
Grievances
A recurring theme in al-Qaeda's ideology is the perpetual grievance over the violent subjugation of Islamic dissidents by the authoritarian, secularist regimes allied to the West. Al-Qaeda denounces these post-colonial governments as a system led by Westernised elites designed to advance neo-colonialism and maintain Western hegemony over the Muslim World. The most prominent topic of grievance is over the American foreign policy in the Arab World; especially over its strong economic and military support to Israel. Other concerns of resentment include presence of NATO troops to support allied regimes; injustices committed against Muslims in Kashmir, Chechnya, Xinjiang, Syria, Afghanistan, Iraq etc.
Religious compatibility
Abdel Bari Atwan wrote that:
On the other hand, Professor Peter Mandaville states that Al-Qaeda follows a pragmatic policy in forming its local affiliates, with various cells being sub-contracted to Shia Muslim and non-Muslim members. The top-down chain of command means that each unit is answerable directly to central leadership, while they remain ignorant of their counterparts' presence or activities. These transnational networks of autonomous supply chains, financiers, underground militias and political supporters were set up during the 1990s, when Bin Laden's immediate aim was the expulsion of American troops from the Arabian Peninsula.
Attacks on civilians
Under the leadership of Osama Bin Laden and Ayman al-Zawahiri, Al-Qaeda organization adopted the strategy of targeting non-combatant civilians of enemy states that indiscriminately attacked Muslims. Following the September 11 attacks, al-Qaeda provided a justification for the killing of non-combatants/civilians, entitled, "A Statement from Qaidat al-Jihad Regarding the Mandates of the Heroes and the Legality of the Operations in New York and Washington". According to a couple of critics, Quintan Wiktorowicz and John Kaltner, it provides "ample theological justification for killing civilians in almost any imaginable situation."
Among these justifications are that America is leading the west in waging a War on Islam so that attacks on America are a defense of Islam and any treaties and agreements between Muslim majority states and Western countries that would be violated by attacks are null and void. According to the tract, several conditions allow for the killing of civilians including:
retaliation for the American war on Islam which al-Qaeda alleges has targeted "Muslim women, children and elderly";
when it is too difficult to distinguish between non-combatants and combatants when attacking an enemy "stronghold" (hist) and/or non-combatants remain in enemy territory, killing them is allowed;
those who assist the enemy "in deed, word, mind" are eligible for killing, and this includes the general population in democratic countries because civilians can vote in elections that bring enemies of Islam to power;
the necessity of killing in the war to protect Islam and Muslims;
the prophet Muhammad, when asked whether the Muslim fighters could use the catapult against the village of Taif, replied affirmatively, even though the enemy fighters were mixed with a civilian population;
if the women, children and other protected groups serve as human shields for the enemy;
if the enemy has broken a treaty, killing of civilians is permitted.
Under the leadership of Sayf al-Adel, Al-Qaeda's strategy has underwent transformation and the organization has officially renounced the tactic of attacking civilian targets of enemies. In his book "Free Reading of 33 Strategies of War" published in 2023, Sayf al-Adel counselled Islamist fighters to prioritize attacking the police forces, military soldiers, state assets of enemy governments, etc. which he described as acceptable targets in military operations. Asserting that attacking women and children of enemies are contrary to Islamic values, Sayf al-Adel asked: "If we target the general public, how can we expect their people to accept our call to Islam?"
History
Attacks
Al-Qaeda has carried out a total of six major attacks, four of them in its jihad against America. In each case the leadership planned the attack years in advance, arranging for the shipment of weapons and explosives and using its businesses to provide operatives with safehouses and false identities.
1991
To prevent the former Afghan king Mohammed Zahir Shah from coming back from exile and possibly becoming head of a new government, bin Laden instructed a Portuguese convert to Islam, Paulo Jose de Almeida Santos, to assassinate Zahir Shah. On November 4, 1991, Santos entered the king's villa in Rome posing as a journalist and tried to stab him with a dagger. A tin of cigarillos in the king's breast pocket deflected the blade and saved Zahir Shah's life. Santos was apprehended and jailed for 10 years in Italy.
1992
On December 29, 1992, Al-Qaeda launched the 1992 Yemen hotel bombings. Two bombs were detonated in Aden, Yemen. The first target was the Movenpick Hotel and the second was the parking lot of the Goldmohur Hotel.
The bombings were an attempt to eliminate American soldiers on their way to Somalia to take part in the international famine relief effort, Operation Restore Hope. Internally, Al-Qaeda considered the bombing a victory that frightened the Americans away, but in the US, the attack was barely noticed. No American soldiers were killed because no soldiers were staying in the hotel at the time it was bombed, however, an Australian tourist and a Yemeni hotel worker were killed in the bombing. Seven others, who were mostly Yemeni, were severely injured. Two fatwas are said to have been appointed by Al-Qaeda's members, Mamdouh Mahmud Salim, to justify the killings according to Islamic law. Salim referred to a famous fatwa appointed by Ibn Taymiyyah, a 13th-century scholar admired by Wahhabis, which sanctioned resistance by any means during the Mongol invasions.
Late 1990s
In 1996, bin Laden personally engineered a plot to assassinate United States President Bill Clinton while the president was in Manila for the Asia-Pacific Economic Cooperation. However, intelligence agents intercepted a message before the motorcade was to leave, and alerted the US Secret Service. Agents later discovered a bomb planted under a bridge.
On August 7, 1998, Al-Qaeda bombed the US embassies in East Africa, killing 224 people, including 12 Americans. In retaliation, a barrage of cruise missiles launched by the US military devastated an Al-Qaeda base in Khost, Afghanistan. The network's capacity was unharmed. In late 1999 and 2000, Al-Qaeda planned attacks to coincide with the millennium, masterminded by Abu Zubaydah and involving Abu Qatada, which would include the bombing of Christian holy sites in Jordan, the bombing of Los Angeles International Airport by Ahmed Ressam, and the bombing of the .
On October 12, 2000, Al-Qaeda militants in Yemen bombed the missile destroyer USS Cole in a suicide attack, killing 17 US servicemen and damaging the vessel while it lay offshore. Inspired by the success of such a brazen attack, Al-Qaeda's command core began to prepare for an attack on the US itself.
September 11 attacks
The September 11 attacks on America by Al-Qaeda killed 2,996 people2,507 civilians, 343 firefighters, 72 law enforcement officers, 55 military personnel as well as 19 hijackers who committed murder-suicide. Two commercial airliners were deliberately flown into the twin towers of the World Trade Center, a third into the Pentagon, and a fourth, originally intended to target either the United States Capitol or the White House, crashed in a field in Stonycreek Township near Shanksville, Pennsylvania after passengers revolted. It was the deadliest foreign attack on American soil since the Japanese attack on Pearl Harbor on December 7, 1941, and to this day remains the deadliest terrorist attack in human history.
The attacks were conducted by Al-Qaeda, acting in accord with the 1998 fatwa issued against the US and its allies by persons under the command of bin Laden, al-Zawahiri, and others. Evidence points to suicide squads led by Al-Qaeda military commander Mohamed Atta as the culprits of the attacks, with bin Laden, Ayman al-Zawahiri, Khalid Sheikh Mohammed, and Hambali as the key planners and part of the political and military command.
Messages issued by bin Laden after September 11, 2001, praised the attacks, and explained their motivation while denying any involvement. Bin Laden legitimized the attacks by identifying grievances felt by both mainstream and Islamist Muslims, such as the general perception that the US was actively oppressing Muslims.
Bin Laden asserted that America was massacring Muslims in "Palestine, Chechnya, Kashmir and Iraq" and Muslims should retain the "right to attack in reprisal". He also claimed the 9/11 attacks were not targeted at people, but "America's icons of military and economic power", despite the fact he planned to attack in the morning when most of the people in the intended targets were present and thus generating the maximum number of human casualties.
Evidence later came to light that the original targets for the attack may have been nuclear power stations on the US East Coast. The targets were later altered by Al-Qaeda, as it was feared that such an attack "might get out of hand".
Designation as a terrorist group
Al-Qaeda is deemed a designated terrorist group by the following countries and international organizations:
designated Al-Qaeda's Turkish branch
United Nations Security Council
War on terror
In the immediate aftermath of the 9/11 attacks, the US government responded, and began to prepare its armed forces to overthrow the Taliban, which it believed was harboring Al-Qaeda. The US offered Taliban leader Mullah Omar a chance to surrender bin Laden and his top associates. The first forces to be inserted into Afghanistan were paramilitary officers from the CIA's elite Special Activities Division (SAD).
The Taliban offered to turn over bin Laden to a neutral country for trial if the US would provide evidence of bin Laden's complicity in the attacks. US President George W. Bush responded by saying: "We know he's guilty. Turn him over", and British Prime Minister Tony Blair warned the Taliban regime: "Surrender bin Laden, or surrender power."
Soon thereafter the US and its allies invaded Afghanistan, and together with the Afghan Northern Alliance removed the Taliban government as part of the war in Afghanistan. As a result of the US special forces and air support for the Northern Alliance ground forces, a number of Taliban and Al-Qaeda training camps were destroyed, and much of the operating structure of Al-Qaeda is believed to have been disrupted. After being driven from their key positions in the Tora Bora area of Afghanistan, many Al-Qaeda fighters tried to regroup in the rugged Gardez region of the nation.
By early 2002, Al-Qaeda had been dealt a serious blow to its operational capacity, and the Afghan invasion appeared to be a success. Nevertheless, a significant Taliban insurgency remained in Afghanistan.
Debate continued regarding the nature of Al-Qaeda's role in the 9/11 attacks. The US State Department released a videotape showing bin Laden speaking with a small group of associates somewhere in Afghanistan shortly before the Taliban was removed from power. Although its authenticity has been questioned by a couple of people, the tape definitively implicates bin Laden and Al-Qaeda in the September 11 attacks. The tape was aired on many television channels, with an accompanying English translation provided by the US Defense Department.
In September 2004, the 9/11 Commission officially concluded that the attacks were conceived and implemented by al-Qaeda operatives. In October 2004, bin Laden appeared to claim responsibility for the attacks in a videotape released through Al Jazeera, saying he was inspired by Israeli attacks on high-rises in the 1982 invasion of Lebanon: "As I looked at those demolished towers in Lebanon, it entered my mind that we should punish the oppressor in kind and that we should destroy towers in America in order that they taste some of what we tasted and so that they be deterred from killing our women and children."
By the end of 2004, the US government proclaimed that two-thirds of the most senior Al-Qaeda figures from 2001 had been captured and interrogated by the CIA: Abu Zubaydah, Ramzi bin al-Shibh and Abd al-Rahim al-Nashiri in 2002; Khalid Sheikh Mohammed in 2003; and Saif al Islam el Masry in 2004. Mohammed Atef and several others were killed. The West was criticized for not being able to handle Al-Qaida despite a decade of the war.
Activities
Africa
Al-Qaeda involvement in Africa has included a number of bombing attacks in North Africa, while supporting parties in civil wars in Eritrea and Somalia. From 1991 to 1996, bin Laden and other Al-Qaeda leaders were based in Sudan.
Islamist rebels in the Sahara calling themselves Al-Qaeda in the Islamic Maghreb have stepped up their violence in recent years. French officials say the rebels have no real links to the Al-Qaeda leadership, but this has been disputed. It seems likely that bin Laden approved the group's name in late 2006, and the rebels "took on the al Qaeda franchise label", almost a year before the violence began to escalate.
In Mali, the Ansar Dine faction was also reported as an ally of Al-Qaeda in 2013. The Ansar al Dine faction aligned themselves with the AQIM.
In 2011, Al-Qaeda's North African wing condemned Libyan leader Muammar Gaddafi and declared support for the Anti-Gaddafi rebels.
Following the Libyan Civil War, the removal of Gaddafi and the ensuing period of post-civil war violence in Libya, various Islamist militant groups affiliated with Al-Qaeda were able to expand their operations in the region. The 2012 Benghazi attack, which resulted in the death of US Ambassador J. Christopher Stevens and three other Americans, is suspected of having been carried out by various Jihadist networks, such as Al-Qaeda in the Islamic Maghreb, Ansar al-Sharia and several other Al-Qaeda affiliated groups. The capture of Nazih Abdul-Hamed al-Ruqai, a senior Al-Qaeda operative wanted by the United States for his involvement in the 1998 United States embassy bombings, on October 5, 2013, by US Navy Seals, FBI and CIA agents illustrates the importance the US and other Western allies have placed on North Africa.
Europe
Prior to the September 11 attacks, Al-Qaeda was present in Bosnia and Herzegovina, and its members were mostly veterans of the El Mudžahid detachment of the Bosnian Muslim Army of the Republic of Bosnia and Herzegovina. Three Al-Qaeda operatives carried out the Mostar car bombing in 1997. The operatives were closely linked to and financed by the Saudi High Commission for Relief of Bosnia and Herzegovina founded by then-prince King Salman of Saudi Arabia.
Before the 9/11 attacks and the US invasion of Afghanistan, westerners who had been recruits at Al-Qaeda training camps were sought after by Al-Qaeda's military wing. Language skills and knowledge of Western culture were generally found among recruits from Europe, such was the case with Mohamed Atta, an Egyptian national studying in Germany at the time of his training, and other members of the Hamburg Cell. Osama bin Laden and Mohammed Atef would later designate Atta as the ringleader of the 9/11 hijackers. Following the attacks, Western intelligence agencies determined that Al-Qaeda cells operating in Europe had aided the hijackers with financing and communications with the central leadership based in Afghanistan.
In 2003, Islamists carried out a series of bombings in Istanbul killing fifty-seven people and injuring seven hundred. Seventy-four people were charged by the Turkish authorities. Some had previously met bin Laden, and though they specifically declined to pledge allegiance to Al-Qaeda they asked for its blessing and help.
In 2009, three Londoners, Tanvir Hussain, Assad Sarwar and Ahmed Abdullah Ali, were convicted of conspiring to detonate bombs disguised as soft drinks on seven airplanes bound for Canada and the US The MI5 investigation regarding the plot involved more than a year of surveillance work conducted by over two hundred officers. British and US officials said the plotunlike many similar homegrown European Islamic militant plotswas directly linked to Al-Qaeda and guided by senior Al-Qaeda members in Pakistan.
In 2012, Russian Intelligence indicated that Al-Qaeda had given a call for "forest jihad" and has been starting massive forest fires as part of a strategy of "thousand cuts".
Arab world
Following Yemeni unification in 1990, Wahhabi networks began moving missionaries into the country. Although it is unlikely bin Laden or Saudi Al-Qaeda were directly involved, the personal connections they made would be established over the next decade and used in the USS Cole bombing. Concerns grew over al-Qaeda's group in Yemen.
In Iraq, al-Qaeda forces loosely associated with the leadership were embedded in the Jama'at al-Tawhid wal-Jihad group commanded by Abu Musab al-Zarqawi. Specializing in suicide operations, they have been a "key driver" of the Sunni insurgency. Although they played a small part in the overall insurgency, between 30% and 42% of all suicide bombings which took place in the early years were claimed by Zarqawi's group. Reports have indicated that oversights such as the failure to control access to the Qa'qaa munitions factory in Yusufiyah have allowed large quantities of munitions to fall into the hands of al-Qaida. In November 2010, the militant group Islamic State of Iraq, which is linked to al-Qaeda in Iraq, threatened to "exterminate all Iraqi Christians".
Al-Qaeda did not begin training Palestinians until the late 1990s. Large groups such as Hamas and Palestinian Islamic Jihad have rejected an alliance with al-Qaeda, fearing that al-Qaeda will co-opt their cells. This may have changed recently. The Israeli security and intelligence services believe al-Qaeda has managed to infiltrate operatives from the Occupied Territories into Israel, and is waiting for an opportunity to attack.
, Saudi Arabia, Qatar and Turkey are openly supporting the Army of Conquest, an umbrella rebel group fighting in the Syrian Civil War against the Syrian government that reportedly includes an al-Qaeda linked al-Nusra Front and another Salafi coalition known as Ahrar al-Sham.
Kashmir
Bin Laden and Ayman al-Zawahiri consider India to be a part of an alleged Crusader-Zionist-Hindu conspiracy against the Islamic world. According to a 2005 report by the Congressional Research Service, bin Laden was involved in training militants for Jihad in Kashmir while living in Sudan in the early 1990s. By 2001, Kashmiri militant group Harkat-ul-Mujahideen had become a part of the al-Qaeda coalition. According to the United Nations High Commissioner for Refugees (UNHCR), al-Qaeda was thought to have established bases in Pakistan administered Kashmir (in Azad Kashmir, and to some extent in Gilgit–Baltistan) during the 1999 Kargil War and continued to operate there with tacit approval of Pakistan's Intelligence services.
Many of the militants active in Kashmir were trained in the same madrasahs as Taliban and Al-Qaeda. Fazlur Rehman Khalil of Kashmiri militant group Harkat-ul-Mujahideen was a signatory of al-Qaeda's 1998 declaration of Jihad against America and its allies. In a 'Letter to American People' (2002), bin Laden wrote that one of the reasons he was fighting America was because of its support to India on the Kashmir issue. In November 2001, Kathmandu airport went on high alert after threats that bin Laden planned to hijack a plane and crash it into a target in New Delhi. In 2002, US Secretary of Defense Donald Rumsfeld, on a trip to Delhi, suggested that Al-Qaeda was active in Kashmir though he did not have any evidence. Rumsfeld proposed hi-tech ground sensors along the Line of Control to prevent militants from infiltrating into Indian-administered Kashmir.
An investigation in 2002 found evidence that al-Qaeda and its affiliates were prospering in Pakistan-administered Kashmir with tacit approval of Pakistan's Inter-Services Intelligence. In 2002, a special team of Special Air Service and Delta Force was sent into Indian-Administered Kashmir to hunt for bin Laden after receiving reports that he was being sheltered by Kashmiri militant group Harkat-ul-Mujahideen, which had been responsible for kidnapping western tourists in Kashmir in 1995. Britain's highest-ranking al-Qaeda operative Rangzieb Ahmed had previously fought in Kashmir with the group Harkat-ul-Mujahideen and spent time in Indian prison after being captured in Kashmir.
US officials believe al-Qaeda was helping organize attacks in Kashmir in order to provoke conflict between India and Pakistan. Their strategy was to force Pakistan to move its troops to the border with India, thereby relieving pressure on al-Qaeda elements hiding in northwestern Pakistan. In 2006 al-Qaeda claimed they had established a wing in Kashmir. However Indian Army General H. S. Panag argued that the army had ruled out the presence of al-Qaeda in Indian-administered Jammu and Kashmir. Panag also said al-Qaeda had strong ties with Kashmiri militant groups Lashkar-e-Taiba and Jaish-e-Mohammed based in Pakistan. It has been noted that Waziristan has become a battlefield for Kashmiri militants fighting NATO in support of al-Qaeda and Taliban. Dhiren Barot, who wrote the Army of Madinah in Kashmir and was an al-Qaeda operative convicted for involvement in the 2004 financial buildings plot, had received training in weapons and explosives at a militant training camp in Kashmir.
Maulana Masood Azhar, the founder of Kashmiri group Jaish-e-Mohammed, is believed to have met bin Laden several times and received funding from him. In 2002, Jaish-e-Mohammed organized the kidnapping and murder of Daniel Pearl in an operation run in conjunction with al-Qaeda and funded by bin Laden. According to American counter-terrorism expert Bruce Riedel, al-Qaeda and Taliban were closely involved in the 1999 hijacking of Indian Airlines Flight 814 to Kandahar which led to the release of Maulana Masood Azhar and Ahmed Omar Saeed Sheikh from an Indian prison. This hijacking, Riedel said, was rightly described by then Indian Foreign Minister Jaswant Singh as a 'dress rehearsal' for September 11 attacks. Bin Laden personally welcomed Azhar and threw a lavish party in his honor after his release. Ahmed Omar Saeed Sheikh, who had been in prison for his role in the 1994 kidnappings of Western tourists in India, went on to murder Daniel Pearl and was sentenced to death in Pakistan. Al-Qaeda operative Rashid Rauf, who was one of the accused in 2006 transatlantic aircraft plot, was related to Maulana Masood Azhar by marriage.
Lashkar-e-Taiba, a Kashmiri militant group which is thought to be behind 2008 Mumbai attacks, is also known to have strong ties to senior al-Qaeda leaders living in Pakistan. In late 2002, top Al-Qaeda operative Abu Zubaydah was arrested while being sheltered by Lashkar-e-Taiba in a safe house in Faisalabad. The FBI believes al-Qaeda and Lashkar have been 'intertwined' for a long time while the CIA has said that al-Qaeda funds Lashkar-e-Taiba. Jean-Louis Bruguière told Reuters in 2009 that "Lashkar-e-Taiba is no longer a Pakistani movement with only a Kashmir political or military agenda. Lashkar-e-Taiba is a member of al-Qaeda."
In a video released in 2008, American-born senior al-Qaeda operative Adam Yahiye Gadahn said that "victory in Kashmir has been delayed for years; it is the liberation of the jihad there from this interference which, Allah willing, will be the first step towards victory over the Hindu occupiers of that Islam land."
In September 2009, a US drone strike reportedly killed Ilyas Kashmiri who was the chief of Harkat-ul-Jihad al-Islami, a Kashmiri militant group associated with al-Qaeda. Kashmiri was described by Bruce Riedel as a 'prominent' Al-Qaeda member while others have described him as head of military operations for al-Qaeda. Kashmiri was also charged by the US in a plot against Jyllands-Posten, the Danish newspaper which was at the center of Jyllands-Posten Muhammad cartoons controversy. US officials also believe that Kashmiri was involved in the Camp Chapman attack against the CIA. In January 2010, Indian authorities notified Britain of an al-Qaeda plot to hijack an Indian airlines or Air India plane and crash it into a British city. This information was uncovered from interrogation of Amjad Khwaja, an operative of Harkat-ul-Jihad al-Islami, who had been arrested in India.
In January 2010, US Defense secretary Robert Gates, while on a visit to Pakistan, said that al-Qaeda was seeking to destabilize the region and planning to provoke a nuclear war between India and Pakistan.
Internet
Al-Qaeda and its successors have migrated online to escape detection in an atmosphere of increased international vigilance. The group's use of the Internet has grown more sophisticated, with online activities that include financing, recruitment, networking, mobilization, publicity, and information dissemination, gathering and sharing.
Abu Ayyub al-Masri's al-Qaeda movement in Iraq regularly releases short videos glorifying the activity of jihadist suicide bombers. In addition, both before and after the death of Abu Musab al-Zarqawi (the former leader of al-Qaeda in Iraq), the umbrella organization to which Al-Qaeda in Iraq belongs, the Mujahideen Shura Council, has a regular presence on the Web.
The range of multimedia content includes guerrilla training clips, stills of victims about to be murdered, testimonials of suicide bombers, and videos that show participation in jihad through stylized portraits of mosques and musical scores. A website associated with Al-Qaeda posted a video of captured American entrepreneur Nick Berg being decapitated in Iraq. Other decapitation videos and pictures, including those of Paul Johnson, Kim Sun-il, and Daniel Pearl, were first posted on jihadist websites.
In December 2004 an audio message claiming to be from bin Laden was posted directly to a website, rather than sending a copy to al Jazeera as he had done in the past. Al-Qaeda turned to the Internet for release of its videos in order to be certain they would be available unedited, rather than risk the possibility of al Jazeera editing out anything critical of the Saudi royal family.
Alneda.com and Jehad.net were perhaps the most significant al-Qaeda websites. Alneda was initially taken down by American Jon Messner, but the operators resisted by shifting the site to various servers and strategically shifting content.
The US government charged a British information technology specialist, Babar Ahmad, with terrorist offences related to his operating a network of English-language al-Qaeda websites, such as Azzam.com. He was convicted and sentenced to years in prison.
Online communications
In 2007, al-Qaeda released Mujahedeen Secrets, encryption software used for online and cellular communications. A later version, Mujahideen Secrets 2, was released in 2008.
Aviation network
al-Qaeda is believed to be operating a clandestine aviation network including "several Boeing 727 aircraft", turboprops and executive jets, according to a 2010 Reuters story. Based on a US Department of Homeland Security report, the story said al-Qaeda is possibly using aircraft to transport drugs and weapons from South America to various unstable countries in West Africa. A Boeing 727 can carry up to ten tons of cargo. The drugs eventually are smuggled to Europe for distribution and sale, and the weapons are used in conflicts in Africa and possibly elsewhere. Gunmen with links to al-Qaeda have been increasingly kidnapping Europeans for ransom. The profits from the drug and weapon sales, and kidnappings can, in turn, fund more militant activities.
Involvement in military conflicts
The following is a list of military conflicts in which al-Qaeda and its direct affiliates have taken part militarily.
Alleged CIA involvement
Experts debate the notion that the al-Qaeda attacks were an indirect consequence of the American CIA's Operation Cyclone program to help the Afghan mujahideen. Robin Cook, British Foreign Secretary from 1997 to 2001, has written that al-Qaeda and bin Laden were "a product of a monumental miscalculation by western security agencies", and that "Al-Qaida, literally 'the database', was originally the computer file of the thousands of mujahideen who were recruited and trained with help from the CIA to defeat the Russians."
Munir Akram, Permanent Representative of Pakistan to the United Nations from 2002 to 2008, wrote in a letter published in The New York Times on January 19, 2008:
CNN journalist Peter Bergen, Pakistani ISI Brigadier Mohammad Yousaf, and CIA operatives involved in the Afghan program, such as Vincent Cannistraro, deny that the CIA or other American officials had contact with the foreign mujahideen or bin Laden, or that they armed, trained, coached or indoctrinated them. In his 2004 book Ghost Wars, Steve Coll writes that the CIA had contemplated providing direct support to the foreign mujahideen, but that the idea never moved beyond discussions.
Bergen and others argue that there was no need to recruit foreigners unfamiliar with the local language, customs or lay of the land since there were a quarter of a million local Afghans willing to fight. Bergen further argues that foreign mujahideen had no need for American funds since they received several million dollars per year from internal sources. Lastly, he argues that Americans could not have trained the foreign mujahideen because Pakistani officials would not allow more than a handful of them to operate in Pakistan and none in Afghanistan, and the Afghan Arabs were almost invariably militant Islamists reflexively hostile to Westerners whether or not the Westerners were helping the Muslim Afghans.
According to Bergen, who conducted the first television interview with bin Laden in 1997: the idea that "the CIA funded bin Laden or trained bin Laden... [is] a folk myth. There's no evidence of this... Bin Laden had his own money, he was anti-American and he was operating secretly and independently... The real story here is the CIA didn't really have a clue about who this guy was until 1996 when they set up a unit to really start tracking him."
Jason Burke also wrote:
Broader influence
Anders Behring Breivik, the perpetrator of the 2011 Norway attacks, was inspired by al-Qaeda, calling it "the most successful revolutionary movement in the world." While admitting different aims, he sought to "create a European version of Al-Qaida."
The appropriate response to offshoots is a subject of debate. A journalist reported in 2012 that a senior US military planner had asked: "Should we resort to drones and Special Operations raids every time some group raises the black banner of al Qaeda? How long can we continue to chase offshoots of offshoots around the world?"
Criticism
According to CNN journalists Peter Bergen and Paul Cruickshank, a number of "religious scholars, former fighters and militants" who previously supported Islamic State of Iraq (ISI) had turned against the Al-Qaeda-supported Iraqi insurgency in 2008; due to ISI's indiscriminate attacks against civilians while targeting US-led coalition forces. American military analyst Bruce Riedel wrote in 2008 that "a wave of revulsion" arose against ISI, which enabled US-allied Sons of Iraq faction to turn various tribal leaders in the Anbar region against the Iraqi insurgency. In response, Bin Laden and Zawahiri issued public statements urging Muslims to rally behind ISI leadership and support the armed struggle against American forces.
In response to Noman Benotman, a former militant member of the Libyan Islamic Fighting Group (LIFG), went public with an open letter of criticism to Ayman al-Zawahiri in November 2007, after persuading the imprisoned senior leaders of his former group to enter into peace negotiations with the Libyan regime. While Ayman al-Zawahiri announced the affiliation of the group with Al-Qaeda in November 2007, the Libyan government released 90 members of the group from prison several months after "they were said to have renounced violence."
In 2007, on the anniversary of the September 11 attacks, the Saudi sheikh Salman al-Ouda delivered a personal rebuke to bin Laden. Al-Ouda addressed Al-Qaeda's leader on television asking him:
According to Pew polls, support for Al-Qaeda had dropped in the Muslim world in the years before 2008. In Saudi Arabia, only ten percent had a favorable view of Al-Qaeda, according to a December 2007 poll by Terror Free Tomorrow, a Washington-based think tank.
In 2007, the imprisoned Dr. Fadl, who was an influential Afghan Arab and former associate of Ayman al-Zawahiri, withdrew his support from al-Qaeda and criticized the organization in his book Wathiqat Tarshid Al-'Aml Al-Jihadi fi Misr w'Al-'Alam (). In response, Al-Zawahiri accused Dr. Fadl of promoting "an Islam without jihad" that aligns with Western interests and wrote a nearly two hundred pages long treatise, titled "The Exoneration" which appeared on the Internet in March 2008. In his treatise, Zawahiri justified military strikes against US targets as retaliatory attacks to defend Muslim community against American aggression.
In an online town hall forum conducted in December 2007, Zawahiri denied that al-Qaeda deliberately targeted innocents and accused the American coalition of killing innocent people. Although once associated with al-Qaeda, in September 2009 LIFG completed a new "code" for jihad, a 417-page religious document entitled "Corrective Studies". Given its credibility and the fact that several other prominent Jihadists in the Middle East have turned against Al-Qaeda, the LIFG's reversal may be an important step toward staunching Al-Qaeda's recruitment.
Other criticisms
Bilal Abdul Kareem, an American journalist based in Syria created a documentary about al-Shabab, Al-Qaeda's affiliate in Somalia. The documentary included interviews with former members of the group who stated their reasons for leaving al-Shabab. The members made accusations of segregation, lack of religious awareness and internal corruption and favoritism. In response to Kareem, the Global Islamic Media Front condemned Kareem, called him a liar, and denied the accusations from the former fighters.
In mid-2014 after the Islamic State of Iraq and the Levant declared that they had restored the Caliphate, an audio statement was released by the then-spokesman of the group Abu Muhammad al-Adnani claiming that "the legality of all emirates, groups, states, and organizations, becomes null by the expansion of the Caliphate's authority." The speech included a religious refutation of Al-Qaeda for being too lenient regarding Shiites and their refusal to recognize the authority Abu Bakr al-Baghdadi, al-Adnani specifically noting: "It is not suitable for a state to give allegiance to an organization." He also recalled a past instance in which Osama bin Laden called on Al-Qaeda members and supporters to give allegiance to Abu Omar al-Baghdadi when the group was still solely operating in Iraq, as the Islamic State of Iraq, and condemned Ayman al-Zawahiri for not making this same claim for Abu Bakr al-Baghdadi. Zawahiri was encouraging factionalism and division between former allies of ISIL such as the al-Nusra Front.
See also
Al-Qaeda involvement in Asia
Al Qaeda Network Exord
Allegations of support system in Pakistan for Osama bin Laden
Belligerents in the Syrian civil war
Bin Laden Issue Station (former CIA unit for tracking bin Laden)
Steven Emerson
Fatawā of Osama bin Laden
International propagation of Salafism and Wahhabism (by region)
Iran – Alleged Al-Qaeda ties
Islamic Military Counter Terrorism Coalition
Operation Cannonball
Psychological warfare
Religious terrorism
Takfir wal-Hijra
Videos and audio recordings of Osama bin Laden
Violent extremism
Publications
Al Qaeda Handbook
Management of Savagery
Notes
References
Sources
Bibliography
Reviews
Government reports
Alt URL
External links
Al-Qaeda in Oxford Islamic Studies Online
Al-Qaeda, Counter Extremism Project profile
17 de-classified documents captured during the Abbottabad raid and released to the Combating Terrorism Center
Media
Peter Taylor. (2007). "War on the West". Age of Terror, No. 4, series 1. BBC.
Investigating Al-Qaeda, BBC News
"Al Qaeda's New Front" from PBS Frontline, January 2005
Anti-communist organizations
Anti-communist terrorism
Antisemitism in Pakistan
Antisemitism in the Arab world
Antisemitism in the Middle East
Anti-Shi'ism
Anti-Zionist organizations
Islam and antisemitism
Islamic fundamentalism in the United States
Islamic fundamentalism
Islam-related controversies
Organizations based in Asia designated as terrorist
Organisations designated as terrorist by Australia
Organizations designated as terrorist by Bahrain
Organizations designated as terrorist by Canada
Organisations designated as terrorist by India
Organizations designated as terrorist by China
Organisations designated as terrorist by Iran
Organizations designated as terrorist by Israel
Organisations designated as terrorist by Japan
Organizations designated as terrorist by Kyrgyzstan
Organisations designated as terrorist by Pakistan
Organisations designated as terrorist by the United Kingdom
Organizations designated as terrorist by Malaysia
Organizations designated as terrorist by Paraguay
Organizations designated as terrorist by Russia
Organizations designated as terrorist by Saudi Arabia
Organizations designated as terrorist by Turkey
Organizations designated as terrorist by the United Arab Emirates
Organizations designated as terrorist by the United States
Organizations established in 1988
Organizations that oppose LGBT rights
Pan-Islamism
Al-Qaeda
Salafi Jihadist groups
Sunni Islamist groups
Qutbist organisations
Violence against LGBT people
Violence against Shia Muslims
Homophobia
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Arkansas ( ) is a landlocked state in the south-central region of the Southern United States. It is bordered by Missouri to the north, Tennessee and Mississippi to the east, Louisiana to the south, Texas to the southwest, and Oklahoma to the west. Its name is from the Osage language, a Dhegiha Siouan language, and referred to their relatives, the Quapaw people. The state's diverse geography ranges from the mountainous regions of the Ozark and Ouachita Mountains, which make up the U.S. Interior Highlands, to the densely forested land in the south known as the Arkansas Timberlands, to the eastern lowlands along the Mississippi River and the Arkansas Delta.
Arkansas is the 29th largest by area and the 34th most populous state, with a population of just over 3 million at the 2020 census. The capital and most populous city is Little Rock, in the central part of the state, a hub for transportation, business, culture, and government. The northwestern corner of the state, including the Fayetteville–Springdale–Rogers Metropolitan Area and Fort Smith metropolitan area, is a population, education, and economic center. The largest city in the state's eastern part is Jonesboro. The largest city in the state's southeastern part is Pine Bluff.
Previously part of French Louisiana and the Louisiana Purchase, the Territory of Arkansas was admitted to the Union as the 25th state on June 15, 1836. Much of the Delta had been developed for cotton plantations, and landowners there largely depended on enslaved African Americans' labor. In 1861, Arkansas seceded from the United States and joined the Confederate States of America during the American Civil War. On returning to the Union in 1868, Arkansas continued to suffer economically, due to its overreliance on the large-scale plantation economy. Cotton remained the leading commodity crop, and the cotton market declined. Because farmers and businessmen did not diversify and there was little industrial investment, the state fell behind in economic opportunity. In the late 19th century, the state instituted various Jim Crow laws to disenfranchise and segregate the African-American population. White interests dominated Arkansas's politics, with disenfranchisement of African Americans and refusal to reapportion the legislature; only after the federal legislation passed were more African Americans able to vote. During the civil rights movement of the 1950s and 1960s, Arkansas and particularly Little Rock were major battlegrounds for efforts to integrate schools.
Following World War II in the 1940s, Arkansas began to diversify its economy and see prosperity. During the 1960s, the state became the base of the Walmart corporation, the world's largest company by revenue, headquartered in Bentonville. In the 21st century, Arkansas's economy is based on service industries, aircraft, poultry, steel, and tourism, along with important commodity crops of cotton, soybeans and rice.
Arkansas's culture is observable in museums, theaters, novels, television shows, restaurants, and athletic venues across the state. Notable people from the state include politician and educational advocate William Fulbright; former president Bill Clinton, who also served as the 40th and 42nd governor of Arkansas; general Wesley Clark, former NATO Supreme Allied Commander; Walmart founder and magnate Sam Walton; singer-songwriters Johnny Cash, Charlie Rich, Jimmy Driftwood, and Glen Campbell; actor-filmmaker Billy Bob Thornton; poet C. D. Wright; physicist William L. McMillan, a pioneer in superconductor research; poet laureate Maya Angelou; Douglas MacArthur; musician Al Green; actor Alan Ladd; basketball player Scottie Pippen; singer Ne-Yo; Chelsea Clinton; actress Sheryl Underwood; and author John Grisham.
Etymology
The name Arkansas initially applied to the Arkansas River. It derives from a French term, Arcansas, their plural term for their transliteration of akansa, an Algonquian term for the Quapaw people. These were a Dhegiha Siouan-speaking people who settled in Arkansas around the 13th century. Kansa is likely also the root term for Kansas, which was named after the related Kaw people.
The name has been pronounced and spelled in a variety of ways. In 1881, the state legislature defined the official pronunciation of Arkansas as having the final "s" be silent (as it would be in French). A dispute had arisen between the state's two senators over the pronunciation issue. One favored (), the other ().
In 2007, the state legislature passed a non-binding resolution declaring that the possessive form of the state's name is Arkansas's, which the state government has increasingly followed.
History
Early history
Before European settlement of North America, Arkansas, was inhabited by indigenous peoples for thousands of years. The Caddo, Osage, and Quapaw peoples encountered European explorers. The first of these Europeans was Spanish explorer Hernando de Soto in 1541, who crossed the Mississippi and marched across central Arkansas and the Ozark Mountains. After finding nothing he considered of value and encountering native resistance the entire way, he and his men returned to the Mississippi River where de Soto fell ill. From his deathbed he ordered his men to massacre all the men of the nearby village of Anilco, who he feared had been plotting with a powerful polity down the Mississippi River, Quigualtam. His men obeyed and did not stop with the men, but were said to have massacred women and children as well. He died the following day in what is believed to be the vicinity of modern-day McArthur, Arkansas, in May 1542. His body was weighted down with sand and he was consigned to a watery grave in the Mississippi River under cover of darkness by his men. De Soto had attempted to deceive the native population into thinking he was an immortal deity, sun of the sun, in order to forestall attack by outraged Native Americans on his by then weakened and bedraggled army. In order to keep the ruse up, his men informed the locals that de Soto had ascended into the sky. His will at the time of his death listed "four Indian slaves, three horses and 700 hogs" which were auctioned off. The starving men, who had been living off maize stolen from natives, immediately started butchering the hogs and later, commanded by former aide-de-camp Moscoso, attempted an overland return to Mexico. They made it as far as Texas before running into territory too dry for maize farming and too thinly populated to sustain themselves by stealing food from the locals. The expedition promptly backtracked to Arkansas. After building a small fleet of boats they then headed down the Mississippi River and eventually on to Mexico by water.
Later explorers included the French Jacques Marquette and Louis Jolliet in 1673, and Frenchmen Robert La Salle and Henri de Tonti in 1681. Tonti established Arkansas Post at a Quapaw village in 1686, making it the first European settlement in the territory. The early Spanish or French explorers of the state gave it its name, which is probably a phonetic spelling of the Illinois tribe's name for the Quapaw people, who lived downriver from them. The name Arkansas has been pronounced and spelled in a variety of fashions. The region was organized as the Territory of Arkansaw on July 4, 1819, with the territory admitted to the United States as the state of Arkansas on June 15, 1836. The name was historically , , and several other variants. Historically and modernly, the people of Arkansas call themselves either "Arkansans" or "Arkansawyers". In 1881, the Arkansas General Assembly passed Arkansas Code 1-4-105 (official text):
Whereas, confusion of practice has arisen in the pronunciation of the name of our state and it is deemed important that the true pronunciation should be determined for use in oral official proceedings.
And, whereas, the matter has been thoroughly investigated by the State Historical Society and the Eclectic Society of Little Rock, which have agreed upon the correct pronunciation as derived from history, and the early usage of the American immigrants.
Be it therefore resolved by both houses of the General Assembly, that the only true pronunciation of the name of the state, in the opinion of this body, is that received by the French from the native Indians and committed to writing in the French word representing the sound. It should be pronounced in three (3) syllables, with the final "s" silent, the "a" in each syllable with the Italian sound, and the accent on the first and last syllables. The pronunciation with the accent on the second syllable with the sound of "a" in "man" and the sounding of the terminal "s" is an innovation to be discouraged.
Citizens of the state of Kansas often pronounce the Arkansas River as , in a manner similar to the common pronunciation of the name of their state.
Settlers, such as fur trappers, moved to Arkansas in the early 18th century. These people used Arkansas Post as a home base and entrepôt. During the colonial period, Arkansas changed hands between France and Spain following the Seven Years' War, although neither showed interest in the remote settlement of Arkansas Post. In April 1783, Arkansas saw its only battle of the American Revolutionary War, a brief siege of the post by British Captain James Colbert with the assistance of the Choctaw and Chickasaw.
Purchase and statehood
Napoleon Bonaparte sold French Louisiana to the United States in 1803, including all of Arkansas, in a transaction known today as the Louisiana Purchase. French soldiers remained as a garrison at Arkansas Post. Following the purchase, the balanced give-and-take relationship between settlers and Native Americans began to change all along the frontier, including in Arkansas. Following a controversy over allowing slavery in the territory, the Territory of Arkansas was organized on July 4, 1819. Gradual emancipation in Arkansas was struck down by one vote, the Speaker of the House Henry Clay, allowing Arkansas to organize as a slave territory.
Slavery became a wedge issue in Arkansas, forming a geographic divide that remained for decades. Owners and operators of the cotton plantation economy in southeast Arkansas firmly supported slavery, as they perceived slave labor as the best or "only" economically viable method of harvesting their commodity crops. The "hill country" of northwest Arkansas was unable to grow cotton and relied on a cash-scarce, subsistence farming economy.
As European Americans settled throughout the East Coast and into the Midwest, in the 1830s the United States government forced the removal of many Native American tribes to Arkansas and Indian Territory west of the Mississippi River.
Additional Native American removals began in earnest during the territorial period, with final Quapaw removal complete by 1833 as they were pushed into Indian Territory. The capital was relocated from Arkansas Post to Little Rock in 1821, during the territorial period.
When Arkansas applied for statehood, the slavery issue was again raised in Washington, D.C. Congress eventually approved the Arkansas Constitution after a 25-hour session, admitting Arkansas on June 15, 1836, as the 25th state and the 13th slave state, having a population of about 60,000. Arkansas struggled with taxation to support its new state government, a problem made worse by a state banking scandal and worse yet by the Panic of 1837.
Civil War and Reconstruction
In early antebellum Arkansas, the southeast Arkansas slave-based economy developed rapidly. On the eve of the American Civil War in 1860, enslaved African Americans numbered 111,115 people, just over 25% of the state's population. A plantation system based largely on cotton agriculture developed that, after the war, kept the state and region behind the nation for decades. The wealth developed among planters of southeast Arkansas caused a political rift between the northwest and southeast.
Many politicians were elected to office from the Family, the Southern rights political force in antebellum Arkansas. Residents generally wanted to avoid a civil war. When the Gulf states seceded in early 1861, delegates to a convention called to determine whether Arkansas should secede referred the question back to the voters for a referendum to be held in August. Arkansas did not secede until Abraham Lincoln demanded Arkansas troops be sent to Fort Sumter to quell the rebellion there. On May 6, the members of the state convention, having been recalled by the convention president, voted to terminate Arkansas's membership in the Union and join the Confederate States of America.
Arkansas held a very important position for the Rebels, maintaining control of the Mississippi River and surrounding Southern states. The bloody Battle of Wilson's Creek just across the border in Missouri shocked many Arkansans who thought the war would be a quick and decisive Southern victory. Battles early in the war took place in northwest Arkansas, including the Battle of Cane Hill, Battle of Pea Ridge, and Battle of Prairie Grove. Union general Samuel Curtis swept across the state to Helena in the Delta in 1862. Little Rock was captured the following year. The government shifted the state Confederate capital to Hot Springs, and then again to Washington from 1863 to 1865, for the remainder of the war. Throughout the state, guerrilla warfare ravaged the countryside and destroyed cities. Passion for the Confederate cause waned after implementation of programs such as the draft, high taxes, and martial law.
Under the Military Reconstruction Act, Congress declared Arkansas restored to the Union in June 1868, after the Legislature accepted the 14th Amendment. The Republican-controlled reconstruction legislature established universal male suffrage (though temporarily disfranchising former Confederate Army officers, who were all Democrats), a public education system for blacks and whites, and passed general issues to improve the state and help more of the population. The State soon came under control of the Radical Republicans and Unionists, and led by Governor Powell Clayton, they presided over a time of great upheaval as Confederate sympathizers and the Ku Klux Klan fought the new developments, particularly voting rights for African Americans.
End of Reconstruction and late 19th century
In 1874, the Brooks-Baxter War, a political struggle between factions of the Republican Party shook Little Rock and the state governorship. It was settled only when President Ulysses S. Grant ordered Joseph Brooks to disperse his militant supporters.
Following the Brooks-Baxter War, a new state constitution was ratified, re-enfranchising former Confederates and effectively bringing an end to Reconstruction.
In 1881, the Arkansas state legislature enacted a bill that adopted an official pronunciation of the state's name, to combat a controversy then simmering. (See Law and Government below.)
After Reconstruction, the state began to receive more immigrants and migrants. Chinese, Italian, and Syrian men were recruited for farm labor in the developing Delta region. None of these nationalities stayed long at farm labor; the Chinese especially, as they quickly became small merchants in towns around the Delta. Many Chinese became such successful merchants in small towns that they were able to educate their children at college.
Construction of railroads enabled more farmers to get their products to market. It also brought new development into different parts of the state, including the Ozarks, where some areas were developed as resorts. In a few years at the end of the 19th century, for instance, Eureka Springs in Carroll County grew to 10,000 people, rapidly becoming a tourist destination and the fourth-largest city of the state. It featured newly constructed, elegant resort hotels and spas planned around its natural springs, considered to have healthful properties. The town's attractions included horse racing and other entertainment. It appealed to a wide variety of classes, becoming almost as popular as Hot Springs.
Rise of the Jim Crow laws and early 20th century
In the late 1880s, the worsening agricultural depression catalyzed Populist and third party movements, leading to interracial coalitions. Struggling to stay in power, in the 1890s the Democrats in Arkansas followed other Southern states in passing legislation and constitutional amendments that disfranchised blacks and poor whites. In 1891 state legislators passed a requirement for a literacy test, knowing it would exclude many blacks and whites. At the time, more than 25% of the population could neither read nor write. In 1892, they amended the state constitution to require a poll tax and more complex residency requirements, both of which adversely affected poor people and sharecroppers, forcing most blacks and many poor whites from voter rolls.
By 1900 the Democratic Party expanded use of the white primary in county and state elections, further denying blacks a part in the political process. Only in the primary was there any competition among candidates, as Democrats held all the power. The state was a Democratic one-party state for decades, until after passage of the federal Civil Rights Act of 1964 and Voting Rights Act of 1965 to enforce constitutional rights.
Between 1905 and 1911, Arkansas began to receive a small immigration of German, Slovak, and Scots-Irish from Europe. The German and Slovak peoples settled in the eastern part of the state known as the Prairie, and the Irish founded small communities in the southeast part of the state. The Germans were mostly Lutheran and the Slovaks were primarily Catholic. The Irish were mostly Protestant from Ulster, of Scots and Northern Borders descent. Some early 20th-century immigration included people from eastern Europe. Together, these immigrants made the Delta more diverse than the rest of the state. In the same years, some black migrants moved into the area because of opportunities to develop the bottomlands and own their own property.
Black sharecroppers began to try to organize a farmers' union after World WarI. They were seeking better conditions of payment and accounting from white landowners of the area cotton plantations. Whites resisted any change and often tried to break up their meetings. On September 30, 1919, two white men, including a local deputy, tried to break up a meeting of black sharecroppers who were trying to organize a farmers' union. After a white deputy was killed in a confrontation with guards at the meeting, word spread to town and around the area. Hundreds of whites from Phillips and neighboring areas rushed to suppress the blacks, and started attacking blacks at large. Governor Charles Hillman Brough requested federal troops to stop what was called the Elaine massacre. White mobs spread throughout the county, killing an estimated 237 blacks before most of the violence was suppressed after October 1. Five whites also died in the incident. The governor accompanied the troops to the scene; President Woodrow Wilson had approved their use.
The Great Mississippi Flood of 1927 flooded the areas along the Ouachita Rivers along with many other rivers.
Based on the order of President Franklin D. Roosevelt given shortly after Imperial Japan's attack on Pearl Harbor, nearly 16,000 Japanese Americans were forcibly removed from the West Coast of the United States and incarcerated in two internment camps in the Arkansas Delta. The Rohwer Camp in Desha County operated from September 1942 to November 1945 and at its peak interned 8,475 prisoners. The Jerome War Relocation Center in Drew County operated from October 1942 to June 1944 and held about 8,000.
Fall of segregation
After the Supreme Court ruled segregation in public schools unconstitutional in Brown v. Board of Education of Topeka, Kansas (1954), some students worked to integrate schools in the state. The Little Rock Nine brought Arkansas to national attention in 1957 when the federal government had to intervene to protect African-American students trying to integrate a high school in the capital. Governor Orval Faubus had ordered the Arkansas National Guard to help segregationists prevent nine African-American students from enrolling at Little Rock's Central High School. After attempting three times to contact Faubus, President Dwight D. Eisenhower sent 1,000 troops from the active-duty 101st Airborne Division to escort and protect the African-American students as they entered school on September 25, 1957. In defiance of federal court orders to integrate, the governor and city of Little Rock decided to close the high schools for the remainder of the school year. By the fall of 1959, the Little Rock high schools were completely integrated.
Geography
Boundaries
Arkansas borders Louisiana to the south, Texas to the southwest, Oklahoma to the west, Missouri to the north, and Tennessee and Mississippi to the east. The United States Census Bureau classifies Arkansas as a southern state, sub-categorized among the West South Central States. The Mississippi River forms most of its eastern border, except in Clay and Greene counties, where the St. Francis River forms the western boundary of the Missouri Bootheel, and in many places where the channel of the Mississippi has meandered (or been straightened by man) from its original 1836 course.
Terrain
Arkansas can generally be split into two halves, the highlands in the northwest and the lowlands of the southeast. The highlands are part of the Southern Interior Highlands, including The Ozarks and the Ouachita Mountains. The southern lowlands include the Gulf Coastal Plain and the Arkansas Delta. This split can yield to a regional division into northwest, southwest, northeast, southeast, and central Arkansas. These regions are broad and not defined along county lines. Arkansas has seven distinct natural regions: the Ozark Mountains, Ouachita Mountains, Arkansas River Valley, Gulf Coastal Plain, Crowley's Ridge, and the Arkansas Delta, with Central Arkansas sometimes included as a blend of multiple regions.
The southeastern part of Arkansas along the Mississippi Alluvial Plain is sometimes called the Arkansas Delta. This region is a flat landscape of rich alluvial soils formed by repeated flooding of the adjacent Mississippi. Farther from the river, in the southeastern part of the state, the Grand Prairie has a more undulating landscape. Both are fertile agricultural areas. The Delta region is bisected by a geological formation known as Crowley's Ridge. A narrow band of rolling hills, Crowley's Ridge rises above the surrounding alluvial plain and underlies many of eastern Arkansas's major towns.
Northwest Arkansas is part of the Ozark Plateau including the Ozark Mountains, to the south are the Ouachita Mountains, and these regions are divided by the Arkansas River; the southern and eastern parts of Arkansas are called the Lowlands. These mountain ranges are part of the U.S. Interior Highlands region, the only major mountainous region between the Rocky Mountains and the Appalachian Mountains. The state's highest point is Mount Magazine in the Ouachita Mountains, which is above sea level.
Arkansas is home to many caves, such as Blanchard Springs Caverns. The State Archeologist has catalogued more than 43,000 Native American living, hunting and tool-making sites, many of them Pre-Columbian burial mounds and rock shelters. Crater of Diamonds State Park near Murfreesboro is the world's only diamond-bearing site accessible to the public for digging. Arkansas is home to a dozen Wilderness Areas totaling . These areas are set aside for outdoor recreation and are open to hunting, fishing, hiking, and primitive camping. No mechanized vehicles nor developed campgrounds are allowed in these areas.
Hydrology
Arkansas has many rivers, lakes, and reservoirs within or along its borders. Major tributaries to the Mississippi River include the Arkansas River, the White River, and the St. Francis River. The Arkansas is fed by the Mulberry and Fourche LaFave Rivers in the Arkansas River Valley, which is also home to Lake Dardanelle. The Buffalo, Little Red, Black and Cache Rivers are all tributaries to the White River, which also empties into the Mississippi. Bayou Bartholomew and the Saline, Little Missouri, and Caddo Rivers are all tributaries to the Ouachita River in south Arkansas, which empties into the Mississippi in Louisiana. The Red River briefly forms the state's boundary with Texas. Arkansas has few natural lakes and many reservoirs, such as Bull Shoals Lake, Lake Ouachita, Greers Ferry Lake, Millwood Lake, Beaver Lake, Norfork Lake, DeGray Lake, and Lake Conway.
Flora and fauna
Arkansas's temperate deciduous forest is divided into three broad ecoregions: the Ozark, Ouachita-Appalachian Forests, the Mississippi Alluvial and Southeast USA Coastal Plains, and the Southeastern USA Plains. The state is further divided into seven subregions: the Arkansas Valley, Boston Mountains, Mississippi Alluvial Plain, Mississippi Valley Loess Plain, Ozark Highlands, Ouachita Mountains, and the South Central Plains. A 2010 United States Forest Service survey determined of Arkansas's land is forestland, or 56% of the state's total area. Dominant species in Arkansas's forests include Quercus (oak), Carya (hickory), Pinus echinata (shortleaf pine) and Pinus taeda (loblolly pine).
Arkansas's plant life varies with its climate and elevation. The pine belt stretching from the Arkansas delta to Texas consists of dense oak-hickory-pine growth. Lumbering and paper milling activity is active throughout the region. In eastern Arkansas, one can find Taxodium (cypress), Quercus nigra (water oaks), and hickories with their roots submerged in the Mississippi Valley bayous indicative of the deep south. Nearby Crowley's Ridge is the only home of the tulip tree in the state, and generally hosts more northeastern plant life such as the beech tree. The northwestern highlands are covered in an oak-hickory mixture, with Ozark white cedars, cornus (dogwoods), and Cercis canadensis (redbuds) also present. The higher peaks in the Arkansas River Valley play host to scores of ferns, including the Physematium scopulinum and Adiantum (maidenhair fern) on Mount Magazine. Arkansas wildlife is famous for the white-tailed deer, elk, and bald eagle. The white-tailed deer is the official state mammal.
Climate
Arkansas generally has a humid subtropical climate. While not bordering the Gulf of Mexico, Arkansas, is still close enough to the warm, large body of water for it to influence the weather in the state. Generally, Arkansas, has hot, humid summers and slightly drier, mild to cool winters. In Little Rock, the daily high temperatures average around with lows around in July. In January highs average around and lows around . In Siloam Springs in the northwest part of the state, the average high and low temperatures in July are and in January the average high and low are . Annual precipitation throughout the state averages between about ; it is somewhat wetter in the south and drier in the northern part of the state. Snowfall is infrequent but most common in the northern half of the state. The half of the state south of Little Rock is apter to see ice storms. Arkansas's record high is at Ozark on August 10, 1936; the record low is at Gravette, on February 13, 1905.
Arkansas is known for extreme weather and frequent storms. A typical year brings thunderstorms, tornadoes, hail, snow and ice storms. Between both the Great Plains and the Gulf States, Arkansas, receives around 60 days of thunderstorms. Arkansas is located in Tornado Alley, and as a result, a few of the most destructive tornadoes in U.S. history have struck the state. While sufficiently far from the coast to avoid a direct hit from a hurricane, Arkansas can often get the remnants of a tropical system, which dumps tremendous amounts of rain in a short time and often spawns smaller tornadoes.
Cities and towns
Little Rock has been Arkansas's capital city since 1821 when it replaced Arkansas Post as the capital of the Territory of Arkansas. The state capitol was moved to Hot Springs and later Washington during the American Civil War when the Union armies threatened the city in 1862, and state government did not return to Little Rock until after the war ended. Today, the Little Rock–North Little Rock–Conway metropolitan area is the largest in the state, with a population of 724,385 in 2013.
The Fayetteville–Springdale–Rogers Metropolitan Area is the second-largest metropolitan area in Arkansas, growing at the fastest rate due to the influx of businesses and the growth of the University of Arkansas and Walmart.
The state has eight cities with populations above 50,000 (based on 2010 census). In descending order of size, they are Little Rock, Fort Smith, Fayetteville, Springdale, Jonesboro, North Little Rock, Conway, and Rogers. Of these, only Fort Smith and Jonesboro are outside the two largest metropolitan areas. Other cities in Arkansas include Pine Bluff, Crossett, Bryant, Lake Village, Hot Springs, Bentonville, Texarkana, Sherwood, Jacksonville, Russellville, Bella Vista, West Memphis, Paragould, Cabot, Searcy, Van Buren, El Dorado, Blytheville, Harrison, Dumas, Rison, Warren, and Mountain Home.
Demographics
Population
The United States Census Bureau estimated that the population of Arkansas was 3,017,804 on July 1, 2019, a 3.49% increase since the 2010 United States census. At the 2020 U.S. census, Arkansas had a resident population of 3,011,524.
From fewer than 15,000 in 1820, Arkansas's population grew to 52,240 during a special census in 1835, far exceeding the 40,000 required to apply for statehood. Following statehood in 1836, the population doubled each decade until the 1870 census conducted following the American Civil War. The state recorded growth in each successive decade, although it gradually slowed in the 20th century.
It recorded population losses in the 1950 and 1960 censuses. This outmigration was a result of multiple factors, including farm mechanization, decreasing labor demand, and young educated people leaving the state due to a lack of non-farming industry in the state. Arkansas again began to grow, recording positive growth rates ever since and exceeding two million by the 1980 census. Arkansas's rate of change, age distributions, and gender distributions mirror national averages. Minority group data also approximates national averages. There are fewer people in Arkansas of Hispanic or Latino origin than the national average. The center of population of Arkansas for 2000 was located in Perry County, near Nogal.
According to HUD's 2022 Annual Homeless Assessment Report, there were an estimated 2,459 homeless people in Arkansas.
Race and ethnicity
Per the 2019 census estimates, Arkansas was 72.0% non-Hispanic white, 15.4% Black or African American, 0.5% American Indian and Alaska Native, 1.5% Asian, 0.4% Native Hawaiian or other Pacific Islander, 0.1% some other race, 2.4% two or more races, and 7.7% Hispanic or Latin American of any race. In 2011, the state was 80.1% white (74.2% non-Hispanic white), 15.6% Black or African American, 0.9% American Indian and Alaska Native, 1.3% Asian, and 1.8% from two or more races. Hispanics or Latinos of any race made up 6.6% of the population. As of 2011, 39.0% of Arkansas's population younger than age1 were minorities.
European Americans have a strong presence in the northwestern Ozarks and the central part of the state. African Americans live mainly in the southern and eastern parts of the state. Arkansans of Irish, English and German ancestry are mostly found in the far northwestern Ozarks near the Missouri border. Ancestors of the Irish in the Ozarks were chiefly Scots-Irish, Protestants from Northern Ireland, the Scottish lowlands and northern England part of the largest group of immigrants from Great Britain and Ireland before the American Revolution. English and Scots-Irish immigrants settled throughout the back country of the South and in the more mountainous areas. Americans of English stock are found throughout the state.
A 2010 survey of the principal ancestries of Arkansas's residents revealed the following: 15.5% African American, 12.3% Irish, 11.5% German, 11.0% American, 10.1% English, 4.7% Mexican, 2.1% French, 1.7% Scottish, 1.7% Dutch, 1.6% Italian, and 1.4% Scots-Irish.
Most people identifying as "American" are of English descent or Scots-Irish descent. Their families have been in the state so long, in many cases since before statehood, that they choose to identify simply as having American ancestry or do not in fact know their ancestry. Their ancestry primarily goes back to the original 13 colonies and for this reason many of them today simply claim American ancestry. Many people who identify as of Irish descent are in fact of Scots-Irish descent.
According to the American Immigration Council, in 2015, the top countries of origin for Arkansas' immigrants were Mexico, El Salvador, India, Vietnam, and Guatemala.
According to the 2006–2008 American Community Survey, 93.8% of Arkansas's population (over the age of five) spoke only English at home. About 4.5% of the state's population spoke Spanish at home. About 0.7% of the state's population spoke another Indo-European language. About 0.8% of the state's population spoke an Asian language, and 0.2% spoke other languages.
Religion
Like most other Southern states, Arkansas is part of the Bible Belt and predominantly Protestant. The largest denominations by number of adherents in 2010 were the Southern Baptist Convention with 661,382; the United Methodist Church with 158,574; non-denominational Evangelical Protestants with 129,638; the Catholic Church with 122,662; and the Church of Jesus Christ of Latter-day Saints with 31,254. Some residents of the state have other religions, such as Islam, Judaism, Wicca/Paganism, Hinduism, Buddhism, and some have no religious affiliation.
In 2014, the Pew Research Center determined that 79% of the population was Christian, dominated by evangelicals in the Southern Baptist and independent Baptist churches. In contrast with many other states, the Catholic Church as of 2014 was not the largest Christian denomination in Arkansas. Of the unaffiliated population, 2% were atheist in 2014. By 2020, the Public Religion Research Institute determined 71% of the population was Christian. Arkansas continued to be dominated by evangelicals, followed by mainline Protestants and historically black or African American churches.
Economy
Once a state with a cashless society in the uplands and plantation agriculture in the lowlands, Arkansas's economy has evolved and diversified. The state's gross domestic product (GDP) was $119billion in 2015. Six Fortune 500 companies are based in Arkansas, including the world's #1 retailer, Walmart; Tyson Foods, J.B. Hunt, Dillard's, Murphy USA, and Windstream are also headquartered in the state. The per capita personal income in 2015 was $39,107, ranking 45th in the nation. The median household income from 2011 to 2015 was $41,371, ranking 49th in the nation. The state's agriculture outputs are poultry and eggs, soybeans, sorghum, cattle, cotton, rice, hogs, and milk. Its industrial outputs are food processing, electric equipment, fabricated metal products, machinery, and paper products. Arkansas's mines produce natural gas, oil, crushed stone, bromine, and vanadium. According to CNBC, Arkansas is the 20th-best state for business, with the 2nd-lowest cost of doing business, 5th-lowest cost of living, 11th-best workforce, 20th-best economic climate, 28th-best-educated workforce, 31st-best infrastructure and the 32nd-friendliest regulatory environment. Arkansas gained 12 spots in the best state for business rankings since 2011. As of 2014, it was the most affordable state to live in.
As of June 2021, the state's unemployment rate was 4.4%; the preliminary rate for November 2021 is 3.4%.
Industry and commerce
Arkansas's earliest industries were fur trading and agriculture, with development of cotton plantations in the areas near the Mississippi River. They were dependent on slave labor through the American Civil War.
Today only about three percent of the population are employed in the agricultural sector, it remains a major part of the state's economy, ranking 13th in the nation in the value of products sold. Arkansas is the nation's largest producer of rice, broilers, and turkeys, and ranks in the top three for cotton, pullets, and aquaculture (catfish). Forestry remains strong in the Arkansas Timberlands, and the state ranks fourth nationally and first in the South in softwood lumber production. Automobile parts manufacturers have opened factories in eastern Arkansas to support auto plants in other states. Bauxite was formerly a large part of the state's economy, mined mostly around Saline County.
Tourism is also very important to the Arkansas economy; the official state nickname "The Natural State" was created for state tourism advertising in the 1970s, and is still used to this day. The state maintains 52 state parks and the National Park Service maintains seven properties in Arkansas. The completion of the William Jefferson Clinton Presidential Library in Little Rock has drawn many visitors to the city and revitalized the nearby River Market District. Many cities also hold festivals, which draw tourists to Arkansas culture, such as The Bradley County Pink Tomato Festival in Warren, King Biscuit Blues Festival, Ozark Folk Festival, Toad Suck Daze, and Tontitown Grape Festival.
Transportation
Transportation in Arkansas is overseen by the Arkansas Department of Transportation (ArDOT), headquartered in Little Rock. Several main corridors pass through Little Rock, including Interstate30 (I-30) and I-40 (the nation's 3rd-busiest trucking corridor). Arkansas first designated a state highway system in 1924, and first numbered its roads in 1926. Arkansas had one of the first paved roads, the Dollarway Road, and one of the first members of the Interstate Highway System. The state maintains a large system of state highways today, in addition to eight Interstates and 20 U.S. Routes.
In northeast Arkansas, I-55 travels north from Memphis to Missouri, with a new spur to Jonesboro (I-555). Northwest Arkansas is served by the segment of I-49 from Fort Smith to the beginning of the Bella Vista Bypass. This segment of I-49 currently follows mostly the same route as the former section of I-540 that extended north of I-40. The state also has the 13th largest state highway system in the nation.
Arkansas is served by of railroad track divided among twenty-six railroad companies including three Class I railroads. Freight railroads are concentrated in southeast Arkansas to serve the industries in the region. The Texas Eagle, an Amtrak passenger train, serves five stations in the state Walnut Ridge, Little Rock, Malvern, Arkadelphia, and Texarkana.
Arkansas also benefits from the use of its rivers for commerce. The Mississippi River and Arkansas River are both major rivers. The United States Army Corps of Engineers maintains the McClellan-Kerr Arkansas River Navigation System, allowing barge traffic up the Arkansas River to the Port of Catoosa in Tulsa, Oklahoma.
There are four airports with commercial service: Clinton National Airport (formerly Little Rock National Airport or Adams Field), Northwest Arkansas Regional Airport, Fort Smith Regional Airport, and Texarkana Regional Airport, with dozens of smaller airports in the state.
Intercity bus services across the state are provided by Flixbus, Greyhound Lines, and Jefferson Lines.
Public transit and community transport services for the elderly or those with developmental disabilities are provided by agencies such as the Central Arkansas Transit Authority and the Ozark Regional Transit, organizations that are part of the Arkansas Transit Association.
Government
As with the federal government of the United States, political power in Arkansas is divided into three branches: executive, legislative, and judicial. Each officer's term is four years long. Office holders are term-limited to two full terms plus any partial terms before the first full term.
Executive
The governor of Arkansas is Sarah Huckabee Sanders, a Republican, who was inaugurated on January 10, 2023. The six other elected executive positions in Arkansas are lieutenant governor, secretary of state, attorney general, treasurer, auditor, and land commissioner. The governor also appoints the leaders of various state boards, committees, and departments. Arkansas governors served two-year terms until a referendum lengthened the term to four years, effective with the 1986 election. Individuals elected to these offices are limited to a lifetime total of two four-year terms per office.
In Arkansas, the lieutenant governor is elected separately from the governor and thus can be from a different political party.
Legislative
The Arkansas General Assembly is the state's bicameral bodies of legislators, composed of the Senate and House of Representatives. The Senate contains 35 members from districts of approximately equal population. These districts are redrawn decennially with each US census, and in election years ending in "2", the entire body is put up for reelection. Following the election, half of the seats are designated as two-year seats and are up for reelection again in two years, these "half-terms" do not count against a legislator's term limits. The remaining half serve a full four-year term. This staggers elections such that half the body is up for reelection every two years and allows for complete body turnover following redistricting. Arkansas voters elected a 21–14 Republican majority in the Senate in 2012. Arkansas House members can serve a maximum of three two-year terms. House districts are redistricted by the Arkansas Board of Apportionment. In the 2012 elections, Republicans gained a 51–49 majority in the House of Representatives.
The Republican Party majority status in the Arkansas State House of Representatives after the 2012 elections, is the party's first since 1874. Arkansas was the last state of the old Confederacy to not have Republican control of either chamber of its house since the American Civil War.
Following the term limits changes, studies have shown that lobbyists have become less influential in state politics. Legislative staff, not subject to term limits, have acquired additional power and influence due to the high rate of elected official turnover.
Judicial
Arkansas's judicial branch has five court systems: Arkansas Supreme Court, Arkansas Court of Appeals, Circuit Courts, District Courts and City Courts.
Most cases begin in district court, which is subdivided into state district court and local district court. State district courts exercise district-wide jurisdiction over the districts created by the General Assembly, and local district courts are presided over by part-time judges who may privately practice law. 25 state district court judges preside over 15 districts, with more districts created in 2013 and 2017. There are 28 judicial circuits of Circuit Court, with each contains five subdivisions: criminal, civil, probate, domestic relations, and juvenile court. The jurisdiction of the Arkansas Court of Appeals is determined by the Arkansas Supreme Court, and there is no right of appeal from the Court of Appeals to the high court. The Arkansas Supreme Court can review Court of Appeals cases upon application by either a party to the litigation, upon request by the Court of Appeals, or if the Arkansas Supreme Court feels the case should have been initially assigned to it. The twelve judges of the Arkansas Court of Appeals are elected from judicial districts to renewable six-year terms.
The Arkansas Supreme Court is the court of last resort in the state, composed of seven justices elected to eight-year terms. Established by the Arkansas Constitution in 1836, the court's decisions can be appealed to only the Supreme Court of the United States.
Federal
Both Arkansas's U.S. senators, John Boozman and Tom Cotton, are Republicans. The state has four seats in U.S. House of Representatives. All four seats are held by Republicans: Rick Crawford (1st district), French Hill (2nd district), Steve Womack (3rd district), and Bruce Westerman (4th district).
Politics
Arkansas governor Bill Clinton brought national attention to the state with a long speech at the 1988 Democratic National Convention endorsing Michael Dukakis. Some journalists suggested the speech was a threat to his ambitions; Clinton defined it "a comedy of error, just one of those fluky things". He won the Democratic nomination for president in 1992. Presenting himself as a "New Democrat" and using incumbent George H. W. Bush's broken promise against him, Clinton won the 1992 presidential election with 43.0% of the vote to Bush's 37.5% and independent billionaire Ross Perot's 18.9%.
Most Republican strength traditionally lay mainly in the northwestern part of the state, particularly Fort Smith and Bentonville, as well as North Central Arkansas around the Mountain Home area. In the latter area, Republicans have been known to get 90% or more of the vote, while the rest of the state was more Democratic. After 2010, Republican strength expanded further to the Northeast and Southwest and into the Little Rock suburbs. The Democrats are mostly concentrated to central Little Rock, the Mississippi Delta, the Pine Bluff area, and the areas around the southern border with Louisiana.
Arkansas has elected only three Republicans to the U.S. Senate since Reconstruction: Tim Hutchinson, who was defeated after one term by Mark Pryor; John Boozman, who defeated incumbent Blanche Lincoln; and Tom Cotton, who defeated Pryor in 2014. Before 2013, the General Assembly had not been controlled by the Republican Party since Reconstruction, with the GOP holding a 51-seat majority in the state House and a 21-seat (of 35) in the state Senate following victories in 2012. Arkansas was one of just three states among the states of the former Confederacy that sent two Democrats to the U.S. Senate (the others being Florida and Virginia) for any period during the first decade of the 21st century.
In 2010, Republicans captured three of the state's four seats in the U.S. House of Representatives. In 2012, they won election to all four House seats. Arkansas held the distinction of having a U.S. House delegation composed entirely of military veterans (Rick Crawford, Army; Tim Griffin, Army Reserve; Steve Womack, Army National Guard; Tom Cotton, Army). When Pryor was defeated in 2014, the entire congressional delegation was in GOP hands for the first time since Reconstruction.
Reflecting the state's large evangelical population, Arkansas has a strong social conservative bent. In the aftermath of the landmark Supreme Court decision Dobbs v. Jackson Women's Health Organization, Arkansas became one of nine states where abortion is banned. Under the Arkansas Constitution, Arkansas is a right to work state. Its voters passed a ban on same-sex marriage in 2004, with 75% voting yes, although that ban has been inactive since the Supreme Court protected same-sex marriage in Obergefell v. Hodges.
Arkansas retains the death penalty. Authorized methods of execution include the Electric chair.
Military
The Strategic Air Command facility of Little Rock Air Force Base was one of eighteen silos in the command of the 308th Strategic Missile Wing (308th SMW), specifically one of the nine silos within its 374th Strategic Missile Squadron (374th SMS). The squadron was responsible for Launch Complex 374–7, site of the 1980 explosion of a TitanII Intercontinental Ballistic Missile (ICBM) in Damascus, Arkansas.
Taxation
Taxes are collected by the Arkansas Department of Finance and Administration.
Health
As of 2012, Arkansas, as with many Southern states, has a high incidence of premature death, infant mortality, cardiovascular deaths, and occupational fatalities compared to the rest of the United States. The state is tied for 43rd with New York in percentage of adults who regularly exercise. Arkansas is usually ranked as one of the least healthy states due to high obesity, smoking, and sedentary lifestyle rates, but according to a Gallup poll, Arkansas made the most immediate progress in reducing its number of uninsured residents after the Affordable Care Act passed. The percentage of uninsured in Arkansas dropped from 22.5 in 2013 to 12.4 in August 2014.
The Arkansas Clean Indoor Air Act, a statewide smoking ban excluding bars and some restaurants, went into effect in 2006.
Healthcare in Arkansas is provided by a network of hospitals as members of the Arkansas Hospital Association. Major institutions with multiple branches include Baptist Health, Community Health Systems, and HealthSouth. The University of Arkansas for Medical Sciences (UAMS) in Little Rock operates the UAMS Medical Center, a teaching hospital ranked as high performing nationally in cancer and nephrology. The pediatric division of UAMS Medical Center is known as Arkansas Children's Hospital, nationally ranked in pediatric cardiology and heart surgery. Together, these two institutions are the state's only Level I trauma centers.
Education
Arkansas has 1,064 state-funded kindergartens, elementary, junior and senior high schools.
The state supports a network of public universities and colleges, including two major university systems: Arkansas State University System and University of Arkansas System. The University of Arkansas, flagship campus of the University of Arkansas System in Fayetteville was ranked #63 among public schools in the nation by U.S. News & World Report. Other public institutions include University of Arkansas at Pine Bluff, Arkansas Tech University, Henderson State University, Southern Arkansas University, and University of Central Arkansas across the state. It is also home to 11 private colleges and universities including Hendrix College, one of the nation's top 100 liberal arts colleges, according to U.S. News & World Report.
In the 1920s the state required all children to attend public schools. The school year was set at 131 days, although some areas were unable to meet that requirement.
Generally prohibited in the West at large, school corporal punishment is not unusual in Arkansas, with 20,083 public school students paddled at least one time, according to government data for the 2011–12 school year. The rate of corporal punishment in public schools is higher only in Mississippi.
Media
As of 2010 many Arkansas local newspapers are owned by WEHCO Media, Alabama-based Lancaster Management, Kentucky-based Paxton Media Group, Missouri-based Rust Communications, Nevada-based Stephens Media, and New York-based GateHouse Media.
Culture
The culture of Arkansas includes distinct cuisine, dialect, and traditional festivals. Sports are also very important to the culture, including football, baseball, basketball, hunting, and fishing. Perhaps the best-known aspect of Arkansas's culture is the stereotype that its citizens are shiftless hillbillies. The reputation began when early explorers characterized the state as a savage wilderness full of outlaws and thieves. The most enduring icon of Arkansas's hillbilly reputation is The Arkansas Traveller, a painted depiction of a folk tale from the 1840s. Though intended to represent the divide between rich southeastern plantation Arkansas planters and the poor northwestern hill country, the meaning was twisted to represent a Northerner lost in the Ozarks on a white horse asking a backwoods Arkansan for directions. The state also suffers from the racial stigma common to former Confederate states, with historical events such as the Little Rock Nine adding to Arkansas's enduring image.
Art and history museums display pieces of cultural value for Arkansans and tourists to enjoy. Crystal Bridges Museum of American Art in Bentonville was visited by 604,000 people in 2012, its first year. The museum includes walking trails and educational opportunities in addition to displaying over 450 works covering five centuries of American art. Several historic town sites have been restored as Arkansas state parks, including Historic Washington State Park, Powhatan Historic State Park, and Davidsonville Historic State Park.
Arkansas features a variety of native music across the state, ranging from the blues heritage of West Memphis, Pine Bluff, Helena–West Helena to rockabilly, bluegrass, and folk music from the Ozarks. Festivals such as the King Biscuit Blues Festival and Bikes, Blues, and BBQ pay homage to the history of blues in the state. The Ozark Folk Festival in Mountain View is a celebration of Ozark culture and often features folk and bluegrass musicians. Literature set in Arkansas such as I Know Why the Caged Bird Sings by Maya Angelou and A Painted House by John Grisham describe the culture at various time periods.
Sports and recreation
Sports have become an integral part of the culture of Arkansas, and her residents enjoy participating in and spectating various events throughout the year.
Team sports and especially collegiate football are important to Arkansans. College football in Arkansas began from humble beginnings, when the University of Arkansas first fielded a team in 1894. Over the years, many Arkansans have looked to Arkansas Razorbacks football as the public image of the state. Although the University of Arkansas is based in Fayetteville, the Razorbacks have always played at least one game per season at War Memorial Stadium in Little Rock in an effort to keep fan support in central and south Arkansas.
Arkansas State University became the second NCAA Division I Football Bowl Subdivision (FBS) (then known as Division I-A) team in the state in 1992 after playing in lower divisions for nearly two decades. The two schools have never played each other, due to the University of Arkansas's policy of not playing intrastate games. Two other campuses of the University of Arkansas System are Division I members. The University of Arkansas at Pine Bluff is a member of the Southwestern Athletic Conference, a league whose members all play football in the second-level Football Championship Subdivision (FCS). The University of Arkansas at Little Rock, known for sports purposes as Little Rock, joined the Ohio Valley Conference in 2022 after playing in the Sun Belt Conference; unlike many other OVC members, it does not field a football program. The state's other DivisionI member is the University of Central Arkansas (UCA), which joined the ASUN Conference in 2021 after leaving the FCS Southland Conference. Because the ASUN does not plan to start FCS football competition until at least 2022, UCA football is competing in the Western Athletic Conference as part of a formal football partnership between the two leagues. Seven of Arkansas's smaller colleges play in NCAA Division II, with six in the Great American Conference and one in the Lone Star Conference. Two other small Arkansas colleges compete in NCAA Division III, in which athletic scholarships are prohibited. High school football also began to grow in Arkansas in the early 20th century.
Baseball runs deep in Arkansas and was popular before the state hosted Major League Baseball (MLB) spring training in Hot Springs from 1886 to the 1920s. Two minor league teams are based in the state. The Arkansas Travelers play at Dickey–Stephens Park in North Little Rock, and the Northwest Arkansas Naturals play in Arvest Ballpark in Springdale. Both teams compete in Double-A Central.
Hunting continues in the state. The state created the Arkansas Game and Fish Commission in 1915 to regulate hunting. Today a significant portion of Arkansas's population participates in hunting duck in the Mississippi flyway and deer across the state. Ducks Unlimited has called Stuttgart, Arkansas, "the epicenter of the duck universe". Millions of acres of public land are available for both bow and modern gun hunters.
Fishing has always been popular in Arkansas, and the sport and the state have benefited from the creation of reservoirs across the state. Following the completion of Norfork Dam, the Norfork Tailwater and the White River have become a destination for trout fishers. Several smaller retirement communities such as Bull Shoals, Hot Springs Village, and Fairfield Bay have flourished due to their position on a fishing lake. The National Park Service has preserved the Buffalo National River in its natural state and fly fishers visit it annually.
Attractions
Arkansas is home to many areas protected by the National Park System. These include:
Arkansas Post National Memorial at Gillett
Blanchard Springs Caverns
Buffalo National River
Fort Smith National Historic Site
Hot Springs National Park
Little Rock Central High School National Historic Site
Pea Ridge National Military Park
President William Jefferson Clinton Birthplace Home National Historic Site
Arkansas State Capitol Building
List of Arkansas state parks
See also
Index of Arkansas-related articles
Outline of Arkansas
Spanish Empire
History of Louisiana
USS Arkansas, 5 ships
Notes
References
Bibliography
Further reading
Blair, Diane D. & Jay Barth Arkansas Politics & Government: Do the People Rule? (2005)
Deblack, Thomas A. With Fire and Sword: Arkansas, 1861–1874 (2003)
Donovan, Timothy P. and Willard B. Gatewood Jr., eds. The Governors of Arkansas (1981)
Dougan, Michael B. Confederate Arkansas (1982),
Duvall, Leland. ed., Arkansas: Colony and State (1973)
Hamilton, Peter Joseph. The Reconstruction Period (1906), full length history of era; Dunning School approach; 570 pp; ch 13 on Arkansas
Hanson, Gerald T. and Carl H. Moneyhon. Historical Atlas of Arkansas (1992)
Key, V. O. Southern Politics (1949)
Kirk, John A., Redefining the Color Line: Black Activism in Little Rock, Arkansas, 1940–1970 (2002).
McMath, Sidney S. Promises Kept (2003)
Moore, Waddy W. ed., Arkansas in the Gilded Age, 1874–1900 (1976).
Peirce, Neal R. The Deep South States of America: People, Politics, and Power in the Seven Deep South States (1974).
Thompson, Brock. The Un-Natural State: Arkansas and the Queer South (2010)
Thompson, George H. Arkansas and Reconstruction (1976)
Whayne, Jeannie M. Arkansas Biography: A Collection of Notable Lives (2000)
White, Lonnie J. Politics on the Southwestern Frontier: Arkansas Territory, 1819–1836 (1964)
Williams, C. Fred. ed. A Documentary History Of Arkansas (2005)
External links
Arkansas.gov—Official State Website
Arkansas State Facts from USDA
Official State tourism website
Encyclopedia of Arkansas
Energy & Environmental Data for Arkansas
U.S. Census Bureau
2000 Census of Population and Housing for Arkansas, U.S. Census Bureau
USGS real-time, geographic, and other scientific resources of Arkansas
Arkansas Summer Camps
Arkansas Shakespeare Theatre
Arkansas State Code (the state statutes of Arkansas)
Arkansas State Databases—Annotated list of searchable databases produced by Arkansas state agencies and compiled by the Government Documents Roundtable of the American Library Association.
1836 establishments in the United States
Contiguous United States
South Central United States
Southern United States
States and territories established in 1836
States of the Confederate States of America
States of the United States
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Andrew Carnegie (, ; November 25, 1835August 11, 1919) was an American industrialist and philanthropist. Carnegie led the expansion of the American steel industry in the late 19th century and became one of the richest Americans in history. He became a leading philanthropist in the United States, Great Britain, and the British Empire. During the last 18 years of his life, he gave away around $350 million (roughly $ billion in ), almost 90 percent of his fortune, to charities, foundations and universities. His 1889 article proclaiming "The Gospel of Wealth" called on the rich to use their wealth to improve society, expressed support for progressive taxation and an estate tax, and stimulated a wave of philanthropy.
Carnegie was born in Dunfermline, Scotland and emigrated to Pittsburgh, United States with his parents in 1848 at the age of 12. Carnegie started work as a telegrapher, and by the 1860s had investments in railroads, railroad sleeping cars, bridges, and oil derricks. He accumulated further wealth as a bond salesman, raising money for American enterprise in Europe. He built Pittsburgh's Carnegie Steel Company, which he sold to J. P. Morgan in 1901 for $303,450,000 (equal to $ today); it formed the basis of the U.S. Steel Corporation. After selling Carnegie Steel, he surpassed John D. Rockefeller as the richest American of the time.
Carnegie devoted the remainder of his life to large-scale philanthropy, with special emphasis on building local libraries, world peace, education, and scientific research. He funded the Carnegie Hall in New York City, the Peace Palace in The Hague, founded the Carnegie Corporation of New York, Carnegie Endowment for International Peace, Carnegie Institution for Science, Carnegie Trust for the Universities of Scotland, Carnegie Hero Fund, Carnegie Mellon University, and the Carnegie Museums of Pittsburgh, among others.
Biography
Early life
Andrew Carnegie was born to Margaret Morrison Carnegie and William Carnegie in Dunfermline, Scotland, in a typical weaver's cottage with only one main room, consisting of half the ground floor, which was shared with the neighboring weaver's family. The main room served as a living room, dining room and bedroom. He was named after his paternal grandfather. In 1836, the family moved to a larger house in Edgar Street (opposite Reid's Park), following the demand for more heavy damask, from which his father benefited. He was educated at the Free School in Dunfermline, a gift to the town from the philanthropist Adam Rolland of Gask.
Carnegie's maternal uncle, Scottish political leader George Lauder Sr., deeply influenced him as a boy by introducing him to Robert Burns' writings and historical Scottish heroes such as Robert the Bruce, William Wallace, and Rob Roy. Lauder's son, also named George Lauder, grew up with Carnegie and became his business partner. When Carnegie was 12, his father had fallen on tough times as a handloom weaver. Making matters worse, the country was in starvation. His mother helped support the family by assisting her brother and by selling potted meats at her "sweetie shop", leaving her as the primary breadwinner. Struggling to make ends meet, the Carnegies then decided to borrow money from George Lauder, Sr. and move to Allegheny, Pennsylvania, in the United States in 1848 for the prospect of a better life. Carnegie's migration to America would be his second journey outside Dunfermline—the first being an outing to Edinburgh to see Queen Victoria.
In September 1848, Carnegie arrived with his family in Allegheny. Carnegie's father struggled to sell his product on his own. Eventually, the father and son both received job offers at the same Scottish-owned cotton mill, Anchor Cotton Mills. Carnegie's first job in 1848 was as a bobbin boy, changing spools of thread in a cotton mill 12 hours a day, 6 days a week in a Pittsburgh cotton factory. His starting wage was $1.20 per week ($ by inflation).
His father quit his position at the cotton mill soon after, returning to his loom and removing him as breadwinner once again. But Carnegie attracted the attention of John Hay, a Scottish manufacturer of bobbins, who offered him a job for $2.00 per week ($ by inflation). In his autobiography, Carnegie writes about the hardships he had to endure with this new job.
Telegraph
In 1849, Carnegie became a telegraph messenger boy in the Pittsburgh Office of the Ohio Telegraph Company, at $2.50 per week ($ by inflation) following the recommendation of his uncle. He was a hard worker and would memorize all of the locations of Pittsburgh's businesses and the faces of important men. He made many connections this way. He also paid close attention to his work and quickly learned to distinguish the different sounds the incoming telegraph signals produced. He developed the ability to translate signals by ear, without using the paper slip, and within a year was promoted to an operator. Carnegie's education and passion for reading were given a boost by Colonel James Anderson, who opened his personal library of 400 volumes to working boys each Saturday night. Carnegie was a consistent borrower and a "self-made man" in both his economic development and his intellectual and cultural development. He was so grateful to Colonel Anderson for the use of his library that he "resolved, if ever wealth came to me, [to see to it] that other poor boys might receive opportunities similar to those for which we were indebted to the nobleman". His capacity, his willingness for hard work, his perseverance and his alertness soon brought him opportunities.
Railroads
Starting in 1853, when Carnegie was around 18 years old, Thomas A. Scott of the Pennsylvania Railroad employed him as a secretary/telegraph operator at a salary of $4.00 per week ($ by inflation). Carnegie accepted the job with the railroad as he saw more prospects for career growth and experience there than with the telegraph company. At age 24, Scott asked Carnegie if he could handle being superintendent of the Western Division of the Pennsylvania Railroad. On December 1, 1859, Carnegie officially became superintendent of the Western Division. Carnegie then hired his sixteen-year-old brother Tom to be his personal secretary and telegraph operator. Not only did Carnegie hire his brother, he also hired his cousin, Maria Hogan, who became the first female telegraph operator in the country. As superintendent Carnegie made a salary of $1500 a year ($ by inflation). His employment by the Pennsylvania Railroad would be vital to his later success. The railroads were the first big businesses in America, and the Pennsylvania was one of the largest of them all. Carnegie learned much about management and cost control during these years, and from Scott in particular.
Scott also helped him with his first investments. Many of these were part of the corruption indulged in by Scott and the president of the Pennsylvania Railroad, John Edgar Thomson, which consisted of inside trading in companies that the railroad did business with, or payoffs made by contracting parties "as part of a quid pro quo". In 1855, Scott made it possible for Carnegie to invest $500 in the Adams Express Company, which contracted with the Pennsylvania to carry its messengers. The money was secured by his mother's placing of a $600 mortgage on the family's $700 home, but the opportunity was available only because of Carnegie's close relationship with Scott. A few years later, he received a few shares in Theodore Tuttle Woodruff's sleeping car company as a reward for holding shares that Woodruff had given to Scott and Thomson, as a payoff. Reinvesting his returns in such inside investments in railroad-related industries (iron, bridges, and rails), Carnegie slowly accumulated capital, the basis for his later success. Throughout his later career, he made use of his close connections to Thomson and Scott, as he established businesses that supplied rails and bridges to the railroad, offering the two men stakes in his enterprises.
1860–1865: The Civil War
Before the Civil War, Carnegie arranged a merger between Woodruff's company and that of George Pullman, the inventor of the sleeping car for first-class travel, which facilitated business travel at distances over . The investment proved a success and a source of profit for Woodruff and Carnegie. The young Carnegie continued to work for Pennsylvania's Tom Scott and introduced several improvements in the service.
In the spring of 1861, Carnegie was appointed by Scott, who was now Assistant Secretary of War in charge of military transportation, as Superintendent of the Military Railways and the Union Government's telegraph lines in the East. Carnegie helped open the rail lines into Washington D.C. that the rebels had cut; he rode the locomotive pulling the first brigade of Union troops to reach Washington D.C. Following the defeat of Union forces at Bull Run, he personally supervised the transportation of the defeated forces. Under his organization, the telegraph service rendered efficient service to the Union cause and significantly assisted in the eventual victory. Carnegie later joked that he was "the first casualty of the war" when he gained a scar on his cheek from freeing a trapped telegraph wire.
The defeat of the Confederacy required vast supplies of munitions and railroads (and telegraph lines) to deliver the goods. The war demonstrated how integral the industries were to American success.
Keystone Bridge Company
In 1864, Carnegie was one of the early investors in the Columbia Oil Company in Venango County, Pennsylvania. In one year, the firm yielded over $1 million in cash dividends, and petroleum from oil wells on the property sold profitably. The demand for iron products, such as armor for gunboats, cannons, and shells, as well as a hundred other industrial products, made Pittsburgh a center of wartime production. Carnegie worked with others in establishing a steel rolling mill, and steel production and control of industry became the source of his fortune. Carnegie had some investments in the iron industry before the war.
After the war, Carnegie left the railroads to devote his energies to the ironworks trade. Carnegie worked to develop several ironworks, eventually forming the Keystone Bridge Works and the Union Ironworks, in Pittsburgh. Although he had left the Pennsylvania Railroad Company, he remained connected to its management, namely Thomas A. Scott and J. Edgar Thomson. He used his connection to the two men to acquire contracts for his Keystone Bridge Company and the rails produced by his ironworks. He also gave stock in his businesses to Scott and Thomson, and the Pennsylvania was his best customer. When he built his first steel plant, he made a point of naming it after Thomson. As well as having good business sense, Carnegie possessed charm and literary knowledge. He was invited to many important social functions, which Carnegie exploited to his advantage.
Carnegie, through Keystone, supplied the steel for and owned shares in the landmark Eads Bridge project across the Mississippi River at St. Louis, Missouri (completed 1874). This project was an important proof-of-concept for steel technology, which marked the opening of a new steel market.
Carnegie believed in using his fortune for others and doing more than making money. He wrote:
Industrialist
1875–1900: Steel empire
Carnegie made his fortune in the steel industry, controlling the most extensive integrated iron and steel operations ever owned by an individual in the United States. One of his two great innovations was in the cheap and efficient mass production of steel by adopting and adapting the Bessemer process, which allowed the high carbon content of pig iron to be burnt away in a controlled and rapid way during steel production. Steel prices dropped as a result, and Bessemer steel was rapidly adopted for rails; however, it was not suitable for buildings and bridges.
The second was in his vertical integration of all suppliers of raw materials. In 1883, Carnegie bought the rival Homestead Steel Works, which included an extensive plant served by tributary coal and iron fields, a railway, and a line of lake steamships. In the late 1880s, Carnegie Steel was the largest manufacturer of pig iron, steel rails, and coke in the world, with a capacity to produce approximately 2,000 tons of pig iron per day.
By 1889, the U.S. output of steel exceeded that of the UK, and Carnegie owned a large part of it. Carnegie's empire grew to include the J. Edgar Thomson Steel Works in Braddock (named for John Edgar Thomson, Carnegie's former boss and president of the Pennsylvania Railroad), the Pittsburgh Bessemer Steel Works, the Lucy Furnaces, the Union Iron Mills, the Union Mill (Wilson, Walker & County), the Keystone Bridge Works, the Hartman Steel Works, the Frick Coke Company, and the Scotia ore mines. Carnegie combined his assets and those of his associates in 1892 with the launching of the Carnegie Steel Company.
Carnegie's success was also due to his relationship with the railroad industries, which not only relied on steel for track, but were also making money from steel transport. The steel and railroad barons worked closely to negotiate prices instead of allowing free-market competition.
Besides Carnegie's market manipulation, United States trade tariffs were also working in favor of the steel industry. Carnegie spent energy and resources lobbying Congress for a continuation of favorable tariffs from which he earned millions of dollars a year. Carnegie tried to keep this information concealed, but legal documents released in 1900, during proceedings with the ex-chairman of Carnegie Steel, Henry Clay Frick, revealed how favorable the tariffs had been.
1901: U.S. Steel
In 1901, Carnegie was 65 years of age and considering retirement. He reformed his enterprises into conventional joint stock corporations as preparation for this. John Pierpont Morgan was a banker and America's most important financial deal maker. He had observed how efficiently Carnegie produced profits. He envisioned an integrated steel industry that would cut costs, lower prices to consumers, produce in greater quantities and raise wages to workers. To this end, he needed to buy out Carnegie and several other major producers and integrate them into one company, thereby eliminating duplication and waste. He concluded negotiations on March 2, 1901, and formed the United States Steel Corporation. It was the first corporation in the world with a market capitalization of over $1 billion.
The buyout, secretly negotiated by Charles M. Schwab (no relation to Charles R. Schwab), was the largest such industrial takeover in United States history to date. The holdings were incorporated in the United States Steel Corporation, a trust organized by Morgan, and Carnegie retired from business. His steel enterprises were bought out for $303,450,000.
Carnegie's share of this amounted to $225.64 million (in , $), which was paid to him in the form of 5%, 50-year gold bonds. The letter agreeing to sell his share was signed on February 26, 1901. On March 2, the circular formally filed the organization and capitalization (at $1.4 billion—4% of the U.S. gross domestic product at the time) of the United States Steel Corporation actually completed the contract. The bonds were to be delivered within two weeks to the Hudson Trust Company of Hoboken, New Jersey, in trust to Robert A. Franks, Carnegie's business secretary. There, a special vault was built to house the physical bulk of nearly $230 million worth of bonds.
Scholar and activist
1880–1900
Carnegie continued his business career; some of his literary intentions were fulfilled. He befriended the English poet Matthew Arnold, the English philosopher Herbert Spencer, and the American humorist Mark Twain, as well as being in correspondence and acquaintance with most of the U.S. Presidents, statesmen, and notable writers.
Carnegie constructed commodious swimming-baths for the people of his hometown in Dunfermline in 1879. In the following year, Carnegie gave £8,000 for the establishment of a Dunfermline Carnegie Library in Scotland. In 1884, he gave $50,000 to Bellevue Hospital Medical College (now part of New York University Medical Center) to found a histological laboratory, now called the Carnegie Laboratory.
In 1881, Carnegie took his family, including his 70-year-old mother, on a trip to the United Kingdom. They toured Scotland by coach, and enjoyed several receptions en route. The highlight was a return to Dunfermline, where Carnegie's mother laid the foundation stone of a Carnegie Library which he funded. Carnegie's criticism of British society did not mean dislike; on the contrary, one of Carnegie's ambitions was to act as a catalyst for a close association between English-speaking peoples. To this end, in the early 1880s in partnership with Samuel Storey, he purchased numerous newspapers in Britain, all of which were to advocate the abolition of the monarchy and the establishment of "the British Republic". Carnegie's charm, aided by his wealth, afforded him many British friends, including Prime Minister William Ewart Gladstone.
In 1886, Carnegie's younger brother Thomas died at age 43. While owning steel works, Carnegie had purchased at low cost the most valuable of the iron ore fields around Lake Superior.
Following his tour of the UK, he wrote about his experiences in a book entitled An American Four-in-hand in Britain. In 1886, Carnegie wrote his most radical work to date, entitled Triumphant Democracy. Liberal in its use of statistics to make its arguments, the book argued his view that the American republican system of government was superior to the British monarchical system. It gave a highly favorable and idealized view of American progress and criticized the British royal family. The cover depicted an upended royal crown and a broken scepter. The book created considerable controversy in the UK. The book made many Americans appreciate their country's economic progress and sold over 40,000 copies, mostly in the U.S.
Although actively involved in running his many businesses, Carnegie had become a regular contributor to numerous magazines, most notably The Nineteenth Century, under the editorship of James Knowles, and the influential North American Review, led by the editor Lloyd Bryce. In 1889, Carnegie published "Wealth" in the June issue of the North American Review. After reading it, Gladstone requested its publication in Britain, where it appeared as "The Gospel of Wealth" in The Pall Mall Gazette. Carnegie argued that the life of a wealthy industrialist should comprise two parts. The first part was the gathering and the accumulation of wealth. The second part was for the subsequent distribution of this wealth to benevolent causes. Philanthropy was key to making life worthwhile.
Carnegie was a well-regarded writer. He published three books on travel.
Anti-imperialism
In the aftermath of the Spanish–American War, the United States seemed poised to annex Cuba, Guam, Puerto Rico and the Philippines. Carnegie strongly opposed the idea of American colonies. He opposed the annexation of the Philippines almost to the point of supporting William Jennings Bryan against McKinley in 1900. In 1898, Carnegie tried to arrange independence for the Philippines. As the conclusion of the Spanish–American War neared, the United States purchased the Philippines from Spain for $20 million. To counter what he perceived as American imperialism, Carnegie personally offered $20 million to the Philippines so that the Filipino people could purchase their independence from the United States. However, nothing came of the offer. In 1898 Carnegie joined the American Anti-Imperialist League, in opposition to the U.S. annexation of the Philippines. Its membership included former presidents of the United States Grover Cleveland and Benjamin Harrison and literary figures such as Mark Twain.
1901–1919: Philanthropist
Carnegie spent his last years as a philanthropist. From 1901 forward, public attention was turned from the shrewd business acumen which had enabled Carnegie to accumulate such a fortune, to the public-spirited way in which he devoted himself to utilizing it on philanthropic projects. He had written about his views on social subjects and the responsibilities of great wealth in Triumphant Democracy (1886) and Gospel of Wealth (1889). Carnegie devoted the rest of his life to providing capital for purposes of public interest and social and educational advancement. He saved letters of appreciation from those he helped in a desk drawer labeled "Gratitude and Sweet Words."
He provided $25,000 a year to the movement for spelling reform. His organization, the Simplified Spelling Board, created the Handbook of Simplified Spelling, which was written wholly in reformed spelling.
3,000 public libraries
Among his many philanthropic efforts, the establishment of public libraries throughout the United States, Britain, Canada and other English-speaking countries was especially prominent. In this special driving interest of his, Carnegie was inspired by meetings with philanthropist Enoch Pratt (1808–1896). The Enoch Pratt Free Library (1886) of Baltimore, Maryland, impressed Carnegie deeply; he said, "Pratt was my guide and inspiration."
Carnegie turned over management of the library project by 1908 to his staff, led by James Bertram (1874–1934). The first Carnegie Library opened in 1883 in Dunfermline. His method was to provide funds to build and equip the library, but only on the condition that the local authority matched that by providing the land and a budget for operation and maintenance.
To secure local interest, in 1885, he gave $500,000 to Pittsburgh, Pennsylvania, for a public library; in 1886, he gave $250,000 to Allegheny City, Pennsylvania, for a music hall and library; and he gave $250,000 to Edinburgh for a free library. In total, Carnegie funded some 3,000 libraries, located in 47 U.S. states, and also in Canada, Britain, Ireland, Australia, New Zealand, South Africa, the West Indies, and Fiji. He also donated £50,000 to help set up the University of Birmingham in 1899.
As Van Slyck (1991) showed, during the last years of the 19th century, there was the increasing adoption of the idea that free libraries should be available to the American public. But the design of such libraries was the subject of prolonged and heated debate. On one hand, the library profession called for designs that supported efficiency in administration and operation; on the other, wealthy philanthropists favored buildings that reinforced the paternalistic metaphor and enhanced civic pride. Between 1886 and 1917, Carnegie reformed both library philanthropy and library design, encouraging a closer correspondence between the two.
Investing in education, science, pensions, civil heroism, music, and world peace
In 1900, Carnegie gave $2 million to start the Carnegie Institute of Technology (CIT) at Pittsburgh and the same amount in 1902 to found the Carnegie Institution at Washington, D.C., for encourage research and discovery. He later contributed more to these and other schools. CIT is now known as Carnegie Mellon University after it merged with the Mellon Institute of Industrial Research. Carnegie also served on the Boards of Cornell University and Stevens Institute of Technology.
In 1911, Carnegie became a sympathetic benefactor to George Ellery Hale, who was trying to build the Hooker Telescope at Mount Wilson, and donated an additional ten million dollars to the Carnegie Institution with the following suggestion to expedite the construction of the telescope: "I hope the work at Mount Wilson will be vigorously pushed, because I am so anxious to hear the expected results from it. I should like to be satisfied before I depart, that we are going to repay to the old land some part of the debt we owe them by revealing more clearly than ever to them the new heavens." The telescope saw first light on November 2, 1917, with Carnegie still alive.
In 1901, in Scotland, he gave $10 million to establish the Carnegie Trust for the Universities of Scotland. It was created by a deed that he signed on June 7, 1901, and it was incorporated by royal charter on August 21, 1902. The establishing gift of $10 million was then an unprecedented sum: at the time, total government assistance to all four Scottish universities was about £50,000 a year. The aim of the Trust was to improve and extend the opportunities for scientific research in the Scottish universities and to enable the deserving and qualified youth of Scotland to attend a university. He was subsequently elected Lord Rector of University of St. Andrews in December 1901, and formally installed as such in October 1902, serving until 1907. He also donated large sums of money to Dunfermline, the place of his birth. In addition to a library, Carnegie also bought the private estate which became Pittencrieff Park and opened it to all members of the public, establishing the Carnegie Dunfermline Trust to benefit the people of Dunfermline. A statue of Carnegie was later built between 1913 and 1914 in the park as a commemoration for his creation of the park.
Carnegie was a major patron of music. He was a founding financial backer of Jeannette Thurber's National Conservatory of Music of America in 1885. He built the music performing venue Carnegie Hall in New York City; it opened in 1891 and remained in his family until 1925. His interest in music led him to fund the construction of 7,000 pipe organs in churches and temples, with no apparent preference for any religious denomination or sect.
He gave a further $10 million in 1913 to endow the Carnegie United Kingdom Trust, a grant-making foundation. He transferred to the trust the charge of all his existing and future benefactions, other than university benefactions in the United Kingdom. He gave the trustees a wide discretion, and they inaugurated a policy of financing rural library schemes rather than erecting library buildings, and of assisting the musical education of the people rather than granting organs to churches.
In 1901, Carnegie also established large pension funds for his former employees at Homestead and, in 1905, for American college professors. The latter fund evolved into TIAA-CREF. One critical requirement was that church-related schools had to sever their religious connections to get his money.
Carnegie was a large benefactor of the Tuskegee Institute for African-American education under Booker T. Washington. He helped Washington create the National Negro Business League.
In 1904, he founded the Carnegie Hero Fund for the United States and Canada (a few years later also established in the United Kingdom, Switzerland, Norway, Sweden, France, Italy, the Netherlands, Belgium, Denmark, and Germany) for the recognition of deeds of heroism. Carnegie contributed $1.5 million in 1903 for the erection of the Peace Palace at The Hague; and he donated $150,000 for a Pan-American Palace in Washington as a home for the International Bureau of American Republics.
When it became obvious that Carnegie could not give away his entire fortune within his lifetime, he established the Carnegie Corporation of New York in 1911 "to promote the advancement and diffusion of knowledge and understanding" and continue his program of giving.
Carnegie was honored for his philanthropy and support of the arts by initiation as an honorary member of Phi Mu Alpha Sinfonia fraternity on October 14, 1917, at the New England Conservatory of Music in Boston, Massachusetts. The fraternity's mission reflects Carnegie's values by developing young men to share their talents to create harmony in the world.
By the standards of 19th-century tycoons, Carnegie was not a particularly ruthless man but a humanitarian with enough acquisitiveness to go in the ruthless pursuit of money. "Maybe with the giving away of his money," commented biographer Joseph Wall, "he would justify what he had done to get that money."
To some, Carnegie represents the idea of the American dream. He was an immigrant from Scotland who came to America and became successful. He is not only known for his successes but his huge amounts of philanthropic works, not only for charities but also to promote democracy and independence to colonized countries.
Death
Carnegie died on August 11, 1919, in Lenox, Massachusetts, at his Shadow Brook estate, of Bronchial Pneumonia. He had already given away $350,695,653 (approximately US$ in dollars) of his wealth. After his death, his last $30 million was given to foundations, charities, and to pensioners. He was buried at Sleepy Hollow Cemetery in Sleepy Hollow, New York. The grave site is located on the Arcadia Hebron plot of land at the corner of Summit Avenue and Dingle Road. Carnegie is buried only a few yards away from union organizer Samuel Gompers, another important figure of industry in the Gilded Age.
Controversies
1889: Johnstown Flood
Carnegie was one of more than 50 members of the South Fork Fishing and Hunting Club, which has been blamed for the Johnstown Flood that killed 2,209 people in 1889.
At the suggestion of his friend Benjamin Ruff, Carnegie's partner Henry Clay Frick had formed the exclusive South Fork Fishing and Hunting Club high above Johnstown, Pennsylvania. The sixty-odd club members were the leading business tycoons of Western Pennsylvania and included among their number Frick's best friend, Andrew Mellon, his attorneys Philander Knox and James Hay Reed, as well as Frick's business partner, Carnegie. High above the city, near the small town of South Fork, the South Fork Dam was originally built between 1838 and 1853 by the Commonwealth of Pennsylvania as part of a canal system to be used as a reservoir for a canal basin in Johnstown. With the coming-of-age of railroads superseding canal barge transport, the lake was abandoned by the Commonwealth, sold to the Pennsylvania Railroad, and sold again to private interests, and eventually came to be owned by the South Fork Fishing and Hunting Club in 1881. Prior to the flood, speculators had purchased the abandoned reservoir, made less than well-engineered repairs to the old dam, raised the lake level, built cottages and a clubhouse, and created the South Fork Fishing and Hunting Club. Less than downstream from the dam sat the city of Johnstown.
The dam was high and long. Between 1881, when the club was opened, and 1889, the dam frequently sprang leaks and was patched, mostly with mud and straw. Additionally, a previous owner removed and sold for scrap the three cast iron discharge pipes that previously allowed a controlled release of water. There had been some speculation as to the dam's integrity, and concerns had been raised by the head of the Cambria Iron Works downstream in Johnstown. Such repair work, a reduction in height, and unusually high snowmelt and heavy spring rains combined to cause the dam to give way on May 31, 1889, resulting in twenty million tons of water sweeping down the valley as the Johnstown Flood. When word of the dam's failure was telegraphed to Pittsburgh, Frick and other members of the South Fork Fishing and Hunting Club gathered to form the Pittsburgh Relief Committee for assistance to the flood victims as well as determining never to speak publicly about the club or the flood. This strategy was a success, and Knox and Reed were able to fend off all lawsuits that would have placed blame upon the club's members.
Although Cambria Iron and Steel's facilities were heavily damaged by the flood, they returned to full production within a year. After the flood, Carnegie built Johnstown a new library to replace the one built by Cambria's chief legal counsel Cyrus Elder, which was destroyed in the flood. The Carnegie-donated library is now owned by the Johnstown Area Heritage Association, and houses the Flood Museum.
1892: Homestead Strike
The Homestead Strike was a bloody labor confrontation lasting 143 days in 1892, one of the most serious in U.S. history. The conflict was centered on Carnegie Steel's main plant in Homestead, Pennsylvania, and grew out of a labor dispute between the Amalgamated Association of Iron and Steel Workers (AA) and the Carnegie Steel Company.
Carnegie left on a trip to Scotland before the unrest peaked. In doing so, Carnegie left mediation of the dispute in the hands of his associate and partner Henry Clay Frick. Frick was well known in industrial circles for maintaining staunch anti-union sentiment. With the collective bargaining agreement between the union and company expiring at the end of June, Frick and the leaders of the local AA union entered into negotiations in February. With the steel industry doing well and prices higher, the AA asked for a wage increase; the AA represented about 800 of the 3,800 workers at the plant. Frick immediately countered with an average 22% wage decrease that would affect nearly half the union's membership and remove a number of positions from the bargaining unit.
The union and company failed to come to an agreement, and management locked the union out. Workers considered the stoppage a "lockout" by management and not a "strike" by workers. As such, the workers would have been well within their rights to protest, and subsequent government action would have been a set of criminal procedures designed to crush what was seen as a pivotal demonstration of the growing labor rights movement, strongly opposed by management. Frick brought in thousands of strikebreakers to work the steel mills and Pinkerton agents to safeguard them.
On July 6, the arrival of a force of 300 Pinkerton agents from New York City and Chicago resulted in a fight in which 10 men — seven strikers and three Pinkertons — were killed and hundreds were injured. Pennsylvania Governor Robert Pattison ordered two brigades of the state militia to the strike site. Then allegedly in response to the fight between the striking workers and the Pinkertons, anarchist Alexander Berkman shot at Frick in an attempted assassination, wounding him. While not directly connected to the strike, Berkman was tied in for the assassination attempt. According to Berkman, "...with the elimination of Frick, responsibility for Homestead conditions would rest with Carnegie." Afterwards, the company successfully resumed operations with non-union immigrant employees in place of the Homestead plant workers, and Carnegie returned to the United States. However, Carnegie's reputation was permanently damaged by the Homestead events.
Theodore Roosevelt
According to David Nasaw, after 1898, when the United States entered a war with Spain, Carnegie increasingly devoted his energy to supporting pacifism. He strongly opposed the war and the subsequent imperialistic American takeover of the Philippines. When Theodore Roosevelt became president in 1901, Carnegie and Roosevelt were in frequent contact. They exchanged letters, communicated through mutual friends such as Secretary of State John Hay, and met in person. Carnegie hoped that Roosevelt would turn the Philippines free, not realizing he was more of an imperialist and believer in warrior virtues than President McKinley had been. He saluted Roosevelt for forcing Germany and Britain to arbitrate their conflict with Venezuela in 1903, and especially for becoming the mediator who negotiated an end to the war between Russia and Japan in 1907–1908. Roosevelt relied on Carnegie for financing his expedition to Africa in 1909. In return he asked the ex-president to mediate the growing conflict between the cousins who ruled Britain and Germany. Roosevelt started to do so but the scheme collapsed when king Edward VII suddenly died. Nasaw argues that Roosevelt systematically deceived and manipulated Carnegie, and held the elderly man in contempt. Nasaw quotes a private letter Roosevelt wrote to Whitelaw Reid in 1905: [I have] tried hard to like Carnegie, but it is pretty difficult. There is no type of man for whom I feel a more contemptuous abhorrence than for the one who makes a God of mere money-making and at the same time is always yelling out that kind of utterly stupid condemnation of war which in almost every case springs from a combination of defective physical courage, of unmanly shrinking from pain and effort, and of hopelessly twisted ideals. All the suffering from Spanish war comes far short of the suffering, preventable and non-preventable, among the operators of the Carnegie steel works, and among the small investors, during the time that Carnegie was making his fortune…. It is as noxious folly to denounce war per se as it is to denounce business per se. Unrighteous war is a hideous evil; but I am not at all sure that it is worse evil than business unrighteousness.
Personal life
Family
Carnegie did not want to marry during his mother's lifetime, instead choosing to take care of her in her illness towards the end of her life. After she died in 1886, the 51-year-old Carnegie married Louise Whitfield, who was 21 years his junior. In 1897, the couple had their only child, Margaret, who they named after Carnegie's mother.
Residence
Carnegie bought Skibo Castle in Scotland, and made his home partly there and partly in his New York mansion located at 2 East 91st Street at Fifth Avenue. The building was completed in late 1902, and he lived there until his death in 1919. His wife Louise continued to live there until her death in 1946. The building is now used as the Cooper-Hewitt, Smithsonian Design Museum, part of the Smithsonian Institution. The surrounding neighborhood on Manhattan's Upper East Side has come to be called Carnegie Hill. The mansion was designated as a National Historic Landmark in 1966.
Philosophy
Politics
Carnegie gave "formal allegiance" to the Republican Party, though he was said to be "a violent opponent of some of the most sacred doctrines" of the party.
Andrew Carnegie Dictum
In his final days, Carnegie had pneumonia. Before his death on August 11, 1919, Carnegie had donated $350,695,654 for various causes. The "Andrew Carnegie Dictum" was:
To spend the first third of one's life getting all the education one can.
To spend the next third making all the money one can.
To spend the last third giving it all away for worthwhile causes.
Carnegie was involved in philanthropic causes, but he kept himself away from religious circles. He wanted to be identified by the world as a "positivist". He was highly influenced in public life by John Bright.
On wealth
As early as 1868, at age 33, he drafted a memo to himself. He wrote: "...The amassing of wealth is one of the worse species of idolatry. No idol more debasing than the worship of money." In order to avoid degrading himself, he wrote in the same memo he would retire at age 35 to pursue the practice of philanthropic giving, for "... the man who dies thus rich dies disgraced." However, he did not begin his philanthropic work in all earnest until 1881, at age 46, with the gift of a library to his hometown of Dunfermline, Scotland.
Carnegie wrote "The Gospel of Wealth", an article in which he stated his belief that the rich should use their wealth to help enrich society. In that article, Carnegie also expressed sympathy for the ideas of progressive taxation and an estate tax:
The following is taken from one of Carnegie's memos to himself:
Intellectual influences
Carnegie claimed to be a champion of evolutionary thought—particularly the work of Herbert Spencer, even declaring Spencer his teacher. Although Carnegie claimed to be a disciple of Spencer, many of his actions went against the ideas he espoused.
Spencerian evolution was for individual rights and against government interference. Furthermore, Spencerian evolution held that those unfit to sustain themselves must be allowed to perish. Spencer believed that just as there were many varieties of beetles, respectively modified to existence in a particular place in nature, so too had human society "spontaneously fallen into division of labour". Individuals who survived to this, the latest and highest stage of evolutionary progress would be "those in whom the power of self-preservation is the greatest—are the select of their generation." Moreover, Spencer perceived governmental authority as borrowed from the people to perform the transitory aims of establishing social cohesion, insurance of rights, and security. Spencerian 'survival of the fittest' firmly credits any provisions made to assist the weak, unskilled, poor and distressed to be an imprudent disservice to evolution. Spencer insisted people should resist for the benefit of collective humanity, as severe fate singles out the weak, debauched, and disabled.
Andrew Carnegie's political and economic focus during the late nineteenth and early twentieth century was the defense of laissez-faire economics. Carnegie emphatically resisted government intrusion in commerce, as well as government-sponsored charities. Carnegie believed the concentration of capital was essential for societal progress and should be encouraged. Carnegie was an ardent supporter of commercial "survival of the fittest" and sought to attain immunity from business challenges by dominating all phases of the steel manufacturing procedure. Carnegie's determination to lower costs included cutting labor expenses as well. In a notably Spencerian manner, Carnegie argued that unions impeded the natural reduction of prices by pushing up costs, which blocked evolutionary progress. Carnegie felt that unions represented the narrow interest of the few while his actions benefited the entire community.
On the surface, Andrew Carnegie appears to be a strict laissez-faire capitalist and follower of Herbert Spencer, often referring to himself as a disciple of Spencer. Conversely, Carnegie, a titan of industry, seems to embody all of the qualities of Spencerian survival of the fittest. The two men enjoyed a mutual respect for one another and maintained a correspondence until Spencer's death in 1903. There are, however, some major discrepancies between Spencer's capitalist evolutionary conceptions and Andrew Carnegie's capitalist practices.
Spencer wrote that in production the advantages of the superior individual are comparatively minor, and thus acceptable, yet the benefit that dominance provides those who control a large segment of production might be hazardous to competition. Spencer feared that an absence of "sympathetic self-restraint" of those with too much power could lead to the ruin of their competitors. He did not think free-market competition necessitated competitive warfare. Furthermore, Spencer argued that individuals with superior resources who deliberately used investment schemes to put competitors out of business were committing acts of "commercial murder". Carnegie built his wealth in the steel industry by maintaining an extensively integrated operating system. Carnegie also bought out some regional competitors, and merged with others, usually maintaining the majority shares in the companies. Over the course of twenty years, Carnegie's steel properties grew to include the Edgar Thomson Steel Works, the Lucy Furnace Works, the Union Iron Mills, the Homestead Works, the Keystone Bridge Works, the Hartman Steel Works, the Frick Coke Company, and the Scotia ore mines among many other industry-related assets.
Herbert Spencer absolutely was against government interference in business in the form of regulatory limitations, taxes, and tariffs as well. Spencer saw tariffs as a form of taxation that levied against the majority in service to "the benefit of a small minority of manufacturers and artisans".
Despite Carnegie's personal dedication to Herbert Spencer as a friend, his adherence to Spencer's political and economic ideas is more contentious. In particular, it appears Carnegie either misunderstood or intentionally misrepresented some of Spencer's principal arguments. Spencer remarked upon his first visit to Carnegie's steel mills in Pittsburgh, which Carnegie saw as the manifestation of Spencer's philosophy, "Six months' residence here would justify suicide."
On the subject of charity Andrew Carnegie's actions diverged in the most significant and complex manner from Herbert Spencer's philosophies. In his 1854 essay "Manners and Fashion", Spencer referred to public education as "Old schemes". He went on to declare that public schools and colleges fill the heads of students with inept, useless knowledge and exclude useful knowledge. Spencer stated that he trusted no organization of any kind, "political, religious, literary, philanthropic", and believed that as they expanded in influence so too did their regulations expand. In addition, Spencer thought that as all institutions grow they become evermore corrupted by the influence of power and money. The institution eventually loses its "original spirit, and sinks into a lifeless mechanism". Spencer insisted that all forms of philanthropy that uplift the poor and downtrodden were reckless and incompetent. Spencer thought any attempt to prevent "the really salutary sufferings" of the less fortunate "bequeath to posterity a continually increasing curse". Carnegie, a self-proclaimed devotee of Spencer, testified to Congress on February 5, 1915: "My business is to do as much good in the world as I can; I have retired from all other business."
Carnegie held that societal progress relied on individuals who maintained moral obligations to themselves and to society. Furthermore, he believed that charity supplied the means for those who wish to improve themselves to achieve their goals. Carnegie urged other wealthy people to contribute to society in the form of parks, works of art, libraries and other endeavors that improve the community and contribute to the "lasting good". Carnegie also held a strong opinion against inherited wealth. Carnegie believed that the sons of prosperous businesspersons were rarely as talented as their fathers. By leaving large sums of money to their children, wealthy business leaders were wasting resources that could be used to benefit society. Most notably, Carnegie believed that the future leaders of society would rise from the ranks of the poor. Carnegie strongly believed in this because he had risen from the bottom. He believed the poor possessed an advantage over the wealthy because they receive greater attention from their parents and are taught better work ethics.
Religion and worldview
Carnegie and his family belonged to the Presbyterian Church in the United States of America, also known informally as the Northern Presbyterian Church. In his early life Carnegie was skeptical of Calvinism, and religion as a whole, but reconciled with it later in his life. In his autobiography, Carnegie describes his family as moderate Presbyterian believers, writing that "there was not one orthodox Presbyterian" in his family; various members of his family having somewhat distanced themselves from Calvinism, some of them leaning more towards Swedenborgianism. While a child, his family led vigorous theological and political disputes. His mother avoided the topic of religion. His father left the Presbyterian church after a sermon on infant damnation, while, according to Carnegie, still remaining very religious on his own.
Witnessing sectarianism and strife in 19th century Scotland regarding religion and philosophy, Carnegie kept his distance from organized religion and theism. Carnegie instead preferred to see things through naturalistic and scientific terms stating, "Not only had I got rid of the theology and the supernatural, but I had found the truth of evolution."
Later in life, Carnegie's firm opposition to religion softened. For many years he was a member of Madison Avenue Presbyterian Church, pastored from 1905 to 1926 by Social Gospel exponent Henry Sloane Coffin, while his wife and daughter belonged to the Brick Presbyterian Church. He also prepared (but did not deliver) an address in which he professed a belief in "an Infinite and Eternal Energy from which all things proceed". Records exist of a short period of correspondence around 1912–1913 between Carnegie and 'Abdu'l-Bahá, the eldest son of Bahá'u'lláh, founder of the Baháʼí Faith. In these letters, one of which was published in The New York Times in full text, Carnegie is extolled as a "lover of the world of humanity and one of the founders of Universal Peace".
World peace
Influenced by his "favorite living hero in public life" John Bright, Carnegie started his efforts in pursuit of world peace at a young age, and supported causes that opposed military intervention. His motto, "All is well since all grows better", served not only as a good rationalization of his successful business career, but also his view of international relations.
Despite his efforts towards international peace, Carnegie faced many dilemmas on his quest. These dilemmas are often regarded as conflicts between his view on international relations and his other loyalties. Throughout the 1880s and 1890s, for example, Carnegie allowed his steel works to fill large orders of armor plate for the building of an enlarged and modernized United States Navy, but he opposed American overseas expansion.
Despite that, Carnegie served as a major donor for the newly established International Court of Arbitration's Peace Palace—brainchild of Russian tsar Nicholas II.
His largest and in the long run most influential peace organization was the Carnegie Endowment for International Peace, formed in 1910 with a $10 million endowment. In 1913, at the dedication of the Peace Palace in The Hague, Carnegie predicted that the end of the war was as certain to come, and come soon, as day follows night.
In 1914, on the eve of the First World War, Carnegie founded the Church Peace Union (CPU), a group of leaders in religion, academia, and politics. Through the CPU, Carnegie hoped to mobilize the world's churches, religious organizations, and other spiritual and moral resources to join in promoting moral leadership to put an end to war forever. For its inaugural international event, the CPU sponsored a conference to be held on August 1, 1914, on the shores of Lake Constance in southern Germany. As the delegates made their way to the conference by train, Germany was invading Belgium.
Despite its inauspicious beginning, the CPU thrived. Today its focus is on ethics and it is known as the Carnegie Council for Ethics in International Affairs, an independent, nonpartisan, nonprofit organization, whose mission is to be the voice for ethics in international affairs.
The outbreak of the First World War was clearly a shock to Carnegie and his optimistic view on world peace. Although his promotion of anti-imperialism and world peace had all failed, and the Carnegie Endowment had not fulfilled his expectations, his beliefs and ideas on international relations had helped build the foundation of the League of Nations after his death, which took world peace to another level.
United States colonial expansion
On the matter of American colonial expansion, Carnegie had always thought it is an unwise gesture for the United States. He did not oppose the annexation of the Hawaiian islands or Puerto Rico, but he opposed the annexation of the Philippines. Carnegie believed that it involved a denial of the fundamental democratic principle, and he also urged William McKinley to withdraw American troops and allow the Filipinos to live with their independence. This act strongly impressed the other American anti-imperialists, who soon elected him vice-president of the Anti-Imperialist League.
After he sold his steel company in 1901, Carnegie was able to get fully involved in the peace cause, both financially and personally. He gave away much of his fortunes to various peacekeeping agencies in order to keep them growing. When a friend, the British writer William T. Stead, asked him to create a new organization for the goal of a peace and arbitration society, his reply was:
Carnegie believed that it is the effort and will of the people, that maintains the peace in international relations. Money is just a push for the act. If world peace depended solely on financial support, it would not seem a goal, but more like an act of pity.
Like Stead, he believed that the United States and the British Empire would merge into one nation, telling him "We are heading straight to the Re-United States". Carnegie believed that the combined country's power would maintain world peace and disarmament. The creation of the Carnegie Endowment for International Peace in 1910 was regarded as a milestone on the road to the ultimate goal of abolition of war. Beyond a gift of $10 million for peace promotion, Carnegie also encouraged the "scientific" investigation of the various causes of war, and the adoption of judicial methods that should eventually eliminate them. He believed that the Endowment exists to promote information on the nations' rights and responsibilities under existing international law and to encourage other conferences to codify this law.
Legacy and honors
Carnegie received the honorary Doctor of Laws (DLL) from the University of Glasgow in June 1901, and received the Freedom of the City of Glasgow "in recognition of his munificence" later the same year. In July 1902 he received the Freedom of the city of St Andrews, "in testimony of his great zeal for the welfare of his fellow-men on both sides of the Atlantic", and in October 1902 the Freedom of the City of Perth "in testimony of his high personal worth and beneficial influence, and in recognition of widespread benefactions bestowed on this and other lands, and especially in gratitude for the endowment granted by him for the promotion of University education in Scotland" and the Freedom of the City of Dundee. Also in 1902, he was elected as a member to the American Philosophical Society. He received an honorary Doctor of Laws (LLD) from the University of Aberdeen in 1906. In 1910, he received the Freedom of the City of Belfast and was made as well Commander of the National Order of the Legion of Honour by the French government. Carnegie was awarded as Knight Grand Cross of the Order of Orange-Nassau by Queen Wilhelmina of the Netherlands on August 25, 1913. Carnegie received July 1, 1914 an honorary doctorate from the University of Groningen the Netherlands.
The dinosaur Diplodocus carnegiei (Hatcher) was named for Carnegie after he sponsored the expedition that discovered its remains in the Morrison Formation (Jurassic) of Utah. Carnegie was so proud of "Dippy" that he had casts made of the bones and plaster replicas of the whole skeleton donated to several museums in Europe and South America. The original fossil skeleton is assembled and stands in the Hall of Dinosaurs at the Carnegie Museum of Natural History in Pittsburgh, Pennsylvania.
After the Spanish–American War, Carnegie offered to donate $20 million to the Philippines so they could buy their independence.
Carnegie, Pennsylvania, and Carnegie, Oklahoma, were named in his honor.
The Saguaro cactus's scientific name, Carnegiea gigantea, is named after him.
The Carnegie Medal for the best children's literature published in the UK was established in his name.
The Carnegie Faculty of Sport and Education, at Leeds Beckett University, UK, is named after him.
The concert halls in Dunfermline and New York are named after him.
At the height of his career, Carnegie was the second-richest person in the world, behind only John D. Rockefeller of Standard Oil.
Carnegie Mellon University in Pittsburgh was named after Carnegie, who founded the institution as the Carnegie Technical Schools.
Lauder College (named after his uncle George Lauder Sr.) in the Halbeath area of Dunfermline was renamed Carnegie College in 2007.
A street in Belgrade (Serbia), next to the Belgrade University Library which is one of the Carnegie libraries, is named in his honor.
An American high school, Carnegie Vanguard High School in Houston, Texas, is named after him
Carnegie was awarded the Freedom of the Burgh of Kilmarnock in Scotland in 1903, prior to laying the foundation stone of Loanhead Public School.
Benefactions
According to biographer Burton J. Hendrick:
His benefactions amounted to $350,000,000—for he gave away not only his annual income of something more than $12,500,000, but most of the principal as well. Of this sum, $62,000,000 was allotted to the British Empire and $288,000,000 to the United States, for Carnegie, in the main, confined his benefactions to the English-speaking nations. His largest gifts were $125,000,000 to the Carnegie Corporation of New York (this same body also became his residuary legatee), $60,000,000 to public library buildings, $20,000,000 to colleges (usually the smaller ones), $6,000,000 to church organs, $29,000,000 to the Carnegie Foundation for the Advancement of Teaching, $22,000,000 to the Carnegie Institute of Pittsburgh, $22,000,000 to the Carnegie Institution of Washington, $10,000,000 to Hero Funds, $10,000,000 to the Endowment for International Peace, $10,000,000 to the Scottish Universities Trust, $10,000,000 to the United Kingdom Trust, and $3,750,000 to the Dunfermline Trust.
Hendrick argues that:
These gifts fairly picture Carnegie's conception of the best ways to improve the status of the common man. They represent all his personal tastes—his love of books, art, music, and nature—and the reforms which he regarded as most essential to human progress—scientific research, education both literary and technical, and, above all, the abolition of war. The expenditure the public most associates with Carnegie's name is that for public libraries. Carnegie himself frequently said that his favorite benefaction was the Hero Fund—among other reasons, because "it came up my ain back"; but probably deep in his own mind his library gifts took precedence over all others in importance. There was only one genuine remedy, he believed, for the ills that beset the human race, and that was enlightenment. "Let there be light" was the motto that, in the early days, he insisted on placing in all his library buildings. As to the greatest endowment of all, the Carnegie Corporation, that was merely Andrew Carnegie in permanently organized form; it was established to carry on, after Carnegie's death, the work to which he had given personal attention in his own lifetime.
Research sources
Carnegie's personal papers are at the Library of Congress Manuscript Division.
The Carnegie Collections of the Columbia University Rare Book and Manuscript Library consist of the archives of the following organizations founded by Carnegie: The Carnegie Corporation of New York (CCNY); The Carnegie Endowment for International Peace (CEIP); the Carnegie Foundation for the Advancement of Teaching (CFAT);The Carnegie Council on Ethics and International Affairs (CCEIA). These collections deal primarily with Carnegie philanthropy and have very little personal material related to Carnegie. Carnegie Mellon University and the Carnegie Library of Pittsburgh jointly administer the Andrew Carnegie Collection of digitized archives on Carnegie's life.
Works
Carnegie was a frequent contributor to periodicals on labor issues.
Books
Our Coaching Trip, Brighton to Inverness (1882).
An American Four-in-hand in Britain (1883).
Round the World. New York: Charles Scribner's Sons (1884).
An American Four-in-Hand in Britain. New York: Charles Scribner's Sons (1886).
Triumphant Democracy, or, Fifty Years' March of the Republic. New York: Charles Scribner's Sons (1886).
The Gospel of Wealth (1889).
The Gospel of Wealth and Other Timely Essays. New York: The Century Co. (1901).
The Empire of Business (1902).
Audiobook via LibriVox.
The Secret of Business is the Management of Men (1903).
James Watt (Famous Scots Series). New York: Doubleday, Page and Co. (1905).
Problems of Today: Wealth–Labor–Socialism. New York: Doubleday, Page and Co. (1907).
Autobiography of Andrew Carnegie (posthumous). Boston: Houghton Mifflin (1920).
Audiobook via Librivox.
Articles
"Wealth." North American Review, vol. 148, no. 381 (Jun. 1889), pp. 653–64. Original version of The Gospel of Wealth.
"The Bugaboo of Trusts." North American Review, vol. 148, no. 377 (Feb. 1889).
Pamphlets
The Bugaboo of Trusts. Reprinted from North American Review, vol. 148, no. 377 (Feb. 1889).
Public speaking
Industrial Peace: Address at the Annual Dinner of the National Civic Federation, New York City, December 15, 1904. [n.c.]: National Civic Federation (1904).
Edwin M. Stanton: An Address by Andrew Carnegie on Stanton Memorial Day at Kenyon College. New York: Doubleday, Page and Co. (1906).
The Negro in America: An Address Delivered Before the Philosophical Institution of Edinburg, 16th October 1907. Inverness: R. Carruthers & Sons, Courier Office (1907).
Speech at the Annual Meeting of the Peace Society, at the Guildhall, London, EC, May 24th, 1910. London: The Peace Society (1910).
A League of Peace: A Rectorial Address Delivered to the Students in the University of St. Andrews, 17th October 1905. New York: New York Peace Society (1911).
Collected works
Wall, Joseph Frazier, ed. The Andrew Carnegie Reader (1992).
See also
Carnegie (disambiguation)
Commemoration of the American Civil War on postage stamps
History of public library advocacy
List of Carnegie libraries in the United States
List of peace activists
List of richest Americans in history
List of colleges and universities named after people
Notes
References
Bibliography
Ernsberger, Jr., Richard "A Fool for Peace". American History, (Oct 2018), Vol. 53, Issue 4. interview with Nasaw.
Wall, Joseph Frazier (1989). Andrew Carnegie. . Along with Nasaw the most detailed scholarly biography.
Collections
Further reading
Bostaph, Samuel (2015). Andrew Carnegie: An Economic Biography. Lanham, MD: Lexington Books. . 125pp online review
Ernsberger Jr., Richard. "Robber Baron turned Robin Hood" American History (Feb 2015) 49#6 pp. 32–41, cover story.
Farrah, Margaret Ann. "Andrew Carnegie: A Psychohistorical Sketch" (PhD dissertation, Carnegie Mellon University; ProQuest Dissertations Publishing, 1982. 8209384).
Goldin, Milton (1997). "Andrew Carnegie and the Robber Baron Myth." In: Myth America: A Historical Anthology, Volume II. Gerster, Patrick, and Cords, Nicholas. (editors.) St. James, NY: Brandywine Press .
Harvey, Charles, et al. Andrew Carnegie and the foundations of contemporary entrepreneurial philanthropy. Business History (2011) 53#3 pp. 425–450.
Hendrick, Burton Jesse (1933). The life of Andrew Carnegie (2 vol.) vol 2 online
Josephson, Matthew (1938). The Robber Barons: The Great American Capitalists, 1861–1901. .
Krass, Peter (2002). Carnegie. Wiley. . scholarly biography.
Lester, Robert M. (1941). Forty Years of Carnegie Giving: A Summary of the Benefactions of Andrew Carnegie and of the Work of the Philanthropic Trusts Which He Created. New York: Charles Scribner's Sons.
Livesay, Harold C. (1999). Andrew Carnegie and the Rise of Big Business, 2nd ed. . short biography by a scholar.
McGormick, Blaine, and Burton W. Folsom Jr. "Survey of Business Historians on America's Greatest Entrepreneurs." Business History Review (2003), 77#4, pp. 703–716. Carnegie ranks #3 behind Ford and Rockefeller.
Patterson, David S. (1970). "Andrew Carnegie's Quest for World Peace." Proceedings of the American Philosophical Society 114#5 (1970): 371–383. .
Rees, Jonathan. (1997). "Homestead in Context: Andrew Carnegie and the Decline of the Amalgamated Association of Iron and Steel Workers." Pennsylvania History 64(4): 509–533. .
Skrabec Jr, Quentin R. Henry Clay Frick: The life of the perfect capitalist (McFarland, 2010). online
Skrabec Jr, Quentin R. The Carnegie Boys: The Lieutenants of Andrew Carnegie that Changed America (McFarland, 2012) online.
VanSlyck, Abigail A. (1991). "'The Utmost Amount of Effective Accommodation': Andrew Carnegie and the Reform of the American Library." Journal of the Society of Architectural Historians. 50(4): 359–383. .
Zimmerman, Jonathan. "Simplified Spelling and the Cult of Efficiency in the 'Progressiv' Era." Journal of the Gilded Age & Progressive Era (2010) 9#3 pp. 365–394
External links
Documentary: "Andrew Carnegie: Rags to Riches, Power to Peace"
Carnegie Birthplace Museum website
Booknotes interview with Peter Krass on Carnegie, November 24, 2002.
Marguerite Martyn, "Andrew Carnegie on Prosperity, Income Tax, and the Blessings of Poverty," May 1, 1914, City Desk Publishing
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An airline is a company that provides air transport services for traveling passengers and/or freight. Airlines use aircraft to supply these services and may form partnerships or alliances with other airlines for codeshare agreements, in which they both offer and operate the same flight. Generally, airline companies are recognized with an air operating certificate or license issued by a governmental aviation body. Airlines may be scheduled or charter operators.
The first airline was the German airship company DELAG, founded on November 16, 1909. The four oldest non-airship airlines that still exist are the Netherlands' KLM (1919), Colombia's Avianca (1919), Australia's Qantas (1920) and the Mexican Mexicana de Aviación (1921).
Airline ownership has seen a shift from mostly personal ownership until the 1930s to government-ownership of major airlines from the 1940s to 1980s and back to large-scale privatization following the mid-1980s. Since the 1980s, there has been a trend of major airline mergers and the formation of airline alliances. The largest alliances are Star Alliance, SkyTeam and Oneworld. Airline alliances coordinate their passenger service programs (such as lounges and frequent-flyer programs), offer special interline tickets and often engage in extensive codesharing (sometimes systemwide).
History
The first airlines
DELAG, Deutsche Luftschiffahrts-Aktiengesellschaft I was the world's first airline. It was founded on November 16, 1909, with government assistance, and operated airships manufactured by The Zeppelin Corporation. Its headquarters were in Frankfurt.
The first fixed-wing scheduled airline was started on January 1, 1914. The flight was piloted by Tony Jannus and flew from St. Petersburg, Florida, to Tampa, Florida, operated by the St. Petersburg–Tampa Airboat Line.
Europe
Beginnings
The earliest fixed wing airline in Europe was Aircraft Transport and Travel, formed by George Holt Thomas in 1916; via a series of takeovers and mergers, this company is an ancestor of modern-day British Airways. Using a fleet of former military Airco DH.4A biplanes that had been modified to carry two passengers in the fuselage, it operated relief flights between Folkestone and Ghent, Belgium. On July 15 , 1919, the company flew a proving flight across the English Channel, despite a lack of support from the British government. Flown by Lt. H Shaw in an Airco DH.9 between RAF Hendon and Paris – Le Bourget Airport, the flight took 2 hours and 30 minutes at £21 per passenger.
On August 25, 1919, the company used DH.16s to pioneer a regular service from Hounslow Heath Aerodrome to Paris's Le Bourget, the first regular international service in the world. The airline soon gained a reputation for reliability, despite problems with bad weather, and began to attract European competition. In November 1919, it won the first British civil airmail contract. Six Royal Air Force Airco DH.9A aircraft were lent to the company, to operate the airmail service between Hawkinge and Cologne. In 1920, they were returned to the Royal Air Force.
Other British competitors were quick to follow – Handley Page Transport was established in 1919 and used the company's converted wartime Type O/400 bombers with a capacity for 12 passengers, to run a London-Paris passenger service.
The first French airline was Société des lignes Latécoère, later known as Aéropostale, which started its first service in late 1918 to Spain. The Société Générale des Transports Aériens was created in late 1919, by the Farman brothers and the Farman F.60 Goliath plane flew scheduled services from Toussus-le-Noble to Kenley, near Croydon, England. Another early French airline was the Compagnie des Messageries Aériennes, established in 1919 by Louis-Charles Breguet, offering a mail and freight service between Le Bourget Airport, Paris and Lesquin Airport, Lille.
The first German airline to use heavier than air aircraft was Deutsche Luft-Reederei established in 1917 which started operating in February 1919. In its first year, the D.L.R. operated regularly scheduled flights on routes with a combined length of nearly 1000 miles. By 1921 the D.L.R. network was more than 3000 km (1865 miles) long, and included destinations in the Netherlands, Scandinavia and the Baltic Republics. Another important German airline was Junkers Luftverkehr, which began operations in 1921. It was a division of the aircraft manufacturer Junkers, which became a separate company in 1924. It operated joint-venture airlines in Austria, Denmark, Estonia, Finland, Hungary, Latvia, Norway, Poland, Sweden and Switzerland.
The Dutch airline KLM made its first flight in 1920, and is the oldest continuously operating airline in the world. Established by aviator Albert Plesman, it was immediately awarded a "Royal" predicate from Queen Wilhelmina. Its first flight was from Croydon Airport, London to Amsterdam, using a leased Aircraft Transport and Travel DH-16, and carrying two British journalists and a number of newspapers. In 1921, KLM started scheduled services.
In Finland, the charter establishing Aero O/Y (now Finnair) was signed in the city of Helsinki on 12 September 1923. Junkers F.13 D-335 became the first aircraft of the company, when Aero took delivery of it on 14 March 1924. The first flight was between Helsinki and Tallinn, capital of Estonia, and it took place on 20 March 1924, one week later.
In the Soviet Union, the Chief Administration of the Civil Air Fleet was established in 1921. One of its first acts was to help found Deutsch-Russische Luftverkehrs A.G. (Deruluft), a German-Russian joint venture to provide air transport from Russia to the West. Domestic air service began around the same time, when Dobrolyot started operations on 15 July 1923 between Moscow and Nizhni Novgorod. Since 1932 all operations had been carried under the name Aeroflot.
Early European airlines tended to favor comfort – the passenger cabins were often spacious with luxurious interiors – over speed and efficiency. The relatively basic navigational capabilities of pilots at the time also meant that delays due to the weather were commonplace.
Rationalization
By the early 1920s, small airlines were struggling to compete, and there was a movement towards increased rationalization and consolidation. In 1924, Imperial Airways was formed from the merger of Instone Air Line Company, British Marine Air Navigation, Daimler Airway and Handley Page Transport, to allow British airlines to compete with stiff competition from French and German airlines that were enjoying heavy government subsidies. The airline was a pioneer in surveying and opening up air routes across the world to serve far-flung parts of the British Empire and to enhance trade and integration.
The first new airliner ordered by Imperial Airways, was the Handley Page W8f City of Washington, delivered on 3 November 1924. In the first year of operation the company carried 11,395 passengers and 212,380 letters. In April 1925, the film The Lost World became the first film to be screened for passengers on a scheduled airliner flight when it was shown on the London-Paris route.
Two French airlines also merged to form Air Union on 1 January 1923. This later merged with four other French airlines to become Air France, the country's flagship carrier to this day, on 17 May 1933.
Germany's Deutsche Lufthansa was created in 1926 by merger of two airlines, one of them Junkers Luftverkehr. Lufthansa, due to the Junkers heritage and unlike most other airlines at the time, became a major investor in airlines outside of Europe, providing capital to Varig and Avianca. German airliners built by Junkers, Dornier, and Fokker were among the most advanced in the world at the time.
Expansion
In 1926, Alan Cobham surveyed a flight route from the UK to Cape Town, South Africa, following this up with another proving flight to Melbourne, Australia. Other routes to British India and the Far East were also charted and demonstrated at this time. Regular services to Cairo and Basra began in 1927 and were extended to Karachi in 1929. The London-Australia service was inaugurated in 1932 with the Handley Page HP 42 airliners. Further services were opened up to Calcutta, Rangoon, Singapore, Brisbane and Hong Kong passengers departed London on 14 March 1936 following the establishment of a branch from Penang to Hong Kong.
France began an air mail service to Morocco in 1919 that was bought out in 1927, renamed Aéropostale, and injected with capital to become a major international carrier. In 1933, Aéropostale went bankrupt, was nationalized and merged into Air France.
Although Germany lacked colonies, it also began expanding its services globally. In 1931, the airship Graf Zeppelin began offering regular scheduled passenger service between Germany and South America, usually every two weeks, which continued until 1937. In 1936, the airship Hindenburg entered passenger service and successfully crossed the Atlantic 36 times before crashing at Lakehurst, New Jersey, on 6 May 1937. In 1938, a weekly air service from Berlin to Kabul, Afghanistan, started operating.
From February 1934 until World War II began in 1939, Deutsche Lufthansa operated an airmail service from Stuttgart, Germany via Spain, the Canary Islands and West Africa to Natal in Brazil. This was the first time an airline flew across an ocean.
By the end of the 1930s Aeroflot had become the world's largest airline, employing more than 4,000 pilots and 60,000 other service personnel and operating around 3,000 aircraft (of which 75% were considered obsolete by its own standards). During the Soviet era Aeroflot was synonymous with Russian civil aviation, as it was the only air carrier. It became the first airline in the world to operate sustained regular jet services on 15 September 1956 with the Tupolev Tu-104.
Deregulation
Deregulation of the European Union airspace in the early 1990s has had substantial effect on the structure of the industry there. The shift towards 'budget' airlines on shorter routes has been significant. Airlines such as EasyJet and Ryanair have often grown at the expense of the traditional national airlines.
There has also been a trend for these national airlines themselves to be privatized such as has occurred for Aer Lingus and British Airways. Other national airlines, including Italy's Alitalia, suffered – particularly with the rapid increase of oil prices in early 2008.
Finnair, the largest airline of Finland, had no fatal or hull-loss accidents since 1963, and is recognized for its safety.
United States
Early development
Tony Jannus conducted the United States' first scheduled commercial airline flight on January 1, 1914 for the St. Petersburg-Tampa Airboat Line. The 23-minute flight traveled between St. Petersburg, Florida and Tampa, Florida, passing some above Tampa Bay in Jannus' Benoist XIV wood and muslin biplane flying boat. His passenger was a former mayor of St. Petersburg, who paid $400 for the privilege of sitting on a wooden bench in the open cockpit. The Airboat line operated for about four months, carrying more than 1,200 passengers who paid $5 each. Chalk's International Airlines began service between Miami and Bimini in the Bahamas in February 1919. Based in Ft. Lauderdale, Chalk's claimed to be the oldest continuously operating airline in the United States until its closure in 2008.
Following World War I, the United States found itself swamped with aviators. Many decided to take their war-surplus aircraft on barnstorming campaigns, performing aerobatic maneuvers to woo crowds. In 1918, the United States Postal Service won the financial backing of Congress to begin experimenting with air mail service, initially using Curtiss Jenny aircraft that had been procured by the United States Army Air Service. Private operators were the first to fly the mail but due to numerous accidents the US Army was tasked with mail delivery. During the Army's involvement they proved to be too unreliable and lost their air mail duties. By the mid-1920s, the Postal Service had developed its own air mail network, based on a transcontinental backbone between New York City and San Francisco. To supplement this service, they offered twelve contracts for spur routes to independent bidders. Some of the carriers that won these routes would, through time and mergers, evolve into Pan Am, Delta Air Lines, Braniff Airways, American Airlines, United Airlines (originally a division of Boeing), Trans World Airlines, Northwest Airlines, and Eastern Air Lines.
Service during the early 1920s was sporadic: most airlines at the time were focused on carrying bags of mail. In 1925, however, the Ford Motor Company bought out the Stout Aircraft Company and began construction of the all-metal Ford Trimotor, which became the first successful American airliner. With a 12-passenger capacity, the Trimotor made passenger service potentially profitable. Air service was seen as a supplement to rail service in the American transportation network.
At the same time, Juan Trippe began a crusade to create an air network that would link America to the world, and he achieved this goal through his airline, Pan Am, with a fleet of flying boats that linked Los Angeles to Shanghai and Boston to London. Pan Am and Northwest Airways (which began flights to Canada in the 1920s) were the only U.S. airlines to go international before the 1940s.
With the introduction of the Boeing 247 and Douglas DC-3 in the 1930s, the U.S. airline industry was generally profitable, even during the Great Depression. This trend continued until the beginning of World War II.
Since 1945
World War II, like World War I, brought new life to the airline industry. Many airlines in the Allied countries were flush from lease contracts to the military, and foresaw a future explosive demand for civil air transport, for both passengers and cargo. They were eager to invest in the newly emerging flagships of air travel such as the Boeing Stratocruiser, Lockheed Constellation, and Douglas DC-6. Most of these new aircraft were based on American bombers such as the B-29, which had spearheaded research into new technologies such as pressurization. Most offered increased efficiency from both added speed and greater payload.
In the 1950s, the De Havilland Comet, Boeing 707, Douglas DC-8, and Sud Aviation Caravelle became the first flagships of the Jet Age in the West, while the Eastern bloc had Tupolev Tu-104 and Tupolev Tu-124 in the fleets of state-owned carriers such as Czechoslovak ČSA, Soviet Aeroflot and East-German Interflug. The Vickers Viscount and Lockheed L-188 Electra inaugurated turboprop transport.
On 4 October 1958, British Overseas Airways Corporation started transatlantic flights between London Heathrow and New York Idlewild with a Comet 4, and Pan Am followed on 26 October with a Boeing 707 service between New York and Paris.
The next big boost for the airlines would come in the 1970s, when the Boeing 747, McDonnell Douglas DC-10, and Lockheed L-1011 inaugurated widebody ("jumbo jet") service, which is still the standard in international travel. The Tupolev Tu-144 and its Western counterpart, Concorde, made supersonic travel a reality. Concorde first flew in 1969 and operated through 2003. In 1972, Airbus began producing Europe's most commercially successful line of airliners to date. The added efficiencies for these aircraft were often not in speed, but in passenger capacity, payload, and range. Airbus also features modern electronic cockpits that were common across their aircraft to enable pilots to fly multiple models with minimal cross-training.
Deregulation
The 1978 U.S. airline industry deregulation lowered federally controlled barriers for new airlines just as a downturn in the nation's economy occurred. New start-ups entered during the downturn, during which time they found aircraft and funding, contracted hangar and maintenance services, trained new employees, and recruited laid-off staff from other airlines.
Major airlines dominated their routes through aggressive pricing and additional capacity offerings, often swamping new start-ups. In the place of high barriers to entry imposed by regulation, the major airlines implemented an equally high barrier called loss leader pricing. In this strategy an already established and dominant airline stomps out its competition by lowering airfares on specific routes, below the cost of operating on it, choking out any chance a start-up airline may have. The industry side effect is an overall drop in revenue and service quality. Since deregulation in 1978 the average domestic ticket price has dropped by 40%. So has airline employee pay. By incurring massive losses, the airlines of the USA now rely upon a scourge of cyclical Chapter 11 bankruptcy proceedings to continue doing business. America West Airlines (which has since merged with US Airways) remained a significant survivor from this new entrant era, as dozens, even hundreds, have gone under.
In many ways, the biggest winner in the deregulated environment was the air passenger. Although not exclusively attributable to deregulation, indeed the U.S. witnessed an explosive growth in demand for air travel. Many millions who had never or rarely flown before became regular fliers, even joining frequent flyer loyalty programs and receiving free flights and other benefits from their flying. New services and higher frequencies meant that business fliers could fly to another city, do business, and return the same day, from almost any point in the country. Air travel's advantages put long-distance intercity railroad travel and bus lines under pressure, with most of the latter having withered away, whilst the former is still protected under nationalization through the continuing existence of Amtrak.
By the 1980s, almost half of the total flying in the world took place in the U.S., and today the domestic industry operates over 10,000 daily departures nationwide.
Toward the end of the century, a new style of low cost airline emerged, offering a no-frills product at a lower price. Southwest Airlines, JetBlue, AirTran Airways, Skybus Airlines and other low-cost carriers began to represent a serious challenge to the so-called "legacy airlines", as did their low-cost counterparts in many other countries. Their commercial viability represented a serious competitive threat to the legacy carriers. However, of these, ATA and Skybus have since ceased operations.
Increasingly since 1978, US airlines have been reincorporated and spun off by newly created and internally led management companies, and thus becoming nothing more than operating units and subsidiaries with limited financially decisive control. Among some of these holding companies and parent companies which are relatively well known, are the UAL Corporation, along with the AMR Corporation, among a long list of airline holding companies sometime recognized worldwide. Less recognized are the private-equity firms which often seize managerial, financial, and board of directors control of distressed airline companies by temporarily investing large sums of capital in air carriers, to rescheme an airlines assets into a profitable organization or liquidating an air carrier of their profitable and worthwhile routes and business operations.
Thus the last 50 years of the airline industry have varied from reasonably profitable, to devastatingly depressed. As the first major market to deregulate the industry in 1978, U.S. airlines have experienced more turbulence than almost any other country or region. In fact, no U.S. legacy carrier survived bankruptcy-free. Among the outspoken critics of deregulation, former CEO of American Airlines, Robert Crandall has publicly stated: "Chapter 11 bankruptcy protection filing shows airline industry deregulation was a mistake."
Bailout
Congress passed the Air Transportation Safety and System Stabilization Act (P.L. 107–42) in response to a severe liquidity crisis facing the already-troubled airline industry in the aftermath of the September 11 attacks. Through the ATSB Congress sought to provide cash infusions to carriers for both the cost of the four-day federal shutdown of the airlines and the incremental losses incurred through December 31, 2001, as a result of the terrorist attacks. This resulted in the first government bailout of the 21st century. Between 2000 and 2005 US airlines lost $30 billion with wage cuts of over $15 billion and 100,000 employees laid off.
In recognition of the essential national economic role of a healthy aviation system, Congress authorized partial compensation of up to $5 billion in cash subject to review by the U.S. Department of Transportation and up to $10 billion in loan guarantees subject to review by a newly created Air Transportation Stabilization Board (ATSB). The applications to DOT for reimbursements were subjected to rigorous multi-year reviews not only by DOT program personnel but also by the Government Accountability Office and the DOT Inspector General.
Ultimately, the federal government provided $4.6 billion in one-time, subject-to-income-tax cash payments to 427 U.S. air carriers, with no provision for repayment, essentially a gift from the taxpayers. (Passenger carriers operating scheduled service received approximately $4 billion, subject to tax.) In addition, the ATSB approved loan guarantees to six airlines totaling approximately $1.6 billion. Data from the U.S. Treasury Department show that the government recouped the $1.6 billion and a profit of $339 million from the fees, interest and purchase of discounted airline stock associated with loan guarantees.
The three largest major carriers and Southwest Airlines control 70% of the U.S. passenger market.
Asia
Although Philippine Airlines (PAL) was officially founded on February 26, 1941, its license to operate as an airliner was derived from merged Philippine Aerial Taxi Company (PATCO) established by mining magnate Emmanuel N. Bachrach on 3 December 1930, making it Asia's oldest scheduled carrier still in operation. Commercial air service commenced three weeks later from Manila to Baguio, making it Asia's first airline route. Bachrach's death in 1937 paved the way for its eventual merger with Philippine Airlines in March 1941 and made it Asia's oldest airline. It is also the oldest airline in Asia still operating under its current name. Bachrach's majority share in PATCO was bought by beer magnate Andres R. Soriano in 1939 upon the advice of General Douglas MacArthur and later merged with newly formed Philippine Airlines with PAL as the surviving entity. Soriano has controlling interest in both airlines before the merger. PAL restarted service on 15 March 1941, with a single Beech Model 18 NPC-54 aircraft, which started its daily services between Manila (from Nielson Field) and Baguio, later to expand with larger aircraft such as the DC-3 and Vickers Viscount.
Cathay Pacific was one of the first airlines to be launched among the other Asian countries in 1946 along with Asiana Airlines, which later joined in 1988. The license to operate as an airliner was granted by the federal government body after reviewing the necessity at the national assembly. The Hanjin occupies the largest ownership of Korean Air as well as few low-budget airlines as of now. Korean Air is one of the four founders of SkyTeam, which was established in 2000. Asiana Airlines joined Star Alliance in 2003. Korean Air and Asiana Airlines comprise one of the largest combined airline miles and number of passenger served at the regional market of Asian airline industry
India was also one of the first countries to embrace civil aviation. One of the first Asian airline companies was Air India, which was founded as Tata Airlines in 1932, a division of Tata Sons Ltd. (now Tata Group). The airline was founded by India's leading industrialist, JRD Tata. On 15 October 1932, J. R. D. Tata himself flew a single engined De Havilland Puss Moth carrying air mail (postal mail of Imperial Airways) from Karachi to Bombay via Ahmedabad. The aircraft continued to Madras via Bellary piloted by Royal Air Force pilot Nevill Vintcent. Tata Airlines was also one of the world's first major airlines which began its operations without any support from the Government.
With the outbreak of World War II, the airline presence in Asia came to a relative halt, with many new flag carriers donating their aircraft for military aid and other uses. Following the end of the war in 1945, regular commercial service was restored in India and Tata Airlines became a public limited company on 29 July 1946, under the name Air India. After the independence of India, 49% of the airline was acquired by the Government of India. In return, the airline was granted status to operate international services from India as the designated flag carrier under the name Air India International.
On 31 July 1946, a chartered Philippine Airlines (PAL) DC-4 ferried 40 American servicemen to Oakland, California, from Nielson Airport in Makati with stops in Guam, Wake Island, Johnston Atoll and Honolulu, Hawaii, making PAL the first Asian airline to cross the Pacific Ocean. A regular service between Manila and San Francisco was started in December. It was during this year that the airline was designated as the flag carrier of Philippines.
During the era of decolonization, newly born Asian countries started to embrace air transport. Among the first Asian carriers during the era were Cathay Pacific of Hong Kong (founded in September 1946), Orient Airways (later Pakistan International Airlines; founded in October 1946), Air Ceylon (later SriLankan Airlines; founded in 1947), Malayan Airways Limited in 1947 (later Singapore and Malaysia Airlines), El Al in Israel in 1948, Garuda Indonesia in 1949, Japan Airlines in 1951, Thai Airways in 1960, and Korean National Airlines in 1947.
Singapore Airlines had won quality awards.
Latin America and Caribbean
Among the first countries to have regular airlines in Latin America and the Caribbean were Bolivia with Lloyd Aéreo Boliviano, Cuba with Cubana de Aviación, Colombia with Avianca (the first airline established in the Americas), Argentina with Aerolíneas Argentinas, Chile with LAN Chile (today LATAM Airlines), Brazil with Varig, the Dominican Republic with Dominicana de Aviación, Mexico with Mexicana de Aviación, Trinidad and Tobago with BWIA West Indies Airways (today Caribbean Airlines), Venezuela with Aeropostal, Puerto Rico with Puertorriquena; and TACA based in El Salvador and representing several airlines of Central America (Costa Rica, Guatemala, Honduras and Nicaragua). All the previous airlines started regular operations well before World War II. Puerto Rican commercial airlines such as Prinair, Oceanair, Fina Air and Vieques Air Link came much after the second world war, as did several others from other countries like Mexico's Interjet and Volaris, Venezuela's Aserca Airlines and others.
The air travel market has evolved rapidly over recent years in Latin America. Some industry estimates indicated in 2011 that over 2,000 new aircraft will begin service over the next five years in this region.
These airlines serve domestic flights within their countries, as well as connections within Latin America and also overseas flights to North America, Europe, Australia, and Asia.
Only five airline groups – Avianca, Panama's Copa, Mexico's Volaris, the Irelandia group and LATAM Airlines – have international subsidiaries and cover many destinations within the Americas as well as major hubs in other continents. LATAM with Chile as the central operation along with Peru, Ecuador, Colombia, Brazil and Argentina and formerly with some operations in the Dominican Republic. The Avianca group has its main operation in Colombia based around the hub in Bogotá, Colombia, as well as subsidiaries in various Latin American countries with hubs in San Salvador, El Salvador, as well as Lima, Peru, with a smaller operation in Ecuador. Copa has subsidiaries Copa Airlines Colombia and Wingo, both in Colombia, while Volaris of Mexico has Volaris Costa Rica and Volaris El Salvador, and the Irelandia group formerly included Viva Aerobus of Mexico; it now includes Viva Colombia and Viva Air Peru.
Regulation
National
Many countries have national airlines that the government owns and operates. Fully private airlines are subject to much government regulation for economic, political, and safety concerns. For instance, governments often intervene to halt airline labor actions to protect the free flow of people, communications, and goods between different regions without compromising safety.
The United States, Australia, and to a lesser extent Brazil, Mexico, India, the United Kingdom, and Japan have "deregulated" their airlines. In the past, these governments dictated airfares, route networks, and other operational requirements for each airline. Since deregulation, airlines have been largely free to negotiate their own operating arrangements with different airports, enter and exit routes easily, and to levy airfares and supply flights according to market demand. The entry barriers for new airlines are lower in a deregulated market, and so the U.S. has seen hundreds of airlines start up (sometimes for only a brief operating period). This has produced far greater competition than before deregulation in most markets. The added competition, together with pricing freedom, means that new entrants often take market share with highly reduced rates that, to a limited degree, full service airlines must match. This is a major constraint on profitability for established carriers, which tend to have a higher cost base.
As a result, profitability in a deregulated market is uneven for most airlines. These forces have caused some major airlines to go out of business, in addition to most of the poorly established new entrants.
In the United States, the airline industry is dominated by four large firms. Because of industry consolidation, after fuel prices dropped considerably in 2015, very little of the savings were passed on to consumers.
International
Groups such as the International Civil Aviation Organization establish worldwide standards for safety and other vital concerns. Most international air traffic is regulated by bilateral agreements between countries, which designate specific carriers to operate on specific routes. The model of such an agreement was the Bermuda Agreement between the US and UK following World War II, which designated airports to be used for transatlantic flights and gave each government the authority to nominate carriers to operate routes.
Bilateral agreements are based on the "freedoms of the air", a group of generalized traffic rights ranging from the freedom to overfly a country to the freedom to provide domestic flights within a country (a very rarely granted right known as cabotage). Most agreements permit airlines to fly from their home country to designated airports in the other country: some also extend the freedom to provide continuing service to a third country, or to another destination in the other country while carrying passengers from overseas.
In the 1990s, "open skies" agreements became more common. These agreements take many of these regulatory powers from state governments and open up international routes to further competition. Open skies agreements have met some criticism, particularly within the European Union, whose airlines would be at a comparative disadvantage with the United States' because of cabotage restrictions.
Economy
In 2017, 4.1 billion passengers have been carried by airlines in 41.9 million commercial scheduled flights (an average payload of passengers), for 7.75 trillion passenger kilometres (an average trip of km) over 45,091 airline routes served globally. In 2016, air transport generated $704.4 billion of revenue in 2016, employed 10.2 million workers, supported 65.5 million jobs and $2.7 trillion of economic activity: 3.6% of the global GDP.
In July 2016, the total weekly airline capacity was 181.1 billion Available Seat Kilometers (+6.9% compared to July 2015): 57.6bn in Asia-Pacific, 47.7bn in Europe, 46.2bn in North America, 12.2bn in Middle East, 12.0bn in Latin America and 5.4bn in Africa.
Costs
Airlines have substantial fixed and operating costs to establish and maintain air services: labor, fuel, airplanes, engines, spares and parts, IT services and networks, airport equipment, airport handling services, booking commissions, advertising, catering, training, aviation insurance and other costs. Thus all but a small percentage of the income from ticket sales is paid out to a wide variety of external providers or internal cost centers.
Moreover, the industry is structured so that airlines often act as tax collectors. Airline fuel is untaxed because of a series of treaties existing between countries. Ticket prices include a number of fees, taxes and surcharges beyond the control of airlines. Airlines are also responsible for enforcing government regulations. If airlines carry passengers without proper documentation on an international flight, they are responsible for returning them back to the original country.
Analysis of the 1992–1996 period shows that every player in the air transport chain is far more profitable than the airlines, who collect and pass through fees and revenues to them from ticket sales. While airlines as a whole earned 6% return on capital employed (2–3.5% less than the cost of capital), airports earned 10%, catering companies 10–13%, handling companies 11–14%, aircraft lessors 15%, aircraft manufacturers 16%, and global distribution companies more than 30%.
There has been continuing cost competition from low cost airlines. Many companies emulate Southwest Airlines in various respects. The lines between full-service and low-cost airlines have become blurred – e.g., with most "full service" airlines introducing baggage check fees despite Southwest not doing so.
Many airlines in the U.S. and elsewhere have experienced business difficulty. U.S. airlines that have declared Chapter 11 bankruptcy since 1990 have included American Airlines, Continental Airlines (twice), Delta Air Lines, Northwest Airlines, Pan Am, United Airlines and US Airways (twice).
Where an airline has established an engineering base at an airport, then there may be considerable economic advantages in using that same airport as a preferred focus (or "hub") for its scheduled flights.
Fuel hedging is a contractual tool used by transportation companies like airlines to reduce their exposure to volatile and potentially rising fuel costs. Several low-cost carriers such as Southwest Airlines adopt this practice. Southwest is credited with maintaining strong business profits between 1999 and the early 2000s due to its fuel hedging policy. Many other airlines are replicating Southwest's hedging policy to control their fuel costs.
Operating costs for US major airlines are primarily aircraft operating expense including jet fuel, aircraft maintenance, depreciation and aircrew for 44%, servicing expense for 29% (traffic 11%, passenger 11% and aircraft 7%), 14% for reservations and sales and 13% for overheads (administration 6% and advertising 2%). An average US major Boeing 757-200 flies stages 11.3 block hours per day and costs $2,550 per block hour: $923 of ownership, $590 of maintenance, $548 of fuel and $489 of crew; or $13.34 per 186 seats per block hour. For a Boeing 737-500, a low-cost carrier like Southwest have lower operating costs at $1,526 than a full service one like United at $2,974, and higher productivity with 399,746 ASM per day against 264,284, resulting in a unit cost of $cts/ASM against $cts/ASM.
McKinsey observes that "newer technology, larger aircraft, and increasingly efficient operations continually drive down the cost of running an airline", from nearly 40 US cents per ASK at the beginning of the jet age, to just above 10 cents since 2000. Those improvements were passed onto the customer due to high competition: fares have been falling throughout the history of airlines.
Revenue
Airlines assign prices to their services in an attempt to maximize profitability. The pricing of airline tickets has become increasingly complicated over the years and is now largely determined by computerized yield management systems.
Because of the complications in scheduling flights and maintaining profitability, airlines have many loopholes that can be used by the knowledgeable traveler. Many of these airfare secrets are becoming more and more known to the general public, so airlines are forced to make constant adjustments.
Most airlines use differentiated pricing, a form of price discrimination, to sell air services at varying prices simultaneously to different segments. Factors influencing the price include the days remaining until departure, the booked load factor, the forecast of total demand by price point, competitive pricing in force, and variations by day of week of departure and by time of day. Carriers often accomplish this by dividing each cabin of the aircraft (first, business and economy) into a number of travel classes for pricing purposes.
A complicating factor is that of origin-destination control ("O&D control"). Someone purchasing a ticket from Melbourne to Sydney (as an example) for A$200 is competing with someone else who wants to fly Melbourne to Los Angeles through Sydney on the same flight, and who is willing to pay A$1400. Should the airline prefer the $1400 passenger, or the $200 passenger plus a possible Sydney-Los Angeles passenger willing to pay $1300? Airlines have to make hundreds of thousands of similar pricing decisions daily.
The advent of advanced computerized reservations systems in the late 1970s, most notably Sabre, allowed airlines to easily perform cost-benefit analyses on different pricing structures, leading to almost perfect price discrimination in some cases (that is, filling each seat on an aircraft at the highest price that can be charged without driving the consumer elsewhere).
The intense nature of airfare pricing has led to the term "fare war" to describe efforts by airlines to undercut other airlines on competitive routes. Through computers, new airfares can be published quickly and efficiently to the airlines' sales channels. For this purpose the airlines use the Airline Tariff Publishing Company (ATPCO), who distribute latest fares for more than 500 airlines to Computer Reservation Systems across the world.
The extent of these pricing phenomena is strongest in "legacy" carriers. In contrast, low fare carriers usually offer pre-announced and simplified price structure, and sometimes quote prices for each leg of a trip separately.
Computers also allow airlines to predict, with some accuracy, how many passengers will actually fly after making a reservation to fly. This allows airlines to overbook their flights enough to fill the aircraft while accounting for "no-shows", but not enough (in most cases) to force paying passengers off the aircraft for lack of seats, stimulative pricing for low demand flights coupled with overbooking on high demand flights can help reduce this figure. This is especially crucial during tough economic times as airlines undertake massive cuts to ticket prices to retain demand.
Over January/February 2018, the cheapest airline surveyed by price comparator rome2rio was now-defunct Tigerair Australia with $0.06/km followed by AirAsia X with $0.07/km, while the most expensive was Charterlines, Inc. with $1.26/km followed by Buddha Air with $1.18/km.
For the IATA, the global airline industry revenue was $754 billion in 2017 for a $38.4 billion collective profit, and should rise by 10.7% to $834 billion in 2018 for a $33.8 billion profit forecast, down by 12% due to rising jet fuel and labor costs.
The demand for air transport will be less elastic for longer flights than for shorter flights, and more elastic for leisure travel than for business travel.
Airlines often have a strong seasonality, with traffic low in winter and peaking in summer. In Europe the most extreme market are the Greek islands with July/August having more than ten times the winter traffic, as Jet2 is the most seasonal among low-cost carriers with July having seven times the January traffic, whereas legacy carriers are much less with only 85/115% variability.
Assets and financing
Airline financing is quite complex, since airlines are highly leveraged operations. Not only must they purchase (or lease) new airliner bodies and engines regularly, they must make major long-term fleet decisions with the goal of meeting the demands of their markets while producing a fleet that is relatively economical to operate and maintain; comparably Southwest Airlines and their reliance on a single airplane type (the Boeing 737 and derivatives), with the now defunct Eastern Air Lines which operated 17 different aircraft types, each with varying pilot, engine, maintenance, and support needs.
A second financial issue is that of hedging oil and fuel purchases, which are usually second only to labor in its relative cost to the company. However, with the current high fuel prices it has become the largest cost to an airline. Legacy airlines, compared with new entrants, have been hit harder by rising fuel prices partly due to the running of older, less fuel efficient aircraft. While hedging instruments can be expensive, they can easily pay for themselves many times over in periods of increasing fuel costs, such as in the 2000–2005 period.
In view of the congestion apparent at many international airports, the ownership of slots at certain airports (the right to take-off or land an aircraft at a particular time of day or night) has become a significant tradable asset for many airlines. Clearly take-off slots at popular times of the day can be critical in attracting the more profitable business traveler to a given airline's flight and in establishing a competitive advantage against a competing airline.
If a particular city has two or more airports, market forces will tend to attract the less profitable routes, or those on which competition is weakest, to the less congested airport, where slots are likely to be more available and therefore cheaper. For example, Reagan National Airport attracts profitable routes due partly to its congestion, leaving less-profitable routes to Baltimore-Washington International Airport and Dulles International Airport.
Other factors, such as surface transport facilities and onward connections, will also affect the relative appeal of different airports and some long-distance flights may need to operate from the one with the longest runway. For example, LaGuardia Airport is the preferred airport for most of Manhattan due to its proximity, while long-distance routes must use John F. Kennedy International Airport's longer runways.
Airline Alliances
See Main Article: https://en.wikipedia.org/wiki/Airline_alliance
The first airline alliance was formed in the 1930s when Pan Am and its subsidiary, Panair do Brasil, agreed to codeshare routes in Latin America when they overlapped with each other.
Codesharing involves one airline selling tickets for another airline's flights under its own airline code. An early example of this was Japan Airlines' (JAL) codesharing partnership with Aeroflot in the 1960s on Tokyo–Moscow flights; Aeroflot operated the flights using Aeroflot aircraft, but JAL sold tickets for the flights as if they were JAL flights. Another example was the Austrian–Sabena partnership on the Vienna–Brussels–New York/JFK route during the late '60s, using a Sabena Boeing 707 with Austrian livery.
Since airline reservation requests are often made by city-pair (such as "show me flights from Chicago to Düsseldorf"), an airline that can codeshare with another airline for a variety of routes might be able to be listed as indeed offering a Chicago–Düsseldorf flight. The passenger is advised however, that airline no. 1 operates the flight from say Chicago to Amsterdam (for example), and airline no. 2 operates the continuing flight (on a different airplane, sometimes from another terminal) to Düsseldorf. Thus the primary rationale for code sharing is to expand one's service offerings in city-pair terms to increase sales.
A more recent development is the airline alliance, which became prevalent in the late 1990s. These alliances can act as virtual mergers to get around government restrictions. The largest are Star Alliance, SkyTeam and Oneworld, and these accounted for over 60% of global commercial air traffic . Alliances of airlines coordinate their passenger service programs (such as lounges and frequent-flyer programs), offer special interline tickets and often engage in extensive codesharing (sometimes systemwide). These are increasingly integrated business combinations—sometimes including cross-equity arrangements—in which products, service standards, schedules, and airport facilities are standardized and combined for higher efficiency. One of the first airlines to start an alliance with another airline was KLM, who partnered with Northwest Airlines. Both airlines later entered the SkyTeam alliance after the fusion of KLM and Air France in 2004.
Often the companies combine IT operations, or purchase fuel and aircraft as a bloc to achieve higher bargaining power. However, the alliances have been most successful at purchasing invisible supplies and services, such as fuel. Airlines usually prefer to purchase items visible to their passengers to differentiate themselves from local competitors. If an airline's main domestic competitor flies Boeing airliners, then the airline may prefer to use Airbus aircraft regardless of what the rest of the alliance chooses.
Largest airlines
The world's largest airlines can be defined in several ways. , American Airlines Group was the largest by fleet size, passengers carried and revenue passenger mile. Delta Air Lines was the largest by revenue, assets value and market capitalization. Lufthansa Group was the largest by number of employees, FedEx Express by freight tonne-kilometres, Turkish Airlines by number of countries served and UPS Airlines by number of destinations served (though United Airlines was the largest passenger airline by number of destinations served).
State support
Historically, air travel has survived largely through state support, whether in the form of equity or subsidies. The airline industry as a whole has made a cumulative loss during its 100-year history.
One argument is that positive externalities, such as higher growth due to global mobility, outweigh the microeconomic losses and justify continuing government intervention. A historically high level of government intervention in the airline industry can be seen as part of a wider political consensus on strategic forms of transport, such as highways and railways, both of which receive public funding in most parts of the world. Although many countries continue to operate state-owned or parastatal airlines, many large airlines today are privately owned and are therefore governed by microeconomic principles to maximize shareholder profit.
In December 1991, the collapse of Pan Am, an airline often credited for shaping the international airline industry, highlighted the financial complexities faced by major airline companies.
Following the 1978 deregulation, U.S. carriers did not manage to make an aggregate profit for 12 years in 31, including four years where combined losses amounted to $10 billion, but rebounded with eight consecutive years of profits since 2010, including its four with over $10 billion profits. They drop loss-making routes, avoid fare wars and market share battles, limit capacity growth, add hub feed with regional jets to increase their profitability. They change schedules to create more connections, buy used aircraft, reduce international frequencies and leverage partnerships to optimize capacities and benefit from overseas connectivity.
Environment
Aircraft engines emit noise pollution, gases and particulate emissions, and contribute to global dimming.
Growth of the industry in recent years raised a number of ecological questions.
Domestic air transport grew in China at 15.5 percent annually from 2001 to 2006. The rate of air travel globally increased at 3.7 percent per year over the same time. In the EU greenhouse gas emissions from aviation increased by 87% between 1990 and 2006. However it must be compared with the flights increase, only in UK, between 1990 and 2006 terminal passengers increased from 100 000 thousands to 250 000 thousands., according to AEA reports every year, 750 million passengers travel by European airlines, which also share 40% of merchandise value in and out of Europe. Without even pressure from "green activists", targeting lower ticket prices, generally, airlines do what is possible to cut the fuel consumption (and gas emissions connected therewith). Further, according to some reports, it can be concluded that the last piston-powered aircraft were as fuel-efficient as the average jet in 2005.
Despite continuing efficiency improvements from the major aircraft manufacturers, the expanding demand for global air travel has resulted in growing greenhouse gas (GHG) emissions. Currently, the aviation sector, including US domestic and global international travel, make approximately 1.6 percent of global anthropogenic GHG emissions per annum. North America accounts for nearly 40 percent of the world's GHG emissions from aviation fuel use.
emissions from the jet fuel burned per passenger on an average airline flight is about 353 kilograms (776 pounds). Loss of natural habitat potential associated with the jet fuel burned per passenger on a airline flight is estimated to be 250 square meters (2700 square feet).
In the context of climate change and peak oil, there is a debate about possible taxation of air travel and the inclusion of aviation in an emissions trading scheme, with a view to ensuring that the total external costs of aviation are taken into account.
The airline industry is responsible for about 11 percent of greenhouse gases emitted by the U.S. transportation sector. Boeing estimates that biofuels could reduce flight-related greenhouse-gas emissions by 60 to 80 percent. The solution would be blending algae fuels with existing jet fuel:
Boeing and Air New Zealand are collaborating with leading Brazilian biofuel maker Tecbio, New Zealand's Aquaflow Bionomic and other jet biofuel developers around the world.
Virgin Atlantic and Virgin Green Fund are looking into the technology as part of a biofuel initiative.
KLM has made the first commercial flight with biofuel in 2009.
There are projects on electric aircraft, and some of which are fully operational as of 2013.
Call signs
Each operator of a scheduled or charter flight uses an airline call sign when communicating with airports or air traffic control. Most of these call-signs are derived from the airline's trade name, but for reasons of history, marketing, or the need to reduce ambiguity in spoken English (so that pilots do not mistakenly make navigational decisions based on instructions issued to a different aircraft), some airlines and air forces use call-signs less obviously connected with their trading name. For example, British Airways uses a Speedbird call-sign, named after the logo of one of its predecessors, BOAC, while SkyEurope used Relax.
Personnel
The various types of airline personnel include flight crew, responsible for the operation of the aircraft. Flight crew members include: pilots (captain and first officer: some older aircraft also required a flight engineer and/or a navigator); flight attendants (led by a purser on larger aircraft); In-flight security personnel on some airlines (most notably El Al)
Groundcrew, responsible for operations at airports, include Aerospace and avionics engineers responsible for certifying the aircraft for flight and management of aircraft maintenance; Aerospace engineers, responsible for airframe, powerplant and electrical systems maintenance; Avionics engineers responsible for avionics and instruments maintenance; Airframe and powerplant technicians; Electric System technicians, responsible for maintenance of electrical systems; Flight dispatchers; Baggage handlers; Ramp Agents; Remote centralized weight and balancing; Gate agents; Ticket agents; Passenger service agents (such as airline lounge employees); Reservation agents, usually (but not always) at facilities outside the airport; Crew schedulers.
Airlines follow a corporate structure where each broad area of operations (such as maintenance, flight operations (including flight safety), and passenger service) is supervised by a vice president. Larger airlines often appoint vice presidents to oversee each of the airline's hubs as well. Airlines employ lawyers to deal with regulatory procedures and other administrative tasks.
Trends
The pattern of ownership has been privatized since the mid-1980s, that is, the ownership has gradually changed from governments to private and individual sectors or organizations. This occurs as regulators permit greater freedom and non-government ownership, in steps that are usually decades apart. This pattern is not seen for all airlines in all regions. Many major airlines operating between the 1940s and 1980s were government-owned or government-established. However, most airlines from the earliest days of air travel in the 1920s and 1930s were personal businesses.
Growth rates are not consistent in all regions, but countries with a deregulated airline industry have more competition and greater pricing freedom. This results in lower fares and sometimes dramatic spurts in traffic growth. The U.S., Australia, Canada, Japan, Brazil, India and other markets exhibit this trend. The industry has been observed to be cyclical in its financial performance. Four or five years of poor earnings precede five or six years of improvement. But profitability even in the good years is generally low, in the range of 2–3% net profit after interest and tax. In times of profit, airlines lease new generations of airplanes and upgrade services in response to higher demand. Since 1980, the industry has not earned back the cost of capital during the best of times. Conversely, in bad times losses can be dramatically worse. Warren Buffett in 1999 said "the money that had been made since the dawn of aviation by all of this country's airline companies was zero. Absolutely zero."
As in many mature industries, consolidation is a trend. Airline groupings may consist of limited bilateral partnerships, long-term, multi-faceted alliances between carriers, equity arrangements, mergers, or takeovers. Since governments often restrict ownership and merger between companies in different countries, most consolidation takes place within a country. In the U.S., over 200 airlines have merged, been taken over, or gone out of business since the Airline Deregulation Act in 1978. Many international airline managers are lobbying their governments to permit greater consolidation to achieve higher economy and efficiency.
Types
There are several types of passenger airlines, mainly
Mainline airlines operate flights by the airline's main operating unit, rather than by regional affiliates or subsidiaries
Regional airlines, non-"mainline" airlines that operate regional aircraft; regionals typically operate over shorter non-intercontinental distances, often as feeder services for legacy mainline networks
Low-cost carriers, giving a "basic", "no-frills" and perceived inexpensive service
Business class airline, an airline aimed at the business traveler, featuring all business class seating and amenities
Charter airlines, operating outside regular schedule intervals
Flag carriers, the historically nationally owned airlines that were considered representative of the country overseas.
Legacy carriers, US carriers that predate the Airline Deregulation Act of 1978
Major airlines of the United States, airlines with at least $1 billion in revenues
See also
Related lists
References
Bibliography
"A history of the world's airlines", R.E.G. Davies, Oxford U.P, 1964
"The airline encyclopedia, 1909–2000.” Myron J. Smith, Scarecrow Press, 2002
"Flying Off Course: The Economics of International Airlines," 3rd edition. Rigas Doganis, Routledge, New York, 2002.
"The Airline Business in the 21st Century." Rigas Doganis, Routledge, New York, 2001.
External links
Economics of transport and utility industries
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The Australian Democrats is a centrist political party in Australia. Founded in 1977 from a merger of the Australia Party and the New Liberal Movement, both of which were descended from Liberal Party dissenting splinter groups, it was Australia's largest minor party from its formation in 1977 through to 2004 and frequently held the balance of power in the Senate during that time.
The Democrats' inaugural leader was Don Chipp, a former Liberal cabinet minister, who famously promised to "keep the bastards honest". At the 1977 federal election, the Democrats polled 11.1 percent of the Senate vote and secured two seats. The party would retain a presence in the Senate for the next 30 years, at its peak (between 1999 and 2002) holding nine out of 76 seats, though never securing a seat in the lower house. Due to the party's numbers in the Senate, both Liberal and Labor governments required the assistance of the Democrats to pass contentious legislation. Ideologically, the Democrats were usually regarded as centrists, occupying the political middle ground between the Liberal Party and the Labor Party.
Over three decades, the Australian Democrats achieved representation in the legislatures of the ACT, South Australia, New South Wales, Western Australia and Tasmania as well as Commonwealth Senate seats in all six states. However, at the 2004 and 2007 federal elections, all seven of its Senate seats were lost as the party's share of the vote collapsed. This was largely attributed to party leader Meg Lees' decision to pass the Howard government's goods and services tax, which led to several years of popular recriminations and party infighting that destroyed the Democrats' reputation as competent overseers of legislation. The last remaining Democrat State parliamentarian, David Winderlich, left the party and was defeated as an independent in 2010.
The party was formally deregistered in 2016 for not having the required 500 members. In 2018 the Democrats merged with CountryMinded, a small, also unregistered agrarian political party, and later that year the party's constitution was radically rewritten to establish "top-down" governance and de-emphasize the principle of participatory democracy. On 7 April 2019 the party regained registration with the Australian Electoral Commission.
As of 2022, the national president of the party is former senator and parliamentary leader Lyn Allison.
History
1977–1986: Foundation and Don Chipp's leadership
The Australian Democrats were formed in May 1977 from an amalgamation of the Australia Party and the New Liberal Movement. The two groups found a common basis for a new political movement in the widespread discontent with the two major parties. Former Liberal minister Don Chipp agreed to lead the new party.
The party's broad aim was to achieve a balance of power in one or more parliaments and to exercise it responsibly in line with policies determined by membership.
The first Australian Democrat parliamentarian was Robin Millhouse, the sole New LM member of the South Australian House of Assembly, who joined the Democrats in 1977. Millhouse held his seat (Mitcham) at the 1977 and 1979 state elections. In 1982, Millhouse resigned to take up a senior judicial appointment, and Heather Southcott won the by-election for the Democrats, but lost the seat to the Liberals later that year at the 1982 state election. Mitcham was the only single-member lower-house seat anywhere in Australia to be won by the Democrats.
The first Democrat federal parliamentarian was Senator Janine Haines, who in 1977 was nominated by the South Australian Parliament to fill the casual vacancy caused by the resignation of Liberal Senator Steele Hall. Hall had been elected as a Liberal Movement senator, before rejoining the Liberal Party in 1976, and South Australian premier Don Dunstan nominated Haines on the basis that the Democrats was the successor party to the Liberal Movement.
At the 1977 election, the Australian Democrats secured two seats in the Senate with the election of Colin Mason (NSW) and Don Chipp (VIC), though Haines lost her seat in South Australia. At the 1980 election, this increased to five seats with the election of Michael Macklin (QLD) and John Siddons (VIC) and the return of Janine Haines (SA). Thereafter they frequently held enough seats to give them the balance of power in the upper chamber.
At a Melbourne media conference on 19 September 1980, in the midst of the 1980 election campaign, Chipp described his party's aim as to "keep the bastards honest"—the "bastards" being the major parties and/or politicians in general. This became a long-lived slogan for the Democrats.
1986–1990: Janine Haines' leadership
Don Chipp resigned from the Senate on 18 August 1986, being succeeded as party leader by Janine Haines and replaced as a senator for Victoria by Janet Powell.
At the 1987 election following a double dissolution, the reduced quota of 7.7% necessary to win a seat assisted the election of three new senators. 6-year terms were won by Paul McLean (NSW) and incumbents Janine Haines (South Australia) and Janet Powell (Victoria). In South Australia, a second senator, John Coulter, was elected for a 3-year term, as were incumbent Michael Macklin (Queensland) and Jean Jenkins (Western Australia).
1990 saw the voluntary departure from the Senate of Janine Haines (a step with which not all Democrats agreed) and the failure of her strategic goal of winning the House of Representatives seat of Kingston. The casual vacancy was filled by Meg Lees several months before the election of Cheryl Kernot in place of retired deputy leader Michael Macklin. The ambitious Kernot immediately contested the party's national parliamentary deputy leadership. Being unemployed at the time, she requested and obtained party funds to pay for her travel to address members in all seven divisions. In the event, Victorian Janet Powell was elected as leader and John Coulter was chosen as deputy leader.
1990–1993: Janet Powell and John Coulter
Despite the loss of Haines and the WA Senate seat (through an inconsistent national preference agreement with the ALP), the 1990 federal election heralded something of a rebirth for the party, with a dramatic rise in primary vote. This was at the same time as an economic recession was building, and events such as the Gulf War in Kuwait were beginning to shepherd issues of globalisation and transnational trade on to national government agendas.
The Australian Democrats had a long-standing policy to oppose war and so opposed Australia's support of, and participation in, the Gulf War. Whereas the House of Representatives was able to avoid any debate about the war and Australia's participation, the Democrats took full advantage of the opportunity to move for a debate in the Senate.
Because of the party's pacifist-based opposition to the Gulf War, there was mass-media antipathy and negative publicity which some construed as poor media performance by Janet Powell, the party's standing having stalled at about 10%. Before 12 months of her leadership had passed, the South Australian and Queensland divisions were circulating the party's first-ever petition to criticise and oust the parliamentary leader. The explicit grounds related to Powell's alleged responsibility for poor AD ratings in Gallup and other media surveys of potential voting support. When this charge was deemed insufficient, interested party officers and senators reinforced it with negative media 'leaks' concerning her openly established relationship with Sid Spindler and exposure of administrative failings resulting in excessive overtime to a staff member. With National Executive blessing, the party room pre-empted the ballot by replacing the leader with deputy John Coulter. In the process, severe internal divisions were generated. One major collateral casualty was the party whip Paul McLean who resigned and quit the Senate in disgust at what he perceived as in-fighting between close friends. The casual NSW vacancy created by his resignation was filled by Karin Sowada. Powell duly left the party, along with many leading figures of the Victorian branch of the party, and unsuccessfully stood as an Independent candidate when her term expired. In later years, she campaigned for the Australian Greens.
1993–1997: Cheryl Kernot
The party's parliamentary influence was weakened in 1996 after the Howard government was elected, and a Labor senator, Mal Colston, resigned from the Labor Party. Since the Democrats now shared the parliamentary balance of power with two Independent senators, the Coalition government was able on occasion to pass legislation by negotiating with Colston and Brian Harradine.
In October 1997, party leader Cheryl Kernot resigned, announcing that she would be joining the Australian Labor Party. (Five years later it was revealed that she had been in a sexual relationship with Labor deputy leader Gareth Evans). Kernot resigned from the Senate and was replaced by Andrew Bartlett, while deputy Meg Lees became the new party leader.
1997–2004: Meg Lees, Natasha Stott Despoja and Andrew Bartlett
Under Lees' leadership, in the 1998 federal election, the Democrats' candidate John Schumann came within 2 per cent of taking Liberal Foreign Minister Alexander Downer's seat of Mayo in the Adelaide Hills under Australia's preferential voting system. The party's representation increased to nine senators, and they regained the balance of power, holding it until the Coalition gained a Senate majority at the 2004 election.
Internal conflict and leadership tensions from 2000 to 2002, blamed on the party's support for the Government's Goods and Services Tax, was damaging to the Democrats. Opposed by the Labor Party, the Australian Greens and independent Senator Harradine, the tax required Democrat support to pass. In an election fought on tax, the Democrats publicly stated that they liked neither the Liberal's nor the Labor's tax packages, but pledged to work with whichever party was elected to make theirs better. They campaigned with the slogan "No Goods and Services Tax on Food".
In 1999, after negotiations with Prime Minister Howard, Meg Lees, Andrew Murray and the party room senators agreed to support the A New Tax System legislation with exemptions from goods and services tax for most food and some medicines, as well as many environmental and social concessions. Five Australian Democrats senators voted in favour. However, two dissident senators on the party's left, Natasha Stott Despoja and Andrew Bartlett, voted against the GST.
The decision to pass the GST was opposed by the majority of the Democrats' members, and in 2001 a leadership spill saw Lees replaced as leader by Stott Despoja after a very public and bitter leadership battle. Despite criticism of Stott Despoja's youth and lack of experience, the 2001 election saw the Democrats receive similar media coverage to the previous election. Despite the internal divisions, the Australian Democrats' election result in 2001 was quite good. However, it was not enough to prevent the loss of Vicki Bourne's Senate seat in NSW.
The 2002 South Australian election was the last time an Australian Democrat would be elected to an Australian parliament. Sandra Kanck was re-elected to a second eight-year term from an upper house primary vote of 7.3 percent.
Resulting tensions between Stott Despoja and Lees led to Meg Lees leaving the party in 2002, becoming an independent and forming the Australian Progressive Alliance. Stott Despoja stood down from the leadership following a loss of confidence by her party room colleagues. It led to a protracted leadership battle in 2002, which eventually led to the election of Senator Andrew Bartlett as leader. While the public fighting stopped, the public support for the party remained at record lows.
On 6 December 2003, Bartlett stepped aside temporarily as leader of the party, after an incident in which he swore at Liberal Senator Jeannie Ferris on the floor of Parliament while intoxicated. The party issued a statement stating that deputy leader Lyn Allison would serve as the acting leader of the party. Bartlett apologised to the Democrats, Jeannie Ferris and the Australian public for his behaviour and assured all concerned that it would never happen again. On 29 January 2004, after seeking medical treatment, Bartlett returned to the Australian Democrats leadership, vowing to abstain from alcohol.
Decline
Following internal conflict over the goods and services tax and resultant leadership changes, a dramatic decline occurred in the Democrats' membership and voting support in all states. Simultaneously, an increase was recorded in support for the Australian Greens who, by 2004, were supplanting the Democrats as a substantial third party. The trend was noted that year by political scientists Dean Jaensch et al.
Support for the Australian Democrats fell significantly at the 2004 federal election in which they achieved only 2.4 per cent of the national vote. Nowhere was this more noticeable than in their key support base of suburban Adelaide in South Australia, where they received between 1 and 4 percent of the lower house vote; by comparison, they tallied between 7 and 31 per cent of the vote in 2001. No Democrat senators were elected, though four kept their seats due to being elected in 2001, thus their representation fell from eight senators to four. Three incumbent senators were defeated: Aden Ridgeway (NSW), Brian Greig (WA) and John Cherry (Qld). Following the loss, the customary post-election leadership ballot installed Allison as leader, with Bartlett as her deputy. From 1 July 2005 the Australian Democrats lost official parliamentary party status, being represented by only four senators while the governing Liberal-National Coalition gained a majority and potential control of the Senate—the first time this advantage had been enjoyed by any government since 1980.
On 28 August 2006, the founder of the Australian Democrats, Don Chipp, died. Former prime minister Bob Hawke said: "... there is a coincidental timing almost between the passing of Don Chipp and what I think is the death throes of the Democrats." In November 2006, the Australian Democrats fared very poorly in the Victorian state election, receiving a Legislative Council vote tally of only 0.83%, less than half of the party's result in 2002 (1.79 per cent).
The Democrats again had no success at the 2007 federal election, and lost all four of their remaining Senate seats. Two incumbent senators, Lyn Allison (Victoria) and Andrew Bartlett (Queensland), were defeated, their seats both reverting to major parties. Their two remaining colleagues, Andrew Murray (WA) and Natasha Stott Despoja (SA), retired. All four senators' terms expired on 30 June 2008—leaving the Australian Democrats with no federal representation for the first time since its founding in 1977. Later, in 2009, Jaensch suggested it was possible the Democrats could make a political comeback at the 2010 South Australian election, but this did not occur.
State/territory losses
The Tasmanian division of the party was deregistered for having insufficient members in January 2006.
At the 2006 South Australian election, the Australian Democrats were reduced to 1.7 per cent of the Legislative Council (upper house) vote. Their sole councillor up for re-election, Kate Reynolds, was defeated. In July 2006, Richard Pascoe, national and South Australian party president, resigned, citing slumping opinion polls and the poor result in the 2006 South Australian election as well as South Australian parliamentary leader Sandra Kanck's comments regarding the drug MDMA which he saw as damaging to the party.
In the New South Wales state election of March 2007, the Australian Democrats lost their last remaining NSW Upper House representative, Arthur Chesterfield-Evans. The party fared poorly, gaining only 1.8 per cent of the Legislative Council vote.
On 13 September 2007, the ACT Democrats (Australian Capital Territory Division of the party) was deregistered by the ACT Electoral Commissioner, being unable to demonstrate a minimum membership of 100 electors.
These losses left Sandra Kanck, in South Australia, as the party's only parliamentarian. She retired in 2009 and was replaced by David Winderlich, making him (as of 2020) the last Democrat to sit in any Australian parliament. The Democrats lost all representation when Winderlich resigned from the party in October 2009. He sat the remainder of his term as an independent, and lost his seat at the 2010 South Australian election.
Post-parliamentary decline
Following the loss of all Democrats MP's in both federal and state parliaments, the party continued to be riven by factionalism. In 2009 a dispute arose between two factions, the "Christian Centrists" loyal to former leader Meg Lees, and a faction comprising the party's more progressive members. The dispute arose when the Christian Centrist controlled national executive removed a website for party members from the internet, stating that its operation was a violation of the party constitution. In response, the progressive faction accused the national executive of being undemocratic and of acting contrary to the party constitution themselves. By 2012, this dispute had been superseded by another between members loyal to former Senator Brian Greig and members who were supporters of former South Australian MP Sandra Kanck. Brian Greig was elected the party's president, but resigned after less than a month due to frustration with the party's factionalism.
Deregistration
On 16 April 2015, the Australian Electoral Commission deregistered the Australian Democrats as a political party for failure to demonstrate the requisite 500 members to maintain registration. However, the party did run candidates and remain registered for a period of time thereafter in the New South Wales Democrats and Queensland Democrat divisions.
Renewed registration (2019–present)
In November 2018 there was a report that CountryMinded, a de-registered microparty, would merge with the Australian Democrats in a new bid to seek membership growth, electoral re-registration and financial support. In February 2019, application for registration was submitted to the AEC and was upheld on 7 April 2019, despite an objection from the Australian Democrats (Queensland Division).
The party unsuccessfully contested the lower-house seat of Adelaide and a total of six Senate seats (two in each state of New South Wales, Victoria and South Australia) at the 2019 federal election. At the 2022 federal election one lower-house seat (Eden-Monaro) and three Senate seats were contested without success, polling fewer than 0.7% of first-preference votes.
Overview
The party was founded on principles of honesty, tolerance, compassion and direct democracy through postal ballots of all members, so that "there should be no hierarchical structure ... by which a carefully engineered elite could make decisions for the members." From the outset, members' participation was fiercely protected in national and divisional constitutions prescribing internal elections, regular meeting protocols, annual conferences—and monthly journals for open discussion and balloting. Dispute resolution procedures were established, with final recourse to a party ombudsman and membership ballot.
Policies determined by the unique participatory method promoted environmental awareness and sustainability, opposition to the primacy of economic rationalism (Australian neoliberalism), preventative approaches to human health and welfare, animal rights, rejection of nuclear technology and weapons.
The Australian Democrats were the first representatives of green politics at the federal level in Australia. They "were in the vanguard of environmentalism in Australia. From the early 1980s they were unequivocally opposed to the building of the Franklin Dam in Tasmania and they opposed the mining and export of uranium and the development of nuclear power plants in Australia." In particular, leader Don Chipp, and Tasmanian state Democrat Norm Sanders, played crucial legislative roles in protecting the Franklin Dam.
The party's centrist role made it subject to criticism from both the right and left of the political spectrum. In particular, Chipp's former conservative affiliation was frequently recalled by opponents on the left. This problem was to torment later leaders and strategists who, by 1991, were proclaiming "the electoral objective" as a higher priority than the rigorous participatory democracy espoused by the party's founders.
Because of their numbers on the cross benches during the Hawke and Keating governments, the Democrats were sometimes regarded as exercising a balance of power—which attracted electoral support from a significant sector of the electorate which had been alienated by both Labor and Coalition policies and practices.
Electoral results
Federal parliamentary leaders
Notes
Parliamentarians
Senators
State and territory members
Australian Capital Territory
1977–1986: Ivor Vivian, member of the House of Assembly
1977–1986: Gordon Walsh, member of the House of Assembly
2001–2004: Roslyn Dundas, member of the Legislative Assembly
New South Wales
1981–1998: Elisabeth Kirkby, member of the Legislative Council
1988–1996: Richard Jones, member of the Legislative Council
1998–2007: Arthur Chesterfield-Evans, member of the Legislative Council
South Australia
1977–1982: Robin Millhouse, member of the House of Assembly
1979–1985: Lance Milne, member of the Legislative Council
1982: Heather Southcott, member of the House of Assembly
1982–1993, 1997–2006: Ian Gilfillan, member of the Legislative Council
1985–2003: Mike Elliott, member of the Legislative Council
1993–2009: Sandra Kanck, member of the Legislative Council
2003–2006: Kate Reynolds, member of the Legislative Council
2009: David Winderlich, member of the Legislative Council
Tasmania
1980–1982: Norm Sanders, member of the House of Assembly
Western Australia
1997–2001: Helen Hodgson, member of the Legislative Council
1997–2001: Norm Kelly, member of the Legislative Council
See also
Social liberalism
Liberalism worldwide
List of liberal parties
Liberal democracy
Timeline of (small-l) liberal parties in Australia
Notes
References
Further reading
Bennett D, Discord in the Democrats PWHCE article, Melbourne 2002
Beyond Our Expectations—Proceedings of the Australian Democrats First National Conference, Canberra, 16–17 February 1980. [Papers by: Don Chipp, Sir Mark Oliphant, Prof. Stephen Boyden, Bob Whan, Julian Cribb, Colin Mason, John Siddons, A. McDonald]
Chipp D (ed. Larkin J) Chipp, Methuen Haynes, North Ryde NSW, 1987
Gauja A Evaluating the Success and Contribution of a Minor Party: the Case of the Australian Democrats Parliamentary Affairs (2010) 63(3): 486–503, 21 January 2010, at Oxford Journals. (Paid subscription, Athens or participating library membership required)
Paul A and Miller L The Third Team July 2007 A historical essay in 30 Years—Australian Democrats Melbourne 2007. (A 72-page anthology of historical and biographical monographs about the state and federal parliamentary experiences of the Democrats, for the party's 30th anniversary.)
Sugita H Challenging 'twopartism'—the contribution of the Australian Democrats to the Australian party system, PhD thesis, Flinders University of South Australia, July 1995
Warhurst J (ed.) Keeping the bastards honest Allen & Unwin Sydney 1997
Warhurst J, Don Chipp Was The Right Man In The Right Place At The Right Time Canberra Times 7 September 2006
1977 establishments in Australia
2015 disestablishments in Australia
Centrist parties in Australia
Organisations based in Adelaide
Political parties disestablished in 2015
Political parties established in 1977
Political parties established in 2019
Social liberal parties
Republican parties in Australia
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The Australian Capital Territory (ACT), known as the Federal Capital Territory (FCT) until 1938, is a federal territory of Australia. Canberra, the capital city of Australia, is located in this territory. It is located in southeastern Australian mainland as an enclave completely within the state of New South Wales. Founded after Federation as the seat of government for the new nation, the territory hosts the headquarters of all important institutions of the Australian Government.
On 1 January 1901, federation of the colonies of Australia was achieved. Section 125 of the new Australian Constitution provided that land, situated in New South Wales and at least from Sydney, would be ceded to the new federal government. Following discussion and exploration of various areas within New South Wales, the Seat of Government Act 1908 was passed in 1908 which specified a capital in the Yass-Canberra region. The territory was transferred to the federal government by New South Wales in 1911, two years prior to the capital city being founded and formally named as Canberra in 1913.
While the overwhelming majority of the population reside in the city of Canberra in the ACT's north-east, the territory also includes some towns such as Williamsdale, Oaks Estate, Uriarra, Tharwa and Hall. The ACT also includes the Namadgi National Park, which comprises the majority of land area of the territory. Despite a common misconception, the Jervis Bay Territory is not part of the ACT, although the laws of the Australian Capital Territory apply as if Jervis Bay did form part of the ACT. The territory has a relatively dry, continental climate, experiencing warm to hot summers and cool to cold winters.
The Australian Capital Territory is home to many important institutions of the federal government, national monuments and museums. These include the Parliament of Australia, the High Court of Australia, the Australian Defence Force Academy and the Australian War Memorial. It also hosts the majority of foreign embassies in Australia, as well as regional headquarters of many international organisations, not-for-profit groups, lobbying groups and professional associations. Several major universities also have campuses in the ACT, including the Australian National University, the University of Canberra, the University of New South Wales, Charles Sturt University and the Australian Catholic University.
A locally elected legislative assembly has governed the territory since 1988. However, the Commonwealth maintains authority over the territory and may overturn local laws. It still maintains control over the area known as the Parliamentary Triangle through the National Capital Authority. Residents of the territory elect three members of the House of Representatives and two senators.
With 453,324 residents, the Australian Capital Territory is the second smallest mainland state or territory by population. At the , the median weekly income for people in the territory aged over 15 was $998, significantly higher than the national average of $662. The average level of degree qualification in the ACT is also higher than the national average. Within the ACT, 37.1% of the population hold a bachelor's degree level or above education compared to the national figure of 20%.
History
Indigenous inhabitants
Aboriginal Australian peoples have long inhabited the area. Evidence indicates habitation dating back at least 25,000 years, and it is possible that the area was inhabited for considerably longer, with evidence of an Aboriginal presence at Lake Mungo dating back around 40,000–62,000 years. The principal group occupying the region were the Ngunnawal people, with the Ngarigo and Walgalu living immediately to the south, the Wandadian to the east, the Gandangara to the north and the Wiradjuri to the north-west.
European colonisation
Following European settlement, the growth of the new colony of New South Wales led to an increasing demand for arable land. Governor Lachlan Macquarie supported expeditions to open up new lands to the south of Sydney. The 1820s saw further exploration in the Canberra area associated with the construction of a road from Sydney to the Goulburn plains. While working on the project, Charles Throsby learned of a nearby lake and river from the local Indigenous peoples and he accordingly sent Wild to lead a small party to investigate the site. The search was unsuccessful, but they did discover the Yass River, and it is surmised that they would have set foot on part of the future territory.
A second expedition was mounted shortly thereafter, and they became the first Europeans to camp at the Molonglo (Ngambri) and Queanbeyan (Jullergung) Rivers. However, they failed to find the Murrumbidgee River. The issue of the Murrumbidgee was solved in 1821 when Throsby mounted a third expedition and successfully reached the watercourse, on the way providing the first detailed account of the land where the Australian Capital Territory now resides. The last expedition in the region before settlement was undertaken by Allan Cunningham in 1824. He reported that the region was suitable for grazing and the settlement of the Limestone Plains followed immediately thereafter.
Early settlement
The first land grant in the region was made to Joshua John Moore in 1823, and European settlement in the area began in 1824 with the construction of a homestead by his stockmen on what is now the Acton Peninsula. Moore formally purchased the site in 1826 and named the property Canberry or Canberra.
A significant influx of population and economic activity occurred around the 1850s goldrushes. The goldrushes prompted the establishment of communication between Sydney and the region by way of the Cobb & Co coaches, which transported mail and passengers. The first post offices opened in Ginninderra in 1859 and at Lanyon in 1860.
During colonial times, the European communities of Ginninderra, Molonglo and Tuggeranong settled and farmed the surrounding land. The region was also called the Queanbeyan-Yass district, after the two largest towns in the area. The villages of Ginninderra and Tharwa developed to service the local agrarian communities.
During the first 20 years of settlement, there was only limited contact between the settlers and Aboriginal people. Over the succeeding years, the Ngunnawal and other local indigenous people effectively ceased to exist as cohesive and independent communities adhering to their traditional ways of life. Those who had not succumbed to disease and other predations either dispersed to the local settlements or were relocated to more distant Aboriginal reserves set up by the New South Wales government in the latter part of the 19th century.
Creation of the territory
In 1898, a referendum on a proposed Constitution was held in four of the colonies – New South Wales, Victoria, South Australia and Tasmania. Although the referendum achieved a majority in all four colonies, the New South Wales referendum failed to gain the minimum number of votes needed for the bill to pass. Following this result, a meeting of the four Premiers in 1898 heard from George Reid, the Premier of New South Wales, who argued that locating the future capital in New South Wales would be sufficient to ensure the passage of the Bill. The 1899 referendum on this revised bill was successful and passed with sufficient numbers. Section 125 of the Australian Constitution thus provided that, following Federation in 1901, land would be ceded freely to the new Federal Government.
This, however, left open the question of where to locate the capital. In 1906 and after significant deliberations, New South Wales agreed to cede sufficient land on the condition that it was in the Yass-Canberra region, this site being closer to Sydney. Initially, Dalgety, New South Wales remained at the forefront, but Yass-Canberra prevailed after voting by federal representatives. The Seat of Government Act 1908 was passed in 1908, which repealed the 1904 Act and specified a capital in the Yass-Canberra region. Government surveyor Charles Scrivener was deployed to the region in the same year to map out a specific site and, after an extensive search, settled upon the present location, basing the borders primarily on the need to secure a stable water supply for the planned capital.
The Australian Capital Territory was transferred to the Commonwealth by New South Wales on 1 January 1911, two years before the naming of Canberra as the national capital on 20 March 1913.
The Commonwealth gained control of all land within the borders of the new territory but ownership only of NSW Crown land, with significant parcels of extant freehold remaining in the hands of their pre-existing owners. Much of this was acquired during World War One, though a few titles were not transferred until the late 20th Century.
Land within the territory is granted under a leasehold system, with 99-year residential leases sold to buyers as new suburbs are planned, surveyed, and developed. The current policy is for these leases to be extended for another 99-year period on expiry, subject to payment of an administrative fee.
Development throughout 20th century
In 1911, an international competition to design the future capital was held; it was won by the Chicago architect Walter Burley Griffin in 1912. The official naming of Canberra occurred on 12 March 1913 and construction began immediately.
After Griffin's departure following difficulty in implementing his project, the Federal Capital Advisory Committee was established in 1920 to advise the government of the construction efforts. The committee had limited success meeting its goals. However, the chairman, John Sulman, was instrumental in applying the ideas of the garden city movement to Griffin's plan. The committee was replaced in 1925 by the Federal Capital Commission.
In 1930, the ACT Advisory Council was established to advise the minister for territories on the community's concerns. In 1934, the Supreme Court of the Australian Capital Territory was established.
From 1938 to 1957, the National Capital Planning and Development Committee continued to plan the further expansion of Canberra. However, it did not have executive power, and decisions were made on the development of Canberra without consulting the committee. During this time, Prime Minister Robert Menzies regarded the state of the national capital as an embarrassment.
After World War II, there was a shortage of housing and office space in Canberra. A Senate Select Committee hearing was held in 1954 to address its development requirements. This Committee recommended the creation of a single planning body with executive power. Consequently, the National Capital Planning and Development Committee was replaced by the National Capital Development Commission in 1957. The National Capital Development Commission ended four decades of disputes over the shape and design of Lake Burley Griffin and construction was completed in 1964 after four years of work. The completion of the centrepiece of Griffin's design finally laid the platform for the development of Griffin's Parliamentary Triangle.
Self-government
In 1978, an advisory referendum was held to determine the views of ACT citizens about whether there should be self-government. Just under 64 percent of voters rejected devolved government options, in favour of the status quo. Nevertheless, in 1988, the new minister for the Australian Capital Territory Gary Punch received a report recommending the abolition of the National Capital Development Commission and the formation of a locally elected government. Punch recommended that the Hawke government accept the report's recommendations and subsequently Clyde Holding introduced legislation to grant self-government to the territory in October 1988.
The enactment on 6 December 1988 of the Australian Capital Territory (Self-Government) Act 1988 established the framework for self-government. The first election for the 17-member Australian Capital Territory Legislative Assembly was held on 4 March 1989.
The initial years of self-government were difficult and unstable. A majority of ACT residents had opposed self-government and had it imposed upon them by the federal parliament. At the first election, 4 of the 17 seats were won by anti-self-government single-issue parties due to a protest vote by disgruntled Canberrans and a total of 8 were won by minor parties and independents.
In 1992, Labor won eight seats and the minor parties and independents won only three. Stability increased, and in 1995, Kate Carnell became the first elected Liberal chief minister. In 1998, Carnell became the first chief minister to be re-elected.
Geography
The Australian Capital Territory is the smallest mainland territory (aside from the Jervis Bay Territory) and covers a total land area of , slightly smaller than Luxembourg.
It is bounded by the Bombala railway line in the east, the watershed of Naas Creek in the south, the watershed of the Cotter River in the west and the watershed of the Molonglo River in the north-east. These boundaries were set to give the ACT an adequate water supply. The ACT extends about north-south between 35.124°S and 35.921°S, and west-east between 148.763°E and 149.399°E. The city area of Canberra occupies the north-eastern corner of this area.
The Australian Capital Territory includes the city of Canberra and some towns such as Williamsdale, Oaks Estate, Uriarra Village, Tharwa and Hall. The Australian Capital Territory also contains agricultural land (sheep, dairy cattle, vineyards and small amounts of crops) and a large area of national park (Namadgi National Park), much of it mountainous and forested.
Tidbinbilla is a locality to the south-west of Canberra that features the Tidbinbilla Nature Reserve and the Canberra Deep Space Communication Complex, operated by the United States' NASA as part of its Deep Space Network. The Southern Tablelands Temperate Grassland straddles the state.
The territory includes a large range of mountains, rivers and creeks, largely contained within the Namadgi National Park. These include the Naas and Murrumbidgee Rivers.
In September 2022, it was announced that the border between NSW and the ACT would change for the first time since it was created in 1911. ACT chief minister Andrew Barr said NSW premier Dominic Perrottet had agreed to a proposed border change of in the Ginninderra watershed.
Climate
The territory has a relatively dry, continental climate, experiencing warm to hot summers and cool to cold winters. Under the Köppen-Geiger classification, the territory has an oceanic climate (Cfb).
January is the hottest month with an average high of 27.7°C. July is the coldest month when the average high drops to . The highest maximum temperature recorded in the territory was 44.0°C on 4 January 2020. The lowest minimum temperature was −10.0°C on 11 July 1971.
Rainfall varies significantly across the territory. Much higher rainfall occurs in the mountains to the west of Canberra compared to the east. The mountains act as a barrier during winter with the city receiving less rainfall. Average annual rainfall in the territory is 629mm and there is an average of 108 rain days annually. The wettest month is October, with an average rainfall of 65.3mm, and the driest month is June, with an average of 39.6mm.
Frost is common in the winter months. Snow is rare in Canberra's city centre, but the surrounding areas get annual snowfall through winter and often the snow-capped mountains can be seen from the city. The last significant snowfall in the city centre was in 1968.
Smoke haze became synonymous with the 2019/2020 Australian summer. On 1 January 2020 Canberra had the worst air quality of any major city in the world, with an AQI of 7700 (USAQI 949).
Geology
Notable geological formations in the Australian Capital Territory include the Canberra Formation, the Pittman Formation, Black Mountain Sandstone and State Circle Shale.
In the 1840s fossils of brachiopods and trilobites from the Silurian period were discovered at Woolshed Creek near Duntroon. At the time, these were the oldest fossils discovered in Australia, though this record has now been far surpassed. Other specific geological places of interest include the State Circle cutting and the Deakin anticline.
The oldest rocks in the ACT date from the Ordovician around 480 million years ago. During this period the region along with most of Eastern Australia was part of the ocean floor; formations from this period include the Black Mountain Sandstone formation and the Pittman Formation consisting largely of quartz-rich sandstone, siltstone and shale. These formations became exposed when the ocean floor was raised by a major volcanic activity in the Devonian forming much of the east coast of Australia.
Flora and fauna
The environments range from alpine area on the higher mountains, to sclerophyll forest and to woodland. Much of the ACT has been cleared for grazing and is also burnt off by bushfires several times per century. The kinds of plants can be grouped into vascular plants, that include gymnosperms, flowering plants, and ferns, as well as bryophytes, lichens, fungi and freshwater algae. Four flowering plants are endemic to the ACT. Several lichens are unique to the territory. Most plants in the ACT are characteristic of the Flora of Australia and include well known plants such as Grevillea, Eucalyptus trees and kangaroo grass.
The native forest in the Australian Capital Territory was almost wholly eucalypt species and provided a resource for fuel and domestic purposes. By the early 1960s, logging had depleted the eucalypt, and concern about water quality led to the forests being closed. Interest in forestry began in 1915 with trials of a number of species including Pinus radiata on the slopes of Mount Stromlo. Since then, plantations have been expanded, with the benefit of reducing erosion in the Cotter catchment, and the forests are also popular recreation areas.
The fauna of the territory includes representatives from most major Australian animal groups. This includes kangaroos, wallabies, koalas, platypus, echidna, emu, kookaburras and dragon lizards.
Government and politics
Territory government
Unlike the States of Australia which have their own constitutions, territories like the ACT are governed under a Commonwealth statutefor the ACT, the Australian Capital Territory (Self-Government) Act 1988. The Self-Government Act constitutes a democratic government for the Territory consisting of a popularly elected Legislative Assembly which elects a Chief Minister from among its membership who, in turn, appoints an Executive consisting of a number of Ministers.
The executive power of the Territory rests with the ACT Government, led by the Executive. The Executive is chaired by the Chief Minister (currently the Labor Party's Andrew Barr) and consists of Ministers appointed by them. The Executive are supported by the ACT Public Service, which is arranged into directorates, and a number of public authorities. The Chief Minister is the equivalent of a State Premier and sits on the National Cabinet. Unlike the States and the Northern Territory, there is no vice-regal representative who chairs the Executive. The Chief Minister performs many of the roles that a state governor normally holds in the context of a state; however, the Speaker of the Legislative Assembly gazettes the laws and summons meetings of the Assembly.
The legislative power of the Territory is vested in the unicameral Legislative Assembly. The Assembly consists of 25 members who are elected from five electorates using the Hare-Clark single transferable voting system. The Assembly is presided over by the Speaker (currently the Labor Party's Joy Burch). The Assembly has almost all of the same powers as the state parliaments, the power to "make laws for the peace, order, and good government of the Territory", with limited exceptions relating to the Territory's unique relationship with the Commonwealth. The Hare-Clark voting system was adopted after a referendum in 1992 and was entrenched by another referendum in 1995. The electoral system cannot be changed except by a two-thirds majority in the Assembly or a majority vote of support at a public referendum.
There is no level of local government below the Territory government as in the States and the functions associated with local government are carried out principally by the Transport Canberra and City Services Directorate. There is an indigenous voice to the ACT Government, called the Aboriginal and Torres Strait Islander Elected Body.
Despite the wide powers of the Territory government, the federal government continues to have power over the Territory. This includes an unused power to dissolve the Assembly and appoint a caretaker government in extraordinary circumstances. The federal and territory governments share some officers, such as the Ombudsman. The federal parliament also retains the power to make any law for the Territory under section 122 of the Constitution and an exclusive power to legislate for the "seat of government". Territory laws which conflict with federal law are inoperable to the extent of the inconsistency. Land in the Territory that is designated to be "National Land" under federal law remains under the control of the federal government, usually represented by the National Capital Authority. The federal parliament can disallow laws enacted by the Assembly by a joint resolution of both houses of Parliament, a power which replaced a federal executive veto in 2011.
Judiciary and policing
The judicial power of the Territory is exercised by the territory courts. These courts are the Supreme Court of the Australian Capital Territory, the Magistrates Court of the Australian Capital Territory and the ACT Civil and Administrative Tribunal. It is unique in that the territory does not have an intermediary court like other mainland states and territories; there is only the superior court and a court of summary jurisdiction. From 2001, appeals from the Supreme Court are heard by a panel of Supreme Court judges sitting as the Court of Appeal. The current Chief Justice is Lucy McCallum and the current Chief Magistrate is Lorraine Walker.
The Federal Court has concurrent jurisdiction over civil matters arising under Territory law, a fact which has become increasingly important to the practice of defamation law across Australia.
Policing services are provided by the ACT Policing unit of the Australian Federal Police under agreements between the territory government, the federal government, and the police force. Canberra had the lowest rate of crime of any capital city in Australia .
Federal representation
In Australia's Federal Parliament, the ACT is represented by five federal members: three members of the House of Representatives represent the Division of Bean, the Division of Canberra and the Division of Fenner, and it is one of only two territories to be represented in the Senate, with two Senators (the other being the Northern Territory). The Member for Bean and the ACT Senators also represent the constituents of Norfolk Island. The Member for Fenner and the ACT Senators also represent the constituents of the Jervis Bay Territory.
Jervis Bay Territory
In 1915, the Jervis Bay Territory Acceptance Act 1915 created the Jervis Bay Territory as an annex to the Federal Capital Territory. While the Act's use of the language of "annexed" is sometimes interpreted as implying that the Jervis Bay Territory was to form part of the Federal Capital Territory, the accepted legal position is that it has been a legally distinct territory from its creation despite being subject to ACT law and, prior to ACT self-government in 1988, being administratively treated as part of the ACT.
In 1988, when the ACT gained self-government, Jervis Bay was formally pronounced as a separate territory administered by the Commonwealth known as the Jervis Bay Territory. However, the laws of the ACT continue to apply to the Jervis Bay Territory. Magistrates from the ACT regularly travel to the Jervis Bay Territory to conduct court.
Another occasional misconception is that the ACT retains a small area of territory on the coast on the Beecroft Peninsula, consisting of a strip of coastline around the northern headland of Jervis Bay. While the land is owned by the Commonwealth Government, that area itself is still considered to be under the jurisdiction of New South Wales government, not a separate territory nor a part of the ACT.
Demographics
The Australian Bureau of Statistics estimates that the population of the territory was 453,324 on 31 December 2021, with an annual growth in 2021 of 0.4%. A 2019 projection estimated the population would reach to approximately 700,000 by 2058.
The overwhelming majority of the population reside in the city of Canberra.
At the , the median weekly income for people in the territory aged over 15 was $998 while the national average was $662.
The average level of degree qualification in the ACT is higher than the national average. Within the ACT, 37.1% of the population hold a bachelor's degree level or above education compared to the national figure of 20%.
City and towns
The Australian Capital Territory consists of the city of Canberra and some towns including Williamsdale, Oaks Estate, Uriarra, Tharwa and Hall.
The urban areas of the Australian Capital Territory are organised into a hierarchy of districts, town centres, group centres, local suburbs as well as other industrial areas and villages. There are seven districts (with an eighth currently under construction), each of which is divided into smaller suburbs, and most of which have a town centre which is the focus of commercial and social activities. The districts were settled in the following chronological order:
North Canberra: mostly settled in the 1920s and '30s, with expansion up to the 1960s, now 14 suburbs;
South Canberra: settled from the 1920s to '60s, 13 suburbs;
Woden Valley: first settled in 1963, 12 suburbs;
Belconnen: first settled in 1967, 25 suburbs;
Weston Creek: settled in 1969, 8 suburbs;
Tuggeranong: settled in 1974, 19 suburbs;
Gungahlin: settled in the early 1990s, 18 suburbs although only 15 are developed or under development;
Molonglo Valley: first suburbs currently under construction.
The North and South Canberra districts are substantially based on Walter Burley Griffin's designs. In 1967, the then National Capital Development Commission adopted the "Y Plan" which laid out future urban development in the Australian Capital Territory a series of central shopping and commercial area known as the 'town centres' linked by freeways, the layout of which roughly resembled the shape of the letter Y, with Tuggeranong at the base of the Y and Belconnen and Gungahlin located at the ends of the arms of the Y.
Ancestry and immigration
At the , the most commonly nominated ancestries were:
The showed that 32.5% of the ACT's inhabitants were born overseas. Of inhabitants born outside of Australia, the most prevalent countries of birth were India, England, China, Nepal and New Zealand.
2.0% of the population, or 8,949 people, identified as Indigenous Australians (Aboriginal Australians and Torres Strait Islanders) in 2021.
Language
At the , 71.3% of people spoke only English at home. The other languages most commonly spoken at home were Mandarin (3.2%), Nepali (1.3%), Vietnamese (1.1%), Punjabi (1.1%), Hindi (1.0%).
Religion
The most common responses in the for religion in the territory were No Religion (43.5%), Catholic (19.3%), Anglican (8.2%), Not stated (5.2%) and Hinduism (4.5%).
Culture
Education
Almost all educational institutions in the Australian Capital Territory are located within Canberra. The ACT public education system schooling is normally split up into Pre-School, Primary School (K-6), High School (7–10) and College (11–12) followed by studies at University or Institute of Technology. Many private high schools include years 11 and 12 and are referred to as colleges. Children are required to attend school until they turn 17 under the ACT Government's "Learn or Earn" policy.
In February 2004 there were 140 public and non-governmental schools in ACT; 96 were operated by the Government and 44 are non-Government. In 2005, there were 60,275 students in the ACT school system. 59.3% of the students were enrolled in government schools with the remaining 40.7% in non-government schools. There were 30,995 students in primary school, 19,211 in high school, 9,429 in college and a further 340 in special schools.
As of May 2004, 30% of people in the ACT aged 15–64 had a level of educational attainment equal to at least a bachelor's degree, significantly higher than the national average of 19%. The two main tertiary institutions are the Australian National University (ANU) in Acton and the University of Canberra (UC) in Bruce. There are also two religious university campuses in Canberra: Signadou is a campus of the Australian Catholic University and St Mark's Theological College is a campus of Charles Sturt University. Tertiary level vocational education is also available through the multi-campus Canberra Institute of Technology (CIT).
The Australian Defence Force Academy (ADFA) and the Royal Military College, Duntroon (RMC) are in the suburb of Campbell in Canberra's inner northeast. ADFA teaches military undergraduates and postgraduates and is officially a campus of the University of New South Wales while Duntroon provides Australian Army Officer training.
The Academy of Interactive Entertainment (AIE) offers courses in computer game development and 3D animation.
Sport
The Australian Capital Territory is home to a number of major professional sports league franchise teams including the ACT Brumbies (Rugby Union), Canberra United (Soccer), Canberra Raiders (Rugby League) and the Canberra Capitals (Basketball).
The Prime Minister's XI (Cricket), started by Robert Menzies in the 1950s and revived by Bob Hawke in 1984, has been played every year at Manuka Oval against an overseas touring team.
The Greater Western Sydney Giants (Football) play three regular season matches a year and one pre-season match in Canberra at Manuka Oval.
Arts and entertainment
The territory is home to many national monuments and institutions such as the Australian War Memorial, the National Gallery of Australia, the National Portrait Gallery, the National Library, the National Archives, the Australian Academy of Science, the National Film and Sound Archive and the National Museum. Many Commonwealth government buildings in the Australian Capital Territory are open to the public, including Parliament House, the High Court and the Royal Australian Mint.
Lake Burley Griffin is the site of the Captain James Cook Memorial and the National Carillon. Other sites of interest include the Telstra Tower, the Australian National Botanic Gardens, the National Zoo and Aquarium, the National Dinosaur Museum and Questacon – the National Science and Technology Centre.
The Canberra Museum and Gallery in the city is a repository of local history and art, housing a permanent collection and visiting exhibitions. Several historic homes are open to the public: Lanyon and Tuggeranong Homesteads in the Tuggeranong Valley, Mugga-Mugga in Symonston, and Blundells' Cottage in Parkes all display the lifestyle of the early European settlers. Calthorpes' House in Red Hill is a well-preserved example of a 1920s house from Canberra's very early days.
The Australian Capital Territory has many venues for live music and theatre: the Canberra Theatre and Playhouse which hosts many major concerts and productions; and Llewellyn Hall (within the ANU School of Music), a world-class concert hall are two of the most notable. The Albert Hall was Canberra's first performing arts venue, opened in 1928. It was the original performance venue for theatre groups such as the Canberra Repertory Society.
There are numerous bars and nightclubs which also offer live entertainment, particularly concentrated in the areas of Dickson, Kingston and the city. Most town centres have facilities for a community theatre and a cinema, and they all have a library. Popular cultural events include the National Folk Festival, the Royal Canberra Show, the Summernats car festival, Enlighten festival and the National Multicultural Festival in February.
Media
The Australian Capital Territory have a daily newspaper, The Canberra Times, which was established in 1926. There are also several free weekly publications, including news magazines City News and Canberra Weekly.
Major daily newspapers such as The Daily Telegraph and The Sydney Morning Herald from Sydney, The Age and The Herald Sun from Melbourne as well as national publications The Australian and The Australian Financial Review are also available for purchase via retail outlets or via home delivery in the Australian Capital Territory.
There are a number of AM and FM stations broadcasting throughout the ACT (AM/FM Listing). The main commercial operators are the Capital Radio Network (2CA and 2CC), and Austereo/ARN (104.7 and Mix 106.3). There are also several community operated stations as well as the local and national stations of the Australian Broadcasting Corporation.
A DAB+ digital radio trial is also in operation, it simulcasts some of the AM/FM stations, and also provides several digital only stations (DAB+ Trial Listing).
Five free-to-air television stations service the territory:
ABC Canberra (ABC)
SBS New South Wales (SBS)
WIN Television Southern NSW & ACT (WIN) – Nine Network affiliate
Prime7 Southern NSW & ACT (CBN) – A Seven Network owned & operated station
Southern Cross 10 Southern NSW & ACT (CTC) – Network 10 affiliate
Each station broadcasts a primary channel and several multichannels.
Pay television services are available from Foxtel (via satellite) and telecommunications company TransACT (via cable).
Infrastructure
Health
The Australian Capital Territory has two large public hospitals both located in Canberra: the approximately 600-bed Canberra Hospital in Garran and the 174-bed Calvary Public Hospital in Bruce. Both are teaching institutions. The largest private hospital is the Calvary John James Hospital in Deakin. Calvary Private Hospital in Bruce and Healthscope's National Capital Private Hospital in Garran are also major healthcare providers.
The Australian Capital Territory has 10 aged care facilities. ACT's hospitals receive emergency cases from throughout southern New South Wales, and ACT Ambulance Service is one of four operational agencies of the ACT Emergency Services Authority. NETS provides a dedicated ambulance service for inter-hospital transport of sick newborns within the ACT and into surrounding New South Wales.
Transport
The automobile is by far the dominant form of transport in the Australian Capital Territory. The city is laid out so that arterial roads connecting inhabited clusters run through undeveloped areas of open land or forest, which results in a low population density; this also means that idle land is available for the development of future transport corridors if necessary without the need to build tunnels or acquire developed residential land. In contrast, other capital cities in Australia have substantially less green space.
Australian Capital Territory's localities are generally connected by parkways—limited access dual carriageway roads with speed limits generally set at a maximum of . An example is the Tuggeranong Parkway which links Canberra's CBD and Tuggeranong, and bypasses Weston Creek. In most districts, discrete residential suburbs are bounded by main arterial roads with only a few residential linking in, to deter non-local traffic from cutting through areas of housing.
ACTION, the government-operated bus service, provides public transport throughout the Australian Capital Territory. CDC Canberra provides bus services between the Australian Capital Territory and nearby areas of New South Wales (Murrumbateman and Yass) and as Qcity Transit (Queanbeyan). A light rail line that opened in April 2019 links the CBD with the northern district of Gungahlin. At the 2016 census, 7.1% of the journeys to work involved public transport while 4.5% were on foot.
There are two local taxi companies. Aerial Capital Group enjoyed monopoly status until the arrival of Cabxpress in 2007. In October 2015, the ACT Government passed legislation to regulate ride sharing, allowing ride share services including Uber to operate legally in the Australian Capital Territory. The ACT Government was the first jurisdiction in Australia to enact legislation to regulate the service.
An interstate NSW TrainLink railway service connects Canberra to Sydney. Canberra's railway station is in the inner south suburb of Kingston. Train services to Melbourne are provided by way of a NSW TrainLink bus service which connects with a rail service between Sydney and Melbourne in Yass, about a one-hour drive from Canberra.
Canberra is about three hours by road from Sydney on the Federal Highway (National Highway 23), which connects with the Hume Highway (National Highway 31) near Goulburn, and seven hours by road from Melbourne on the Barton Highway (National Highway 25), which joins the Hume Highway at Yass. It is a two-hour drive on the Monaro Highway (National Highway 23) to the ski fields of the Snowy Mountains and the Kosciuszko National Park. Batemans Bay, a popular holiday spot on the New South Wales coast, is also two hours away via the Kings Highway.
Canberra Airport provides direct domestic services to Sydney, Melbourne, Brisbane, Adelaide, Gold Coast, Hobart and Perth, with connections to other domestic centres. There are also direct flights to regional cities: Dubbo and Newcastle in New South Wales. Regular direct international flights operate to Singapore and Doha from the airport daily, but both with a stopover in Sydney before Canberra. Canberra Airport is, as of September 2013, designated by the Australian Government Department of Infrastructure and Regional Development as a restricted use designated international airport. Until 2003, the civilian airport shared runways with RAAF Base Fairbairn. In June of that year, the Air Force base was decommissioned and from that time the airport was fully under civilian control.
Utilities
The government-owned Icon Water, formerly ACTEW, manages the territory's water and sewerage infrastructure. ActewAGL is a joint venture between Icon and AGL, and is the retail provider of Australian Capital Territory's utility services including water, natural gas, electricity, and also some telecommunications services via a subsidiary TransACT.
Australian Capital Territory's water is stored in four reservoirs, the Corin, Bendora and Cotter dams on the Cotter River and the Googong Dam on the Queanbeyan River. Although the Googong Dam is located in New South Wales, it is managed by the ACT government. Icon Water owns Australian Capital Territory's two wastewater treatment plants, located at Fyshwick and on the lower reaches of the Molonglo River.
Electricity for the Australian Capital Territory mainly comes from the national power grid through substations at Holt and Fyshwick (via Queanbeyan). Power was first supplied from a thermal plant built in 1913, near the Molonglo River, but this was finally closed in 1957. The ACT has four solar farms, which were opened between 2014 and 2017: Royalla (rated output of 20 megawatts, 2014), Mount Majura (2.3 MW, 2016), Mugga Lane (13 MW, 2017) and Williamsdale (11 MW, 2017). In addition numerous houses in Canberra have photovoltaic panels and/or solar hot water systems. In 2015/16, rooftop solar systems supported by the ACT government's feed-in tariff had a capacity of 26.3 megawatts, producing 34,910 MWh. In the same year, retailer-supported schemes had a capacity of 25.2 megawatts and exported 28,815 MWh to the grid (power consumed locally was not recorded).
The ACT has the highest rate with internet access at home (94 per cent of households in 2014–15).
Economy
The economic activity of the Australian Capital Territory is heavily concentrated around the city of Canberra.
A stable housing market, steady employment and rapid population growth in the 21st century have led to economic prosperity and, in 2011, CommSec ranked the ACT as the second best performing economic region in the country. This trend continued into 2016, when the territory was ranked the third best performing out of all of Australia's states and territories.
In 2017–18, the ACT had the fastest rate of growth in the nation due to a rapid growth in population, a strongly performing higher education sector as well as a significant housing and infrastructure investment.
Higher education is the territory's largest export industry. The ACT is home to a significant number of universities and higher education providers. The other major services exports of the ACT in 2017-18 were government services and personal travel. The major goods exports of the territory in 2017-18 were gold coin, legal tender coin, metal structures and fish, though these represent a small proportion of the economy compared to services exports.
The economy of the ACT is largely dependent on the public sector with 30% of the jobs in the territory being in the public sector. Decisions by the federal government regarding the public service can have a significant impact on the territory's economy.
The ACT's gross state product in 2017-18 was $39.8 billion which represented 2.2% of the overall gross domestic product of Australia. In 2017-18 the ACT economy grew by 4.0 per cent, the highest growth rate of any jurisdiction in Australia. This brought real economic growth over the three years to June 2018 to 12 per cent.
See also
Community Based Corrections
Human Rights Act 2004
Index of Australia-related articles
Jervis Bay Territory
Revenue stamps of the Australian Capital Territory
Notes
References
Bibliography
External links
Government of the Australian Capital Territory
Legislative Assembly of the Australian Capital Territory
Supreme Court of the Australian Capital Territory
Statistical Subdivisions of the Australian Capital Territory
List of public art in Australian Capital Territory
Capital districts and territories
1911 establishments in Australia
Enclaves and exclaves
States and territories established in 1911
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The American Civil Liberties Union (ACLU) is an American nonprofit human rights organization founded in 1920. The organization strives "to defend and preserve the individual rights and liberties guaranteed to every person in this country by the Constitution and laws of the United States". The ACLU works through litigation and lobbying and has over 1,800,000 members as of July 2018, with an annual budget of over $300 million. Affiliates of the ACLU are active in all 50 states, Washington, D.C., and Puerto Rico. The ACLU provides legal assistance in cases where it considers civil liberties at risk. Legal support from the ACLU can take the form of direct legal representation or preparation of amicus curiae briefs expressing legal arguments when another law firm is already providing representation.
In addition to representing persons and organizations in lawsuits, the ACLU lobbies for policy positions established by its board of directors. Current positions of the ACLU include opposing the death penalty; supporting same-sex marriage and the right of LGBT people to adopt; supporting reproductive rights such as birth control and abortion rights; eliminating discrimination against women, minorities, and LGBT people; decarceration in the United States; protecting housing and employment rights of veterans; reforming sex offender registries and protecting housing and employment rights of convicted first-time offenders; supporting the rights of prisoners and opposing torture; and upholding the separation of church and state by opposing government preference for religion over non-religion or for particular faiths over others.
Legally, the ACLU consists of two separate but closely affiliated nonprofit organizations, namely the American Civil Liberties Union, a 501(c)(4) social welfare group; and the ACLU Foundation, a 501(c)(3) public charity. Both organizations engage in civil rights litigation, advocacy, and education, but only donations to the 501(c)(3) foundation are tax deductible, and only the 501(c)(4) group can engage in unlimited political lobbying. The two organizations share office space and employees.
Overview
The ACLU was founded in 1920 by a committee including Roger Nash Baldwin, Crystal Eastman, Walter Nelles, Morris Ernst, Albert DeSilver, Arthur Garfield Hays, Helen Keller, Jane Addams, Felix Frankfurter, Elizabeth Gurley Flynn, and Rose Schneiderman. It focused on freedom of speech, primarily for anti-war protesters. It was founded in response to the controversial Palmer raids, which saw thousands of radicals arrested in manners that violated their constitutional search and seizures protection. During the 1920s, the ACLU expanded its scope to include protecting the free speech rights of artists and striking workers and working with the National Association for the Advancement of Colored People (NAACP) to mitigate discrimination. During the 1930s, the ACLU started to engage in work combating police misconduct and supporting Native American rights. Many of the ACLU's cases involved the defense of Communist Party members and Jehovah's Witnesses. In 1940, the ACLU leadership voted to exclude communists from its leadership positions, a decision rescinded in 1968. During World War II, the ACLU defended Japanese-American citizens, unsuccessfully trying to prevent their forcible relocation to internment camps. During the Cold War, the ACLU headquarters was dominated by anti-communists, but many local affiliates defended members of the Communist Party.
By 1964, membership had risen to 80,000, and the ACLU participated in efforts to expand civil liberties. In the 1960s, the ACLU continued its decades-long effort to enforce separation of church and state. It defended several anti-war activists during the Vietnam War. The ACLU was involved in the Miranda case, which addressed conduct by police during interrogations, and in the New York Times case, which established new protections for newspapers reporting on government activities. In the 1970s and 1980s, the ACLU ventured into new legal areas involving the rights of homosexuals, students, prisoners, and the poor. In the twenty-first century, the ACLU has fought the teaching of creationism in public schools and challenged some provisions of anti-terrorism legislation as infringing on privacy and civil liberties. Fundraising and membership spiked after the 2016 presidential election, and the ACLU's 2018 membership was more than 1.2 million.
Organization
Leadership
The ACLU is led by a president and an executive director, Deborah N. Archer and Anthony Romero, respectively, in 2021. The president acts as chair of the ACLU's board of directors, leads fundraising, and facilitates policy-setting. The executive director manages the day-to-day operations of the organization. The board of directors consists of 80 persons, including representatives from each state affiliate and at-large delegates. The organization has its headquarters in 125 Broad Street, a 40-story skyscraper located in Lower Manhattan, New York City.
The leadership of the ACLU does not always agree on policy decisions; differences of opinion within the ACLU leadership have sometimes grown into major debates. In 1937, an internal debate erupted over whether to defend Henry Ford's right to distribute anti-union literature. In 1939, a heated debate took place over whether to prohibit communists from serving in ACLU leadership roles. During the early 1950s and Cold War McCarthyism, the board was divided on whether to defend communists. In 1968, a schism formed over whether to represent Benjamin Spock's anti-war activism. In 1973, as the Watergate Scandal continued to unfold, leadership was initially divided over whether to call for President Nixon's impeachment and removal from office. In 2005, there was internal conflict about whether or not a gag rule should be imposed on ACLU employees to prevent the publication of internal disputes.
Funding
In the year ending March 31, 2014, the ACLU and the ACLU Foundation had a combined income from support and revenue of $100.4 million, originating from grants (50.0%), membership donations (25.4%), donated legal services (7.6%), bequests (16.2%), and revenue (0.9%). Membership dues are treated as donations; members choose the amount they pay annually, averaging approximately $50 per member. In the year ending March 31, 2014, the combined expenses of the ACLU and ACLU Foundation were $133.4 million, spent on programs (86.2%), management (7.4%), and fundraising (8.2%). (After factoring in other changes in net assets of +$30.9 million, from sources such as investment income, the organization had an overall decrease in net assets of $2.1 million.) Over the period from 2011 to 2014, the ACLU Foundation, on average, has accounted for roughly 70% of the combined budget, and the ACLU roughly 30%.
The ACLU solicits donations to its charitable foundation. The ACLU is accredited by the Better Business Bureau, and the Charity Navigator has ranked the ACLU with a four-star rating. The local affiliates solicit their own funding; however, some also receive funds from the national ACLU, with the distribution and amount of such assistance varying from state to state. At its discretion, the national organization provides subsidies to smaller affiliates that lack sufficient resources to be self-sustaining; for example, the Wyoming ACLU chapter received such subsidies until April 2015, when, as part of a round of layoffs at the national ACLU, the Wyoming office was closed.
In October 2004, the ACLU rejected $1.5 million from both the Ford Foundation and Rockefeller Foundation because the foundations had adopted language from the USA PATRIOT Act in their donation agreements, including a clause stipulating that none of the money would go to "underwriting terrorism or other unacceptable activities". The ACLU views this clause, both in federal law and in the donors' agreements, as a threat to civil liberties, saying it is overly broad and ambiguous.
Due to the nature of its legal work, the ACLU is often involved in litigation against governmental bodies, which are generally protected from adverse monetary judgments; a town, state, or federal agency may be required to change its laws or behave differently, but not to pay monetary damages except by an explicit statutory waiver. In some cases, the law permits plaintiffs who successfully sue government agencies to collect money damages or other monetary relief. In particular, the Civil Rights Attorney's Fees Award Act of 1976 leaves the government liable in some civil rights cases. Fee awards under this civil rights statute are considered "equitable relief" rather than damages, and government entities are not immune from equitable relief. Under laws such as this, the ACLU and its state affiliates sometimes share in monetary judgments against government agencies. In 2006, the Public Expressions of Religion Protection Act sought to prevent monetary judgments in the particular case of violations of church-state separation.
The ACLU has received court-awarded fees from opponents; for example, the Georgia affiliate was awarded $150,000 in fees after suing a county demanding the removal of a Ten Commandments display from its courthouse; a second Ten Commandments case in the state, in a different county, led to a $74,462 judgment. The State of Tennessee was required to pay $50,000, the State of Alabama $175,000, and the State of Kentucky $121,500, in similar Ten Commandments cases.
State affiliates
Most of the organization's workload is performed by its local affiliates. There is at least one affiliate organization in each state, as well as one in Washington, D.C., and in Puerto Rico. California has three affiliates. The affiliates operate autonomously from the national organization; each affiliate has its own staff, executive director, board of directors, and budget. Each affiliate consists of two non-profit corporations: a 501(c)(3) corporation–called the ACLU Foundation–that does not perform lobbying, and a 501(c)(4) corporation–called ACLU–which is entitled to lobby. Both organizations share staff and offices
ACLU affiliates are the basic unit of the ACLU's organization and engage in litigation, lobbying, and public education. For example, in 2020, the ACLU's New Jersey chapter argued 26 cases before the New Jersey Supreme Court, about one-third of the total cases heard in that court. They sent over 50,000 emails to officials or agencies and had 28 full-time staff.
Positions
The ACLU's official position statements included the following policies:
Affirmative action – The ACLU supports affirmative action.
Birth control and abortion – The ACLU supports the right to abortion, as established in the Roe v. Wade decision. The ACLU believes everyone should have affordable access to the full range of contraceptive options. The ACLU's Reproductive Freedom Project manages efforts related to reproductive rights.
Campaign funding – The ACLU believes the current system is badly flawed and supports a system based on public funding. The ACLU supports full transparency in identifying donors. However, the ACLU opposes attempts to control political spending. The ACLU supported the Supreme Court's decision in Citizens United v. FEC, which allowed corporations and unions more political speech rights.
Criminal law reform – The ACLU seeks an end to what it feels are excessively harsh sentences that "stand in the way of a just and equal society". The ACLU's Criminal Law Reform Project focuses on this issue.
Death penalty – The ACLU is opposed to the death penalty in all circumstances. The ACLU's Capital Punishment Project focuses on this issue.
Free speech – The ACLU supports free speech, including the right to express unpopular or controversial ideas, such as flag desecration, racist or sexist views, etc. However, a leaked ACLU memo from June 2018 said that speech that can "inflict serious harms" and "impede progress toward equality" may be a lower priority for the organization.
Gun rights – The national ACLU's position is that the Second Amendment protects a collective right to own guns rather than an individual right, despite the 2008 Supreme Court decision in District of Columbia v. Heller that the Second Amendment is a personal right. The national organization's position is based on the phrases "a well regulated Militia" and "the security of a free State". However, the ACLU opposes any effort to create a registry of gun owners and has worked with the National Rifle Association of America to prevent a registry from being created, and it has favored protecting the right to carry guns under the 4th Amendment.
HIV/AIDS – The policy of the ACLU is to "create a world in which discrimination based on HIV status has ended, people with HIV have control over their medical information and care, and where the government's HIV policy promotes public health and respect and compassion for people living with HIV and AIDS". The ACLU's AIDS Project manages this effort.
Human rights – The ACLU's Human Rights project advocates (primarily in an international context) for children's rights, disability rights, immigrant rights, gay rights, and other international obligations.
Immigrants' rights – The ACLU supports civil liberties for immigrants to the United States.
Lesbian, gay, bisexual and transgender rights – The ACLU supports equal rights for all lesbian, gay, bisexual, transgender, and queer people and works to eliminate discrimination. The ACLU supports equal employment, housing, civil marriage, and adoption rights for LGBT couples.
National security – The ACLU is opposed to compromising civil liberties in the name of national security. In this context, the ACLU has condemned government use of spying, indefinite detention without charge or trial, and government-sponsored torture. The ACLU's National Security Project leads this effort.
Prisoners' rights – The ACLU's National Prison Project believes that incarceration should only be used as a last resort and that prisons should focus on rehabilitation. The ACLU advocates that prisons treat prisoners according to the Constitution and domestic law.
Privacy and technology – The ACLU's Project on Speech, Privacy, and Technology promotes "responsible uses of technology that enhance privacy protection" and opposes uses "that undermine our freedoms and move us closer to a surveillance society".
Racial issues – The ACLU's Racial Justice Program combats racial discrimination in all aspects of society, including the educational system, the justice system, and the application of the death penalty. However, the ACLU opposes state censorship of the Confederate flag.
Religion – The ACLU supports the right of religious persons to practice their faiths without government interference. The ACLU believes the government should neither prefer religion over non-religion nor favor particular faiths over others. The ACLU is opposed to school-led prayer but protects students' right to pray in school. It opposes the use of religious beliefs to discriminate, such as refusing to provide abortion coverage or providing services to LGBT people.
Sex education – The ACLU opposes abstinence-only sex education curricula, and supports comprehensive sex education curricula that encourage effective contraceptive usage and sexually-transmitted disease prevention alongside waiting to have sex. The ACLU opposes segregation in sex education classes because it can lead to increased class size and perpetuate antiquated gender stereotypes.
Vaccination policy — The ACLU supports vaccine mandates for people using public facilities and businesses because there is no right to harm others by spreading infectious diseases. Hence, the ACLU states, mandates are "permissible in many settings where the unvaccinated pose a risk to others, including schools and universities, hospitals, restaurants and bars, workplaces and businesses open to the public". The organization supports a public health-based approach to pandemic management and is opposed to criminalizing or jailing people with infectious diseases.
Voting rights – The ACLU believes that impediments to voting should be eliminated, particularly if they disproportionately impact minority or poor citizens. The ACLU believes that misdemeanor convictions should not lead to a loss of voting rights. The ACLU's Voting Rights Project leads this effort.
Women's rights – The ACLU works to eliminate discrimination against women in all realms. The ACLU encourages the government to be proactive in stopping violence against women. These efforts are led by the ACLU's Women's Rights Project.
Support and opposition
A variety of persons and organizations support the ACLU. There were over 1,000,000 members in 2017, and the ACLU receives thousands of grants from hundreds of charitable foundations annually. Allies of the ACLU in legal actions have included the National Association for the Advancement of Colored People, the American Jewish Congress, People for the American Way, the National Rifle Association of America, the Electronic Frontier Foundation, Americans United for Separation of Church and State and the National Organization for Women.
The ACLU has been criticized by liberals such as when it excluded communists from its leadership ranks when it defended Neo-Nazis, when it declined to defend Paul Robeson, or when it opposed the passage of the National Labor Relations Act. In 2014, an ACLU affiliate supported anti-Islam protesters and in 2018 the ACLU was criticized when it supported the NRA.
Conversely, it has been criticized by conservatives such as when it argued against official prayer in public schools or when it opposed the Patriot Act.
The ACLU has supported conservative figures such as Rush Limbaugh, George Wallace, Henry Ford and Oliver North as well as liberal figures such as Dick Gregory, Rockwell Kent and Benjamin Spock.
Major sources of criticism are legal cases in which the ACLU represents an individual or organization that promotes offensive or unpopular viewpoints, such as the Ku Klux Klan, neo-Nazis, the Nation of Islam, the North American Man/Boy Love Association, the Westboro Baptist Church or the Unite the Right rally. The ACLU's official policy is "... [we have] represented or defended individuals engaged in some truly offensive speech. We have defended the speech rights of communists, Nazis, Ku Klux Klan members, accused terrorists, pornographers, anti-LGBT activists, and flag burners. That's because the defense of freedom of speech is most necessary when the message is one most people find repulsive. Constitutional rights must apply to even the most unpopular groups if they're going to be preserved for everyone."
Early years
CLB era
The ACLU developed from the National Civil Liberties Bureau (CLB), co-founded in 1917 during World War I by Crystal Eastman, an attorney activist, and Roger Nash Baldwin. The focus of the CLB was on freedom of speech, primarily anti-war speech, and on supporting conscientious objectors who did not want to serve in World War I.
Three United States Supreme Court decisions in 1919 each upheld convictions under laws against certain anti-war speech. In 1919, the Court upheld the conviction of Socialist Party leader Charles Schenck for publishing anti-war literature. In Debs v. United States, the court upheld the conviction of Eugene Debs. While the Court upheld a conviction a third time in Abrams v. United States, Justice Oliver Wendell Holmes wrote an important dissent which has gradually been absorbed as an American principle: he urged the court to treat freedom of speech as a fundamental right, which should rarely be restricted.
In 1918, Crystal Eastman resigned from the organization due to health issues. After assuming sole leadership of the CLB, Baldwin insisted that the organization be reorganized. He wanted to change its focus from litigation to direct action and public education.
The CLB directors concurred, and on January 19, 1920, they formed an organization under a new name, the American Civil Liberties Union. Although a handful of other organizations in the United States at that time focused on civil rights, such as the National Association for the Advancement of Colored People (NAACP) and Anti-Defamation League (ADL), the ACLU was the first that did not represent a particular group of persons or a single theme. Like the CLB, the NAACP pursued litigation to work on civil rights, including efforts to overturn the disfranchisement of African Americans in the South that had taken place since the turn of the century.
During the first decades of the ACLU, Baldwin continued as its leader. His charisma and energy attracted many supporters to the ACLU board and leadership ranks. Baldwin was ascetic, wearing hand-me-down clothes, pinching pennies, and living on a minimal salary. The ACLU was directed by an executive committee and was not particularly democratic or egalitarian. New Yorkers dominated the ACLU's headquarters. Most ACLU funding came from philanthropies, such as the Garland Fund.
Free speech era
In the 1920s, government censorship was commonplace. Magazines were routinely confiscated under the anti-obscenity Comstock laws; permits for labor rallies were often denied; and virtually all anti-war or anti-government literature was outlawed. Right-wing conservatives wielded vast amounts of power, and activists that promoted unionization, socialism, or government reform were often denounced as un-American or unpatriotic. In one typical instance in 1923, author Upton Sinclair was arrested for trying to read the First Amendment during an Industrial Workers of the World rally.
ACLU leadership was divided on how to challenge civil rights violations. One faction, including Baldwin, Arthur Garfield Hays, and Norman Thomas, believed that direct, militant action was the best path. Hays was the first of many successful attorneys that relinquished their private practices to work for the ACLU. Another group, including Walter Nelles and Walter Pollak, felt that lawsuits taken to the Supreme Court were the best way to achieve change.
During the 1920s, the ACLU's primary focus was on freedom of speech in general and speech within the labor movement particularly. Because most of the ACLU's efforts were associated with the labor movement, the ACLU itself came under heavy attack from conservative groups, such as the American Legion, the National Civic Federation, and Industrial Defense Association and the Allied Patriotic Societies.
In addition to labor, the ACLU also led efforts in non-labor arenas, for example, promoting free speech in public schools. The ACLU was banned from speaking in New York public schools in 1921. The ACLU, working with the NAACP, also supported racial discrimination cases. The ACLU defended free speech regardless of espoused opinions. For example, the reactionary, anti-Catholic, anti-black Ku Klux Klan (KKK) was a frequent target of ACLU efforts, but the ACLU defended the KKK's right to hold meetings in 1923. There were some civil rights that the ACLU did not make an effort to defend in the 1920s, including censorship of the arts, government search and seizure issues, right to privacy, or wiretapping.
Government officials routinely hounded the Communist Party USA, leading it to be the primary client of the ACLU. At the same time, the Communists were very aggressive in their tactics, often engaging in illegal conduct such as denying their party membership under oath. This led to frequent conflicts between the Communists and ACLU. Communist leaders sometimes attacked the ACLU, particularly when the ACLU defended the free speech rights of conservatives, whereas Communists tried to disrupt speeches by critics of the USSR. This uneasy relationship between the two groups continued for decades.
Public schools
Scopes trial
When 1925 arrived five years after the ACLU was formed the organization had virtually no success to show for its efforts. That changed in 1925, when the ACLU persuaded John T. Scopes to defy Tennessee's anti-evolution law in The State of Tennessee v. John Thomas Scopes. Clarence Darrow, a member of the ACLU National Committee, headed Scopes' legal team. The prosecution, led by William Jennings Bryan, contended that the Bible should be interpreted literally in teaching creationism in school. The ACLU lost the case, and Scopes was fined $100. The Tennessee Supreme Court later upheld the law. Still, it overturned the conviction on a technicality.
The Scopes trial was a phenomenal public relations success for the ACLU. The ACLU became well known across America, and the case led to the first endorsement of the ACLU by a major US newspaper. The ACLU continued to fight for the separation of church and state in schoolrooms, decade after decade, including the 1982 case McLean v. Arkansas and the 2005 case Kitzmiller v. Dover Area School District.
Baldwin was involved in a significant free speech victory of the 1920s after he was arrested for attempting to speak at a rally of striking mill workers in New Jersey. Although the decision was limited to the state of New Jersey, the appeals court's judgment in 1928 declared that constitutional guarantees of free speech must be given "liberal and comprehensive construction", and it marked a major turning point in the civil rights movement, signaling the shift of judicial opinion in favor of civil rights.
The most important ACLU case of the 1920s was Gitlow v. New York, in which Benjamin Gitlow was arrested for violating a state law against inciting anarchy and violence when he distributed literature promoting communism. Although the Supreme Court did not overturn Gitlow's conviction, it adopted the ACLU's stance (later termed the incorporation doctrine) that the First Amendment freedom of speech applied to state laws, as well as federal laws.
Pierce v. Society of Sisters
After the First World War, many native-born Americans had a revival of concerns about the assimilation of immigrants and worries about "foreign" values; they wanted public schools to teach children to be American. Numerous states drafted laws designed to use schools to promote a common American culture, and in 1922, the voters of Oregon passed the Oregon Compulsory Education Act. The law was primarily aimed at eliminating parochial schools, including Catholic schools. It was promoted by groups such as the Knights of Pythias, the Federation of Patriotic Societies, the Oregon Good Government League, the Orange Order, and the Ku Klux Klan.
The Oregon Compulsory Education Act required almost all children in Oregon between eight and sixteen years of age to attend public school by 1926. Associate Director Roger Nash Baldwin, a personal friend of Luke E. Hart, the then–Supreme Advocate and future Supreme Knight of the Knights of Columbus, offered to join forces with the Knights to challenge the law. The Knights of Columbus pledged an immediate $10,000 to fight the law and any additional funds necessary to defeat it.
The case became known as Pierce v. Society of Sisters, a seminal United States Supreme Court decision that significantly expanded coverage of the Due Process Clause in the Fourteenth Amendment. In a unanimous decision, the court held that the act was unconstitutional and that parents, not the state, had the authority to educate children as they thought best. It upheld the religious freedom of parents to educate their children in religious schools.
Early strategy
Leaders of the ACLU were divided on the best tactics to use to promote civil liberties. Felix Frankfurter felt that legislation was the best long-term solution because the Supreme Court could not (and in his opinion should not) mandate liberal interpretations of the Bill of Rights. But Walter Pollak, Morris Ernst, and other leaders felt that Supreme Court decisions were the best path to guarantee civil liberties. A series of Supreme Court decisions in the 1920s foretold a changing national atmosphere; anti-radical emotions were diminishing, and there was a growing willingness to protect freedom of speech and assembly via court decisions.
Free speech expansion
Censorship was commonplace in the early 20th century. State laws and city ordinances routinely outlawed speech deemed obscene or offensive and prohibited meetings or literature promoting unions or labor organizations. Starting in 1926, the ACLU expanded its free speech activities to encompass censorship of art and literature. In that year, H. L. Mencken deliberately broke Boston law by distributing copies of his banned American Mercury magazine; the ACLU defended him and won an acquittal. The ACLU went on to win additional victories, including the landmark case United States v. One Book Called Ulysses in 1933, which reversed a ban by the Customs Department against the book Ulysses by James Joyce. The ACLU only achieved mixed results in the early years, and it was not until 1966 that the Supreme Court finally clarified the obscenity laws in the Roth v. United States and Memoirs v. Massachusetts cases.
The Comstock laws banned the distribution of sex education information based on the premise that it was obscene and led to promiscuous behavior. Mary Ware Dennett was fined $300 in 1928 for distributing a pamphlet containing sex education material. The ACLU, led by Morris Ernst, appealed her conviction and won a reversal, in which judge Learned Hand ruled that the pamphlet's primary purpose was to "promote understanding".
The success prompted the ACLU to broaden their freedom of speech efforts beyond labor and political speech to encompass movies, press, radio, and literature. The ACLU formed the National Committee on Freedom from Censorship in 1931 to coordinate this effort. By the early 1930s, censorship in the United States was diminishing.
Two major victories in the 1930s cemented the ACLU's campaign to promote free speech. In Stromberg v. California, decided in 1931, the Supreme Court sided with the ACLU and affirmed the right of a communist party member to salute a communist flag. The result was the first time the Supreme Court used the Due Process Clause of the 14th amendment to subject states to the requirements of the First Amendment. In Near v. Minnesota, also decided in 1931, the Supreme Court ruled that states may not exercise prior restraint and prevent a newspaper from publishing, simply because the newspaper had a reputation for being scandalous.
1930s
The late 1930s saw the emergence of a new era of tolerance in the United States. National leaders hailed the Bill of Rights, particularly as it protected minorities, as the essence of democracy. The 1939 Supreme Court decision in Hague v. Committee for Industrial Organization affirmed the right of communists to promote their cause. Even conservative elements, such as the American Bar Association, began to campaign for civil liberties, which were long considered to be the domain of left-leaning organizations. By 1940, the ACLU had achieved many of the goals it set in the 1920s, and many of its policies were the law of the land.
Expansion
In 1929, after the Scopes and Dennett victories, Baldwin perceived that there was vast, untapped support for civil liberties in the United States. Baldwin proposed an expansion program for the ACLU, focusing on police brutality, Native American rights, African American rights, censorship in the arts, and international civil liberties. The board of directors approved Baldwin's expansion plan, except for the international efforts.
The ACLU played a significant role in passing the 1932 Norris–La Guardia Act, a federal law that prohibited employers from preventing employees from joining unions and stopped the practice of outlawing strikes, marriages, and labor organizing activities with the use of injunctions. The ACLU also played a key role in initiating a nationwide effort to reduce misconduct (such as extracting false confessions) within police departments by publishing the report Lawlessness in Law Enforcement in 1931, under the auspices of Herbert Hoover's Wickersham Commission. In 1934, the ACLU lobbied for the passage of the Indian Reorganization Act, which restored some autonomy to Native American tribes, and established penalties for kidnapping Native American children.
Although the ACLU deferred to the NAACP for litigation promoting civil liberties for African Americans, the ACLU engaged in educational efforts and published Black Justice in 1931, a report which documented institutional racism throughout the South, including lack of voting rights, segregation, and discrimination in the justice system. Funded by the Garland Fund, the ACLU also participated in producing the influential Margold Report, which outlined a strategy to fight for civil rights for blacks. The ACLU planned to demonstrate that the "separate but equal" policies governing the Southern discrimination were illegal because blacks were never, in fact, treated equally.
Depression era and the New Deal
In 1932twelve years after the ACLU was foundedit had achieved significant success; the Supreme Court had embraced the free speech principles espoused by the ACLU, and the general public was becoming more supportive of civil rights in general. But the Great Depression brought new assaults on civil liberties; the year 1930 saw a large increase in the number of free speech prosecutions, a doubling of the number of lynchings, and all meetings of unemployed persons were banned in Philadelphia.
The Franklin D. Roosevelt administration proposed the New Deal to combat the depression. ACLU leaders were of mixed opinions about the New Deal since many felt that it represented an increase in government intervention into personal affairs and because the National Recovery Administration suspended antitrust legislation. Roosevelt was not personally interested in civil rights but did appoint many civil libertarians to key positions, including Interior Secretary Harold Ickes, a member of the ACLU.
The economic policies of the New Deal leaders were often aligned with ACLU goals, but social goals were not. In particular, movies were subject to a barrage of local ordinances that banned screenings deemed immoral or obscene. Even public health films portraying pregnancy and birth were banned, as was Life magazine's April 11, 1938, issue, which included photos of the birth process. The ACLU fought these bans but did not prevail.
The Catholic Church attained increasing political influence in the 1930s; it used its influence to promote the censorship of movies and to discourage the publication of birth control information. This conflict between the ACLU and the Catholic Church led to the resignation of the last Catholic priest from ACLU leadership in 1934; a Catholic priest would not be represented again until the 1970s.
The ACLU took no official position on president Franklin Delano Roosevelt's 1937 court-packing plan, which threatened to increase the number of Supreme Court justices unless the Supreme Court reversed its course and began approving New Deal legislation. The Supreme Court responded by making a major shift in policy, and no longer applied strict constitutional limits to government programs, and also began to take a more active role in protecting civil liberties.
The first decision that marked the court's new direction was De Jonge v. Oregon, in which a communist labor organizer was arrested for calling a meeting to discuss unionization. The ACLU attorney Osmond Fraenkel, working with International Labor Defense, defended De Jonge in 1937 and won a major victory when the Supreme Court ruled that "peaceable assembly for lawful discussion cannot be made a crime." The De Jonge case marked the start of an era lasting for a dozen years, during which Roosevelt appointees (led by Hugo Black, William O. Douglas, and Frank Murphy) established a body of civil liberties law. In 1938, Justice Harlan F. Stone wrote the famous "footnote four" in United States v. Carolene Products Co. in which he suggested that state laws which impede civil liberties wouldhenceforthrequire compelling justification.
Senator Robert F. Wagner proposed the National Labor Relations Act in 1935, which empowered workers to unionize. Ironically, after 15 years of fighting for workers' rights, the ACLU initially opposed the act (it later took no stand on the legislation) because some ACLU leaders feared the increased power the bill gave to the government. The newly formed National Labor Relations Board (NLRB) posed a dilemma for the ACLU because, in 1937, it issued an order to Henry Ford, prohibiting Ford from disseminating anti-union literature. Part of the ACLU leadership habitually took the side of labor, and that faction supported the NLRB's action. But part of the ACLU supported Ford's right to free speech. ACLU leader Arthur Garfield Hays proposed a compromise (supporting the auto workers union, yet also endorsing Ford's right to express personal opinions), but the schism highlighted a deeper divide that would become more prominent in the years to come.
The ACLU's support of the NLRB was a significant development for the ACLU because it marked the first time it accepted that a government agency could be responsible for upholding civil liberties. Until 1937, the ACLU felt that citizens and private organizations best upheld civil rights.
Some factions in the ACLU proposed new directions for the organization. In the late 1930s, some local affiliates proposed shifting their emphasis from civil liberties appellate actions to becoming a legal aid society centered on store front offices in low-income neighborhoods. The ACLU directors rejected that proposal. Other ACLU members wanted the ACLU to shift focus into the political arena and be more willing to compromise their ideals to strike deals with politicians. The ACLU leadership also rejected this initiative.
Jehovah's Witnesses
The ACLU's support of defendants with unpopular, sometimes extreme, viewpoints has produced many landmark court cases and established new civil liberties. One such defendant was the Jehovah's Witnesses, who were involved in a large number of Supreme Court cases. Cases that the ACLU supported included Lovell v. City of Griffin (which struck down a city ordinance that required a permit before a person could distribute "literature of any kind"); Martin v. Struthers (which struck down an ordinance prohibiting door-to-door canvassing); and Cantwell v. Connecticut (which reversed the conviction of a Witness who was reciting offensive speech on a street corner).
The most important cases involved statutes requiring flag salutes. The Jehovah's Witnesses felt that saluting a flag was contrary to their religious beliefs. Two children were convicted in 1938 of not saluting the flag. The ACLU supported their appeal to the Supreme Court, but the court affirmed the conviction in 1940. But three years later, in West Virginia State Board of Education v. Barnette, the Supreme court reversed itself and wrote, "If there is any fixed star in our constitutional constellation, it is that no official, high or petty, can prescribe what shall be orthodox in politics, nationalism, religion, or other matters of opinion or force citizens to confess by word or act their faith therein." To underscore its decision, the Supreme Court announced it on Flag Day.
Communism and totalitarianism
The rise of totalitarian regimes in Germany, Russia, and other countries that rejected freedom of speech and association greatly impacted the civil liberties movement in the US; anti-Communist sentiment rose, and civil liberties were curtailed.
The ACLU leadership was divided over whether or not to defend pro-Nazi speech in the United States; pro-labor elements within the ACLU were hostile towards Nazism and fascism and objected when the ACLU defended Nazis. Several states passed laws outlawing hate speech directed at ethnic groups. The first person arrested under New Jersey's 1935 hate speech law was a Jehovah's Witness who was charged with disseminating anti-Catholic literature. The ACLU defended the Jehovah's Witnesses, and the charges were dropped. The ACLU defended numerous pro-Nazi groups, defending their rights to free speech and free association.
In the late 1930s, the ACLU allied itself with the Popular Front, a coalition of liberal organizations coordinated by the United States Communist Party. The ACLU benefited because affiliates from the Popular Front could often fight local civil rights battles much more effectively than the New York-based ACLU. The association with the Communist Party led to accusations that the ACLU was a "Communist front", particularly because Harry F. Ward was both chairman of the ACLU and chairman of the American League Against War and Fascism, a Communist organization.
The House Un-American Activities Committee (HUAC) was created in 1938 to uncover sedition and treason within the United States. When witnesses testified at its hearings, the ACLU was mentioned several times, leading the HUAC to mention the ACLU prominently in its 1939 report. This damaged the ACLU's reputation severely, even though the report said that it could not "definitely state whether or not" the ACLU was a Communist organization.
While the ACLU rushed to defend its image against allegations of being a Communist front, it also protected witnesses harassed by the HUAC. The ACLU was one of the few organizations to protest (unsuccessfully) against the passage of the Smith Act in 1940, which would later be used to imprison many persons who supported Communism. The ACLU defended many persons who were prosecuted under the Smith Act, including labor leader Harry Bridges.
ACLU leadership was split on whether to purge its leadership of Communists. Norman Thomas, John Haynes Holmes, and Morris Ernst were anti-Communists who wanted to distance the ACLU from Communism; opposing them were Harry F. Ward, Corliss Lamont, and Elizabeth Gurley Flynn, who rejected any political test for ACLU leadership. A bitter struggle ensued throughout 1939, and the anti-Communists prevailed in February 1940 when the board voted to prohibit anyone who supported totalitarianism from ACLU leadership roles. Ward immediately resigned, andfollowing a contentious six-hour debateFlynn was voted off the ACLU's board. The 1940 resolution was considered by many to be a betrayal of its fundamental principles. The resolution was rescinded in 1968, and Flynn was posthumously reinstated to the ACLU in 1970.
Mid-century
World War II
When World War II engulfed the United States, the Bill of Rights was enshrined as a hallowed document, and numerous organizations defended civil liberties. Chicago and New York proclaimed "Civil Rights" weeks, and President Franklin Delano Roosevelt announced a national Bill of Rights day. Eleanor Roosevelt was the keynote speaker at the 1939 ACLU convention. Despite this newfound respect for civil rights, Americans were becoming adamantly anti-communist and believed that excluding communists from American society was an essential step to preserve democracy.
Contrasted to World War I, there was relatively little violation of civil liberties during World War II. President Roosevelt was a strong supporter of civil liberties, butmore importantlythere were few anti-war activists during World War II. The most significant exception was the internment of Japanese Americans.
Japanese American internment
Two months after the Japanese attack on Pearl Harbor, Roosevelt authorized the creation of military "exclusion zones" with Executive Order 9066, paving the way for the detention of all West Coast Japanese Americans in inland camps. In addition to the non-citizen Issei (prohibited from naturalization as members of an "unassimilable" race), over two-thirds of those swept up were American-born citizens. The ACLU immediately protested to Roosevelt, comparing the evacuations to Nazi concentration camps. The ACLU was the only major organization to object to the internment plan, and their position was very unpopular, even within the organization. Not all ACLU leaders wanted to defend the Japanese Americans; Roosevelt loyalists such as Morris Ernst wanted to support Roosevelt's war effort, but pacifists such as Baldwin and Norman Thomas felt that Japanese Americans needed access to due process before they could be imprisoned. In a March 20, 1942, letter to Roosevelt, Baldwin called on the administration to allow Japanese Americans to prove their loyalty at individual hearings, describing the constitutionality of the planned removal "open to grave question". His suggestions went nowhere, and opinions within the organization became increasingly divided as the Army began the "evacuation" of the West Coast. In May, the two factions, one pushing to fight the exclusion orders then being issued, the other advocating support for the President's policy of removing citizens whose "presence may endanger national security", brought their opposing resolutions to a vote before the board and the ACLU's national leaders. They decided not to challenge the eviction of Japanese American citizens; on June 22, instructions were sent to West Coast branches not to support cases that argued the government had no constitutional right to do so.
The ACLU offices on the West Coast had been more directly involved in addressing the tide of anti-Japanese prejudice from the start, as they were geographically closer to the issue and were already working on cases challenging the exclusion by this time. The Seattle office, assisting in Gordon Hirabayashi's lawsuit, created an unaffiliated committee to continue the work the ACLU had started, while in Los Angeles, attorney A.L. Wirin continued to represent Ernest Kinzo Wakayama but without addressing the case's constitutional questions. Wirin would lose private clients because of his defense of Wakayama and other Japanese Americans; however, the San Francisco branch, led by Ernest Besig, refused to discontinue its support for Fred Korematsu, whose case had been taken on before the June 22 directive, and attorney Wayne Collins, with Besig's full support, centered his defense on the illegality of Korematsu's exclusion.
The West Coast offices had wanted a test case to take to court. However, they had a difficult time finding a Japanese American who was both willing to violate the internment orders and able to meet the ACLU's desired criteria of a sympathetic, Americanized plaintiff. Of the 120,000 Japanese Americans affected by the order, only 12 disobeyed, and Korematsu, Hirabayashi, and two others were the only resisters whose cases eventually made it to the Supreme Court. Hirabayashi v. United States came before the Court in May 1943, and the justices upheld the government's right to exclude Japanese Americans from the West Coast; although it had earlier forced its local office in L.A. to stop aiding Hirabayashi, the ACLU donated $1,000 to the case (over a third of the legal team's total budget) and submitted an amicus brief. Besig, dissatisfied with Osmond Fraenkel's tamer defense, filed an additional amicus brief that directly addressed Hirabayashi's constitutional rights. In the meantime, A.L. Wirin served as one of the attorneys in Yasui v. United States (decided the same day as the Hirabayashi case and with the same results). Still, he kept his arguments within the national office's parameters. The only case to receive a favorable ruling, ex parte Endo, was also aided by two amicus briefs from the ACLU, one from the more conservative Fraenkel and another from the more putative Wayne Collins.
Korematsu v. United States proved to be the most controversial of these cases, as Besig and Collins refused to bow to the national ACLU office's pressure to pursue the case without challenging the government's right to remove citizens from their homes. The ACLU board threatened to revoke the San Francisco branch's national affiliation. At the same time, Baldwin tried unsuccessfully to convince Collins to step down so he could replace him as lead attorney in the case. Eventually, Collins agreed to present the case alongside Charles Horsky; however, their arguments before the Supreme Court remained based on the unconstitutionality of the exclusion order Korematsu had disobeyed. The case was decided in December 1944, when the Court once again upheld the government's right to relocate Japanese Americans, although Korematsu's, Hirabayashi's and Yasui's convictions were later overturned in coram nobis proceedings in the 1980s. Legal scholar Peter Irons later asserted that the national office of the ACLU's decision not to challenge the constitutionality of Executive Order 9066 directly had "crippled the effective presentation of these appeals to the Supreme Court".
The national office of the ACLU was even more reluctant to defend anti-war protesters. A majority of the board passed a resolution in 1942 that declared the ACLU unwilling to defend anyone who interfered with the United States' war effort. Included in this group were the thousands of Nisei who renounced their US citizenship during the war but later regretted the decision and tried to revoke their applications for "repatriation". (A significant number of those slated to "go back" to Japan had never actually been to the country and were being deported rather than repatriated.) Ernest Besig had in 1944 visited the Tule Lake Segregation Center, where the majority of these "renunciants" were concentrated, and subsequently enlisted Wayne Collins' help to file a lawsuit on their behalf, arguing the renunciations had been given under duress. The national organization prohibited local branches from representing the renunciants, forcing Collins to pursue the case independently, although Besig and the Northern California office provided some support.
During his 1944 visit to Tule Lake, Besig had also become aware of a hastily constructed stockade in which Japanese American internees were routinely being brutalized and held for months without due process. The national ACLU office forbade Besig to intervene on behalf of the stockade prisoners or even to visit the Tule Lake camp without prior written approval from Baldwin. Unable to help directly, Besig turned to Wayne Collins for assistance. Using the threat of habeas corpus suits, Collins managed to have the stockade closed down. A year later, after learning that the stockade had been reestablished, he returned to the camp and had it closed down for good.
End of WWII in 1945
When the war ended in 1945, the ACLU was 25 years old and had accumulated impressive legal victories. President Harry S. Truman sent a congratulatory telegram to the ACLU on the occasion of their 25th anniversary. American attitudes had changed since World War I, and dissent by minorities was tolerated with more willingness. The Bill of Rights was more respected, and minority rights were becoming more commonly championed. During their 1945 annual conference, the ACLU leaders composed a list of important civil rights issues to focus on in the future, including racial discrimination and separation of church and state.
The ACLU supported the African-American defendants in Shelley v. Kraemer, when they tried to occupy a house they had purchased in a neighborhood with racially restrictive housing covenants. The African-American purchasers won the case in 1945.
Cold War era
Anti-Communist sentiment gripped the United States during the Cold War beginning in 1946. Federal investigations caused many persons with Communist or left-leaning affiliations to lose jobs, become blocklisted, or be jailed. During the Cold War, although the United States collectively ignored the civil rights of Communists, other civil libertiessuch as due process in law and separation of church and statecontinued to be reinforced and even expanded.
The ACLU was internally divided when it purged Communists from its leadership in 1940, and that ambivalence continued as it decided whether to defend alleged Communists during the late 1940s. Some ACLU leaders were anti-Communist and felt that the ACLU should not defend any victims. Some ACLU leaders felt that Communists were entitled to free speech protections and that the ACLU should defend them. Other ACLU leaders were uncertain about the threat posed by Communists and tried to establish a compromise between the two extremes. This ambivalent state of affairs would last until 1954, when the civil liberties faction prevailed, leading to most anti-Communist leaders' resignations.
In 1947, President Truman issued Executive Order 9835, which created the Federal Loyalty Program. This program authorized the Attorney General to create a list of organizations that were deemed to be subversive. Any association with these programs was ground for barring the person from employment. Listed organizations were not notified that they were being considered for the list, nor did they have an opportunity to present counterarguments; nor did the government divulge any factual basis for inclusion in the list. Although ACLU leadership was divided on whether to challenge the Federal Loyalty Program, some challenges were successfully made.
Also in 1947, the House Un-American Activities Committee (HUAC) subpoenaed ten Hollywood directors and writers, the Hollywood Ten, intending to ask them to identify Communists, but the witnesses refused to testify. All were imprisoned for contempt of Congress. The ACLU supported several artists' appeals but lost on appeal. The Hollywood establishment panicked after the HUAC hearings and created a blacklist that prohibited anyone with leftist associations from working. The ACLU supported legal challenges to the blocklist, but those challenges failed. The ACLU was more successful with an education effort; the 1952 report The Judges and the Judged, prepared at the ACLU's direction in response to the blocklisting of actress Jean Muir, described the unfair and unethical actions behind the blocklisting process, and it helped gradually turn public opinion against McCarthyism.
The federal government took direct aim at the US Communist Party in 1948 when it indicted its top twelve leaders in the Foley Square trial. The case hinged on whether or not mere membership in a totalitarian political party was sufficient to conclude that members advocated the overthrow of the United States government. The ACLU chose not to represent any of the defendants, and they were all found guilty and sentenced to three to five years in prison. Their defense attorneys were all cited for contempt, went to prison, and were disbarred. When the government indicted additional party members, the defendants could not find attorneys to represent them. Communists protested outside the courthouse; a bill to outlaw picketing of courthouses was introduced in Congress, and the ACLU supported the anti-picketing law.
In a change of heart, the ACLU supported the party leaders during their appeal process. The Supreme Court upheld the convictions in the Dennis v. United States decision by softening the free speech requirements from a "clear and present danger" test to a "grave and probable" test. The ACLU issued a public condemnation of the Dennis decision, and resolved to fight it. One reason for the Supreme Court's support of Cold War legislation was the 1949 deaths of Supreme Court justices Frank Murphy and Wiley Rutledge, leaving Hugo Black and William O. Douglas as the only remaining civil libertarians on the Court.
The Dennis decision paved the way for the prosecution of hundreds of other Communist party members. The ACLU supported many Communists during their appeals (although most of the initiative originated with local ACLU affiliates, not the national headquarters), but most convictions were upheld. The two California affiliates, in particular, felt the national ACLU headquarters was not supporting civil liberties strongly enough, and they initiated more cold war cases than the national headquarters did.
The ACLU challenged many loyalty oath requirements across the country, but the courts upheld most loyalty oath laws. California ACLU affiliates successfully challenged the California state loyalty oath. The Supreme Court, until 1957, upheld nearly every law which restricted the liberties of Communists.
The ACLU, even though it scaled back its defense of Communists during the Cold War, still came under heavy criticism as a "front" for Communism. Critics included the American Legion, Senator Joseph McCarthy, the HUAC, and the FBI. Several ACLU leaders were sympathetic to the FBI, and as a consequence, the ACLU rarely investigated any of the many complaints alleging abuse of power by the FBI during the Cold War.
In 1950, Raymond L. Wise, ACLU board member 1933–1951, defended William Perl, one of the other spies embroiled in the atomic espionage cases (made famous by the execution of Julius Rosenberg and Ethel Rosenberg). However, the ACLU publicly endorsed the guilty verdict in the Rosenberg case. The ACLU took the position that the execution of the Rosenbergs did not involve a civil rights issue.
Organizational change
In 1950, the ACLU board of directors asked executive director Baldwin to resign, feeling he lacked the organizational skills to lead the 9,000 (and growing) member organization. Baldwin objected, but a majority of the board elected to remove him from the position, and he was replaced by Patrick Murphy Malin. Under Malin's guidance, membership tripled to 30,000 by 1955the start of 24 years of continual growth leading to 275,000 members in 1974. Malin also presided over an expansion of local ACLU affiliates.
The ACLU, controlled by an elite of a few dozen New Yorkers, became more democratic in the 1950s. In 1951, the ACLU amended its bylaws to permit the local affiliates to participate directly in voting on ACLU policy decisions. A bi-annual conference, open to the entire membership, was instituted in the same year; in later decades, it became a pulpit for activist members, who suggested new directions for the ACLU, including abortion rights, death penalty, and rights of the poor.
McCarthy era
During the early 1950s, the ACLU continued to steer a moderate course through the Cold War. When singer Paul Robeson was denied a passport in 1950, even though he was not accused of any illegal acts, the ACLU chose not to defend him. The ACLU later reversed their stance and supported William Worthy and Rockwell Kent in their passport confiscation cases, which resulted in legal victories in the late 1950s.
In response to communist witch-hunts, many witnesses and employees chose to use the fifth amendment protection against self-incrimination to avoid divulging information about their political beliefs. Government agencies and private organizations, in response, established policies which inferred communist party membership for anyone who invoked the fifth amendment. The national ACLU was divided on whether to defend employees who had been fired merely for pleading the fifth amendment, but the New York affiliate successfully assisted teacher Harry Slochower in his Supreme Court case, which reversed his termination.
The fifth amendment issue became the catalyst for a watershed event in 1954, which finally resolved the ACLU's ambivalence by ousting the anti-communists from ACLU leadership. In 1953, the anti-communists, led by Norman Thomas and James Fly, proposed a set of resolutions that inferred guilt of persons that invoked the fifth amendment. These resolutions were the first that fell under the ACLU's new organizational rules permitting local affiliates to participate in the vote; the affiliates outvoted the national headquarters and rejected the anti-communist resolutions. Anti-communist leaders refused to accept the results of the vote and brought the issue up for discussion again at the 1954 bi-annual convention. ACLU member Frank Graham, president of the University of North Carolina, attacked the anti-communists with a counter-proposal, which stated that the ACLU "stand[s] against guilt by association, judgment by accusation, the invasion of privacy of personal opinions and beliefs, and the confusion of dissent with disloyalty". The anti-communists continued to battle Graham's proposal but were outnumbered by the affiliates. The anti-communists finally gave up and departed the board of directors in late 1954 and 1955, ending an eight-year ambivalence within the ACLU leadership ranks. After that, the ACLU proceeded with firmer resolve against Cold War anti-communist legislation. The period from the 1940 resolution (and the purge of Elizabeth Flynn) to the 1954 resignation of the anti-communist leaders is considered by many to be an era in which the ACLU abandoned its core principles.
McCarthyism declined in late 1954 after television journalist Edward R. Murrow and others publicly chastised McCarthy. The controversies over the Bill of Rights that the Cold War generated ushered in a new era in American Civil liberties. In 1954, in Brown v. Board of Education, the Supreme Court unanimously overturned state-sanctioned school segregation, and after that, a flood of civil rights victories dominated the legal landscape.
The Supreme Court handed the ACLU two key victories in 1957, in Watkins v. United States and Yates v. United States, both of which undermined the Smith Act and marked the beginning of the end of communist party membership inquiries. In 1965, the Supreme Court produced some decisions, including Lamont v. Postmaster General (in which the plaintiff was Corliss Lamont, a former ACLU board member), which upheld fifth amendment protections and brought an end to restrictions on political activity.
1960s
The decade from 1954 to 1964 was the most successful period in the ACLU's history. Membership rose from 30,000 to 80,000, and by 1965 it had affiliates in seventeen states. During the ACLU's bi-annual conference in Colorado in 1964, the Supreme Court issued rulings on eight cases involving the ACLU; the ACLU prevailed on seven of the eight. The ACLU played a role in Supreme Court decisions reducing censorship of literature and arts, protecting freedom of association, prohibiting racial segregation, excluding religion from public schools, and providing due process protection to criminal suspects. The ACLU's success arose from changing public attitudes; the American populace was more educated, tolerant, and willing to accept unorthodox behavior.
Separation of church and state
Legal battles concerning the separation of church and state originated in laws dating to 1938, which required religious instruction in school or provided state funding for religious schools. The Catholic church was a leading proponent of such laws, and the primary opponents (the "separationists") were the ACLU, Americans United for Separation of Church and State, and the American Jewish Congress. The ACLU led the challenge in the 1947 Everson v. Board of Education case, in which Justice Hugo Black wrote "[t]he First Amendment has erected a wall between church and state.... That wall must be kept high and impregnable." It was not clear that the Bill of Rights forbid state governments from supporting religious education, and strong legal arguments were made by religious proponents, arguing that the Supreme Court should not act as a "national school board", and that the Constitution did not govern social issues. However, the ACLU and other advocates of church/state separation persuaded the Court to declare such activities unconstitutional. Historian Samuel Walker writes that the ACLU's "greatest impact on American life" was its role in persuading the Supreme Court to "constitutionalize" so many public controversies.
In 1948, the ACLU prevailed in the McCollum v. Board of Education case, which challenged public school religious classes taught by clergy paid for by private funds. The ACLU also won cases challenging schools in New Mexico that were taught by clergy and had crucifixes hanging in the classrooms. In the 1960s, the ACLU, in response to member insistence, turned its attention to the in-class promotion of religion. In 1960, 42 percent of American schools included Bible reading. In 1962, the ACLU published a policy statement condemning in-school prayers, observation of religious holidays, and Bible reading. The Supreme Court concurred with the ACLU's position when it prohibited New York's in-school prayers in the 1962 Engel v. Vitale decision. Religious factions across the country rebelled against the anti-prayer decisions, leading them to propose the School Prayer Constitutional Amendment, which declared in-school prayer legal. The ACLU participated in a lobbying effort against the amendment, and the 1966 congressional vote failed to obtain the required two-thirds majority.
However, not all cases were victories; ACLU lost cases in 1949 and 1961 which challenged state laws requiring commercial businesses to close on Sunday, the Christian Sabbath. The Supreme Court has never overturned such laws, although some states subsequently revoked many of the laws under pressure from commercial interests.
Freedom of expression
During the 1940s and 1950s, the ACLU continued its battle against censorship of art and literature. In 1948, the New York affiliate of the ACLU received mixed results from the Supreme Court, winning the appeal of Carl Jacob Kunz, who was convicted for speaking without a police permit, but losing the appeal of Irving Feiner who was arrested to prevent a breach of the peace, based on his oration denouncing President Truman and the American Legion. The ACLU lost the case of Joseph Beauharnais, who was arrested for group libel when he distributed literature impugning the character of African Americans.
Cities across America routinely banned movies because they were deemed to be "harmful", "offensive", or "immoral"censorship which was validated by the 1915 Mutual v. Ohio Supreme Court decision which held movies to be mere commerce, undeserving of first amendment protection. The film The Miracle was banned in New York in 1951 at the behest of the Catholic Church, but the ACLU supported the film's distributor in an appeal of the ban, and won a major victory in the 1952 decision Joseph Burstyn, Inc. v. Wilson. The Catholic Church led efforts throughout the 1950s attempting to persuade local prosecutors to ban various books and movies, leading to conflict with the ACLU when the ACLU published it statement condemning the church's tactics. Further legal actions by the ACLU successfully defended films such as M and la Ronde, leading the eventual dismantling of movie censorship. Hollywood continued employing self-censorship with its own Production Code, but in 1956 the ACLU called on Hollywood to abolish the Code.
The ACLU defended beat generation artists, including Allen Ginsberg who was prosecuted for his poem "Howl"; andin an unorthodox case the ACLU helped a coffee house regain its restaurant license which was revoked because its Beat customers were allegedly disturbing the peace of the neighborhood.
The ACLU lost an important press censorship case when, in 1957, the Supreme Court upheld the obscenity conviction of publisher Samuel Roth for distributing adult magazines. As late as 1953, books such as Tropic of Cancer and From Here to Eternity were still banned. But public standards rapidly became more liberal through the 1960s, and obscenity was notoriously difficult to define, so by 1971, obscenity prosecutions had halted.
Racial discrimination
A major aspect of civil liberties progress after World War II was the undoing centuries of racism in federal, state, and local governments an effort generally associated with the civil rights movement. Several civil liberties organizations worked together for progress, including the National Association for the Advancement of Colored People (NAACP), the ACLU, and the American Jewish Congress. The NAACP took primary responsibility for Supreme Court cases (often led by lead NAACP attorney Thurgood Marshall), with the ACLU focusing on police misconduct, and supporting the NAACP with amicus briefs. The NAACP achieved a key victory in 1950 with the Henderson v. United States decision that ended segregation in interstate bus and rail transportation.
In 1954, the ACLU filed an amicus brief in the case of Brown v. Board of Education, which led to the ban on racial segregation in US public schools. Southern states instituted a McCarthyism-style witch-hunt against the NAACP, attempting to force it to disclose membership lists. The ACLU's fight against racism was not limited to segregation; in 1964, the ACLU provided key support to plaintiffs, primarily lower-income urban residents, in Reynolds v. Sims, which required states to establish the voting districts following the "one person, one vote" principle.
Police misconduct
The ACLU regularly tackled police misconduct issues, starting with the 1932 case Powell v. Alabama (right to an attorney), and including 1942's Betts v. Brady (right to an attorney), and 1951's Rochin v. California (involuntary stomach pumping). In the late 1940s, several ACLU local affiliates established permanent committees to address policing issues. During the 1950s and 1960s, the ACLU was responsible for substantially advancing the legal protections against police misconduct. In 1958, the Philadelphia affiliate was responsible for causing the City of Philadelphia to create the nation's first civilian police review board. In 1959, the Illinois affiliate published the first report in the nation, Secret Detention by the Chicago Police which documented unlawful detention by police.
Some of the most notable ACLU successes came in the 1960s when the ACLU prevailed in a string of cases limiting the power of police to gather evidence; in 1961's Mapp v. Ohio, the Supreme court required states to obtain a warrant before searching a person's home. The Gideon v. Wainwright decision in 1963 provided legal representation to indigents. In 1964, the ACLU persuaded the Court, in Escobedo v. Illinois, to permit suspects to have an attorney present during questioning. And, in 1966, Miranda v. Arizona federal decision required police to notify suspects of their constitutional rights, which was later extended to juveniles in the following year's in re Gault (1967) federal ruling. Although many law enforcement officials criticized the ACLU for expanding the rights of suspects, police officers also used the services of the ACLU. For example, when the ACLU represented New York City policemen in their lawsuit, which objected to searches of their workplace lockers. In the late 1960s, civilian review boards in New York City and Philadelphia were abolished, over the ACLU's objection.
Civil liberties revolution of the 1960s
The 1960s was a tumultuous era in the United States, and public interest in civil liberties underwent explosive growth. Civil liberties actions in the 1960s were often led by young people and often employed tactics such as sit ins and marches. Protests were often peaceful but sometimes employed militant tactics. The ACLU played a central role in all major civil liberties debates of the 1960s, including new fields such as gay rights, prisoner's rights, abortion, rights of the poor, and the death penalty. Membership in the ACLU increased from 52,000 at the beginning of the decade to 104,000 in 1970. In 1960, there were affiliates in seven states, and by 1974 there were affiliates in 46 states. During the 1960s, the ACLU underwent a major transformation in tactics; it shifted emphasis from legal appeals (generally involving amicus briefs submitted to the Supreme Court) to direct representation of defendants when they were initially arrested. At the same time, the ACLU transformed its style from "disengaged and elitist" to "emotionally engaged". The ACLU published a breakthrough document in 1963, titled How Americans Protest, which was borne of frustration with the slow progress in battling racism, and which endorsed aggressive, even militant protest techniques.
African-American protests in the South accelerated in the early 1960s, and the ACLU assisted at every step. After four African-American college students staged a sit-in in a segregated North Carolina department store, the sit-in movement gained momentum across the United States. During 1960–61, the ACLU defended black students arrested for demonstrating in North Carolina, Florida, and Louisiana. The ACLU also provided legal help for the Freedom Rides in 1961, the integration of the University of Mississippi, the Birmingham campaign in 1963, and the 1964 Freedom Summer.
The NAACP was responsible for managing most sit-in related cases that made it to the Supreme Court, winning nearly every decision. But it fell to the ACLU and other legal volunteer efforts to provide legal representation to hundreds of protestorswhite and blackwho were arrested while protesting in the South. The ACLU joined with other civil liberties groups to form the Lawyers Constitutional Defense Committee (LCDC), which provided legal representation to many protesters. The ACLU provided the majority of the funding for the LCDC.
In 1964, the ACLU opened up a major office in Atlanta, Georgia, dedicated to serving Southern issues. Much of the ACLU's progress in the South was due to Charles Morgan Jr., the charismatic leader of the Atlanta office. Morgan was responsible for desegregating juries (Whitus v. Georgia), desegregating prisons (Lee v. Washington), and reforming election laws. In 1966, the southern office successfully represented African-American congressman Julian Bond in Bond v. Floyd, after the Georgia House of Representatives refused to admit Bond into the legislature on the basis that he was an admitted pacifist opposed to the ongoing Vietnam War. Another widely publicized case defended by Morgan was that of Army doctor Howard Levy, who was convicted of refusing to train Green Berets. Despite raising the defense that the Green Berets were committing war crimes in Vietnam, Levy lost on appeal in Parker v. Levy, 417 US 733 (1974).
In 1969, the ACLU won a significant victory for free speech when it defended Dick Gregory after he was arrested for peacefully protesting against the mayor of Chicago. The court ruled in Gregory v. Chicago that a speaker cannot be arrested for disturbing the peace when hostility is initiated by someone in the audience, as that would amount to a "heckler's veto".
Vietnam War
The ACLU was at the center of several legal aspects of the Vietnam war: defending draft resisters, challenging the constitutionality of the war, the potential impeachment of Richard Nixon, and the use of national security concerns to preemptively censor newspapers.
David J. Miller was the first person prosecuted for burning his draft card. The New York affiliate of the ACLU appealed his 1965 conviction (367 F.2d 72: United States of America v. David J. Miller, 1966), but the Supreme Court refused to hear the appeal. Two years later, the Massachusetts affiliate took the card-burning case of David O'Brien to the Supreme Court, arguing that the act of burning was a form of symbolic speech, but the Supreme Court upheld the conviction in United States v. O'Brien, 391 US 367 (1968). Thirteen-year-old Junior High student Mary Tinker wore a black armband to school in 1965 to object to the war and was suspended from school. The ACLU appealed her case to the Supreme Court and won a victory in Tinker v. Des Moines Independent Community School District. This critical case established that the government may not establish "enclaves" such as schools or prisons where all rights are forfeited.
The ACLU defended Sydney Street, who was arrested for burning an American flag to protest the reported assassination of civil rights leader James Meredith. In the Street v. New York decision, the court agreed with the ACLU that encouraging the country to abandon one of its national symbols was a constitutionally protected form of expression. The ACLU successfully defended Paul Cohen, who was arrested for wearing a jacket with the words "fuck the draft" on its back while he walked through the Los Angeles courthouse. The Supreme Court, in Cohen v. California, held that the vulgarity of the wording was essential to convey the intensity of the message.
Non-war-related free speech rights were also advanced during the Vietnam war era; in 1969, the ACLU defended a Ku Klux Klan member who advocated long-term violence against the government, and the Supreme Court concurred with the ACLU's argument in the landmark decision Brandenburg v. Ohio, which held that only speech which advocated imminent violence could be outlawed.
A major crisis gripped the ACLU in 1968 when a debate erupted over whether to defend Benjamin Spock and the Boston Five against federal charges that they encouraged draftees to avoid the draft. The ACLU board was deeply split over whether to defend the activists; half the board harbored anti-war sentiments and felt that the ACLU should lend its resources to the cause of the Boston Five. The other half of the board believed that civil liberties were not at stake and the ACLU would be taking a political stance. Behind the debate was the longstanding ACLU tradition that it was politically impartial and provided legal advice without regard to the defendants' political views. The board finally agreed to a compromise solution that permitted the ACLU to defend the anti-war activists without endorsing the activist's political views. Some critics of the ACLU suggest that the ACLU became a partisan political organization following the Spock case. After the Kent State shootings in 1970, ACLU leaders took another step toward politics by passing a resolution condemning the Vietnam War. The resolution was based on various legal arguments, including civil liberties violations and claiming that the war was illegal.
Also in 1968, the ACLU held an internal symposium to discuss its dual roles: providing "direct" legal support (defense for accused in their initial trial, benefiting only the individual defendant) and appellate support (providing amicus briefs during the appeal process, to establish widespread legal precedent). Historically, the ACLU was known for its appellate work, which led to landmark Supreme Court decisions, but by 1968, 90% of the ACLU's legal activities involved direct representation. The symposium concluded that both roles were valid for the ACLU.
1970s and 1980s
Watergate era
The ACLU supported The New York Times in its 1971 suit against the government, requesting permission to publish the Pentagon Papers. The court upheld the Times and ACLU in the New York Times Co. v. United States ruling, which held that the government could not preemptively prohibit the publication of classified information and had to wait until after it was published to take action.
On September 30, 1973, the ACLU became first national organization to publicly call for the impeachment and removal from office of President Richard Nixon. Six civil liberties violations were cited as grounds: "specific proved violations of the rights of political dissent; usurpation of Congressional war‐making powers; establishment of a personal secret police which committed crimes; attempted interference in the trial of Daniel Ellsberg; distortion of the system of justice and perversion of other Federal agencies". One month later, after the House of Representatives began an impeachment inquiry against him, the organization released a 56‐page handbook detailing "17 things citizens could do to bring about the impeachment of President Nixon". This resolution, when placed beside the earlier resolution opposing the Vietnam war, convinced many ACLU critics, particularly conservatives, that the organization had transformed into a liberal political organization.
Enclaves and new civil liberties
The decade from 1965 to 1975 saw an expansion of civil liberties. Administratively, the ACLU responded by appointing Aryeh Neier to take over from Pemberton as executive director in 1970. Neier embarked on an ambitious program to expand the ACLU; he created the ACLU Foundation to raise funds and created several new programs to focus the ACLU's legal efforts. By 1974, ACLU membership had reached 275,000.
During those years, the ACLU worked to expand legal rights in three directions: new rights for persons within government-run "enclaves", new rights for members of what it called "victim groups", and privacy rights for citizens in general. At the same time, the organization grew substantially. The ACLU helped develop the field of constitutional law that governs "enclaves", which are groups of persons that live in conditions under government control. Enclaves include mental hospital patients, military members, prisoners, and students (while at school). The term enclave originated with Supreme Court justice Abe Fortas's use of the phrase "schools may not be enclaves of totalitarianism" in the Tinker v. Des Moines decision.
The ACLU initiated the legal field of student's rights with the Tinker v. Des Moines case and expanded it with cases such as Goss v. Lopez, which required schools to provide students an opportunity to appeal suspensions.
As early as 1945, the ACLU had taken a stand to protect the rights of the mentally ill when it drafted a model statute governing mental commitments. In the 1960s, the ACLU opposed involuntary commitments unless it could be demonstrated that the person was a danger to himself or the community. In the landmark 1975 O'Connor v. Donaldson decision, the ACLU represented a non-violent mental health patient who had been confined against his will for 15 years and persuaded the Supreme Court to rule such involuntary confinements illegal. The ACLU has also defended the rights of mentally ill individuals who are not dangerous but create disturbances. The New York chapter of the ACLU defended Billie Boggs, a woman with mental illness who exposed herself and defecated and urinated in public.
Before 1960, prisoners had virtually no recourse to the court system because courts considered prisoners to have no civil rights. That changed in the late 1950s, when the ACLU began representing prisoners subject to police brutality or deprived of religious reading material. In 1968, the ACLU successfully sued to desegregate the Alabama prison system; in 1969, the New York affiliate adopted a project to represent prisoners in New York prisons. Private attorney Phil Hirschkop discovered degrading conditions in Virginia prisons following the Virginia State Penitentiary strike and won an important victory in 1971's Landman v. Royster which prohibited Virginia from treating prisoners in inhumane ways. In 1972, the ACLU consolidated several prison rights efforts across the nation and created the National Prison Project. The ACLU's efforts led to landmark cases such as Ruiz v. Estelle (requiring reform of the Texas prison system), and in 1996 US Congress enacted the Prison Litigation Reform Act (PLRA) which codified prisoners' rights.
Victim groups
During the 1960s and 1970s, the ACLU expanded its scope to include what it referred to as "victim groups", namely women, the poor, and homosexuals. Heeding the call of female members, the ACLU endorsed the Equal Rights Amendment in 1970 and created the Women's Rights Project in 1971. The Women's Rights Project dominated the legal field, handling more than twice as many cases as the National Organization for Women, including breakthrough cases such as Reed v. Reed, Frontiero v. Richardson, and Taylor v. Louisiana.
ACLU leader Harriet Pilpel raised the issue of the rights of homosexuals in 1964, and two years later, the ACLU formally endorsed gay rights. In 1972, ACLU cooperating attorneys in Oregon filed the first federal civil rights case involving a claim of unconstitutional discrimination against a gay or lesbian public school teacher. The US District Court held that a state statute that authorized school districts to fire teachers for "immorality" was unconstitutionally vague, and awarded monetary damages to the teacher. The court refused to reinstate the teacher, and the Ninth Circuit Court of Appeals affirmed that refusal by a 2-to-1 vote. Burton v. Cascade School District, 353 F. Supp. 254 (D. Or. 1972), aff'd 512 F.2d 850 (1975). In 1973, the ACLU created the Sexual Privacy Project (later the Gay and Lesbian Rights Project), which combated discrimination against homosexuals. This support continued into the 2000s. For example, after then-Senator Larry Craig was arrested for soliciting sex in a public restroom in 2007, the ACLU wrote an amicus brief for Craig, saying that sex between consenting adults in public places was protected under privacy rights.
The rights of the poor were another area that the ACLU expanded. In 1966 and again in 1968, activists within the ACLU encouraged the organization to adopt a policy overhauling the welfare system and guaranteeing low-income families a baseline income; but the ACLU board did not approve the proposals. However, the ACLU played a key role in the 1968 King v. Smith decision, where the Supreme Court ruled that welfare benefits for children could not be denied by a state simply because the mother cohabited with a boyfriend.
Reproductive Freedom Project
The ACLU founded the Reproductive Freedom Project in 1974 to defend individuals the government obstructs in cases involving access to abortions, birth control, or sexual education. According to its mission statement, the project works to provide access to reproductive health care for individuals. The project also opposes abstinence-only sex education, arguing that it promotes an unwillingness to use contraceptives.
In 1980, the Project filed Poe v. Lynchburg Training School & Hospital which attempted to overturn Buck v. Bell, the 1927 US Supreme Court decision which had allowed the Commonwealth of Virginia to legally sterilize persons it deemed to be mentally defective without their permission. Though the Court did not overturn Buck v.Bell, in 1985, the state agreed to provide counseling and medical treatment to the survivors among the 7,200 to 8,300 people sterilized between 1927 and 1979. In 1977, the ACLU took part in and litigated Walker v. Pierce, the federal circuit court case that led to federal regulations to prevent Medicaid patients from being sterilized without their knowledge or consent. In 1981–1990, the Project litigated Hodgson v. Minnesota, which resulted in the Supreme Court overturning a state law requiring both parents to be notified before a minor could legally have an abortion. In the 1990s, the Project provided legal assistance and resource kits to those who were being challenged for educating about sexuality and AIDS. In 1995, the Project filed an amicus brief in Curtis v. School Committee of Falmouth, which allowed for the distribution of condoms in a public school.
The Reproductive Freedom Project focuses on three ideas: (1) to "reverse the shortage of trained abortion providers throughout the country" (2) to "block state and federal welfare "reform" proposals that cut off benefits for children who are born to women already receiving welfare, unmarried women, or teenagers" and (3) to "stop the elimination of vital reproductive health services as a result of hospital mergers and health care networks". The Project proposes to achieve these goals through legal action and litigation.
Privacy
The right to privacy is not explicitly identified in the US Constitution, but the ACLU led the charge to establish such rights in the indecisive Poe v. Ullman (1961) case, which addressed a state statute outlawing contraception. The issue arose again in Griswold v. Connecticut (1965), and this time the Supreme Court adopted the ACLU's position and formally declared a right to privacy. The New York affiliate of the ACLU pushed to eliminate anti-abortion laws starting in 1964, a year before Griswold was decided; in 1967 the ACLU itself formally adopted the right to abortion as a policy. The ACLU led the defense in United States v. Vuitch (1971), which expanded the right of physicians to determine when abortions were necessary. These efforts culminated in one of the most controversial Supreme Court decisions, Roe v. Wade (1973), which legalized abortion throughout the United States. The ACLU successfully argued against state bans on interracial marriage, in the case of Loving v. Virginia (1967).
Related to privacy, the ACLU engaged in several battles to ensure that government records about individuals were kept private and to give individuals the right to review their records. The ACLU supported several measures, including the 1970 Fair Credit Reporting Act, which required credit agencies to divulge credit information to individuals; the 1973 Family Educational Rights and Privacy Act, which provided students the right to access their records; and the 1974 Privacy Act, which prevented the federal government from disclosing personal information without good cause.
Allegations of bias
In the early 1970s, conservatives and libertarians began to criticize the ACLU for being too political and too liberal. Legal scholar Joseph W. Bishop wrote that the ACLU's trend to partisanship started with its defense of Spock's anti-war protests. Critics also blamed the ACLU for encouraging the Supreme Court to embrace judicial activism. Critics claimed that the ACLU's support of controversial decisions like Roe v. Wade and Griswold v. Connecticut violated the intention of the authors of the Bill of Rights. The ACLU became an issue in the 1988 presidential campaign, when Republican candidate George H. W. Bush accused Democratic candidate Michael Dukakis (a member of the ACLU) of being a "card carrying member of the ACLU".
The Skokie case
In 1977, the National Socialist Party of America, led by Frank Collin, applied to the town of Skokie, Illinois, for a permit to hold a demonstration in the town park. Skokie at the time had a majority population of Jews, totaling 40,000 of 70,000 citizens, some of whom were survivors of Nazi concentration camps. Skokie refused to grant the NSPA a permit and passed ordinances against hate speech and military wear, in addition to requiring an insurance bond. Skokie's Village Council ordered village attorney, Harvey Schwartz, to seek an injunction to stop the demonstration. The ACLU assisted Collin and appealed to federal court, eventually prevailing in NSPA v. Village of Skokie
The Skokie case was heavily publicized across America, partially because Jewish groups such as the Jewish Defense League and Anti Defamation League strenuously objected to the demonstration, leading many members of the ACLU to cancel their memberships. The Illinois affiliate of the ACLU lost about 25% of its membership and nearly one-third of its budget. The financial strain from the controversy led to layoffs at local chapters. After the membership crisis died down, the ACLU sent out a fund-raising appeal which explained their rationale for the Skokie case and raised over $500,000 ($ in dollars).
Reagan era
The inauguration of Ronald Reagan as president in 1981 ushered in an eight-year period of conservative leadership in the US government. Under Reagan's leadership, the government pushed a conservative social agenda.
Fifty years after the Scopes trial, the ACLU found itself fighting another classroom case, the Arkansas 1981 creationism statute, which required schools to teach the biblical account of creation as a scientific alternative to evolution. The ACLU won the case in the McLean v. Arkansas decision.
In 1982, the ACLU became involved in a case involving the distribution of child pornography (New York v. Ferber). In an amicus brief, the ACLU argued that child pornography that violates the three prong obscenity test should be outlawed. However, the law was overly restrictive because it banned artistic displays and non-obscene material. The court did not adopt the ACLU's position.
During the 1988 presidential election, Vice President George H. W. Bush noted that his opponent Massachusetts Governor Michael Dukakis had described himself as a "card-carrying member of the ACLU" and used that as evidence that Dukakis was "a strong, passionate liberal" and "out of the mainstream". The phrase subsequently was used by the organization in an advertising campaign.
1990s
In 1990, the ACLU defended Lieutenant Colonel Oliver North, whose conviction was tainted by coerced testimonya violation of his Fifth Amendment rightsduring the Iran–Contra affair, where Oliver North was involved in illegal weapons sales to Iran to illegally fund the Contra guerillas.
In 1997, ruling unanimously in the case of Reno v. American Civil Liberties Union, the Supreme Court voided the anti-indecency provisions of the Communications Decency Act (the CDA), finding they violated the freedom of speech provisions of the First Amendment. In their decision, the Supreme Court held that the CDA's "use of the undefined terms 'indecent' and 'patently offensive' will provoke uncertainty among speakers about how the two standards relate to each other and just what they mean."
In 2000, Marvin Johnson, a legislative counsel for the ACLU, stated that proposed anti-spam legislation infringed on free speech by denying anonymity and by forcing spam to be labeled as such, "Standardized labeling is compelled speech." He also stated, "It's relatively simple to click and delete." The debate found the ACLU joining with the Direct Marketing Association and the Center for Democracy and Technology in 2000 in criticizing a bipartisan bill in the House of Representatives. As early as 1997, the ACLU had taken a strong position that nearly all spam legislation was improper, although it has supported "opt-out" requirements in some cases. The ACLU opposed the 2003 CAN-SPAM act suggesting that it could have a chilling effect on speech in cyberspace. It has been criticized for this position.
In November 2000, 15 African-American residents of Hearne, Texas, were indicted on drug charges after being arrested in a series of "drug sweeps". The ACLU filed a class-action lawsuit, Kelly v. Paschall, on their behalf, alleging that the arrests were unlawful. The ACLU contended that 15 percent of Hearne's male African-American population aged 18 to 34 were arrested based only on the "uncorroborated word of a single unreliable confidential informant coerced by police to make cases". On May 11, 2005, the ACLU and Robertson County announced a confidential settlement of the lawsuit, an outcome which "both sides stated that they were satisfied with". The District Attorney dismissed the charges against the plaintiffs of the suit. The 2009 film American Violet depicts this case.
In 2000, the ACLU's Massachusetts affiliate represented the North American Man Boy Love Association (NAMBLA), on first amendment grounds, in the Curley v. NAMBLA wrongful death civil suit. The organization was sued because a man who raped and murdered a child had visited the NAMBLA website. Also in 2000, the ACLU lost the Boy Scouts of America v. Dale case, which had asked the Supreme Court to require the Boy Scouts of America to drop their policy of prohibiting homosexuals from becoming Boy Scout leaders.
21st century
Free speech
In 2006, the ACLU of Washington State joined with a pro-gun rights organization, the Second Amendment Foundation, and prevailed in a lawsuit against the North Central Regional Library District (NCRL) in Washington for its policy of refusing to disable restrictions upon an adult patron's request. Library patrons attempting to access pro-gun web sites were blocked, and the library refused to remove the blocks. In 2012, the ACLU sued the same library system for refusing to disable temporarily, at the request of an adult patron, Internet filters which blocked access to Google Images.
In 2006, the ACLU challenged a Missouri law prohibiting picketing outside veterans' funerals. The suit was filed in support of the Westboro Baptist Church and Shirley Phelps-Roper, who were threatened with arrest. The Westboro Baptist Church is well known for its picket signs that contain messages such as "God Hates Fags", "Thank God for Dead Soldiers", and "Thank God for 9/11". The ACLU issued a statement calling the legislation a "law that infringes on Shirley Phelps-Roper's rights to religious liberty and free speech". The ACLU prevailed in the lawsuit.
The ACLU argued in an amicus brief to the Supreme Court that a decision on the constitutionality of Massachusetts law required the consideration of additional evidence because lower courts have undervalued the right to engage in sidewalk counseling. The law prohibited sidewalk counselors from approaching women outside abortion facilities and offering them alternatives to abortion but allowed escorts to speak with them and accompany them into the building. In overturning the law in McCullen v. Coakley, the Supreme Court unanimously ruled that it violated the counselors' freedom of speech and that it was viewpoint discrimination.
In 2009, the ACLU filed an amicus brief in Citizens United v. FEC, arguing that the Bipartisan Campaign Reform Act of 2002 violated the First Amendment right to free speech by curtailing political speech. This stance on the landmark Citizens United case caused considerable disagreement within the organization, resulting in a discussion about its future stance during a quarterly board meeting in 2010. On March 27, 2012, the ACLU reaffirmed its stance in support of the Supreme Court's Citizens United ruling, at the same time voicing support for expanded public financing of election campaigns and stating the organization would firmly oppose any future constitutional amendment limiting free speech.
In 2012, the ACLU filed suit on behalf of the Ku Klux Klan of Georgia, claiming that the KKK was unfairly rejected from the state's "Adopt-a-Highway" program. The ACLU prevailed in the lawsuit.
Waning interest in defending white supremacists' first amendment rights
Beginning in 2017, some individuals claimed the ACLU was reducing its support of unpopular free speech (specifically by declining to defend speech made by conservatives) in favor of identity politics, political correctness, and progressivism. Former ACLU director Ira Glasser stated that "the ACLU might not take the Skokie case today." In the 2020 documentary Mighty Ira, which chronicles Glasser's life and career at the ACLU, Glasser says he would defend the ACLU's decision to take the Skokie case again today if needed.
One basis of these allegations was a 2017 statement made by the ACLU president to a reporter after the death of a counter-protester during the 2017 Unite the Right rally in Virginia, where Romero told a reporter that the ACLU would no longer support legal cases of activists that wish to carry guns at their protests.
Another basis for these claims was an internal ACLU memo dated June 2018, discussing factors to evaluate when deciding whether or not to take a case. The memo listed several factors to consider, including "the extent to which the speech may assist in advancing the goals of white supremacists or others whose views are contrary to our values". Some analysts viewed this as a retreat from the ACLU's historically strong support of first amendment rights, regardless of whether minorities were negatively impacted by the speech, citing the ACLU's past support for certain KKK and Nazi legal cases. The memo's authors stated that the memo did not define a change in official ACLU policy, but was intended as a guideline to assist ACLU affiliates in deciding which cases to take. In 2021, the ACLU responded to the criticisms by denying that they are reducing their support for unpopular First Amendment causes and listing 27 cases from 2017 to 2021 where the ACLU supported a party holding an unpopular or repugnant viewpoint. The cases included one which challenged college restrictions on hate speech; a case defending a Catholic school's right to discriminate in hiring; and a case that defended antisemitic protesters who marched outside a synagogue.
LGBTQ issues
In March 2004, the ACLU, along with Lambda Legal and the National Center for Lesbian Rights, sued the state of California on behalf of six same-sex couples who were denied marriage licenses. That case, Woo v. Lockyer, was eventually consolidated into In re Marriage Cases, the California Supreme Court case which led to same-sex marriage being available in that state from June 16, 2008, until Proposition 8 was passed on November 4, 2008. The ACLU, Lambda Legal and the National Center for Lesbian Rights then challenged Proposition 8 and won.
In 2010, the ACLU of Illinois was inducted into the Chicago Gay and Lesbian Hall of Fame as a Friend of the Community.
In 2011, the ACLU started its Don't Filter Me project, countering LGBT-related Internet censorship in public schools in the United States.
On January 7, 2013, the ACLU settled with the federal government in Collins v. United States that provided for the payment of full separation pay to servicemembers discharged under "don't ask, don't tell" since November 10, 2004, who had previously been granted only half that. Some 181 were expected to receive about $13,000 each.
In 2021, the ACLU tweeted a quote by Ruth Bader Ginsburg on the subject of pregnancy, replacing gender-specific words with bracketed gender-neutral words. The president of the ACLU later apologized for the changes to the quote, explaining that it was a good-faith mistake by the ACLU's media team, attempting to address the fact that there are people who seek abortions who do not identify as women.
In 2021, the ACLU filed a brief siding with a school district that had a policy of using preferred pronouns for transgender students. Some analysts felt this was a retreat from the ACLU's historical defense of the first amendment because the ACLU was opposing the teachers who were disciplined for refusing to use the preferred pronouns.
Second amendment
In light of the Supreme Court's Heller decision recognizing that the Constitution protects an individual right to bear arms, ACLU of Nevada took a position of supporting "the individual's right to bear arms subject to constitutionally permissible regulations" and pledged to "defend this right as it defends other constitutional rights". In 2021, the ACLU supported the position that the Second Amendment was originally written to ensure that Southern states could use militias to suppress slave uprisings, and that anti-Blackness ensured its inclusion in the Bill of Rights.
Anti-terrorism issues
After the September 11 attacks, the federal government instituted a broad range of new measures to combat terrorism, including the passage of the Patriot Act. The ACLU challenged many of the measures, claiming that they violated rights regarding due process, privacy, illegal searches, and cruel and unusual punishment. An ACLU policy statement states:
During the ensuing debate regarding the proper balance of civil liberties and security, the membership of the ACLU increased by 20%, bringing the group's total enrollment to 330,000. The growth continued, and by August 2008 ACLU membership was greater than 500,000. It remained at that level through 2011.
The ACLU has been a vocal opponent of the Patriot Act of 2001, the PATRIOT 2 Act of 2003, and associated legislation made in response to the threat of domestic terrorism. In response to a requirement of the USA PATRIOT Act, the ACLU withdrew from the Combined Federal Campaign charity drive. The campaign required ACLU employees to be checked against a federal anti-terrorism watch list. The ACLU has stated that it would "reject $500,000 in contributions from private individuals rather than submit to a government 'blacklist' policy".
In 2004, the ACLU sued the federal government in American Civil Liberties Union v. Ashcroft on behalf of Nicholas Merrill, owner of an Internet service provider. Under the provisions of the Patriot Act, the government had issued national security letters to Merrill to compel him to provide private Internet access information from some of his customers. In addition, the government placed a gag order on Merrill, forbidding him from discussing the matter with anyone.
In January 2006, the ACLU filed a lawsuit, ACLU v. NSA, in a federal district court in Michigan, challenging government spying in the NSA warrantless surveillance controversy. On August 17, 2006, that court ruled that the warrantless wiretapping program was unconstitutional and ordered it ended immediately. However, the order was stayed pending an appeal. The Bush administration did suspend the program while the appeal was being heard. In February 2008, the US Supreme Court turned down an appeal from the ACLU to let it pursue a lawsuit against the program that began shortly after the September 11 terror attacks.
The ACLU and other organizations also filed separate lawsuits against telecommunications companies. The ACLU filed a lawsuit in Illinois (Terkel v. AT&T), which was dismissed because of the state secrets privilege and two others in California requesting injunctions against AT&T and Verizon. On August 10, 2006, the lawsuits against the telecommunications companies were transferred to a federal judge in San Francisco.
The ACLU represents a Muslim-American who was detained but never accused of a crime in Ashcroft v. al-Kidd, a civil suit against former Attorney General John Ashcroft. In January 2010, the American military released the names of 645 detainees held at the Bagram Theater Internment Facility in Afghanistan, modifying its long-held position against publicizing such information. This list was prompted by a Freedom of Information Act lawsuit filed in September 2009 by the ACLU, whose lawyers had also requested detailed information about conditions, rules, and regulations.
The ACLU has also criticized targeted killings of American citizens who fight against the United States. In 2011, the ACLU criticized the killing of radical Muslim cleric Anwar al-Awlaki on the basis that it was a violation of his Fifth Amendment right not to be deprived of life, liberty, or property without due process of law.
On August 10, 2020, in an opinion article for USA Today by Anthony D. Romero, the ACLU called for the dismantling of the United States Department of Homeland Security over the deployment of federal forces in July 2020 during the George Floyd protests. On August 26, 2020, the ACLU filed a lawsuit on behalf of seven protesters and three veterans following the protests in Portland, Oregon, which accused the Trump Administration of using excessive force and unlawful arrests with federal officers.
Trump administration
Following Donald Trump's election as president on November 8, 2016, the ACLU responded on Twitter by saying: "Should President-elect Donald Trump attempt to implement his unconstitutional campaign promises, we'll see him in court." On January 27, 2017, President Trump signed an executive order indefinitely barring "Syrian refugees from entering the United States, suspended all refugee admissions for 120 days and blocked citizens of seven Muslim-majority countries, refugees or otherwise, from entering the United States for 90 days: Iran, Iraq, Libya, Somalia, Sudan, Syria and Yemen". The ACLU responded by filing a lawsuit against the ban on behalf of Hameed Khalid Darweesh and Haider Sameer Abdulkhaleq Alshawi, who had been detained at JFK International Airport. On January 28, 2017, District Court Judge Ann Donnelly granted a temporary injunction against the immigration order, saying it was difficult to see any harm from allowing the newly arrived immigrants to remain in the country.
In response to Trump's order, the ACLU raised more than $24 million from more than 350,000 individual online donations in two days. This amounted to six times what the ACLU normally receives in online donations in a year. Celebrities donating included Chris Sacca (who offered to match other people's donations and ultimately gave $150,000), Rosie O'Donnell, Judd Apatow, Sia, John Legend, and Adele. The number of members of the ACLU doubled in the time from the election to end of January to 1 million.
Grants and contributions increased from US$106,628,381 reported by the 2016 year-end income statement to $274,104,575 by the 2017 year-end statement. The segment's primary revenue source came from individual contributions in response to the Trump presidency's infringements on civil liberties. The surge in donations more than doubled the total support and revenue of the non-profit organization year over year from 2016 to 2017. Besides filing more lawsuits than during previous presidential administrations, the ACLU has spent more money on advertisements and messaging as well, weighing in on elections and pressing political concerns. This increased public profile has drawn some accusations that the organization has become more politically partisan than in previous decades.
Miscellaneous
During the 2004 trial regarding allegations of Rush Limbaugh's drug abuse, the ACLU argued that his privacy should not have been compromised by allowing law enforcement examination of his medical records.
In June 2004, the school district in Dover, Pennsylvania, required that its high school biology students listen to a statement that asserted that the theory of evolution is not fact and mentioning intelligent design as an alternative theory. Several parents called the ACLU to complain because they believed that the school was promoting a religious idea in the classroom and violating the Establishment Clause of the First Amendment. The ACLU, joined by Americans United for Separation of Church and State, represented the parents in a lawsuit against the school district. After a lengthy trial, Judge John E. Jones III ruled in favor of the parents in the Kitzmiller v. Dover Area School District decision, finding that intelligent design is not science and permanently forbidding the Dover school system from teaching intelligent design in science classes.
In April 2006, Edward Jones and the ACLU sued the City of Los Angeles, on behalf of Robert Lee Purrie and five other homeless people, for the city's violation of the 8th and 14th Amendments to the US Constitution, and Article I, sections 7 and 17 of the California Constitution (supporting due process and equal protection, and prohibiting cruel and unusual punishment). The Court ruled in favor of the ACLU, stating that "the LAPD cannot arrest people for sitting, lying, or sleeping on public sidewalks in Skid Row." Enforcement of section 41.18(d) 24 hours a day against persons with nowhere else to sit, lie, or sleep other than on public streets and sidewalks is breaking these amendments. The Court said the anti-camping ordinance is "one of the most restrictive municipal laws regulating public spaces in the United States". Jones and the ACLU wanted a compromise in which the LAPD is barred from enforcing section 41.18(d) (arrest, seizure, and imprisonment) in Skid Row between 9:00 p.m. and 6:30 am. The compromise plan permitted the homeless to sleep on the sidewalk, provided they were not "within 10 feet of any business or residential entrance" and only between these hours. One of the motivations for the compromise was the shortage of space in the prison system. Downtown development business interests and the Central City Association (CCA) were against the settlement. Police Chief William Bratton said the case had slowed the police effort to fight crime and clean up Skid Row and that when he was allowed to clean up Skid Row, real estate profited. On September 20, 2006, the Los Angeles City Council voted to reject the compromise. On October 3, 2006, police arrested Skid Row's transients for sleeping on the streets for the first time in months.
In 2009, the Oregon ACLU opposed changing state law to permit teachers to wear religious clothing in classrooms, citing the separation of church and state principles. The ACLU's efforts were not successful.
In 2018, the ACLU conceived and ghostwrote an op-ed in The Washington Post in which Amber Heard accused her ex-husband Johnny Depp of domestic abuse, leading Depp to sue Heard for defamation over the op-ed in the 2022 trial Depp v. Heard. The ACLU testified in the trial that they wrote the op-ed in exchange for a $3.5 million donation pledge from Heard, and timed its release to capitalize on the press from Heard's newly released film Aquaman. The ACLU demanded $86,000 from Depp for the cost of producing documents for the case. At the end of the trial, the jury ruled that Heard had defamed Depp with actual malice in all three counts related to the Washington Post op-ed.
In June 2020, the ACLU sued the federal government for denying Paycheck Protection Program loans to business owners with criminal backgrounds.
See also
American Civil Rights Union
British Columbia Civil Liberties Association
Canadian Civil Liberties Association
Foundation for Individual Rights and Expression (FIRE)
Institute for Justice
Liberty, a British equivalent
List of court cases involving the American Civil Liberties Union
National Emergency Civil Liberties Committee
New York Civil Liberties Union
Political freedom
Southern Poverty Law Center
Citations
General and cited references
Bodenhamer, David, and Ely, James, Editors (2008). The Bill of Rights in Modern America, second edition. Indiana University Press. .
Donohue, William (1985). The Politics of the American Civil Liberties Union. Transaction Books. .
Kaminer, Wendy (2009). Worst Instincts: Cowardice, Conformity, and the ACLU. Beacon Press. . A dissident member of the ACLU criticizes its post-9/11 actions as betraying the core principles of its founders.
Lamson, Peggy (1976). Roger Baldwin: Founder of the American Civil Liberties Union. Houghton Mifflin Company. .
Walker, Samuel (1990). In Defense of American Liberties: A History of the ACLU. Oxford University Press. .
Further reading
Klein Woody, and Baldwin, Roger Nash (2006). Liberties lost: the endangered legacy of the ACLU. Greenwood Publishing Group, 2006. A collection of essays by Baldwin, each accompanied by commentary from a modern analyst.
Krannawitter, Thomas L. and Palm, Daniel C. (2005). A Nation Under God?: The ACLU and religion in American politics. Rowman & Littlefield.
Sears, Alan, and Osten, Craig (2005). The ACLU vs America: Exposing the Agenda to Redefine Moral Values. B&H Publishing Group.
Smith, Frank LaGard (1996). ACLU: The Devil's Advocate: The Seduction of Civil Liberties in America. Marcon Publishers.
Archives
American Civil Liberties Union of Southern California records. 754 boxes. UCLA Library Special Collections.
American Civil Liberties Union of Washington. 1917–2019. 188.31 cubic feet (including 13 microfilm reels and 1 videocassette) plus 62 cartons and 2 rolled posters. Labor Archives of Washington. University of Washington Special Collections.
American Civil Liberties Union of Michigan: Detroit Branch Records 1952–1966. This collection documents the early years of the Detroit ACLU branch. The collection contains documents related to academic freedom; censorship; church and state; civil liberties; police brutality; HUAC; and legal assistance to prisoners. Walter P. Reuther Library, Detroit, Michigan.
American Civil Liberties Union of Oakland County, Michigan 1970–1984. This collection illustrates that the branch was formed to address Oakland County jail conditions, lie detector use, senior housing rights, and attempts to reinstate the death penalty. Walter P. Reuther Library, Detroit, Michigan.
Selected works sponsored or published by the ACLU
Annual Report – American Civil Liberties Union, American Civil Liberties Union, 1921.
Black Justice, ACLU, 1931.
How Americans Protest, American Civil Liberties Union, 1963.
Secret detention by the Chicago police: a report, American Civil Liberties Union, 1959.
Report on lawlessness in law enforcement, Wickersham Commission, Patterson Smith, 1931. This report was written by the ACLU but published under the auspices of the Wickersham Commission.
Miller, Merle, (1952), The Judges and the Judged, Doubleday.
ACLU organization records, 1947–1995. Princeton University Library, Mudd Manuscript Library.
The Dangers of Domestic Spying by Federal Law Enforcement, American Civil Liberties Union, 2002.
Engines of Liberty: The Power of Citizen Activists to Make Constitutional Law, David D. Cole, 2016
External links
American Civil Liberties Union Records, Princeton University. Document archive 1917–1950, including the history of the ACLU.
Debs Pamphlet Collection, Indiana State University Library. An array of annual ACLU reports in PDF.
List of 100 most important ACLU victories, New Hampshire Civil Liberties Union.
De-classified FBI records on the ACLU
1920 establishments in the United States
501(c)(4) nonprofit organizations
Civil liberties advocacy groups in the United States
Drug policy reform
Government watchdog groups in the United States
Immigration political advocacy groups in the United States
Legal advocacy organizations in the United States
LGBT political advocacy groups in the United States
Non-profit organizations based in New York City
Nonpartisan organizations in the United States
Organizations established in 1920
Privacy in the United States
Privacy organizations
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Adobe Inc. ( ), formerly Adobe Systems Incorporated, is an American multinational computer software company incorporated in Delaware
and headquartered in San Jose, California. It has historically specialized in software for the creation and publication of a wide range of content, including graphics, photography, illustration, animation, multimedia/video, motion pictures, and print. Its flagship products include Adobe Photoshop image editing software; Adobe Illustrator vector-based illustration software; Adobe Acrobat Reader and the Portable Document Format (PDF); and a host of tools primarily for audio-visual content creation, editing and publishing. Adobe offered a bundled solution of its products named Adobe Creative Suite, which evolved into a subscription software as a service (SaaS) offering named Adobe Creative Cloud. The company also expanded into digital marketing software and in 2021 was considered one of the top global leaders in Customer Experience Management (CXM).
Adobe was founded in December 1982 by John Warnock and Charles Geschke, who established the company after leaving Xerox PARC to develop and sell the PostScript page description language. In 1985, Apple Computer licensed PostScript for use in its LaserWriter printers, which helped spark the desktop publishing revolution. Adobe later developed animation and multimedia through its acquisition of Macromedia, from which it acquired Macromedia Flash; video editing and compositing software with Adobe Premiere, later known as Adobe Premiere Pro; low-code web development with Adobe Muse; and a suite of software for digital marketing management.
As of 2022, Adobe has more than 26,000 employees worldwide. Adobe also has major development operations in the United States in Newton, New York City, Arden Hills, Lehi, Seattle, Austin and San Francisco. It also has major development operations in Noida and Bangalore in India.
History
The company was started in John Warnock's garage. The name of the company, Adobe, comes from Adobe Creek in Los Altos, California, a stream which ran behind Warnock's house. That creek is so named because of the type of clay found there (Adobe being a Spanish word for Mudbrick), which alludes to the creative nature of the company's software. Adobe's corporate logo features a stylized "A" and was designed by graphic designer Marva Warnock, John Warnock's wife. In 2020, the company updated its visual identity, including updating its logo to a single color, an all-red logo.
Steve Jobs attempted to buy the company for $5 million in 1982, but Warnock and Geschke refused. Their investors urged them to work something out with Jobs, so they agreed to sell him shares worth 19 percent of the company. Jobs paid a five-times multiple of their company's valuation at the time, plus a five-year license fee for PostScript, in advance. The purchase and advance made Adobe the first company in the history of Silicon Valley to become profitable in its first year.
Warnock and Geschke considered various business options including a copy-service business and a turnkey system for office printing. Then they chose to focus on developing specialized printing software and created the Adobe PostScript page description language.
PostScript was the first truly international standard for computer printing as it included algorithms describing the letter-forms of many languages. Adobe added kanji printer products in 1988. Warnock and Geschke were also able to bolster the credibility of PostScript by connecting with a typesetting manufacturer. They weren't able to work with Compugraphic, but then worked with Linotype to license the Helvetica and Times Roman fonts (through the Linotron 100). By 1987, PostScript had become the industry-standard printer language with more than 400 third-party software programs and licensing agreements with 19 printer companies.
Warnock described the language as "extensible" in its ability to apply graphic arts standards to office printing.
Adobe's first products after PostScript were digital fonts which they released in a proprietary format called Type 1, worked on by Bill Paxton after he left Stanford. Apple subsequently developed a competing standard, TrueType, which provided full scalability and precise control of the pixel pattern created by the font's outlines, and licensed it to Microsoft.
In the mid-1980s, Adobe entered the consumer software market with Illustrator, a vector-based drawing program for the Apple Macintosh. Illustrator, which grew out of the firm's in-house font-development software, helped popularize PostScript-enabled laser printers.
Adobe entered the NASDAQ Composite index in August 1986. Its revenue has grown from roughly $1 billion in 1999 to $4 billion in 2012. Adobe's fiscal years run from December to November. For example, the 2020 fiscal year ended on November 27, 2020.
In 1989, Adobe introduced what was to become its flagship product, a graphics editing program for the Macintosh called Photoshop. Stable and full-featured, Photoshop 1.0 was ably marketed by Adobe and soon dominated the market.
In 1993, Adobe introduced PDF, the Portable Document Format, and its Adobe Acrobat and Reader software. PDF is now an International Standard: ISO 32000-1:2008.
In December 1991, Adobe released Adobe Premiere, which Adobe rebranded as Adobe Premiere Pro in 2003. In 1992, Adobe acquired OCR Systems, Inc. In 1994, Adobe acquired the Aldus Corporation and added PageMaker and After Effects to its product line later in the year; it also controls the TIFF file format. In the same year, Adobe acquired LaserTools Corp and Compution Inc. In 1995, Adobe added FrameMaker, the long-document DTP application, to its product line after Adobe acquired Frame Technology Corp. In 1996, Adobe acquired Ares Software Corp. In 2002, Adobe acquired Canadian company Accelio (also known as JetForm).
In May 2003, Adobe purchased audio editing and multitrack recording software Cool Edit Pro from Syntrillium Software for $16.5 million, as well as a large loop library called "Loopology". Adobe then renamed Cool Edit Pro to "Adobe Audition" and included it in the Creative Suite.
On December 3, 2005, Adobe acquired its main rival, Macromedia, in a stock swap valued at about $3.4 billion, adding ColdFusion, Contribute, Captivate, Breeze (rebranded as Adobe Connect), Director, Dreamweaver, Fireworks, Flash, FlashPaper, Flex, FreeHand, HomeSite, JRun, Presenter, and Authorware to Adobe's product line.
Adobe released Adobe Media Player in April 2008. On April 27, Adobe discontinued the development and sales of its older HTML/web development software, GoLive, in favor of Dreamweaver. Adobe offered a discount on Dreamweaver for GoLive users and supports those who still use GoLive with online tutorials and migration assistance. On June 1, Adobe launched Acrobat.com, a series of web applications geared for collaborative work. Creative Suite 4, which includes Design, Web, Production Premium, and Master Collection came out in October 2008 in six configurations at prices from about US$1,700 to $2,500 or by individual application. The Windows version of Photoshop includes 64-bit processing. On December 3, 2008, Adobe laid off 600 of its employees (8% of the worldwide staff) citing the weak economic environment.
On September 15, 2009, Adobe Systems announced that it would acquire online marketing and web analytics company Omniture for $1.8 billion. The deal was completed on October 23, 2009. Former Omniture products were integrated into the Adobe Marketing Cloud.
On November 10, 2009, the company laid off a further 680 employees.
Adobe's 2010 was marked by continuing front-and-back arguments with Apple over the latter's non-support for Adobe Flash on its iPhone, iPad and other products. Former Apple CEO Steve Jobs claimed that Flash was not reliable or secure enough, while Adobe executives have argued that Apple wishes to maintain control over the iOS platform. In April 2010, Steve Jobs published a post titled Thoughts on Flash where he outlined his thoughts on Flash and the rise of HTML 5.
In July 2010, Adobe bought Day Software integrating their line of CQ Products: WCM, DAM, SOCO, and Mobile
In January 2011, Adobe acquired DemDex, Inc. with the intent of adding DemDex's audience-optimization software to its online marketing suite. At Photoshop World 2011, Adobe unveiled a new mobile photo service. Carousel is a new application for iPhone, iPad, and Mac that uses Photoshop Lightroom technology to allow users to adjust and fine-tune images on all platforms. Carousel will also allow users to automatically sync, share and browse photos. The service was later renamed to "Adobe Revel".
In October 2011, Adobe acquired Nitobi Software, the maker of the mobile application development framework PhoneGap. As part of the acquisition, the source code of PhoneGap was submitted to the Apache Foundation, where it became Apache Cordova.
In November 2011, Adobe announced that they would cease development of Flash for mobile devices following version 11.1. Instead, it would focus on HTML 5 for mobile devices. In December 2011, Adobe announced that it had entered into a definitive agreement to acquire privately held Efficient Frontier.
In December 2012, Adobe opened a new corporate campus in Lehi, Utah.
In 2013, Adobe endured a major security breach. Vast portions of the source code for the company's software were stolen and posted online and over 150 million records of Adobe's customers have been made readily available for download. In 2012, about 40 million sets of payment card information were compromised by a hack at Adobe.
A class-action lawsuit alleging that the company suppressed employee compensation was filed against Adobe, and three other Silicon Valley-based companies in a California federal district court in 2013. In May 2014, it was revealed the four companies, Adobe, Apple, Google, and Intel had reached an agreement with the plaintiffs, 64,000 employees of the four companies, to pay a sum of $324.5 million to settle the suit.
In March 2018, at Adobe Summit, the company and Nvidia publicized a key association to quickly upgrade their industry-driving AI and profound learning innovations. Expanding on years of coordinated effort, the organizations will work to streamline the Adobe Sensei AI and machine learning structure for Nvidia GPUs. The joint effort will speed up time to showcase and enhance the execution of new Sensei-powered services for Adobe Creative Cloud and Experience Cloud clients and engineers.
Adobe and Nvidia have co-operated for over 10 years on empowering GPU quickening for a wide arrangement of Adobe's creative and computerized encounter items. This incorporates Sensei-powered features, for example, auto lip-sync in Adobe Character Animator CC and face-aware editing in Photoshop CC, and also cloud-based AI/ML items and features, for example, picture investigation for Adobe Stock and Lightroom CC and auto-labeling in Adobe Experience Supervisor.
In May 2018, Adobe stated they would buy e-commerce services provider Magento Commerce from private equity firm Permira for $1.68 billion. This deal will help bolster its Experience Cloud business, which provides services including analytics, advertising, and marketing. The deal is closed on June 19, 2018.
In September 2018, Adobe announced its acquisition of marketing automation software company Marketo.
In October 2018, Adobe officially changed its name from Adobe Systems Incorporated to Adobe Inc.
In January 2019, Adobe announced its acquisition of 3D texturing company Allegorithmic.
In 2020, the annual Adobe Summit was canceled due to the COVID-19 pandemic. The event took place online and saw over 21 million total video views and over 2.2 million visits to the event website.
The software giant has imposed a ban on the political ads features on its digital advert sales platform as the United States presidential elections approach.
On November 9, 2020, Adobe announced it would spend US$1.5 billion to acquire Workfront, a provider of marketing collaboration software. The acquisition was completed in early December 2020.
On August 19, 2021, Adobe announced it had entered into a definitive agreement to acquire Frame.io, a leading cloud-based video collaboration platform. The transaction is valued at $1.275 billion and closed during the fourth quarter of Adobe's 2021 fiscal year.
On September 15, 2021, Adobe Inc. formally announced that it will add payment services to its e-commerce platform this year, allowing merchants on their platform a method to accept payments including credit cards and PayPal.
In September 2022, Adobe announced that it had agreed to buy the software design start-up Figma for $20billion. The cloud-based design software from Figma directly competes with Adobe XD. The deal faces regulatory scrutiny. In February 2023, it was announced the European Commission would review the acquisition under European Union merger regulation (EUMR).
Finances
Products
Adobe's currently supported roster of software, online services and file formats comprises the following ():
Digital Marketing Management Software
Adobe Experience Cloud, Adobe Experience Manager (AEM 6.2), XML Documentation add-on (for AEM), Mixamo
Formats
Portable Document Format (PDF), PDF's predecessor PostScript, ActionScript, Shockwave Flash (SWF), Flash Video (FLV), and Filmstrip (.flm)
Web-hosted services
Adobe Color, Photoshop Express, Acrobat.com, Behance and Adobe Express.
Adobe Renderer
Adobe Media Encoder
Adobe Stock
A microstock agency that presently provides over 57 million high-resolution, royalty-free images and videos available to license (via subscription or credit purchase methods). In 2015, Adobe acquired Fotolia, a stock content marketplace founded in 2005 by Thibaud Elziere, Oleg Tscheltzoff, and Patrick Chassany which operated in 23 countries. It is run as a stand-alone website.
Adobe Experience Platform
A family of content, development, and customer relationship management products, with what Adobe calls the "next generation" of its Sensei artificial intelligence and machine learning framework, introduced in March 2019.
Reception
Since 2000, Fortune has recognized Adobe as one of the 100 Best Companies to Work For. In 2021, Adobe was ranked 16th. Glassdoor recognized Adobe as a Best Place to Work. In October 2021, Fast Company included Adobe on their Brands That Matter list. In October 2008, Adobe Systems Canada Inc. was named one of "Canada's Top 100 Employers" by Mediacorp Canada Inc. and was featured in Maclean's newsmagazine.
Adobe received a five-star rating from the Electronic Frontier Foundation with regard to its handling of government data requests in 2017.
In 2022, Adobe was listed as one of the Best Places to Work for Disability Inclusion by the Disability Equality Index (DEI).
Criticisms
Pricing
Adobe has been criticized for its pricing practices, with retail prices being up to twice as much in non-US countries. For example, it is significantly cheaper to pay for a return airfare ticket to the United States and purchase one particular collection of Adobe's software there than to buy it locally in Australia.
After Adobe revealed the pricing for the Creative Suite 3 Master Collection, which was £1,000 higher for European customers, a petition to protest over "unfair pricing" was published and signed by 10,000 users. In June 2009, Adobe further increased its prices in the UK by 10% in spite of weakening of the pound against the dollar, and UK users were not allowed to buy from the US store.
Adobe's Reader and Flash programs were listed on "The 10 most hated programs of all time" article by TechRadar.
Security
Hackers have exploited vulnerabilities in Adobe programs, such as Adobe Reader, to gain unauthorized access to computers. Adobe's Flash Player has also been criticized for, among other things, suffering from performance, memory usage and security problems (see criticism of Flash Player). A report by security researchers from Kaspersky Lab criticized Adobe for producing the products having top 10 security vulnerabilities.
Observers noted that Adobe was spying on its customers by including spyware in the Creative Suite 3 software and quietly sending user data to a firm named Omniture. When users became aware, Adobe explained what the suspicious software did and admitted that they: "could and should do a better job taking security concerns into account". When a security flaw was later discovered in Photoshop CS5, Adobe sparked outrage by saying it would leave the flaw unpatched, so anyone who wanted to use the software securely would have to pay for an upgrade. Following a fierce backlash Adobe decided to provide the software patch.
Adobe has been criticized for pushing unwanted software including third-party browser toolbars and free virus scanners, usually as part of the Flash update process, and for pushing a third-party scareware program designed to scare users into paying for unneeded system repairs.
Customer data breach
On October 3, 2013, the company initially revealed that 2.9 million customers' sensitive and personal data was stolen in a security breach which included encrypted credit card information. Adobe later admitted that 38 million active users have been affected and the attackers obtained access to their IDs and encrypted passwords, as well as to many inactive Adobe accounts. The company did not make it clear if all the personal information was encrypted, such as email addresses and physical addresses, though data privacy laws in 44 states require this information to be encrypted.
A 3.8 GB file stolen from Adobe and containing 152 million usernames, reversibly encrypted passwords and unencrypted password hints was posted on AnonNews.org. LastPass, a password security firm, said that Adobe failed to use best practices for securing the passwords and has not salted them. Another security firm, Sophos, showed that Adobe used a weak encryption method permitting the recovery of a lot of information with very little effort. According to IT expert Simon Bain, Adobe has failed its customers and 'should hang their heads in shame'.
Many of the credit cards were tied to the Creative Cloud software-by-subscription service. Adobe offered its affected US customers a free membership in a credit monitoring service, but no similar arrangements have been made for non-US customers. When a data breach occurs in the US, penalties depend on the state where the victim resides, not where the company is based.
After stealing the customers' data, cyber-thieves also accessed Adobe's source code repository, likely in mid-August 2013. Because hackers acquired copies of the source code of Adobe proprietary products, they could find and exploit any potential weaknesses in its security, computer experts warned. Security researcher Alex Holden, chief information security officer of Hold Security, characterized this Adobe breach, which affected Acrobat, ColdFusion and numerous other applications, as "one of the worst in US history". Adobe also announced that hackers stole parts of the source code of Photoshop, which according to commentators could allow programmers to copy its engineering techniques and would make it easier to pirate Adobe's expensive products.
Published on a server of a Russian-speaking hacker group, the "disclosure of encryption algorithms, other security schemes, and software vulnerabilities can be used to bypass protections for individual and corporate data" and may have opened the gateway to new generation zero-day attacks. Hackers already used ColdFusion exploits to make off with usernames and encrypted passwords of PR Newswire's customers, which has been tied to the Adobe security breach. They also used a ColdFusion exploit to breach Washington state court and expose up to 200,000 Social Security numbers.
Anti-competitive practices
In 1994, Adobe acquired Aldus Corp., a software vendor that sold FreeHand, a competing product. FreeHand was direct competition to Adobe Illustrator, Adobe's flagship vector-graphics editor. The Federal Trade Commission intervened and forced Adobe to sell FreeHand back to Altsys, and also banned Adobe from buying back FreeHand or any similar program for the next 10 years (1994–2004). Altsys was then bought by Macromedia, which released versions 5 to 11. When Adobe acquired Macromedia in December 2005, it stalled development of FreeHand in 2007, effectively rendering it obsolete. With FreeHand and Illustrator, Adobe controlled the only two products that compete in the professional illustration program market for Macintosh operating systems.
In 2011, a group of 5,000 FreeHand graphic designers convened under the banner Free FreeHand, and filed a civil antitrust complaint in the US District Court for the Northern District of California against Adobe. The suit alleged that Adobe has violated federal and state antitrust laws by abusing its dominant position in the professional vector graphic illustration software market and that Adobe has engaged in a series of exclusionary and anti-competitive acts and strategies designed to kill FreeHand, the dominant competitor to Adobe's Illustrator software product, instead of competing on the basis of product merit according to the principals of free market capitalism. Adobe had no response to the claims and the lawsuit was eventually settled. The FreeHand community believes Adobe should release the product to an open-source community if it cannot update it internally.
, on its FreeHand product page, Adobe stated, "While we recognize FreeHand has a loyal customer base, we encourage users to migrate to the new Adobe Illustrator CS4 software which supports both PowerPC and Intel-based Macs and Microsoft Windows XP and Windows Vista." , the FreeHand page no longer exists; instead, it simply redirects to the Illustrator page. Adobe's software FTP server still contains a directory for FreeHand, but it is empty.
Cancellation fees
In April 2021, Adobe received criticism from Twitter users for the company's cancellation fees after a customer shared a tweet showing they had been charged a $291.45 cancellation fee for their Adobe Creative Cloud subscription. Many also showed their cancellation fees for Adobe Creative Cloud, with this leading to many encouraging piracy of Adobe products and/or purchase of alternatives with lower prices or using free and open-source software instead. Furthermore, there have been reports that with changing subscriptions it is possible to avoid paying this fee.
Chief executive officers
John Warnock (1982–2000)
Bruce Chizen (2000–2007)
Shantanu Narayen (2007–present)
See also
Adobe MAX
Digital rights management (DRM)
List of acquisitions by Adobe
United States v. Elcom Ltd.
References
External links
1982 establishments in California
Companies based in San Jose, California
Companies listed on the Nasdaq
Multinational companies headquartered in the United States
Software companies based in the San Francisco Bay Area
Software companies established in 1982
Type foundries
American companies established in 1982
1980s initial public offerings
Software companies of the United States
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Apparent magnitude () is a measure of the brightness of a star or other astronomical object. An object's apparent magnitude depends on its intrinsic luminosity, its distance, and any extinction of the object's light caused by interstellar dust along the line of sight to the observer.
The word magnitude in astronomy, unless stated otherwise, usually refers to a celestial object's apparent magnitude. The magnitude scale dates back to the ancient Roman astronomer Claudius Ptolemy, whose star catalog listed stars from 1st magnitude (brightest) to 6th magnitude (dimmest). The modern scale was mathematically defined in a way to closely match this historical system.
The scale is reverse logarithmic: the brighter an object is, the lower its magnitude number. A difference of 1.0 in magnitude corresponds to a brightness ratio of , or about 2.512. For example, a star of magnitude 2.0 is 2.512 times as bright as a star of magnitude 3.0, 6.31 times as bright as a star of magnitude 4.0, and 100 times as bright as one of magnitude 7.0.
Differences in astronomical magnitudes can also be related to another logarithmic ratio scale, the decibel: an increase of one astronomical magnitude is exactly equal to a decrease of 4 decibels (dB).
The brightest astronomical objects have negative apparent magnitudes: for example, Venus at −4.2 or Sirius at −1.46. The faintest stars visible with the naked eye on the darkest night have apparent magnitudes of about +6.5, though this varies depending on a person's eyesight and with altitude and atmospheric conditions. The apparent magnitudes of known objects range from the Sun at −26.832 to objects in deep Hubble Space Telescope images of magnitude +31.5.
The measurement of apparent magnitude is called photometry. Photometric measurements are made in the ultraviolet, visible, or infrared wavelength bands using standard passband filters belonging to photometric systems such as the UBV system or the Strömgren uvbyβ system.
Absolute magnitude is a measure of the intrinsic luminosity of a celestial object, rather than its apparent brightness, and is expressed on the same reverse logarithmic scale. Absolute magnitude is defined as the apparent magnitude that a star or object would have if it were observed from a distance of . Therefore, it is of greater use in stellar astrophysics since it refers to a property of a star regardless of how close it is to Earth. But in observational astronomy and popular stargazing, unqualified references to "magnitude" are understood to mean apparent magnitude.
Amateur astronomers commonly express the darkness of the sky in terms of limiting magnitude, i.e. the apparent magnitude of the faintest star they can see with the naked eye. This can be useful as a way of monitoring the spread of light pollution.
Apparent magnitude is really a measure of illuminance, which can also be measured in photometric units such as lux.
History
The scale used to indicate magnitude originates in the Hellenistic practice of dividing stars visible to the naked eye into six magnitudes. The brightest stars in the night sky were said to be of first magnitude ( = 1), whereas the faintest were of sixth magnitude ( = 6), which is the limit of human visual perception (without the aid of a telescope). Each grade of magnitude was considered twice the brightness of the following grade (a logarithmic scale), although that ratio was subjective as no photodetectors existed. This rather crude scale for the brightness of stars was popularized by Ptolemy in his Almagest and is generally believed to have originated with Hipparchus. This cannot be proved or disproved because Hipparchus's original star catalogue is lost. The only preserved text by Hipparchus himself (a commentary to Aratus) clearly documents that he did not have a system to describe brightness with numbers: He always uses terms like "big" or "small", "bright" or "faint" or even descriptions such as "visible at full moon".
In 1856, Norman Robert Pogson formalized the system by defining a first magnitude star as a star that is 100 times as bright as a sixth-magnitude star, thereby establishing the logarithmic scale still in use today. This implies that a star of magnitude is about 2.512 times as bright as a star of magnitude . This figure, the fifth root of 100, became known as Pogson's Ratio. The zero point of Pogson's scale was originally defined by assigning Polaris a magnitude of exactly 2. Astronomers later discovered that Polaris is slightly variable, so they switched to Vega as the standard reference star, assigning the brightness of Vega as the definition of zero magnitude at any specified wavelength.
Apart from small corrections, the brightness of Vega still serves as the definition of zero magnitude for visible and near infrared wavelengths, where its spectral energy distribution (SED) closely approximates that of a black body for a temperature of . However, with the advent of infrared astronomy it was revealed that Vega's radiation includes an infrared excess presumably due to a circumstellar disk consisting of dust at warm temperatures (but much cooler than the star's surface). At shorter (e.g. visible) wavelengths, there is negligible emission from dust at these temperatures. However, in order to properly extend the magnitude scale further into the infrared, this peculiarity of Vega should not affect the definition of the magnitude scale. Therefore, the magnitude scale was extrapolated to all wavelengths on the basis of the black-body radiation curve for an ideal stellar surface at uncontaminated by circumstellar radiation. On this basis the spectral irradiance (usually expressed in janskys) for the zero magnitude point, as a function of wavelength, can be computed. Small deviations are specified between systems using measurement apparatuses developed independently so that data obtained by different astronomers can be properly compared, but of greater practical importance is the definition of magnitude not at a single wavelength but applying to the response of standard spectral filters used in photometry over various wavelength bands.
With the modern magnitude systems, brightness over a very wide range is specified according to the logarithmic definition detailed below, using this zero reference. In practice such apparent magnitudes do not exceed 30 (for detectable measurements). The brightness of Vega is exceeded by four stars in the night sky at visible wavelengths (and more at infrared wavelengths) as well as the bright planets Venus, Mars, and Jupiter, and these must be described by negative magnitudes. For example, Sirius, the brightest star of the celestial sphere, has a magnitude of −1.4 in the visible. Negative magnitudes for other very bright astronomical objects can be found in the table below.
Astronomers have developed other photometric zero point systems as alternatives to the Vega system. The most widely used is the AB magnitude system, in which photometric zero points are based on a hypothetical reference spectrum having constant flux per unit frequency interval, rather than using a stellar spectrum or blackbody curve as the reference. The AB magnitude zero point is defined such that an object's AB and Vega-based magnitudes will be approximately equal in the V filter band.
Measurement
Precision measurement of magnitude (photometry) requires calibration of the photographic or (usually) electronic detection apparatus. This generally involves contemporaneous observation, under identical conditions, of standard stars whose magnitude using that spectral filter is accurately known. Moreover, as the amount of light actually received by a telescope is reduced due to transmission through the Earth's atmosphere, the airmasses of the target and calibration stars must be taken into account. Typically one would observe a few different stars of known magnitude which are sufficiently similar. Calibrator stars close in the sky to the target are favoured (to avoid large differences in the atmospheric paths). If those stars have somewhat different zenith angles (altitudes) then a correction factor as a function of airmass can be derived and applied to the airmass at the target's position. Such calibration obtains the brightness as would be observed from above the atmosphere, where apparent magnitude is defined.
The apparent magnitude scale in astronomy reflects the received power of stars and not their amplitude. Newcomers should consider using the relative brightness measure in astrophotography to adjust exposure times between stars. Apparent magnitude also integrates over the entire object, regardless of its focus, and this needs to be taken into account when scaling exposure times for objects with significant apparent size, like the Sun, Moon and planets. For example, directly scaling the exposure time from the Moon to the Sun works because they are approximately the same size in the sky. However, scaling the exposure from the Moon to Saturn would result in an overexposure if the image of Saturn takes up a smaller area on your sensor than the Moon did (at the same magnification, or more generally, f/#).
Calculations
The dimmer an object appears, the higher the numerical value given to its magnitude, with a difference of 5 magnitudes corresponding to a brightness factor of exactly 100. Therefore, the magnitude , in the spectral band , would be given by
which is more commonly expressed in terms of common (base-10) logarithms as
where is the observed irradiance using spectral filter , and is the reference flux (zero-point) for that photometric filter. Since an increase of 5 magnitudes corresponds to a decrease in brightness by a factor of exactly 100, each magnitude increase implies a decrease in brightness by the factor (Pogson's ratio). Inverting the above formula, a magnitude difference implies a brightness factor of
Example: Sun and Moon
What is the ratio in brightness between the Sun and the full Moon?
The apparent magnitude of the Sun is −26.832 (brighter), and the mean magnitude of the full moon is −12.74 (dimmer).
Difference in magnitude:
Brightness factor:
The Sun appears about times as bright as the full Moon.
Magnitude addition
Sometimes one might wish to add brightness. For example, photometry on closely separated double stars may only be able to produce a measurement of their combined light output. To find the combined magnitude of that double star knowing only the magnitudes of the individual components, this can be done by adding the brightness (in linear units) corresponding to each magnitude.
Solving for yields
where is the resulting magnitude after adding the brightnesses referred to by and .
Apparent bolometric magnitude
While magnitude generally refers to a measurement in a particular filter band corresponding to some range of wavelengths, the apparent or absolute bolometric magnitude (mbol) is a measure of an object's apparent or absolute brightness integrated over all wavelengths of the electromagnetic spectrum (also known as the object's irradiance or power, respectively). The zero point of the apparent bolometric magnitude scale is based on the definition that an apparent bolometric magnitude of 0 mag is equivalent to a received irradiance of 2.518×10−8 watts per square metre (W·m−2).
Absolute magnitude
While apparent magnitude is a measure of the brightness of an object as seen by a particular observer, absolute magnitude is a measure of the intrinsic brightness of an object. Flux decreases with distance according to an inverse-square law, so the apparent magnitude of a star depends on both its absolute brightness and its distance (and any extinction). For example, a star at one distance will have the same apparent magnitude as a star four times as bright at twice that distance. In contrast, the intrinsic brightness of an astronomical object, does not depend on the distance of the observer or any extinction.
The absolute magnitude , of a star or astronomical object is defined as the apparent magnitude it would have as seen from a distance of . The absolute magnitude of the Sun is 4.83 in the V band (visual), 4.68 in the Gaia satellite's G band (green) and 5.48 in the B band (blue).
In the case of a planet or asteroid, the absolute magnitude rather means the apparent magnitude it would have if it were from both the observer and the Sun, and fully illuminated at maximum opposition (a configuration that is only theoretically achievable, with the observer situated on the surface of the Sun).
Standard reference values
The magnitude scale is a reverse logarithmic scale. A common misconception is that the logarithmic nature of the scale is because the human eye itself has a logarithmic response. In Pogson's time this was thought to be true (see Weber–Fechner law), but it is now believed that the response is a power law .
Magnitude is complicated by the fact that light is not monochromatic. The sensitivity of a light detector varies according to the wavelength of the light, and the way it varies depends on the type of light detector. For this reason, it is necessary to specify how the magnitude is measured for the value to be meaningful. For this purpose the UBV system is widely used, in which the magnitude is measured in three different wavelength bands: U (centred at about 350 nm, in the near ultraviolet), B (about 435 nm, in the blue region) and V (about 555 nm, in the middle of the human visual range in daylight). The V band was chosen for spectral purposes and gives magnitudes closely corresponding to those seen by the human eye. When an apparent magnitude is discussed without further qualification, the V magnitude is generally understood.
Because cooler stars, such as red giants and red dwarfs, emit little energy in the blue and UV regions of the spectrum, their power is often under-represented by the UBV scale. Indeed, some L and T class stars have an estimated magnitude of well over 100, because they emit extremely little visible light, but are strongest in infrared.
Measures of magnitude need cautious treatment and it is extremely important to measure like with like. On early 20th century and older orthochromatic (blue-sensitive) photographic film, the relative brightnesses of the blue supergiant Rigel and the red supergiant Betelgeuse irregular variable star (at maximum) are reversed compared to what human eyes perceive, because this archaic film is more sensitive to blue light than it is to red light. Magnitudes obtained from this method are known as photographic magnitudes, and are now considered obsolete.
For objects within the Milky Way with a given absolute magnitude, 5 is added to the apparent magnitude for every tenfold increase in the distance to the object. For objects at very great distances (far beyond the Milky Way), this relationship must be adjusted for redshifts and for non-Euclidean distance measures due to general relativity.
For planets and other Solar System bodies, the apparent magnitude is derived from its phase curve and the distances to the Sun and observer.
List of apparent magnitudes
Some of the listed magnitudes are approximate. Telescope sensitivity depends on observing time, optical bandpass, and interfering light from scattering and airglow.
See also
Distance modulus
List of nearest bright stars
List of nearest stars and brown dwarfs
Luminosity in astronomy
Surface brightness
References
External links
Observational astronomy
Logarithmic scales of measurement
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Apollo 1, initially designated AS-204, was planned to be the first crewed mission of the Apollo program, the American undertaking to land the first man on the Moon. It was planned to launch on February 21, 1967, as the first low Earth orbital test of the Apollo command and service module. The mission never flew; a cabin fire during a launch rehearsal test at Cape Kennedy Air Force Station Launch Complex 34 on January 27 killed all three crew members—Command Pilot Gus Grissom, Senior Pilot Ed White, and Pilot Roger B. Chaffee—and destroyed the command module (CM). The name Apollo 1, chosen by the crew, was made official by NASA in their honor after the fire.
Immediately after the fire, NASA convened an Accident Review Board to determine the cause of the fire, and both chambers of the United States Congress conducted their own committee inquiries to oversee NASA's investigation. The ignition source of the fire was determined to be electrical, and the fire spread rapidly due to combustible nylon material and the high-pressure pure oxygen cabin atmosphere. Rescue was prevented by the plug door hatch, which could not be opened against the internal pressure of the cabin. Because the rocket was unfueled, the test had not been considered hazardous, and emergency preparedness for it was poor.
During the Congressional investigation, Senator Walter Mondale publicly revealed a NASA internal document citing problems with prime Apollo contractor North American Aviation, which became known as the Phillips Report. This disclosure embarrassed NASA Administrator James E. Webb, who was unaware of the document's existence, and attracted controversy to the Apollo program. Despite congressional displeasure at NASA's lack of openness, both congressional committees ruled that the issues raised in the report had no bearing on the accident.
Crewed Apollo flights were suspended for twenty months while the command module's hazards were addressed. However, the development and uncrewed testing of the lunar module (LM) and Saturn V rocket continued. The Saturn IB launch vehicle for Apollo1, SA-204, was used for the first LM test flight, Apollo 5. The first successful crewed Apollo mission was flown by Apollo1's backup crew on Apollo 7 in October 1968.
Crew
First backup crew (April–December 1966)
Second backup crew (December 1966 – January 1967)
Apollo crewed test flight plans
AS-204 was to be the first crewed test flight of the Apollo command and service module (CSM) to Earth orbit, launched on a Saturn IB rocket. AS-204 was to test launch operations, ground tracking and control facilities and the performance of the Apollo-Saturn launch assembly and would have lasted up to two weeks, depending on how the spacecraft performed.
The CSM for this flight, number 012 built by North American Aviation (NAA), was a Block I version designed before the lunar orbit rendezvous landing strategy was chosen; therefore it lacked the capability of docking with the lunar module. This was incorporated into the Block II CSM design, along with lessons learned in Block I. Block II would be test-flown with the LM when the latter was ready.
Director of Flight Crew Operations Deke Slayton selected the first Apollo crew in January 1966, with Grissom as Command Pilot, White as Senior Pilot, and rookie Donn F. Eisele as Pilot. But Eisele dislocated his shoulder twice aboard the KC-135 weightlessness training aircraft, and had to undergo surgery on January 27. Slayton replaced him with Chaffee, and NASA announced the crew selection on March 21, 1966. James McDivitt, David Scott and Russell Schweickart were named as the backup crew.
On September 29, Walter Schirra, Eisele, and Walter Cunningham were named as the prime crew for a second Block I CSM flight, AS-205. NASA planned to follow this with an uncrewed test flight of the LM (AS-206), then the third crewed mission would be a dual flight designated AS-278 (or AS-207/208), in which AS-207 would launch the first crewed Block II CSM, which would then rendezvous and dock with the LM launched uncrewed on AS-208.
In March, NASA was studying the possibility of flying the first Apollo mission as a joint space rendezvous with the final Project Gemini mission, Gemini 12 in November 1966. But by May, delays in making Apollo ready for flight just by itself, and the extra time needed to incorporate compatibility with the Gemini, made that impractical. This became moot when slippage in readiness of the AS-204 spacecraft caused the last-quarter 1966 target date to be missed, and the mission was rescheduled for February 21, 1967.
Mission background
In October 1966, NASA announced the flight would carry a small television camera to broadcast live from the command module. The camera would also be used to allow flight controllers to monitor the spacecraft's instrument panel in flight. Television cameras were carried aboard all crewed Apollo missions.
Insignia
Grissom's crew received approval in June 1966 to design a mission patch with the name Apollo1 (though the approval was subsequently withdrawn pending a final decision on the mission designation, which was not resolved until after the fire). The design's center depicts a command and service module flying over the southeastern United States with Florida (the launch point) prominent. The Moon is seen in the distance, symbolic of the eventual program goal. A yellow border carries the mission and astronaut names with another border set with stars and stripes, trimmed in gold. The insignia was designed by the crew, with the artwork done by North American Aviation employee Allen Stevens.
Spacecraft and crew preparation
The Apollo command and service module was much bigger and far more complex than any previous crewed spacecraft. In October 1963, Joseph F. Shea was named Apollo Spacecraft Program Office (ASPO) manager, responsible for managing the design and construction of both the CSM and the LM.
In a spacecraft review meeting held with Shea on August 19, 1966 (a week before delivery), the crew expressed concern about the amount of flammable material (mainly nylon netting and Velcro) in the cabin, which both astronauts and technicians found convenient for holding tools and equipment in place. Although Shea gave the spacecraft a passing grade, after the meeting they gave him a crew portrait they had posed with heads bowed and hands clasped in prayer, with the inscription:
Shea gave his staff orders to tell North American to remove the flammables from the cabin, but did not supervise the issue personally.
North American shipped spacecraft CM-012 to Kennedy Space Center on August 26, 1966, under a conditional Certificate of Flight Worthiness: 113 significant incomplete planned engineering changes had to be completed at KSC. That was not all; an additional 623 engineering change orders were made and completed after delivery. Grissom became so frustrated with the inability of the training simulator engineers to keep up with the spacecraft changes that he took a lemon from a tree by his house and hung it on the simulator.
The command and service modules were mated in the KSC altitude chamber in September, and combined system testing was performed. Altitude testing was performed first uncrewed, then with both the prime and backup crews, from October 10 through December 30. During this testing, the environmental control unit in the command module was found to have a design flaw, and was sent back to the manufacturer for design changes and rework. The returned ECU then leaked water/glycol coolant, and had to be returned a second time. Also during this time, a propellant tank in another service module had ruptured during testing at NAA, prompting the removal from the KSC test chamber of the service module so it could be tested for signs of the tank problem. These tests were negative.
In December the second Block I flight AS-205 was canceled as unnecessary; Schirra, Eisele and Cunningham were reassigned as the backup crew for Apollo1. McDivitt's crew was now promoted to prime crew of the Block II/LM mission, re-designated AS-258 because the AS-205 launch vehicle would be used in place of AS-207. A third crewed mission was planned to launch the CSM and LM together on a SaturnV (AS-503) to an elliptical medium Earth orbit (MEO), to be crewed by Frank Borman, Michael Collins and William Anders. McDivitt, Scott and Schweickart had started their training for AS-258 in CM-101 at the NAA plant in Downey, California, when the Apollo1 accident occurred.
Once all outstanding CSM-012 hardware problems had been fixed, the reassembled spacecraft completed a successful altitude chamber test with Schirra's backup crew on December 30. According to the final report of the accident investigation board, "At the post-test debriefing the backup flight crew expressed their satisfaction with the condition and performance of the spacecraft." This would appear to contradict the account given in the 1994 book Lost Moon: The Perilous Voyage of Apollo13 by Jeffrey Kluger and astronaut James Lovell, that "When the trio climbed out of the ship,... Schirra made it clear that he was not pleased with what he had seen," and that he later warned Grissom and Shea that "there's nothing wrong with this ship that I can point to, but it just makes me uncomfortable. Something about it just doesn't ring right," and that Grissom should get out at the first sign of trouble.
After the successful altitude tests, the spacecraft was removed from the altitude chamber on January 3, 1967, and mated to its Saturn IB launch vehicle on pad 34 on January 6.
Grissom said in a February 1963 interview that NASA could not eliminate risk despite precautions:
"I suppose that someday we are going to have a failure. In every other business there are failures, and they are bound to happen sooner or later", he added. Grissom was asked about the fear of potential catastrophe in a December 1966 interview:
Accident
Plugs-out test
The launch simulation on January 27, 1967, on pad 34, was a "plugs-out" test to determine whether the spacecraft would operate nominally on (simulated) internal power while detached from all cables and umbilicals. Passing this test was essential to making the February 21 launch date. The test was considered non-hazardous because neither the launch vehicle nor the spacecraft was loaded with fuel or cryogenics and all pyrotechnic systems (explosive bolts) were disabled.
At 1:00 pm EST (1800 GMT) on January 27, first Grissom, then Chaffee, and White entered the command module fully pressure-suited, and were strapped into their seats and hooked up to the spacecraft's oxygen and communication systems. Grissom immediately noticed a strange odor in the air circulating through his suit which he compared to "sour buttermilk", and the simulated countdown was put on hold at 1:20 pm, while air samples were taken. No cause of the odor could be found, and the countdown was resumed at 2:42 pm. The accident investigation found this odor not to be related to the fire.
Three minutes after the count was resumed the hatch installation was started. The hatch consisted of three parts: a removable inner hatch which stayed inside the cabin; a hinged outer hatch which was part of the spacecraft's heat shield; and an outer hatch cover which was part of the boost protective cover enveloping the entire command module to protect it from aerodynamic heating during launch and from launch escape rocket exhaust in the event of a launch abort. The boost hatch cover was partially, but not fully, latched in place because the flexible boost protective cover was slightly distorted by some cabling run under it to provide the simulated internal power (the spacecraft's fuel cell reactants were not loaded for this test). After the hatches were sealed, the air in the cabin was replaced with pure oxygen at , higher than atmospheric pressure.
Movement by the astronauts was detected by the spacecraft's inertial measurement unit and the astronauts' biomedical sensors, and also indicated by increases in oxygen spacesuit flow, and sounds from Grissom's stuck-open microphone. The stuck microphone was part of a problem with the communications loop connecting the crew, the Operations and Checkout Building, and the Complex 34 blockhouse control room. The poor communications led Grissom to remark: "How are we going to get to the Moon if we can't talk between two or three buildings?"
The simulated countdown was put on hold again at 5:40 pm while attempts were made to troubleshoot the communications problem. All countdown functions up to the simulated internal power transfer had been successfully completed by 6:20 pm, and at 6:30 the count remained on hold at T minus 10 minutes.
Fire
The crew members were using the time to run through their checklist again, when a momentary increase in AC Bus2 voltage occurred. Nine seconds later (at 6:31:04.7), one of the astronauts (some listeners and laboratory analysis indicate Grissom) exclaimed "Hey!", "Fire!", or "Flame!"; this was followed by two seconds of scuffling sounds through Grissom's open microphone. This was immediately followed at 6:31:06.2 (23:31:06.2 GMT) by someone (believed by most listeners, and supported by laboratory analysis, to be Chaffee) saying, "[I've, or We've] got a fire in the cockpit." After 6.8 seconds of silence, a second, badly garbled transmission was heard by various listeners as:
"They're fighting a bad fire—Let's get out... Open 'er up",
"We've got a bad fire—Let's get out... We're burning up", or
"I'm reporting a bad fire... I'm getting out..."
The transmission lasted 5.0 seconds and ended with a cry of pain.
Some blockhouse witnesses said that they saw White on the television monitors, reaching for the inner hatch release handle as flames in the cabin spread from left to right.
The heat of the fire fed by pure oxygen caused the pressure to rise to , which ruptured the command module's inner wall at 6:31:19 (23:31:19 GMT, initial phase of the fire). Flames and gases then rushed outside the command module through open access panels to two levels of the pad service structure. The intense heat, dense smoke, and ineffective gas masks designed for toxic fumes rather than smoke, hampered the ground crew's attempts to rescue the men. There were fears the command module had exploded, or soon would, and that the fire might ignite the solid fuel rocket in the launch escape tower above the command module, which would have likely killed nearby ground personnel, and possibly have destroyed the pad.
As the pressure was released by the cabin rupture, the rush of gases within the module caused flames to spread across the cabin, beginning the second phase. The third phase began when most of the oxygen was consumed and was replaced with atmospheric air, essentially quenching the fire, but causing high concentrations of carbon monoxide and heavy smoke to fill the cabin, and large amounts of soot to be deposited on surfaces as they cooled.
It took five minutes for the pad workers to open all three hatch layers, and they could not drop the inner hatch to the cabin floor as intended, so they pushed it out of the way to one side. Although the cabin lights remained on, they were unable to see the astronauts through the dense smoke. As the smoke cleared they found the bodies, but were not able to remove them. The fire had partly melted Grissom's and White's nylon space suits and the hoses connecting them to the life support system. Grissom had removed his restraints and was lying on the floor of the spacecraft. White's restraints were burned through, and he was found lying sideways just below the hatch. It was determined that he had tried to open the hatch per the emergency procedure, but was not able to do so against the internal pressure. Chaffee was found strapped into his right-hand seat, as procedure called for him to maintain communication until White opened the hatch. Because of the large strands of melted nylon fusing the astronauts to the cabin interior, removing the bodies took nearly 90 minutes.
Deke Slayton was possibly the first NASA official to examine the spacecraft's interior. His testimony contradicted the official report concerning the position of Grissom's body. Slayton said of Grissom and White's bodies, "it is very difficult for me to determine the exact relationships of these two bodies. They were sort of jumbled together, and I couldn't really tell which head even belonged to which body at that point. I guess the only thing that was real obvious is that both bodies were at the lower edge of the hatch. They were not in the seats. They were almost completely clear of the seat areas."
Investigation
As a result of the in-flight failure of the Gemini 8 mission on March 17, 1966, NASA Deputy Administrator Robert Seamans wrote and implemented Management Instruction 8621.1 on April 14, 1966, defining Mission Failure Investigation Policy And Procedures. This modified NASA's existing accident procedures, based on military aircraft accident investigation, by giving the Deputy Administrator the option of performing independent investigations of major failures, beyond those for which the various Program Office officials were normally responsible. It declared, "It is NASA policy to investigate and document the causes of all major mission failures which occur in the conduct of its space and aeronautical activities and to take appropriate corrective actions as a result of the findings and recommendations."
Immediately after thefire NASA Administrator James E. Webb asked President Lyndon B. Johnson to allow NASA to handle the investigation according to its established procedure, promising to be truthful in assessing blame, and to keep the appropriate leaders of Congress informed. Seamans then directed establishment of the Apollo 204 Review Board chaired by Langley Research Center director Floyd L. Thompson, which included astronaut Frank Borman, spacecraft designer Maxime Faget, and six others. On February 1, Cornell University professor Frank A. Long left the board, and was replaced by Robert W. Van Dolah of the U.S. Bureau of Mines. The next day North American's chief engineer for Apollo, George Jeffs, also left.
Seamans ordered all Apollo1 hardware and software impounded, to be released only under control of the board. After thorough stereo photographic documentation of the CM-012 interior, the board ordered its disassembly using procedures tested by disassembling the identical CM-014 and conducted a thorough investigation of every part. The board also reviewed the astronauts' autopsy results and interviewed witnesses. Seamans sent Webb weekly status reports of the investigation's progress, and the board issued its final report on April 5, 1967.
Cause of death
According to the Board, Grissom suffered severe third-degree burns on over one-third of his body and his spacesuit was mostly destroyed. White suffered third-degree burns on almost half of his body and a quarter of his spacesuit had melted away. Chaffee suffered third-degree burns over almost a quarter of his body and a small portion of his spacesuit was damaged. The autopsy report determined that the primary cause of death for all three astronauts was cardiac arrest caused by high concentrations of carbon monoxide. Burns suffered by the crew were not believed to be major factors, and it was concluded that most of them had occurred postmortem. Asphyxiation occurred after the fire melted the astronauts' suits and oxygen tubes, exposing them to the lethal atmosphere of the cabin.
Major causes of accident
The review board identified several major factors which combined to cause the fire and the astronauts' deaths:
An ignition source most probably related to "vulnerable wiring carrying spacecraft power" and "vulnerable plumbing carrying a combustible and corrosive coolant"
A pure oxygen atmosphere at higher than atmospheric pressure
A cabin sealed with a hatch cover which could not be quickly removed at high pressure
An extensive distribution of combustible materials in the cabin
Inadequate emergency preparedness (rescue or medical assistance, and crew escape)
Ignition source
The review board determined that the electrical power momentarily failed at 23:30:55 GMT, and found evidence of several electric arcs in the interior equipment. They were unable to conclusively identify a single ignition source. They determined that the fire most likely started near the floor in the lower left section of the cabin, close to the Environmental Control Unit. It spread from the left wall of the cabin to the right, with the floor being affected only briefly.
The board noted that a silver-plated copper wire, running through an environmental control unit near the center couch, had become stripped of its Teflon insulation and abraded by repeated opening and closing of a small access door.
This weak point in the wiring also ran near a junction in an ethylene glycol/water cooling line that had been prone to leaks. Electrolysis of ethylene glycol solution with the silver anode of the wire was discovered at the Manned Spacecraft Center on May 29, 1967, to be a hazard capable of causing a violent exothermic reaction, igniting the ethylene glycol mixture in the Command Module's pure oxygen atmosphere. Experiments at the Illinois Institute of Technology confirmed the hazard existed for silver-plated wires, but not for copper-only or nickel-plated copper. In July, ASPO directed both North American and Grumman to ensure no silver or silver-coated electrical contacts existed in the vicinity of possible glycol spills in the Apollo spacecraft.
Pure oxygen atmosphere
The plugs-out test had been run to simulate the launch procedure, with the cabin pressurized with pure oxygen at the nominal launch level of , above standard sea level atmospheric pressure. This is more than five times the partial pressure of oxygen in the atmosphere, and provides an environment in which materials not normally considered flammable will be highly flammable and burst into flame.
The high-pressure oxygen atmosphere was similar to that which had been used successfully in the Mercury and Gemini programs. The pressure before launch was deliberately greater than ambient in order to drive out the nitrogen-containing air and replace it with pure oxygen, and also to seal the plug door hatch cover. During the launch, the pressure would have been gradually reduced to the in-flight level of , providing sufficient oxygen for the astronauts to breathe while reducing the fire risk. The Apollo1 crew had successfully tested this procedure with their spacecraft in the Operations and Checkout Building altitude (vacuum) chamber on October 18 and 19, 1966, and the backup crew of Schirra, Eisele and Cunningham had repeated it on December 30. The investigation board noted that, during these tests, the command module had been fully pressurized with pure oxygen four times, for a total of six hours and fifteen minutes, two and a half hours longer than it had been during the plugs-out test.
Flammable materials in the cabin
The review board cited "many types and classes of combustible material" close to ignition sources. The NASA crew systems department had installed of Velcro throughout the spacecraft, almost like carpeting. This Velcro was found to be flammable in a high-pressure 100% oxygen environment. Astronaut Buzz Aldrin states in his book Men From Earth that the flammable material had been removed per the crew's August 19 complaints and Joseph Shea's order, but was replaced before the August 26 delivery to Cape Kennedy.
Hatch design
The inner hatch cover used a plug door design, sealed by higher pressure inside the cabin than outside. The normal pressure level used for launch ( above ambient) created sufficient force to prevent removing the cover until the excess pressure was vented. Emergency procedure called for Grissom to open the cabin vent valve first, allowing White to remove the cover, but Grissom was prevented from doing this because the valve was located to the left, behind the initial wall of flames. Also, while the system could easily vent the normal pressure, its flow capacity was utterly incapable of handling the rapid increase to caused by the intense heat of the fire.
North American had originally suggested the hatch open outward and use explosive bolts to blow the hatch in case of emergency, as had been done in Project Mercury. NASA did not agree, arguing the hatch could accidentally open, as it had on Grissom's Liberty Bell 7 flight, so the Manned Spacecraft Center designers rejected the explosive design in favor of a mechanically operated one for the Gemini and Apollo programs. Before the fire, the Apollo astronauts had recommended changing the design to an outward-opening hatch, and this was already slated for inclusion in the Block II command module design. According to Donald K. Slayton's testimony before the House investigation of the accident, this was based on ease of exit for spacewalks and at the end of flight, rather than for emergency exit.
Emergency preparedness
The board noted that the test planners had failed to identify the test as hazardous; emergency equipment (such as gas masks) were inadequate to handle this type of fire; that fire, rescue, and medical teams were not in attendance; and that the spacecraft work and access areas contained many hindrances to emergency response such as steps, sliding doors, and sharp turns.
Choice of pure oxygen atmosphere
When designing the Mercury spacecraft, NASA had considered using a nitrogen/oxygen mixture to reduce the fire risk near launch, but rejected it based on a number of considerations. First, a pure oxygen atmosphere is comfortably breathable by humans at , greatly reducing the pressure load on the spacecraft in the vacuum of space. Second, nitrogen used with the in-flight pressure reduction carried the risk of decompression sickness (known as "the bends"). But the decision to eliminate the use of any gas but oxygen was crystalized when a serious accident occurred on April 21, 1960, in which McDonnell Aircraft test pilot G. B. North passed out and was seriously injured when testing a Mercury cabin / spacesuit atmosphere system in a vacuum chamber. The problem was found to be nitrogen-rich (oxygen-poor) air leaking from the cabin into his spacesuit feed. North American Aviation had suggested using an oxygen/nitrogen mixture for Apollo, but NASA overruled this. The pure oxygen design was judged to be safer, less complicated, and lighter in weight. In his monograph Project Apollo: The Tough Decisions, Deputy Administrator Seamans wrote that NASA's worst mistake in engineering judgment was not running a fire test on the command module before the plugs-out test. In the first episode of the 2009 BBC documentary series NASA: Triumph and Tragedy, Jim McDivitt said that NASA had no idea how a 100% oxygen atmosphere would influence burning. Similar remarks by other astronauts were expressed in the 2007 documentary film In the Shadow of the Moon.
Other oxygen incidents
Several fires in high-oxygen test environments had occurred before the Apollo fire. In 1962, USAF Colonel B. Dean Smith was conducting a test of the Gemini space suit with a colleague in a pure oxygen chamber at Brooks Air Force Base in San Antonio, Texas, when a fire broke out, destroying the chamber. Smith and his partner narrowly escaped. On November 17, 1962, a fire broke out in a chamber at the Navy's Air Crew Equipment Laboratory during a pure oxygen test. The fire was started because a faulty ground wire arced onto nearby insulation. After attempts to extinguish the fire by smothering it, the crew escaped the chamber with minor burns across large parts of their bodies. On February 16, 1965, United States Navy Divers Fred Jackson and John Youmans were killed in a decompression chamber fire at the Experimental Diving Unit in Washington, D.C., shortly after additional oxygen was added to the chamber's atmospheric mix.
In addition to fires with personnel present, the Apollo Environmental Control System experienced several accidents from 1964 to 1966 due to various hardware malfunctions. Notable is the April 28, 1966 fire, as the subsequent investigation found that several new measures should be taken to avoid fires, including improved selection of materials and that ESC and Command Module circuits have a potential for arcing or short circuits.
Other oxygen fire occurrences are documented in reports archived in the National Air and Space Museum, such as:
Selection of Space Cabin Atmospheres. Part II: Fire and Blast Hazaards in Space Cabins. (Emanuel M. Roth; Dept of Aeronautics Medicine and Bioastronautics, Lovelace Foundation for Medical Education and Research. c. 1964–1966)
"Fire Prevention in Manned Spacecraft and Test Chamber Oxygen Atmospheres". (Manned Spacecraft Center. NASA General Working Paper 10 063. October 10, 1966)
Incidents had also occurred in the Soviet space program, but due to the Soviet government's policy of secrecy, these were not disclosed until well after the Apollo1 fire. Cosmonaut Valentin Bondarenko died on March 23, 1961, from burns sustained in a fire while participating in a 15-day endurance experiment in a high-oxygen isolation chamber, less than three weeks before the first Vostok crewed space flight; this was disclosed on January 28, 1986.
During the Voskhod 2 mission in March 1965, cosmonauts Pavel Belyayev and Alexei Leonov could not completely seal the spacecraft hatch after Leonov's historic first walk in space. The spacecraft's environmental control system responded to the leaking air by adding more oxygen to the cabin, causing the concentration level to rise as high as 45%. The crew and ground controllers worried about the possibility of fire, remembering Bondarenko's death four years earlier.
On January 31, 1967, four days after the Apollo1 fire, United States Air Force airmen William F. Bartley Jr. and Richard G. Harmon were killed in a flash fire while tending laboratory rabbits in the Two Man Space Environment Simulator, a pure oxygen chamber at the School of Aerospace Medicine at Brooks Air Force Base. Like the Apollo1 fire, the School fire was caused by an electrical spark in a pure oxygen environment. The widows of the Apollo1 crew sent condolence letters to Bartley and Harmon's families.
Political fallout
Committees in both houses of the United States Congress with oversight of the space program soon launched investigations, including the Senate Committee on Aeronautical and Space Sciences, chaired by Senator Clinton P. Anderson. Seamans, Webb, Manned Space Flight Administrator Dr. George E. Mueller, and Apollo Program Director Maj Gen Samuel C. Phillips were called to testify before Anderson's committee.
In the February 27 hearing, Senator Walter F. Mondale asked Webb if he knew of a report of extraordinary problems with the performance of North American Aviation on the Apollo contract. Webb replied he did not, and deferred to his subordinates on the witness panel. Mueller and Phillips responded they too were unaware of any such "report".
However, in late 1965, just over a year before the accident, Phillips had headed a "tiger team" investigating the causes of inadequate quality, schedule delays, and cost overruns in both the Apollo CSM and the Saturn V second stage (for which North American was also prime contractor). He gave an oral presentation (with transparencies) of his team's findings to Mueller and Seamans, and also presented them in a memo to North American president John L. Atwood, to which Mueller appended his own strongly worded memo to Atwood.
During Mondale's 1967 questioning about what was to become known as the "Phillips Report", Seamans was afraid Mondale might actually have seen a hard copy of Phillips' presentation, and responded that contractors have occasionally been subjected to on-site progress reviews; perhaps this was what Mondale's information referred to. Mondale continued to refer to "the Report" despite Phillips' refusal to characterize it as such, and, angered by what he perceived as Webb's deception and concealment of important program problems from Congress, he questioned NASA's selection of North American as prime contractor. Seamans later wrote that Webb roundly chastised him in the cab ride leaving the hearing, for volunteering information which led to the disclosure of Phillips' memo.
On May 11, Webb issued a statement defending NASA's November 1961 selection of North American as the prime contractor for Apollo. This was followed on June9 by Seamans filing a seven-page memorandum documenting the selection process. Webb eventually provided a controlled copy of Phillips' memo to Congress. The Senate committee noted in its final report NASA's testimony that "the findings of the [Phillips] task force had no effect on the accident, did not lead to the accident, and were not related to the accident", but stated in its recommendations:
Freshman Senators Edward W. Brooke III and Charles H. Percy jointly wrote an Additional Views section appended to the committee report, chastising NASA more strongly than Anderson for not having disclosed the Phillips review to Congress. Mondale wrote his own, even more strongly worded Additional View, accusing NASA of "evasiveness,... lack of candor,... patronizing attitude toward Congress... refusal to respond fully and forthrightly to legitimate Congressional inquiries, and... solicitous concern for corporate sensitivities at a time of national tragedy".
The potential political threat to Apollo blew over, due in large part to the support of President Lyndon B. Johnson, who at the time still wielded a measure of influence with the Congress from his own Senatorial experience. He was a staunch supporter of NASA since its inception, had even recommended the Moon program to President John F. Kennedy in 1961, and was skilled at portraying it as part of Kennedy's legacy.
Relations between NASA and North American deteriorated over the assignment of blame. North American argued unsuccessfully it was not responsible for the fatal error in spacecraft atmosphere design. Finally, Webb contacted Atwood, and demanded either he or Chief Engineer Harrison A. Storms resign. Atwood elected to fire Storms.
On the NASA side, Joseph Shea resorted to barbiturates and alcohol in order to help him cope. NASA administrator James Webb became increasingly worried about Shea's mental state. Shea was asked to take an extended voluntary leave of absence, but Shea refused, threatening to resign rather than take leave. As a compromise, he agreed to meet with a psychiatrist and to abide by an independent assessment of his psychological fitness. This approach to remove Shea from his position was also unsuccessful. Finally, six months after the fire, Shea's superiors reassigned him to NASA headquarters in Washington, D.C. Shea felt that his new post was a "non-job," and left after only two months.
Program recovery
Gene Kranz called a meeting of his staff in Mission Control three days after the accident, delivering a speech which has subsequently become one of NASA's principles. Speaking of the errors and overall attitude surrounding the Apollo program before the accident, he said: "We were too 'gung-ho' about the schedule and we blocked out all of the problems we saw each day in our work. Every element of the program was in trouble and so were we." He reminded the team of the perils and mercilessness of their endeavor, and stated the new requirement that every member of every team in mission control be "tough and competent", requiring nothing less than perfection throughout NASA's programs. In 2003, following the Space Shuttle Columbia disaster, NASA administrator Sean O'Keefe quoted Kranz's speech, applying it to the Columbia crew.
Command module redesign
After the fire, the Apollo program was grounded for review and redesign. The command module was found to be extremely hazardous and, in some instances, carelessly assembled (for example, a misplaced wrench socket was found in the cabin).
It was decided that the remaining Block I spacecraft would be used only for uncrewed Saturn V test flights. All crewed missions would use the Block II spacecraft, to which many command module design changes were made:
The cabin atmosphere at launch was adjusted to 60% oxygen and 40% nitrogen at sea-level pressure: . During ascent the cabin rapidly vented down to , releasing approximately 2/3 of the gas originally present at launch. The vent then closed and the environmental control system maintained a nominal cabin pressure of as the spacecraft continued into vacuum. The cabin was then very slowly purged (vented to space and simultaneously replaced with 100% oxygen), so the nitrogen concentration gradually fell off to zero over the next day. Although the new cabin launch atmosphere was significantly safer than 100% oxygen, it still contained almost three times the amount of oxygen present in ordinary sea-level air (20.9% oxygen). This was necessary to ensure a sufficient partial pressure of oxygen when the astronauts removed their helmets after reaching orbit. (60% of five psi is three psi, compared to 60% of which is at launch, and 20.9% of which is in sea-level air.)
The environment within the astronauts' pressure suits was not changed. Because of the rapid drop in cabin (and suit) pressures during ascent, decompression sickness was likely unless the nitrogen had been purged from the astronauts' tissues before launch. They would still breathe pure oxygen, starting several hours before launch, until they removed their helmets on orbit. Avoiding the "bends" was considered worth the residual risk of an oxygen-accelerated fire within a suit.
Nylon used in the Block I suits was replaced in the Block II suits with Beta cloth, a non-flammable, highly melt-resistant fabric woven from fiberglass and coated with Teflon.
Block II had already been planned to use a completely redesigned hatch which opened outward, and could be opened in less than five seconds. Concerns of accidental opening were addressed by using a cartridge of pressurized nitrogen to drive the release mechanism in an emergency, instead of the explosive bolts used on Project Mercury.
Flammable materials in the cabin were replaced with self-extinguishing versions.
Plumbing and wiring were covered with protective insulation. Aluminum tubing was replaced with stainless steel tubing that used brazed joints when possible.
Thorough protocols were implemented for documenting spacecraft construction and maintenance.
New mission naming scheme
The astronauts' widows asked that Apollo 1 be reserved for the flight their husbands never made, and on April 24, 1967, Mueller, as Associate Administrator for Manned Space Flight, announced this change officially: AS-204 would be recorded as Apollo1, "first manned Apollo Saturn flight – failed on ground test". Even though three uncrewed Apollo missions (AS-201, AS-202, and AS-203) had previously occurred, only AS-201 and AS-202 carried spacecraft. Therefore, the next mission, the first uncrewed Saturn V test flight (AS-501) would be designated Apollo4, with all subsequent flights numbered sequentially in the order flown. The first three flights would not be renumbered, and the names Apollo2 and Apollo3 would officially go unused. Mueller considered AS-201 and AS-202, the first and second flights of the Apollo Block I CSM, as Apollo2 and3 respectively.
The crewed flight hiatus allowed work to catch up on the Saturn V and lunar module, which were encountering their own delays. Apollo4 flew in November 1967. Apollo1's (AS-204) Saturn IB rocket was taken down from Launch Complex 34, later reassembled at Launch complex 37B and used to launch Apollo5, an uncrewed Earth orbital test flight of the first lunar module, LM-1, in January 1968. A second uncrewed Saturn V AS-502 flew as Apollo6 in April 1968, and Grissom's backup crew of Wally Schirra, Don Eisele, and Walter Cunningham, finally flew the orbital test mission as Apollo7 (AS-205), in a Block II CSM in October 1968.
Memorials
Gus Grissom and Roger Chaffee were buried at Arlington National Cemetery. Ed White was buried at West Point Cemetery on the grounds of the United States Military Academy in West Point, New York. NASA officials attempted to pressure Pat White, Ed White's widow, into allowing her husband also to be buried at Arlington, against what she knew to be his wishes; their efforts were foiled by astronaut Frank Borman. The names of the Apollo 1 crew are among those of multiple astronauts who have died in the line of duty, listed on the Space Mirror Memorial at the Kennedy Space Center Visitor Complex in Merritt Island, Florida. President Jimmy Carter awarded the Congressional Space Medal of Honor posthumously to Grissom on October 1, 1978. President Bill Clinton awarded it to White and Chaffee on December 17, 1997.
An Apollo 1 mission patch was left on the Moon's surface after the first crewed lunar landing by Apollo11 crew members Neil Armstrong and Buzz Aldrin. The Apollo15 mission left on the surface of the Moon a tiny memorial statue, Fallen Astronaut, along with a plaque containing the names of the Apollo1 astronauts, among others including Soviet cosmonauts, who perished in the pursuit of human space flight.
Launch Complex 34
After the Apollo 1 fire, Launch Complex 34 was subsequently used only for the launch of Apollo7 and later dismantled down to the concrete launch pedestal, which remains at the site () along with a few other concrete and steel-reinforced structures. The pedestal bears two plaques commemorating the crew.
The "Ad Astra per aspera" plaque for "the crew of Apollo 1" is seen in the 1998 film Armageddon.
The "Dedicated to the living memory of the crew of the Apollo 1" plaque is quoted at the end of Wayne Hale's Requiem for the NASA Space Shuttle program. Each year the families of the Apollo1 crew are invited to the site for a memorial, and the Kennedy Space Center Visitor Complex includes the site during the tour of the historic Cape Canaveral launch sites.
In January 2005, three granite benches, built by a college classmate of one of the astronauts, were installed at the site on the southern edge of the launch pad. Each bears the name of one of the astronauts and his military service insignia.
Stars, landmarks on the Moon and Mars
Apollo astronauts frequently aligned their spacecraft inertial navigation platforms and determined their positions relative to the Earth and Moon by sighting sets of stars with optical instruments. As a practical joke, the Apollo1 crew named three of the stars in the Apollo catalog after themselves and introduced them into NASA documentation. Gamma Cassiopeiae became Navi – Ivan (Gus Grissom's middle name) spelled backwards. Iota Ursae Majoris became Dnoces – "Second" spelled backwards, for Edward H. White II. And Gamma Velorum became Regor – Roger (Chaffee) spelled backwards. These names quickly stuck after the Apollo1 accident and were regularly used by later Apollo crews.
Craters on the Moon and hills on Mars are named after the three Apollo1 astronauts.
Civic and other memorials
Three public schools in Huntsville, Alabama (home of George C. Marshall Space Flight Center and the U.S. Space & Rocket Center): Virgil I. Grissom High School, Ed White Middle School, and the Chaffee Elementary School.
Ed White II Elementary e-STEM (Elementary-Science, Technology, Engineering and Math) Magnet school in El Lago, Texas, near the Johnson Space Center. White lived in El Lago (next door to Neil Armstrong).
There are Grissom or Virgil I. Grissom middle schools in Mishawaka, Indiana, Sterling Heights, Michigan, and Tinley Park, Illinois.
Virgil Grissom Elementary School in Princeton, Iowa, and the Edward White Elementary School in Eldridge, Iowa, are both part of the North Scott Community School District also naming the other three elementary schools after astronauts Neil Armstrong, John Glenn, and Alan Shepard.
School #7 in Rochester, New York, is also known as the Virgil I. Grissom School.
In the early 1970s, three streets in Amherst, New York, were named for Chaffee, White and Grissom. By 1991, when no homes had been built on Grissom Drive, the area was repurposed as commercial property; the Grissom street sign was removed and the street renamed Classics V Drive for the banquet hall that occupied the land.
The THUMS Islands, four man-made oil drilling islands in the harbor off Long Beach, California, are named Grissom, White, Chaffee and Theodore Freeman.
The Roger B. Chaffee Planetarium is located at the Grand Rapids Public Museum.
Roger B. Chaffee Memorial Boulevard in Wyoming, Michigan, the largest suburb of Grand Rapids, Michigan, which is today an industrial park, but exists on the site of the former Grand Rapids Airport. A large portion of the north-south runway is used today as the roadway of the Roger B. Chaffee Memorial Boulevard.
Roger B. Chaffee Scholarship Fund in Grand Rapids, Michigan, each year in memory of Chaffee honors one student who intends to pursue a career in engineering or the sciences
Three adjacent parks in Fullerton, California, are each named for Grissom, Chaffee and White. The parks are located near a former Hughes Aircraft research and development facility. A Hughes subsidiary, Hughes Space and Communications Company, built components for the Apollo program.
Two buildings on the campus of Purdue University in West Lafayette, Indiana, are named for Grissom and Chaffee (both Purdue alumni). Grissom Hall houses the School of Industrial Engineering (and was home to the School of Aeronautics and Astronautics before it moved into the new Neil Armstrong Hall of Engineering). Chaffee Hall, constructed in 1965, is the administration complex of Maurice J. Zucrow Laboratories where combustion, propulsion, gas dynamics, and related fields are studied. The Chaffee Hall contains a 72-seat auditorium, offices, and administrative staff.
A tree for each astronaut was planted in NASA's Astronaut Memorial Grove at the Johnson Space Center in Houston, Texas, not far from the Saturn V building, along with trees for each astronaut from the Challenger and Columbia disasters. Tours of the space center pause briefly near the grove for a moment of silence, and the trees can be seen from nearby NASA Road 1.
In 1968, Bunker Hill Air Force Base near Peru, Indiana was renamed Grissom Air Force Base. The three-letter code for the VOR air navigation beacon at the base is GUS.
Remains of CM-012
The Apollo 1 command module has never been on public display. After the accident, the spacecraft was removed and taken to Kennedy Space Center to facilitate the review board's disassembly in order to investigate the cause of the fire. When the investigation was complete, it was moved to the NASA Langley Research Center in Hampton, Virginia, and placed in a secured storage warehouse.
On February 17, 2007, the parts of CM-012 were moved approximately to a newer, environmentally controlled warehouse. Only a few weeks earlier, Gus Grissom's brother Lowell publicly suggested CM-012 be permanently entombed in the concrete remains of Launch Complex 34.
On January 27, 2017, the 50th anniversary of the fire, NASA put the hatch from Apollo1 on display at the Saturn V Rocket Center at Kennedy Space Center Visitors Complex. KSC's Visitor Complex also houses memorials that include parts of Challenger and Columbia, located in the Space Shuttle Atlantis exhibit. "This is way, way, way long overdue. But we're excited about it," said Scott Grissom, Gus Grissom's older son.
In popular culture
The accident and its aftermath are the subject of episode2, "Apollo One", of the 1998 HBO miniseries From the Earth to the Moon.
The mission and accident are covered in the 2015 ABC television series The Astronaut Wives Club, episodes8 "Rendezvous" and9 "Abort".
The incident is the subject of the Public Service Broadcasting track "Fire in the Cockpit" from their 2015 album The Race for Space.
The incident is featured in the 2018 movie First Man.
A short dramatization of the accident is featured at the beginning of the 1995 film Apollo 13.
The accident and a subsequent emphasis on safety within NASA are the subject of investigation in the first two episodes of the Apple TV+ series For All Mankind.
See also
List of spaceflight-related accidents and incidents
STS-1 – First Space Shuttle flight, three technicians asphyxiated on the launch pad after a countdown test
STS-51-L – Space Shuttle Challenger, America's first in-flight fatality
STS-107 – Space Shuttle Columbia, America's first return-flight fatality
Valentin Bondarenko – a Soviet cosmonaut-in-training, died in a high-oxygen fire in an experimental chamber
Soyuz 1 – First Soviet spaceflight death
Soyuz 11 – Loss of an entire Soviet spacecraft crew
References
Notes
Citations
Further reading
External links
Baron testimony at investigation before Olin Teague, 21. April 1967
Apollo 204 Review Board Final Report , NASA's final report on its investigation, April 5, 1967
Final report of the U.S. Senate investigation, January 30, 1968
Apollo Operations Handbook, Command and Service Module, Spacecraft 012 (The flight manual for CSM 012)
CBS News Special Report on Apollo 1 Disaster, January 27, 1967, C-SPAN
Apollo program missions
Fires in Florida
1967 fires in the United States
1967 in Florida
Spacecraft launched by Saturn rockets
Gus Grissom
Ed White (astronaut)
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Apollo 10 (May 18–26, 1969) was the fourth human spaceflight in the United States' Apollo program and the second to orbit the Moon. NASA, the mission's operator, described it as a "dress rehearsal" for the first Moon landing (Apollo 11, two months later). It was designated an "F"mission, intended to test all spacecraft components and procedures short of actual descent and landing.
After the spacecraft reached lunar orbit, astronaut John Young remained in the Command and Service Module (CSM) while astronauts Thomas Stafford and Gene Cernan flew the Apollo Lunar Module (LM) to within of the lunar surface, the point at which powered descent for landing would begin on a landing mission. Then they rejoined Young in the CSM and, after the CSM completed its 31st orbit of the Moon, they returned safely to Earth.
While NASA had considered attempting the first crewed lunar landing on Apollo 10, mission planners ultimately decided that it would be prudent to have a practice flight to hone the procedures and techniques. The crew encountered some problems during the flight: pogo oscillations during the launch phase and a brief, uncontrolled tumble of the LM ascent stage in lunar orbit during its solo flight. However, the mission accomplished its major objectives. Stafford and Cernan observed and photographed Apollo 11's planned landing site in the Sea of Tranquility. Apollo 10 spent 61 hours and 37 minutes orbiting the Moon, for about eight hours of which Stafford and Cernan flew the LM apart from Young in the CSM, and about eight days total in space. Additionally, Apollo 10 set the record for the highest speed attained by a crewed vehicle: 39,897 km/h (11.08 km/s or 24,791 mph) on May 26, 1969, during the return from the Moon.
The mission's call signs were the names of the Peanuts characters Charlie Brown for the CSM and Snoopy for the LM, who became Apollo 10's semi-official mascots. Peanuts creator Charles Schulz also drew mission-related artwork for NASA.
Framework
Background
By 1967, NASA had devised a list of mission types, designated by letters, that needed to be flown before a landing attempt, which would be the "G" mission. The early uncrewed flights were considered "A" or "B" missions, while Apollo 7, the crewed-flight test of the Command and Service Module (CSM), was the "C" mission. The first crewed orbital test of the Lunar Module (LM) was accomplished on Apollo 9, the "D" mission. Apollo 8, flown to the Moon's orbit without an LM, was considered a "C-prime" mission, but its success gave NASA the confidence to skip the "E" mission, which would have tested the full Apollo spacecraft in medium or high Earth orbit. Apollo 10, the dress rehearsal for the lunar landing, was to be the "F" mission.
NASA considered skipping the "F" mission as well and attempting the first lunar landing on Apollo 10. Some with the agency advocated this, feeling it senseless to bring astronauts so close to the lunar surface, only to turn away. Although the lunar module intended for Apollo 10 was too heavy to perform the lunar mission, the one intended for Apollo 11 could be substituted by delaying Apollo 10 a month from its May 1969 planned launch. NASA official George Mueller favored a landing attempt on ; he was known for his aggressive approach to moving the Apollo program forward. However, Director of Flight Operations Christopher C. Kraft and others opposed this, feeling that new procedures would have to be developed for a rendezvous in lunar orbit and that NASA had incomplete information regarding the Moon's mass concentrations, which might throw off the spacecraft's trajectory. Lieutenant General Sam Phillips, the Apollo Program Manager, listened to the arguments on both sides and decided that having a dress rehearsal was crucial.
Crew and key Mission Control personnel
On November 13, 1968, NASA announced the crew members of Apollo 10. Thomas P. Stafford, the commander, was 38 years old at the time of the mission. A 1952 graduate of the Naval Academy, he was commissioned in the Air Force. Selected for the second group of astronauts in 1962, he flew as pilot of Gemini 6A (1965) and command pilot of Gemini 9A (1966). John Young, the command module pilot, was 38 years old and a commander in the Navy at the time of Apollo 10. A 1952 graduate of Georgia Tech who entered the Navy after graduation and became a test pilot in 1959, he was selected as a Group 2 astronaut alongside Stafford. He flew in Gemini 3 with Gus Grissom in 1965, becoming the first American not of the Mercury Seven to fly in space. Young thereafter commanded Gemini 10 (1966), flying with Michael Collins. Eugene Cernan, the lunar module pilot, was a commander in the Navy at the time of Apollo 10. A 1952 graduate of Purdue University, he entered the Navy after graduation. Selected for the third group of astronauts in 1963, Cernan flew with Stafford on Gemini 9A before his assignment to Apollo 10. With five prior flights among them, the Apollo 10 crew was the most experienced to reach space until the Space Shuttle era, and the first American space mission whose crew were all spaceflight veterans.
The backup crew for Apollo 10 was L. Gordon Cooper Jr as commander, Donn F. Eisele as command module pilot, and Edgar D. Mitchell as lunar module pilot. By the normal crew rotation in place during Apollo, Cooper, Eisele, and Mitchell would have flown on Apollo 13, but Cooper and Eisele never flew again. Deke Slayton, Director of Flight Crew Operations, felt that Cooper did not train as hard as he could have. Eisele was blackballed because of incidents during Apollo 7, which he had flown as CMP and which had seen conflict between the crew and ground controllers; he had also been involved in a messy divorce. Slayton only assigned the two as backups because he had few veteran astronauts available. Cooper and Eisele were replaced by Alan Shepard and Stuart Roosa respectively. Feeling they needed additional training time, George Mueller rejected the Apollo 13 crew. The crew was switched to Apollo 14, which saw Shepard and Mitchell walk on the Moon.
For projects Mercury and Gemini, a prime and a backup crew had been designated, but for Apollo, a third group of astronauts, known as the support crew, was also designated. Slayton created the support crews early in the Apollo program on the advice of McDivitt, who would lead Apollo 9. McDivitt believed that, with preparation going on in facilities across the U.S., meetings that needed a member of the flight crew would be missed. Support crew members were to assist as directed by the mission commander. Usually low in seniority, they assembled the mission's rules, flight plan, and checklists, and kept them updated. For Apollo 10, they were Joe Engle, James Irwin, and Charles Duke.
Flight directors were Gerry Griffin, Glynn Lunney, Milt Windler, and Pete Frank. Flight directors during Apollo had a one-sentence job description: "The flight director may take any actions necessary for crew safety and mission success." CAPCOMs were Duke, Engle, Jack Lousma, and Bruce McCandless II.
Call signs and mission insignia
The command module was given the call sign "Charlie Brown" and the lunar module the call sign "Snoopy". These were taken from the characters in the comic strip, Peanuts, Charlie Brown and Snoopy. These names were chosen by the astronauts with the approval of Charles Schulz, the strip's creator, who was uncertain it was a good idea, since Charlie Brown was always a failure. The choice of names was deemed undignified by some at NASA, as were the choices for Apollo 9's CM and LM ("Gumdrop" and "Spider"). Public relations chief Julian Scheer urged a change for the lunar landing mission. But for Apollo 10, according to Cernan, "The P.R.-types lost this one big-time, for everybody on the planet knew the klutzy kid and his adventuresome beagle, and the names were embraced in a public relations bonanza." Apollo 11's call signs were "Columbia" for the command module and "Eagle" for the lunar module.
Snoopy, Charlie Brown's dog, was chosen for the call sign of the lunar module since it was to "snoop" around the landing site, with Charlie Brown given to the command module as Snoopy's companion. Snoopy had been associated for some time with the space program, with workers who performed in an outstanding manner awarded silver "Snoopy pins", and Snoopy posters were seen at NASA facilities, with the cartoon dog having traded in his World War I aviator's headgear for a space helmet. Stafford stated that, given the pins, "the choice of Snoopy [as call sign] was a way of acknowledging the contributions of the hundreds of thousands of people who got us there". The use of the dog was also appropriate since, in the comic strip, Snoopy had journeyed to the Moon the year before, thus defeating, according to Schulz, "the Americans, the Russians, and that stupid cat next door".
The shield-shaped mission insignia shows a large, three-dimensional Roman numeral X sitting on the Moon's surface, in Stafford's words, "to show that we had left our mark". Although it did not land on the Moon, the prominence of the number represents the contributions the mission made to the Apollo program. A CSM circles the Moon as an LM ascent stage flies up from its low pass over the lunar surface with its engine firing. The Earth is visible in the background. On the mission patch, a wide, light blue border carries the word APOLLO at the top and the crew names around the bottom. The patch is trimmed in gold. The insignia was designed by Allen Stevens of Rockwell International.
Training and preparation
Apollo 10, the "F" mission or dress rehearsal for the lunar landing, had as its primary objectives to demonstrate crew, space vehicle and mission support facilities performance during a crewed mission to lunar orbit, and to evaluate the performance of the lunar module there. In addition, it was to attempt photography of Apollo Landing Site 2 (ALS-2) in the Sea of Tranquillity, the contemplated landing site for Apollo 11. According to Stafford, Our flight was to take the first lunar module to the moon. We would take the lunar module, go down to within about ten miles above the moon, nine miles above the mountains, radar map, photo map, pick out the first landing site, do the first rendezvous around the moon, pick out some future landing sites, and come home.
Apollo 10 was to adhere as closely as possible to the plans for Apollo 11, including its trajectory to and from lunar orbit, the timeline of mission events, and even the angle of the Sun at ALS-2. However, no landing was to be attempted. ALS-1, given that number because it was the furthest to the east of the candidate sites, and also located in the Sea of Tranquility, had been extensively photographed by Apollo 8 astronauts; at the suggestion of scientist-astronaut Harrison Schmitt, the launch of Apollo 10 had been postponed a day so ALS-2 could be photographed under proper conditions. ALS-2 was chosen as the lunar landing site since it was relatively smooth, of scientific interest, and ALS-1 was deemed too far to the east. Thus, when Apollo 10's launch date was announced on January 10, 1969, it was shifted from its placeholder date of May 1 to May 17, rather than to May 16. On March 17, 1969, the launch was slipped one day to May 18, to allow for a better view of ALS-3, to the west of ALS-2. Another deviation from the plans for Apollo 11 was that Apollo 10 was to spend an additional day in lunar orbit once the CSM and LM rendezvoused; this was to allow time for additional testing of the LM's systems, as well as for photography of possible future Apollo landing sites.
The Apollo 10 astronauts undertook five hours of formal training for each hour of the mission's eight-day duration. This was in addition to the normal mission preparations such as technical briefings, pilot meetings and study. They took part in the testing of the CSM at the Downey, California, facility of its manufacturer, North American Rockwell, and of the LM at Grumman in Bethpage, New York. They visited Cambridge, Massachusetts, for briefings on the Apollo Guidance Computer at the Massachusetts Institute of Technology Instrumentation Laboratory. They each spent more than 300 hours in simulators of the CM or LM at the Manned Spacecraft Center (MSC) in Houston and at Kennedy Space Center (KSC) in Florida. To train for the high-acceleration conditions they would experience in returning to Earth's atmosphere, they endured MSC's centrifuge.
Lunar landing capability
While Apollo 10 was meant to follow the procedures of a lunar landing mission to the point of powered descent, Apollo 10's LM was not capable of landing and returning to lunar orbit. The ascent stage was loaded with the amount of fuel and oxidizer it would have had remaining if it had lifted off from the surface and reached the altitude at which the Apollo 10 ascent stage fired; this was only about half the total amount required for lift off and rendezvous with the CSM. The mission-loaded LM weighed , compared to for the Apollo 11 LM which made the first landing. Additionally, the software necessary to guide the LM to a landing was not available at the time of Apollo 10.
Craig Nelson wrote in his book Rocket Men that NASA took special precaution to ensure Stafford and Cernan would not attempt to make the first landing. Nelson quoted Cernan as saying "A lot of people thought about the kind of people we were: 'Don't give those guys an opportunity to land, 'cause they might!' So the ascent module, the part we lifted off the lunar surface with, was short-fueled. The fuel tanks weren't full. So had we literally tried to land on the Moon, we couldn't have gotten off." Mueller, NASA's Associate Administrator for Manned Space Flight, stated, There had been some speculation about whether or not the crew might have landed, having gotten so close. They might have wanted to, but it was impossible for that lunar module to land. It was an early design that was too heavy for a lunar landing, or, to be more precise, too heavy to be able to complete the ascent back to the command module. It was a test module, for the dress rehearsal only, and that was the way it was used.
Equipment
The descent stage of the LM was delivered to KSC on October 11, 1968, and the ascent stage arrived five days later. They were mated on November 2. The Service Module (SM) and Command Module (CM) arrived on November 24 and were mated two days later. Portions of the Saturn V launch vehicle arrived during November and December 1968, and the complete launch vehicle was erected in the Vehicle Assembly Building (VAB) on December 30. After being tested in an altitude chamber, the CSM was placed atop the launch vehicle on February 6, 1969. The completed space vehicle was rolled out to Launch Complex 39B on March 11, 1969—the fact that it had been assembled in the VAB's High Bay 2 (the first time it had been used) required the crawler to exit the rear of the VAB before looping around the building and joining the main crawlerway, proceeding to the launch pad. This rollout, using Mobile Launch Platform-3 (MLP-3), happened eight days after the launch of Apollo 9, while that mission was still in orbit.
The launch vehicle for Apollo 10 was a Saturn V, designated AS-505, the fifth flight-ready Saturn V to be launched and the third to take astronauts to orbit. The Saturn V differed from that used on Apollo 9 in having a lower dry weight (without propellant) in its first two stages, with a significant reduction to the interstage joining them. Although the S-IVB third stage was slightly heavier, all three stages could carry a greater weight of propellant, and the S-II second stage generated more thrust than that of Apollo 9.
The Apollo spacecraft for the Apollo 10 mission was composed of Command Module 106 (CM-106), Service Module 106 (SM-106, together with the CM known as CSM-106), Lunar Module 4 (LM-4), a spacecraft-lunar module adapter (SLA), numbered as SLA-13A, and a launch escape system. The SLA was a mating structure joining the Instrument Unit on the S-IVB stage of the Saturn V launch vehicle and the CSM, and acted as a housing for the LM, while the Launch Escape System (LES) contained rockets to propel the CM to safety if there was an aborted launch. At about 76.99 metric tons, Apollo 10 would be the heaviest spacecraft to reach orbit to that point.
Mission highlights
Launch and outbound trip
Apollo 10 launched from KSC on May 18, 1969, at 12:49:00 EDT (16:49:00 UT), at the start of a 4.5-hour launch window. The launch window was timed to secure optimal lighting conditions at Apollo Landing Site 2 at the time of the LM's closest approach to the site days later. The launch followed a countdown that had begun at 21:00:00 EDT on May 16 (01:00:00 UT on May 17). Because preparations for Apollo 11 had already begun at Pad 39A, Apollo 10 launched from Pad 39B, becoming the only Apollo flight to launch from that pad and the only one to be controlled from its Firing Room 3.
Problems that arose during the countdown were dealt with during the built-in holds, and did not delay the mission. On the day before launch, Cernan had been stopped for speeding while returning from a final visit with his wife and child. Lacking identification and under orders to tell no one who he was, Cernan later attested in his autobiography that he had feared being arrested. Launch pad leader Gunther Wendt, who had pulled over nearby after recognizing Cernan, explained the situation to the police officer, who then released Cernan despite the officer's skepticism that Cernan was an astronaut.
The crew experienced a somewhat rough ride on the way to orbit due to pogo oscillations. About 12 minutes after liftoff, the spacecraft entered a low Earth orbit with a high point of and a low point of . All appeared to be normal during the systems review period in Earth orbit, and the crew restarted the S-IVB third stage to achieve trans-lunar injection (TLI) and send them towards the Moon. The vehicle shook again while executing the TLI burn, causing Cernan to be concerned that they might have to abort. However, the TLI burn was completed without incident. Young then performed the transposition, docking, and extraction maneuver, separating the CSM from the S-IVB stage, turning around, and docking its nose to the top of the lunar module (LM), before separating from the S-IVB. Apollo 10 was the first mission to carry a color television camera inside the spacecraft, and mission controllers in Houston watched as Young performed the maneuver. Soon thereafter, the large television audience was treated to color views of the Earth. One problem that was encountered was that the mylar cover of the CM's hatch had pulled loose, spilling quantities of fiberglass insulation into the tunnel, and then into both the CM and LM. The S-IVB was fired by ground command and sent into solar orbit with a period of 344.88 days.
The crew settled in for the voyage to the Moon. They had a light workload, and spent much of their time studying the flight plan or sleeping. They made five more television broadcasts back to Earth, and were informed that more than a billion people had watched some part of their activities. In June 1969, the crew would accept a special Emmy Award on behalf of the first four Apollo crews for their television broadcasts from space. One slight course correction was necessary; this occurred at 26:32:56.8 into the mission and lasted 7.1 seconds. This aligned Apollo 10 with the trajectory Apollo 11 was expected to take. One issue the crew encountered was bad-tasting food, as Stafford apparently used a double dose of chlorine in their drinking water, which had to be placed in their dehydrated food to reconstitute it.
Lunar orbit
Arrival and initial operations
At 75:55:54 into the mission, above the far side of the Moon, the CSM's service propulsion system (SPS) engine was fired for 356.1 seconds to slow the spacecraft into a lunar orbit of . This was followed, after two orbits of the Moon, with a 13.9-second firing of the SPS to circularize the orbit to at 80:25:08.1. Within the first couple of hours after the initial lunar orbit insertion burn and following the circularization burn, the crew turned to tracking planned landmarks on the surface below to record observations and take photographs. In addition to ALS-1, ALS-2, and ALS-3, the crew of Apollo 10 observed and photographed features on the near and far sides of the Moon, including the craters Coriolis, King, and Papaleksi. Shortly after the circularization burn, the crew partook in a scheduled half-hour color-television broadcast with descriptions and video transmissions of views of the lunar surface below.
About an hour after the second burn, the LM crew of Stafford and Cernan entered the LM to check out its systems. They were met with a blizzard of fiberglass particles from the earlier problem, which they cleaned up with a vacuum cleaner as best they could. Stafford had to help Cernan remove smaller bits from his hair and eyebrows. Stafford later commented that Cernan looked like he just came out of a chicken coop, and that the particles made them itch and got into the air conditioning system, and they were scraping it off the filter screens for the rest of the mission. This was merely an annoyance, but the particles may have gotten into the docking ring joining the two craft and caused it to misalign slightly. Mission Control determined that this was still within safe limits.
The flight of Snoopy
After Stafford and Cernan checked out Snoopy, they returned to Charlie Brown for a rest. Then they re-entered Snoopy and undocked it from the CSM at 98:29:20. Young, who remained in the CSM, became the first person to fly solo in lunar orbit. After undocking, Stafford and Cernan deployed the LM's landing gear and inspected the LM's systems. The CSM performed an 8.3-second burn with its RCS thrusters to separate itself from the LM by about 30 feet, after which Young visually inspected the LM from the CSM. The CSM performed another separation burn, this time separating the two spacecraft by about . The LM crew then performed the descent orbit insertion maneuver by firing their descent engine for 27.4 seconds at 99:46:01.6, and tested their craft's landing radar as they approached the altitude where the subsequent Apollo 11 mission would begin powered descent to land on the Moon. Previously, the LM's landing radar had only been tested under terrestrial conditions. While the LM executed these maneuvers, Young monitored the location and status of the LM from the CSM, standing by to rescue the LM crew if necessary. Cernan and Stafford surveyed ALS-2, coming within of the surface at a point 15 degrees to its east, then performed a phasing burn at 100:58:25.93, thrusting for just under 40 seconds to allow a second pass at ALS-2, when the craft came within of the Moon, its closest approach. Reporting on his observations of the site from the LM's low passes, Stafford indicated that ALS-2 seemed smoother than he had expected and described its appearance as similar to the desert surrounding Blythe, California; but he observed that Apollo 11 could face rougher terrain downrange if it approached off-target. Based upon Apollo 10's observations from relatively low altitude, NASA mission planners became comfortable enough with ALS-2 to confirm it as the target site for Apollo 11.
The next action was to prepare to separate the LM ascent stage from the descent stage, to jettison the descent stage, and fire the Ascent Propulsion System to return the ascent stage towards the CSM. As Stafford and Cernan prepared to do so, the LM began to gyrate out of control. Alarmed, Cernan exclaimed, "Son of a bitch!" into a hot mic being broadcast live, which, combined with other language used by the crew during the mission, generated some complaints back on Earth. Stafford discarded the descent stage about five seconds after the tumbling began and fought to regain control manually, suspecting that there might have been an "open thruster", or a thruster stuck firing. He did so in time to orient the spacecraft to rejoin Charlie Brown. The problem was traced to a switch controlling the mode of the abort guidance system; it was to be moved as part of the procedure, but both of the crew members switched it, thus returning it to the original position. Had they fired Snoopy in the wrong direction, they might have missed the rendezvous with Charlie Brown or crashed into the Moon. Once Stafford had regained control of the LM ascent stage, which took about eight seconds, the pair fired the ascent engine at the lowest point of the LM's orbit, mimicking the orbital insertion maneuver after launch from the lunar surface in a later landing mission. Snoopy coasted on that trajectory for about an hour before firing the engine once more to further fine-tune its approach to Charlie Brown.
Snoopy rendezvoused with and re-docked with Charlie Brown at 106:22:02, just under eight hours after undocking. The docking was telecast live in color from the CSM. Once Cernan and Stafford had re-entered Charlie Brown, Snoopy was sealed off and separated from Charlie Brown. The rest of the LM's ascent-stage engine fuel was burned to send it on a trajectory past the Moon and into a heliocentric orbit.
It was the only Apollo LM to meet this fate; the Apollo 11 ascent stage would be left in lunar orbit to crash, while post-Apollo 11 ascent stages were steered into the Moon to obtain readings from seismometers placed on the surface, except for Apollo 13's ascent stage, which the crew used as a "life boat" to get safely back to Earth before releasing it to burn up in Earth's atmosphere, and Apollo 16's, which NASA lost control of after jettison.
Return to Earth
After ejecting the LM ascent stage, the crew slept and performed photography and observation of the lunar surface from orbit. Though the crew located 18 landmarks on the surface and took photographs of various surface features, crew fatigue necessitated the cancellation of two scheduled television broadcasts. Thereafter, the main Service Propulsion System engine of the CSM re-ignited for about 2.5 minutes to set Apollo 10 on a trajectory towards Earth, achieving such a trajectory at 137:39:13.7. As it departed lunar orbit, Apollo 10 had orbited the Moon 31 times over the span of about 61 hours and 37 minutes.
During their journey back to Earth, the crew performed some observational activities which included star-Earth horizon sightings for navigation. The crew also performed a scheduled test to gauge the reflectivity of the CSM's high-gain antenna and broadcast six television transmissions of varying durations to show views inside the spacecraft and of the Earth and Moon from the crew's vantage point. Cernan reported later that he and his crewmates became the first to "successfully shave in space" during the return trip, using a safety razor and thick shaving gel, as such items had been deemed a safety hazard and prohibited on earlier flights. The crew fired the engine of the CSM for the only mid-course-correction burn required during the return trip at 188:49:58, a few hours before separation of the CM from the SM. The burn lasted about 6.7 seconds.
As the spacecraft rapidly approached Earth on the final day of the mission, the Apollo 10 crew traveled faster than any humans before or since, relative to Earth: 39,897 km/h (11.08 km/s or 24,791 mph). This is because the return trajectory was designed to take only 42 hours rather than the normal 56. The Apollo 10 crew also traveled farther than any humans before or since from their (Houston) homes: (though the Apollo 13 crew was 200 km farther away from Earth as a whole). While most Apollo missions orbited the Moon at from the lunar surface, the distance between the Earth and Moon varies by about , between perigee and apogee, throughout each lunar month, and the Earth's rotation makes the distance to Houston vary by at most another each day. The Apollo 10 crew reached the farthest point in their orbit around the far side of the Moon at about the same time Earth's rotation put Houston nearly a full Earth diameter farther away.
At 191:33:26, the CM (which contained the crew) separated from the SM in preparation for reentry, which occurred about 15 minutes later at 191:48:54.5. Splashdown of the CM occurred about 15 minutes after reentry in the Pacific Ocean about east of American Samoa on May 26, 1969, at 16:52:23 UTC and mission elapsed time 192:03:23. The astronauts were recovered by . They spent about four hours aboard, during which they took a congratulatory phone call from President Richard Nixon. As they had not made contact with the lunar surface, Apollo 10's crew were not required to quarantine like the first landing crews would be. They were flown to Pago Pago International Airport in Tafuna for a greeting reception, before boarding a C-141 cargo plane to Ellington Air Force Base near Houston.
Aftermath
Orbital operations and the solo maneuvering of the LM in partial descent to the lunar surface paved the way for the successful Apollo 11 lunar landing by demonstrating the capabilities of the mission hardware and systems. The crew demonstrated that the checkout procedures of the LM and initial descent and rendezvous could be accomplished within the allotted time, that the communication systems of the LM were sufficient, that the rendezvous and landing radars of the LM were operational in lunar orbit, and that the two spacecraft could be adequately monitored by personnel on Earth. Additionally, the precision of lunar orbital navigation improved with Apollo 10 and, combined with data from Apollo 8, NASA expected that it had achieved a level of precision sufficient to execute the first crewed lunar landing. After about two weeks of Apollo 10 data analysis, a NASA flight readiness team cleared Apollo 11 to proceed with its scheduled July 1969 flight. On July 16, 1969, the next Saturn V to launch carried the astronauts of Apollo 11: Neil Armstrong, Buzz Aldrin, and Michael Collins. On July 20, Armstrong and Aldrin landed on the Moon, and four days later the three astronauts returned to Earth, fulfilling John F. Kennedy's challenge to Americans to land astronauts on the Moon and return them safely to Earth by the end of the 1960s.
In July 1969, Stafford replaced Alan Shepard as Chief Astronaut, and then became deputy director of Flight Crew Operations under Deke Slayton. In his memoirs, Stafford wrote that he could have put his name back in the flight rotation, but wanted managerial experience. In 1972, Stafford was promoted to brigadier general and assigned to command the American portion of the Apollo–Soyuz Test Project, which flew in July 1975. He commanded the Air Force Flight Test Center at Edwards Air Force Base in California, and retired in November 1979 as a lieutenant general. Young commanded the Apollo 16 lunar landing mission flown in April 1972. From 1974 to 1987, Young served as Chief Astronaut, commanding the STS-1 (1981) and STS-9 (1983) Space Shuttle missions in April 1981 and November 1983, respectively, and retired from NASA's Astronaut Corps in 2004. Gene Cernan commanded the final Apollo lunar mission, Apollo 17, flown in December 1972. Cernan retired from NASA and the Navy as a captain in 1976.
Hardware disposition
The Smithsonian has been accountable for the command module Charlie Brown since 1970. The spacecraft was on display in several countries until it was placed on loan to the London Science Museum in 1978. Charlie Brown'''s SM was jettisoned just before re-entry and burned up in the Earth's atmosphere, its remnants scattering in the Pacific Ocean.
After translunar injection, the Saturn V's S-IVB third stage was accelerated past Earth escape velocity to become space debris; , it remains in a heliocentric orbit.
The ascent stage of the Lunar Module Snoopy was jettisoned into a heliocentric orbit. Snoopys ascent stage orbit was not tracked after 1969, and its whereabouts were unknown. In 2011, a group of amateur astronomers in the UK started a project to search for it. In June 2019, the Royal Astronomical Society announced a possible rediscovery of Snoopy, determining that small Earth-crossing asteroid 2018 AV2 is likely to be the spacecraft with "98%" certainty. It is the only once-crewed spacecraft known to still be in outer space without a crew.
Snoopy's descent stage was jettisoned in lunar orbit; its current location is unknown, though it may have eventually crashed into the Moon as a result of orbital decay. Phil Stooke, a planetary scientist who studied the lunar crash sites of the LM's ascent stages, wrote that the descent stage "crashed at an unknown location", and another source stated that the descent stage "eventually impact(ed) within a few degrees of the equator on the near side". Richard Orloff and David M. Harland, in their sourcebook on Apollo, stated that "the descent stage was left in the low orbit, but perturbations by 'mascons' would have caused this to decay, sending the stage to crash onto the lunar surface".
Images
See also
List of artificial objects on the Moon
List of vehicle speed records
Notes
References
Bibliography
External links
"Apollo 10" at Encyclopedia Astronautica
NSSDC Master Catalog at NASA
Apollo 10 Flight JournalNASA reports The Apollo Spacecraft: A Chronology NASA, NASA SP-4009
"Apollo Program Summary Report" (PDF), NASA, JSC-09423, April 1975
"Table 2-38. Apollo 10 Characteristics" from NASA Historical Data Book: Volume III: Programs and Projects 1969–1978 by Linda Neuman Ezell, NASA History Series (1988)Multimedia' Apollo 10: "To Sort Out the Unknowns"'' Official NASA/JSC documentary film, JSC-519 (1969)
Apollo 10 16mm onboard film part 1, part 2 raw footage taken from Apollo 10 at the Internet Archive
Mission Transcripts: Apollo 10 at NASA's Lyndon B. Johnson Space Center
Images from Apollo 10 at NASA's Kennedy Space Center
Apollo launch and mission videos at ApolloTV.net
Spacecraft launched in 1969
1969 in the United States
Apollo 10
Crewed missions to the Moon
Peanuts (comic strip)
Spacecraft which reentered in 1969
Articles containing video clips
May 1969 events
Spacecraft launched by Saturn rockets
John Young (astronaut)
Gene Cernan
Thomas P. Stafford
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Apollo 12 (November 14–24, 1969) was the sixth crewed flight in the United States Apollo program and the second to land on the Moon. It was launched on November 14, 1969, by NASA from the Kennedy Space Center, Florida. Commander Charles "Pete" Conrad and Lunar Module Pilot Alan L. Bean performed just over one day and seven hours of lunar surface activity while Command Module Pilot Richard F. Gordon remained in lunar orbit.
Apollo 12 would have attempted the first lunar landing had Apollo 11 failed, but after the success of Neil Armstrong's mission, Apollo 12 was postponed by two months, and other Apollo missions also put on a more relaxed schedule. More time was allotted for geologic training in preparation for Apollo 12 than for Apollo 11, Conrad and Bean making several geology field trips in preparation for their mission. Apollo 12's spacecraft and launch vehicle were almost identical to Apollo 11's. One addition was hammocks to allow Conrad and Bean to rest more comfortably on the Moon.
Shortly after being launched on a rainy day at Kennedy Space Center, Apollo 12 was twice struck by lightning, causing instrumentation problems but little damage. Switching to the auxiliary power supply resolved the data relay problem, saving the mission. The outward journey to the Moon otherwise saw few problems. On November 19, Conrad and Bean achieved a precise landing at their expected location within walking distance of the Surveyor 3 robotic probe, which had landed on April 20, 1967. In making a pinpoint landing, they showed that NASA could plan future missions in the expectation that astronauts could land close to sites of scientific interest. Conrad and Bean carried the Apollo Lunar Surface Experiments Package, a group of nuclear-powered scientific instruments, as well as the first color television camera taken by an Apollo mission to the lunar surface, but transmission was lost after Bean accidentally pointed the camera at the Sun and its sensor was destroyed. On the second of two moonwalks, they visited Surveyor 3 and removed parts for return to Earth.
Lunar Module Intrepid lifted off from the Moon on November 20 and docked with the command module, which subsequently traveled back to Earth. The Apollo 12 mission ended on November 24 with a successful splashdown.
Crew and key Mission Control personnel
The commander of the all-Navy Apollo 12 crew was Charles "Pete" Conrad, who was 39 years old at the time of the mission. After receiving a bachelor's degree in aeronautical engineering from Princeton University in 1953, he became a naval aviator, and completed United States Naval Test Pilot School at Patuxent River Naval Air Station. He was selected in the second group of astronauts in 1962, and flew on Gemini 5 in 1965, and as command pilot of Gemini 11 in 1966. Command Module Pilot Richard "Dick" Gordon, 40 years old at the time of Apollo 12, also became a naval aviator in 1953, following graduation from the University of Washington with a degree in chemistry, and completed test pilot school at Patuxent River. Selected as a Group 3 astronaut in 1963, he flew with Conrad on Gemini 11.
The original Lunar Module pilot assigned to work with Conrad was Clifton C. Williams Jr., who was killed in October 1967 when the T-38 he was flying crashed near Tallahassee. When forming his crew, Conrad had wanted Alan L. Bean, a former student of his at the test pilot school, but had been told by Director of Flight Crew Operations Deke Slayton that Bean was unavailable due to an assignment to the Apollo Applications Program. After Williams's death, Conrad asked for Bean again, and this time Slayton yielded. Bean, 37 years old when the mission flew, had graduated from the University of Texas in 1955 with a degree in aeronautical engineering. Also a naval aviator, he was selected alongside Gordon in 1963, and first flew in space on Apollo 12. The three Apollo 12 crew members had backed up Apollo 9 earlier in 1969.
The Apollo 12 backup crew was David R. Scott as commander, Alfred M. Worden as Command Module pilot, and James B. Irwin as Lunar Module pilot. They became the crew of Apollo 15. For Apollo, a third crew of astronauts, known as the support crew, was designated in addition to the prime and backup crews used on projects Mercury and Gemini. Slayton created the support crews because James McDivitt, who would command Apollo 9, believed that, with preparation going on in facilities across the US, meetings that needed a member of the flight crew would be missed. Support crew members were to assist as directed by the mission commander. Usually low in seniority, they assembled the mission's rules, flight plan, and checklists, and kept them updated; For Apollo 12, they were Gerald P. Carr, Edward G. Gibson and Paul J. Weitz. Flight directors were Gerry Griffin, first shift, Pete Frank, second shift, Clifford E. Charlesworth, third shift, and Milton Windler, fourth shift. Flight directors during Apollo had a one-sentence job description, "The flight director may take any actions necessary for crew safety and mission success." Capsule communicators (CAPCOMs) were Scott, Worden, Irwin, Carr, Gibson, Weitz and Don Lind.
Preparation
Site selection
The landing site selection process for Apollo 12 was greatly informed by the site selection for Apollo 11. There were rigid standards for the possible Apollo 11 landing sites, in which scientific interest was not a major factor: they had to be close to the lunar equator and not on the periphery of the portion of the lunar surface visible from Earth; they had to be relatively flat and without major obstructions along the path the Lunar Module (LM) would fly to reach them, their suitability confirmed by photographs from Lunar Orbiter probes. Also desirable was the presence of another suitable site further west in case the mission was delayed, and the sun would have risen too high in the sky at the original site for desired lighting conditions. The need for three days to recycle if a launch had to be scrubbed meant that only three of the five suitable sites found were designated as potential landing sites for Apollo 11, of which the Apollo 11 landing site in the Sea of Tranquility was the easternmost. Since Apollo 12 was to attempt the first lunar landing if Apollo 11 failed, both sets of astronauts trained for the same sites.
With the success of Apollo 11, it was initially contemplated that Apollo 12 would land at the site next further west from the Sea of Tranquility, in Sinus Medii. However, NASA planning coordinator Jack Sevier and engineers at the Manned Spaceflight Center at Houston argued for a landing close enough to the crater in which the Surveyor 3 probe had landed in 1967 to allow the astronauts to cut parts from it for return to Earth. The site was otherwise suitable and had scientific interest. Given that Apollo 11 had landed several miles off-target, though, some NASA administrators feared Apollo 12 would land far enough away that the astronauts could not reach the probe, and the agency would be embarrassed. Nevertheless, the ability to perform pinpoint landings was essential if Apollo's exploration program was to be carried out, and on July 25, 1969, Apollo Program Manager Samuel Phillips designated what became known as Surveyor crater as the landing site, despite the unanimous opposition of members of two site selection boards.
Training and preparation
The Apollo 12 astronauts spent five hours in mission-specific training for every hour they expected to spend in flight on the mission, a total exceeding 1,000 hours per crew member. Conrad and Bean received more mission-specific training than Apollo 11's Neil Armstrong and Buzz Aldrin had. This was in addition to the 1,500 hours of training they received as backup crew members for Apollo 9. The Apollo 12 training included over 400 hours per crew member in simulators of the Command Module (CM) and of the LM. Some of the simulations were linked in real time to flight controllers in Mission Control. To practice landing on the Moon, Conrad flew the Lunar Landing Training Vehicle (LLTV), training in which continued to be authorized even though Armstrong had been forced to bail out of a similar vehicle in 1968, just before it crashed.
Soon after being assigned as Apollo 12 crew commander, Conrad met with NASA geologists and told them that the training for lunar surface activities would be conducted much as Apollo 11's, but there was to be no publicity or involvement by the media. Conrad felt he had been abused by the press during Gemini, and the sole Apollo 11 geology field trip had turned into a near-fiasco, with a large media contingent present, some getting in the way—the astronauts had trouble hearing each other due to a hovering press helicopter. After the successful return of Apollo 11 in July 1969, more time was allotted for geology, but the astronauts' focus was in getting time in the simulators without being pre-empted by the Apollo 11 crew. On the six Apollo 12 geology field trips, the astronauts would practice as if on the Moon, collecting samples and documenting them with photographs, while communicating with a CAPCOM and geologists who were out of sight in a nearby tent. Afterwards, the astronauts' performance in choosing samples and taking photographs would be critiqued. To the frustration of the astronauts, the scientists kept changing the photo documentation procedures; after the fourth or fifth such change, Conrad required that there be no more. After the return of Apollo 11, the Apollo 12 crew was able to view the lunar samples, and be briefed on them by scientists.
As Apollo 11 was targeted for an ellipse-shaped landing zone, rather than at a specific point, there was no planning for geology traverses, the designated tasks to be done at sites of the crew's choosing. For Apollo 12, before the mission, some of NASA's geology team met with the crew and Conrad suggested they lay out possible routes for him and Bean. The result was four traverses, based on four potential landing points for the LM. This was the start of geology traverse planning that on later missions became a considerable effort involving several organizations.
The stages of the lunar module, LM–6, were delivered to Kennedy Space Center (KSC) on March 24, 1969, and were mated to each other on April 28. Command module CM–108 and service module SM–108 were delivered to KSC on March 28, and were mated to each other on April 21. Following installation of gear and testing, the launch vehicle, with the spacecraft atop it, was rolled out to Launch Complex 39A on September 8, 1969. The training schedule was complete, as planned, by November 1, 1969; activities after that date were intended as refreshers. The crew members felt that the training, for the most part, was adequate preparation for the Moon mission.
Hardware
Launch vehicle
There were no significant changes to the Saturn V launch vehicle used on Apollo 12, SA–507, from that used on Apollo 11. There were another 17 instrumentation measurements in the Apollo 12 launch vehicle, bringing the number to 1,365. The entire vehicle, including the spacecraft, weighed at launch, an increase from Apollo 11's . Of this figure, the spacecraft weighed , up from on Apollo 11.
Third stage trajectory
After LM separation, the third stage of the Saturn V, the S-IVB, was intended to fly into solar orbit. The S-IVB auxiliary propulsion system was fired, with the intent that the Moon's gravity slingshot the stage into solar orbit. Due to an error, the S-IVB flew past the Moon at too high an altitude to achieve Earth escape velocity. It remained in a semi-stable Earth orbit until it finally escaped Earth orbit in 1971, but briefly returned to Earth orbit 31 years later. It was discovered by amateur astronomer Bill Yeung who gave it the temporary designation J002E3 before it was determined to be an artificial object. Again in solar orbit as of 2021, it may again be captured by Earth's gravity, but not at least until the 2040s. The S-IVBs used on later lunar missions were deliberately crashed into the Moon to create seismic events that would register on the seismometers left on the Moon and provide data about the Moon's structure.
Spacecraft
The Apollo 12 spacecraft consisted of Command Module 108 and Service Module 108 (together Command and Service Modules 108, or CSM–108), Lunar Module 6 (LM–6), a Launch Escape System (LES), and Spacecraft-Lunar Module Adapter 15 (SLA–15). The LES contained three rocket motors to propel the CM to safety in the event of an abort shortly after launch, while the SLA housed the LM and provided a structural connection between the Saturn V and the LM. The SLA was identical to Apollo 11's, while the LES differed only in the installation of a more reliable motor igniter.
The CSM was given the call sign Yankee Clipper, while the LM had the call sign Intrepid. These sea-related names were selected by the all-Navy crew from several thousand proposed names submitted by employees of the prime contractors of the respective modules. George Glacken, a flight test engineer at North American Aviation, builder of the CSM, proposed Yankee Clipper as such ships had "majestically sailed the high seas with pride and prestige for a new America". Intrepid was from a suggestion by Robert Lambert, a planner at Grumman, builder of the LM, as evocative of "this nation's resolute determination for continued exploration of space, stressing our astronauts' fortitude and endurance of hardship".
The differences between the CSM and LM of Apollo 11, and those of Apollo 12, were few and minor. A hydrogen separator was added to the CSM to stop the gas from entering the potable water tank—Apollo 11 had had one, though mounted on the water dispenser in the CM's cabin. Gaseous hydrogen in the water had given the Apollo 11 crew severe flatulence. Other changes included the strengthening of the recovery loop attached following splashdown, meaning that the swimmers recovering the CM would not have to attach an auxiliary loop. LM changes included a structural modification so that scientific experiment packages could be carried for deployment on the lunar surface. Two hammocks were added for greater comfort of the astronauts while resting on the Moon, and a color television camera substituted for the black and white one used on the lunar surface during Apollo 11.
ALSEP
The Apollo Lunar Surface Experiments Package, or ALSEP, was a suite of scientific instruments designed to be emplaced on the lunar surface by the Apollo astronauts, and thereafter operate autonomously, sending data to Earth. Development of the ALSEP was part of NASA's response to some scientists who opposed the crewed lunar landing program (they felt that robotic craft could explore the Moon more cheaply) by demonstrating that some tasks, such as deployment of the ALSEP, required humans. In 1966, a contract to design and build the ALSEPs was awarded to the Bendix Corporation Due to the limited time the Apollo 11 crew would have on the lunar surface, a smaller suite of experiments was flown, known as the Early Apollo Surface Experiment Package (EASEP). Apollo 12 was the first mission to carry an ALSEP; one would be flown on each of the subsequent lunar landing missions, though the components that were included would vary. Apollo 12's ALSEP was to be deployed at least away from the LM to protect the instruments from the debris that would be generated when the ascent stage of the LM took off to return the astronauts to lunar orbit.
Apollo 12's ALSEP included a Lunar Surface Magnetometer (LSM), to measure the magnetic field at the Moon's surface, a Lunar Atmosphere Detector (LAD, also known as the Cold Cathode Ion Gauge Experiment), intended to measure the density and temperature of the thin lunar atmosphere and how it varies, a Lunar Ionosphere Detector (LID, also known as the Charged Particle Lunar Environment Experiment, or CPLEE), intended to study the charged particles in the lunar atmosphere, and the Solar Wind Spectrometer, to measure the strength and direction of the solar wind at the Moon's surface—the free-standing Solar Wind Composition Experiment, to measure what makes up the solar wind, would be deployed and then brought back to Earth by the astronauts. A Dust Detector was used to measure the accumulation of lunar dust on the equipment. Apollo 12's Passive Seismic Experiment (PSE), a seismometer, would measure moonquakes and other movements in the Moon's crust, and would be calibrated by the nearby planned impact of the ascent stage of Apollo 12's LM, an object of known mass and velocity hitting the Moon at a known location, and projected to be equivalent to the explosive force of one ton of TNT.
The ALSEP experiments left on the Moon by Apollo 12 were connected to a Central Station, which contained a transmitter, receiver, timer, data processor, and equipment for power distribution and control of the experiments. The equipment was powered by SNAP-27, a radioisotope thermoelectric generator (RTG) developed by the Atomic Energy Commission. Containing plutonium, the RTG flown on Apollo 12 was the first use of atomic energy on a crewed NASA spacecraft—some NASA and military satellites had previously used similar systems. The plutonium core was brought from Earth in a cask attached to an LM landing leg, a container designed to survive re-entry in the event of an aborted mission, something NASA considered unlikely. The cask would survive re-entry on Apollo 13, sinking in the Tonga Trench of the Pacific Ocean, apparently without radioactive leakage.
The Apollo 12 ALSEP experiments were activated from Earth on November 19, 1969. The LAD returned only a small amount of useful data due to the failure of its power supply soon after activation. The LSM was deactivated on June 14, 1974, as was the other LSM deployed on the Moon, from Apollo 15. All powered ALSEP experiments that remained active were deactivated on September 30, 1977, principally because of budgetary constraints.
Mission highlights
Launch
With President Richard Nixon in attendance, the first time a current U.S. president had witnessed a crewed space launch, as well as Vice President Spiro Agnew, Apollo 12 launched as planned at 11:22:00 on November 14, 1969 (16:22:00 UT) from Kennedy Space Center. This was at the start of a launch window of three hours and four minutes to reach the Moon with optimal lighting conditions at the planned landing point. There were completely overcast rainy skies, and the vehicle encountered winds of during ascent, the strongest of any Apollo mission. There was a NASA rule against launching into a cumulonimbus cloud; this had been waived and it was later determined that the launch vehicle never entered such a cloud. Had the mission been postponed, it could have been launched on November 16 with landing at a backup site where there would be no Surveyor, but since time pressure to achieve a lunar landing had been removed by Apollo 11's success, NASA might have waited until December for the next opportunity to go to the Surveyor crater.
Lightning struck the Saturn V 36.5 seconds after lift-off, triggered by the vehicle itself. The static discharge caused a voltage transient that knocked all three fuel cells offline, meaning the spacecraft was being powered entirely from its batteries, which could not supply enough current to meet demand. A second strike at 52 seconds knocked out the "8-ball" attitude indicator. The telemetry stream at Mission Control was garbled, but the Saturn V continued to fly normally; the strikes had not affected the Saturn V instrument unit guidance system, which functioned independently from the CSM. The astronauts unexpectedly had a board red with caution and warning lights, but could not tell exactly what was wrong.
The Electrical, Environmental and Consumables Manager (EECOM) in Mission Control, John Aaron, remembered the telemetry failure pattern from an earlier test when a power loss caused a malfunction in the CSM signal conditioning electronics (SCE), which converted raw signals from instrumentation to data that could be displayed on Mission Control's consoles, and knew how to fix it. Aaron made a call, "Flight, EECOM. Try SCE to Aux", to switch the SCE to a backup power supply. The switch was fairly obscure, and neither Flight Director Gerald Griffin, CAPCOM Gerald P. Carr, nor Conrad knew what it was; Bean, who as LMP was the spacecraft's engineer, knew where to find it and threw the switch, after which the telemetry came back online, revealing no significant malfunctions. Bean put the fuel cells back online, and the mission continued. Once in Earth parking orbit, the crew carefully checked out their spacecraft before re-igniting the S-IVB third stage for trans-lunar injection. The lightning strikes caused no serious permanent damage.
Initially, it was feared that the lightning strike could have damaged the explosive bolts that opened the Command Module's parachute compartment. The decision was made not to share this with the astronauts and to continue with the flight plan, since they would die if the parachutes failed to deploy, whether following an Earth-orbit abort or upon a return from the Moon, so nothing was to be gained by aborting. The parachutes deployed and functioned normally at the end of the mission.
Outward journey
After systems checks in Earth orbit, performed with great care because of the lightning strikes, the trans-lunar injection burn, made with the S-IVB, took place at 02:47:22.80 into the mission, setting Apollo 12 on course for the Moon. An hour and twenty minutes later, the CSM separated from the S-IVB, after which Gordon performed the transposition, docking and extracting maneuver to dock with the LM and separate the combined craft from the S-IVB, which was then sent on an attempt to reach solar orbit. The stage fired its engines to leave the vicinity of the spacecraft, a change from Apollo 11, where the SM's Service Propulsion System (SPS) engine was used to distance it from the S-IVB.
As there were concerns the LM might have been damaged by the lightning strikes, Conrad and Bean entered it on the first day of flight to check its status, earlier than planned. They found no issues. At 30:52.44.36, the only necessary midcourse correction during the translunar coast was made, placing the craft on a hybrid, non-free-return trajectory. Previous crewed missions to lunar orbit had taken a free-return trajectory, allowing an easy return to Earth if the craft's engines did not fire to enter lunar orbit. Apollo 12 was the first crewed spacecraft to take a hybrid free-return trajectory, that would require another burn to return to Earth, but one that could be executed by the LM's Descent Propulsion System (DPS) if the SPS failed. The use of a hybrid trajectory allowed more flexibility in mission planning. It for example allowed Apollo 12 to launch in daylight and reach the planned landing spot on schedule. Use of a hybrid trajectory meant that Apollo 12 took 8 hours longer to go from trans-lunar injection to lunar orbit.
Lunar orbit and Moon landing
Apollo 12 entered a lunar orbit of with an SPS burn of 352.25 seconds at mission time 83:25:26.36. On the first lunar orbit, there was a television transmission that resulted in good-quality video of the lunar surface. On the third lunar orbit, there was another burn to circularize the craft's orbit to , and on the next revolution, preparations began for the lunar landing. The CSM and LM undocked at 107:54:02.3; a half hour later there was a burn by the CSM to separate them. The 14.4 second burn by some of the CSM's thrusters meant that the two craft would be apart when the LM began the burn to move to a lower orbit in preparation for landing on the Moon.
The LM's Descent Propulsion System began a 29-second burn at 109:23:39.9 to move the craft to the lower orbit, from which the 717-second powered descent to the lunar surface began at 110:20:38.1. Conrad had trained to expect a pattern of craters known as "the Snowman" to be visible when the craft underwent "pitchover", with the Surveyor crater in its center, but had feared he would see nothing recognizable. He was astonished to see the Snowman right where it should be, meaning they were directly on course. He took over manual control, planning to land the LM, as he had in simulations, in an area near the Surveyor crater that had been dubbed "Pete's Parking Lot", but found it rougher than expected. He had to maneuver, and landed the LM
at 110:32:36.2 (06:54:36 UT on November 19, 1969), just from the Surveyor probe. This achieved one objective of the mission, to perform a precision landing near the Surveyor craft.
The lunar coordinates of the landing site were 3.01239° S latitude, 23.42157° W longitude. The landing caused high velocity sandblasting of the Surveyor probe. It was later determined that the sandblasting removed more dust than it delivered onto the Surveyor, because the probe was covered by a thin layer that gave it a tan hue as observed by the astronauts, and every portion of the surface exposed to the direct sandblasting was lightened back toward the original white color through the removal of lunar dust.
Lunar surface activities
When Conrad, the shortest man of the initial groups of astronauts, stepped onto the lunar surface his first words were "Whoopie! Man, that may have been a small one for Neil, but that's a long one for me." This was not an off-the-cuff remark: Conrad had made a bet with reporter Oriana Fallaci he would say these words, after she had queried whether NASA had instructed Neil Armstrong what to say as he stepped onto the Moon. Conrad later said he was never able to collect the money.
To improve the quality of television pictures from the Moon, a color camera was carried on Apollo 12 (unlike the monochrome camera on Apollo 11). When Bean carried the camera to the place near the LM where it was to be set up, he inadvertently pointed it directly into the Sun, destroying the Secondary Electron Conduction (SEC) tube. Television coverage of this mission was thus terminated almost immediately.
After raising a U.S. flag on the Moon, Conrad and Bean devoted much of the remainder of the first EVA to deploying the Apollo Lunar Surface Experiments Package (ALSEP). There were minor difficulties with the deployment. Bean had trouble extracting the RTG's plutonium fuel element from its protective cask, and the astronauts had to resort to the use of a hammer to hit the cask and dislodge the fuel element. Some of the ALSEP packages proved hard to deploy, though the astronauts were successful in all cases. With the PSE able to detect their footprints as they headed back to the LM, the astronauts secured a core tube full of lunar material, and collected other samples. The first EVA lasted 3 hours, 56 minutes and 3 seconds.
Four possible geologic traverses had been planned, the variable being where the LM might set down. Conrad had landed it between two of these potential landing points, and during the first EVA and the rest break that followed, scientists in Houston combined two of the traverses into one that Conrad and Bean could follow from their landing point. The resultant traverse resembled a rough circle, and when the astronauts emerged from the LM some 13 hours after ending the first EVA, the first stop was Head crater, some from the LM. There, Bean noticed that Conrad's footprints showed lighter material underneath, indicating the presence of ejecta from Copernicus crater, to the north, something that scientists examining overhead photographs of the site had hoped to find. After the mission, samples from Head allowed geologists to date the impact that formed Copernicus—according to initial dating, some 810,000,000 years ago.
The astronauts proceeded to Bench crater and Sharp crater and past Halo crater before arriving at Surveyor crater, where the Surveyor 3 probe had landed. Fearing treacherous footing or that the probe might topple on them, they approached Surveyor cautiously, descending into the shallow crater some distance away and then following a contour to reach the craft, but found the footing solid and the probe stable. They collected several pieces of Surveyor, including the television camera, as well as taking rocks that had been studied by television. Conrad and Bean had procured an automatic timer for their Hasselblad cameras, and had brought it with them without telling Mission Control, hoping to take a selfie of the two of them with the probe, but when the time came to use it, could not locate it among the lunar samples they had already placed in their Hand Tool Carrier. Before returning to the LM's vicinity, Conrad and Bean went to Block crater, within Surveyor crater. The second EVA lasted 3 hours, 49 minutes, 15 seconds, during which they traveled . During the EVAs, Conrad and Bean went as far as from the LM, and collected of samples.
Lunar orbit solo activities
After the LM's departure, Gordon had little to say as Mission Control focused on the lunar landing. Once that was accomplished, Gordon sent his congratulations and, on the next orbit, was able to spot both the LM and the Surveyor on the ground and convey their locations to Houston. During the first EVA, Gordon prepared for a plane change maneuver, a burn to alter the CSM's orbit to compensate for the rotation of the Moon, though at times he had difficulty communicating with Houston since Conrad and Bean were using the same communications circuit. Once the two moonwalkers had returned to the LM, Gordon executed the burn, which ensured he would be in the proper position to rendezvous with the LM when it launched from the Moon.
While alone in orbit, Gordon performed the Lunar Multispectral Photography Experiment, using four Hasselblad cameras arranged in a ring and aimed through one of the CM's windows. With each camera having a different color filter, simultaneous photos would be taken by each, showing the appearance of lunar features at different points on the spectrum. Analysis of the images might reveal colors not visible to the naked eye or detectable with ordinary color film, and information could be obtained about the composition of sites that would not soon be visited by humans. Among the sites studied were contemplated landing points for future Apollo missions.
Return
LM Intrepid lifted off from the Moon at mission time 143:03:47.78, or 14:25:47 UT on November 20, 1969; after several maneuvers, CSM and LM docked three and a half hours later. At 147:59:31.6, the LM ascent stage was jettisoned, and shortly thereafter the CSM maneuvered away. Under control from Earth, the LM's remaining propellent was depleted in a burn that caused it to impact the Moon from the Apollo 12 landing point. The seismometer the astronauts had left on the lunar surface registered the resulting vibrations for more than an hour.
The crew stayed another day in lunar orbit taking photographs of the surface, including of candidate sites for future Apollo landings. A second plane change maneuver was made at 159:04:45.47, lasting 19.25 seconds.
The trans-Earth injection burn, to send the CSM Yankee Clipper towards home, was conducted at 172:27:16.81 and lasted 130.32 seconds. Two short midcourse correction burns were made en route. A final television broadcast was made, the astronauts answering questions submitted by the media. There was ample time for rest on the way back to Earth, One event was the photography of a solar eclipse that occurred when the Earth came between the spacecraft and the Sun; Bean described it as the most spectacular sight of the mission.
Splashdown
Yankee Clipper returned to Earth on November 24, 1969, at 20:58 UT (3:58pm Eastern Time, 10:58am HST), in the Pacific Ocean. The landing was hard, resulting in a camera becoming dislodged and striking Bean in the forehead. After recovery by , they entered the Mobile Quarantine Facility (MQF), while lunar samples and Surveyor parts were sent ahead by air to the Lunar Receiving Laboratory (LRL) in Houston. Once the Hornet docked in Hawaii, the MQF was offloaded and flown to Ellington Air Force Base near Houston on November 29, from where it was taken to the LRL, where the astronauts remained until released from quarantine on December 10.
Mission insignia
The Apollo 12 mission patch shows the crew's naval background; all three astronauts at the time of the mission were U.S. Navy commanders. It features a clipper ship arriving at the Moon, representing the CM Yankee Clipper. The ship trails fire, and flies the flag of the United States. The mission name APOLLO XII and the crew names are on a wide gold border, with a small blue trim. Blue and gold are traditional U.S. Navy colors. The patch has four stars on it – one each for the three astronauts who flew the mission and one for Clifton Williams, the original LMP on Conrad's crew who was killed in 1967 and would have flown the mission. The star was placed there at the suggestion of his replacement, Bean.
The insignia was designed by the crew with the aid of several employees of NASA contractors. The Apollo 12 landing area on the Moon is within the portion of the lunar surface shown on the insignia, based on a photograph of a globe of the Moon, taken by engineers. The clipper ship was based on photographs of such a ship obtained by Bean.
Aftermath and spacecraft location
After the mission, Conrad urged his crewmates to join him in the Skylab program, seeing in it the best chance of flying in space again. Bean did so—Conrad commanded Skylab 2, the first crewed mission to the space station, while Bean commanded Skylab 3. Gordon, though, still hoped to walk on the Moon and remained with the Apollo program, serving as backup commander of Apollo 15. He was the likely commander of Apollo 18, but that mission was canceled and he did not fly in space again.
The Apollo 12 command module Yankee Clipper, was displayed at the Paris Air Show and was then placed at NASA's Langley Research Center in Hampton, Virginia; ownership was transferred to the Smithsonian in July 1971. It is on display at the Virginia Air and Space Center in Hampton.
Mission Control had remotely fired the service module's thrusters after jettison, hoping to have it skip off the atmosphere and enter a high-apogee orbit, but the lack of tracking data confirming this caused it to conclude it most likely burned up in the atmosphere at the time of CM re-entry. The S-IVB is in a solar orbit that is sometimes affected by the Earth.
The ascent stage of LM Intrepid impacted the Moon November 20, 1969, at 22:17:17.7 UT (5:17pm EST). In 2009, the Lunar Reconnaissance Orbiter (LRO) photographed the Apollo 12 landing site, where the descent stage, ALSEP, Surveyor3 spacecraft, and astronaut footpaths remain. In 2011, the LRO returned to the landing site at a lower altitude to take higher resolution photographs.
See also
List of artificial objects on the Moon
List of spacewalks and moonwalks 1965–1999
References
Bibliography
External links
"Apollo 12" at Encyclopedia Astronautica
"Apollo 12" at NASA's National Space Science Data Center
Apollo 11, 12, and 14 Traverses, at the Lunar and Planetary Institute
"Apollo 12 Traverse Map" at the USGS Astrogeology Science Center
Lunar Orbiter 3 image 154 H2, used for planning the mission (landing site is left of center).
Lunar Orbiter 1 sequence of images 157, 158, and 159, showing the Apollo 12 landing site and vicinity
NASA reports
"Apollo 12 Preliminary Science Report" (PDF), NASA, NASA SP-235, 1970
"Analysis of Apollo 12 Lightning Incident", (PDF) February 1970
"Analysis of Surveyor 3 material and photographs returned by Apollo 12" (PDF) 1972
"Examination of Surveyor 3 surface sampler scoop"(PDF) 1971
"Table 2-40. Apollo 12 Characteristics" from NASA Historical Data Book: Volume III: Programs and Projects 1969–1978 by Linda Neuman Ezell, NASA History Series (1988)
The Apollo Spacecraft: A Chronology NASA, NASA SP-4009
"Apollo Program Summary Report" (PDF), NASA, JSC-09423, April 1975
Multimedia
"Apollo 12: Pinpoint For Science" on YouTube
"Apollo 12: The Bernie Scrivener Audio Tapes" – Apollo 12 audio recordings at the Apollo 12 Flight Journal
"Apollo 12: There and Back Again" – Image slideshow by Life magazine
"Apollo12: Comic Book" (50th Anniversary – November 20, 1969–2019)
"Apollo 12: Patch" – Image of Apollo 12 mission patch
Alan Bean
Pete Conrad
Richard F. Gordon Jr.
Apollo 12
Extravehicular activity
Crewed missions to the Moon
Sample return missions
Soft landings on the Moon
Spacecraft launched in 1969
Spacecraft which reentered in 1969
Spacecraft launched by Saturn rockets
Articles containing video clips
1969 on the Moon
1969 in the United States
November 1969 events
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Apollo 14 (January 31February 9, 1971) was the eighth crewed mission in the United States Apollo program, the third to land on the Moon, and the first to land in the lunar highlands. It was the last of the "H missions", landings at specific sites of scientific interest on the Moon for two-day stays with two lunar extravehicular activities (EVAs or moonwalks).
The mission was originally scheduled for 1970, but was postponed because of the investigation following the failure of Apollo 13 to reach the Moon's surface, and the need for modifications to the spacecraft as a result. Commander Alan Shepard, Command Module Pilot Stuart Roosa, and Lunar Module Pilot Edgar Mitchell launched on their nine-day mission on Sunday, January 31, 1971, at 4:03:02 p.m. EST. En route to the lunar landing, the crew overcame malfunctions that might have resulted in a second consecutive aborted mission, and possibly, the premature end of the Apollo program.
Shepard and Mitchell made their lunar landing on February 5 in the Fra Mauro formation – originally the target of Apollo 13. During the two walks on the surface, they collected of Moon rocks and deployed several scientific experiments. To the dismay of some geologists, Shepard and Mitchell did not reach the rim of Cone crater as had been planned, though they came close. In Apollo 14's most famous event, Shepard hit two golf balls he had brought with him with a makeshift club.
While Shepard and Mitchell were on the surface, Roosa remained in lunar orbit aboard the Command and Service Module, performing scientific experiments and photographing the Moon, including the landing site of the future Apollo 16 mission. He took several hundred seeds on the mission, many of which were germinated on return, resulting in the so-called Moon trees, that were widely distributed in the following years. After liftoff from the lunar surface and a successful docking, the spacecraft was flown back to Earth where the three astronauts splashed down safely in the Pacific Ocean on February 9.
Astronauts and key Mission Control personnel
The mission commander of Apollo 14, Alan Shepard, one of the original Mercury Seven astronauts, became the first American to enter space with a suborbital flight on May 5, 1961. Thereafter, he was grounded by Ménière's disease, a disorder of the ear, and served as Chief Astronaut, the administrative head of the Astronaut Office. He had experimental surgery in 1968 which was successful and allowed his return to flight status. Shepard, at age 47, was the oldest U.S. astronaut to fly when he made his trip aboard Apollo 14, and he is the oldest person to walk on the Moon.
Apollo 14's Command Module Pilot (CMP), Stuart Roosa, aged 37 when the mission flew, had been a smoke jumper before joining the Air Force in 1953. He became a fighter pilot and then in 1965 successfully completed Aerospace Research Pilot School (ARPS) at Edwards Air Force Base in California prior to his selection as a Group 5 astronaut the following year. He served as a capsule communicator (CAPCOM) for Apollo 9. The Lunar Module Pilot (LMP), Edgar Mitchell, aged 40 at the time of Apollo 14, joined the Navy in 1952 and served as a fighter pilot, beginning in 1954. He was assigned to squadrons aboard aircraft carriers before returning to the United States to further his education while in the Navy, also completing the ARPS prior to his selection as a Group 5 astronaut. He served on the support crew for Apollo 9 and was the LMP of the backup crew for Apollo 10.
Shepard and his crew had originally been designated by Deke Slayton, Director of Flight Crew Operations and one of the Mercury Seven, as the crew for Apollo 13. NASA's management felt that Shepard needed more time for training given he had not flown in space since 1961, and chose him and his crew for Apollo 14 instead. The crew originally designated for Apollo 14, Jim Lovell as the commander, Ken Mattingly as CMP and Fred Haise as LMP, all of whom had backed up Apollo 11, was made the prime crew for Apollo 13 instead.
Mitchell's commander on the Apollo 10 backup crew had been another of the original seven, Gordon Cooper, who had tentatively been scheduled to command Apollo 13, but according to author Andrew Chaikin, his casual attitude toward training resulted in him being not selected. Also on that crew, but excluded from further flights, was Donn Eisele, likely because of problems aboard Apollo 7, which he had flown, and because he had been involved in a messy divorce.
Apollo 14's backup crew was Eugene A. Cernan as commander, Ronald E. Evans Jr. as CMP and Joe H. Engle as LMP. The backup crew, with Harrison Schmitt replacing Engle, would become the prime crew of Apollo 17. Schmitt flew instead of Engle because there was intense pressure on NASA to fly a scientist to the Moon (Schmitt was a geologist) and Apollo 17 was the last lunar flight. Engle, who had flown the X-15 to the edge of outer space, flew into space for NASA in 1981 on STS-2, the second Space Shuttle flight.
During projects Mercury and Gemini, each mission had a prime and a backup crew. Apollo 9 commander James McDivitt believed meetings that required a member of the flight crew were being missed, so for Apollo a third crew of astronauts was added, known as the support crew. Usually low in seniority, support crew members assembled the mission's rules, flight plan, and checklists, and kept them updated; for Apollo 14, they were Philip K. Chapman, Bruce McCandless II, William R. Pogue and C. Gordon Fullerton. CAPCOMs, the individuals in Mission Control responsible for communications with the astronauts were Evans, McCandless, Fullerton and Haise. A veteran of Apollo 13, which had aborted before reaching the Moon, Haise put his training for that mission to use, especially during the EVAs, since both missions were targeted at the same place on the Moon. Had Haise walked on the Moon, he would have been the first Group 5 astronaut to do so, an honor that went to Mitchell.
The flight directors during Apollo had a one-sentence job description, "The flight director may take any actions necessary for crew safety and mission success." For Apollo 14, they were: Pete Frank, Orange team; Glynn Lunney, Black team; Milt Windler, Maroon team and Gerry Griffin, Gold team.
Preparation and training
Prime and backup crews for both Apollo 13 and 14 were announced on August 6, 1969. Apollo 14 was scheduled for July 1970, but in January of that year, due to budget cuts that saw the cancellation of Apollo 20, NASA decided there would be two Apollo missions per year with 1970 to see Apollo 13 in April and Apollo 14 likely in October or November.
The investigation into the accident which caused an abort of Apollo 13 delayed Apollo 14. On May 7, 1970, NASA Administrator Thomas O. Paine announced that Apollo 14 would launch no earlier than December 3, and the landing would be close to the site targeted by Apollo 13. The Apollo 14 astronauts continued their training. On June 30, 1970, following the release of the accident report and a NASA review of what changes to the spacecraft would be necessary, NASA announced that the launch would slip to no earlier than January 31, 1971.
The crew of Apollo 14 trained together for 19 months after assignment to the mission, longer than any other Apollo crew to that point. In addition to the normal training workload, they had to supervise the changes to the command and service module (CSM) made as a result of the Apollo 13 investigation, much of which was delegated by Shepard to Roosa. Mitchell later stated, "We realized that if our mission failed—if we had to turn back—that was probably the end of the Apollo program. There was no way NASA could stand two failures in a row. We figured there was a heavy mantle on our shoulders to make sure we got it right."
Before the abort of the Apollo 13 mission, the plan was to have Apollo 14 land near Littrow crater, in Mare Serenitatis, where there are features that were thought to be volcanic. After Apollo 13 returned, it was decided that its landing site, near Cone crater in the Fra Mauro formation, was scientifically more important than Littrow. The Fra Mauro formation is composed of ejecta from the impact event that formed Mare Imbrium, and scientists hoped for samples that originated deep under the Moon's surface. Cone crater was the result of a young, deep impact, and large enough to have torn through whatever debris was deposited since the Imbrium Event, which geologists hoped to be able to date. Landing at Fra Mauro would also allow orbital photography of another candidate landing site, the Descartes Highlands, which became the landing site for Apollo 16. Although Littrow went unvisited, a nearby area, Taurus-Littrow, was the landing site for Apollo 17. Apollo 14's landing site was located slightly closer to Cone crater than the point designated for Apollo 13.
The change in landing site from Littrow to Fra Mauro affected the geological training for Apollo 14. Before the switch, the astronauts had been taken to volcanic sites on Earth; afterwards, they visited crater sites, such as the Ries Crater in West Germany and an artificial crater field created for astronaut training in Arizona's Verde Valley. The effectiveness of the training was limited by a lack of enthusiasm shown by Shepard, which set the tone for Mitchell. Harrison Schmitt suggested that the commander had other things on his mind, such as overcoming a ten-year absence from spaceflight and ensuring a successful mission after the near-disaster of Apollo 13.
Roosa undertook training for his period alone in lunar orbit, when he would make observations of the Moon and take photographs. He had been impressed by the training given to Apollo 13 prime crew CMP Mattingly by geologist Farouk El-Baz and got El-Baz to agree to undertake his training. The two men pored over lunar maps depicting the areas the CSM would pass over. When Shepard and Mitchell were on their geology field trips, Roosa would be overhead in an airplane taking photographs of the site and making observations. El-Baz had Roosa make observations while flying his T-38 jet at a speed and altitude simulating the speed at which the lunar surface would pass below the CSM.
Another issue that had marked Apollo 13 was the last-minute change of crew due to exposure to communicable disease. To prevent another such occurrence, for Apollo 14 NASA instituted what was called the Flight Crew Health Stabilization Program. Beginning 21 days before launch, the crew lived in quarters at the launch site, Florida's Kennedy Space Center (KSC), with their contacts limited to their spouses, the backup crew, mission technicians, and others directly involved in training. Those individuals were given physical examinations and immunizations, and crew movements were limited as much as possible at KSC and nearby areas.
The Command and Service Modules were delivered to KSC on November 19, 1969; the ascent stage of the LM arrived on November 21 with the descent stage three days later. Thereafter, checkout, testing and equipment installation proceeded. The launch vehicle stack, with the spacecraft on top, was rolled out from the Vehicle Assembly Building to Pad 39A on November 9, 1970.
Hardware
Spacecraft
The Apollo 14 spacecraft consisted of Command Module (CM) 110 and Service Module (SM) 110 (together CSM-110), called Kitty Hawk, and Lunar Module 8 (LM-8), called Antares. Roosa had chosen the CSM's call sign after the town in North Carolina where, in 1903, the Wright Brothers first flew their Wright Flyer airplane (also known as Kitty Hawk). Antares was named by Mitchell after the star in the constellation Scorpius that the astronauts in the LM would use to orient the craft for its lunar landing. Also considered part of the spacecraft were a Launch Escape System and a Spacecraft/Launch Vehicle Adapter, numbered SLA-17.
The changes to the Apollo spacecraft between Apollo 13 and 14 were more numerous than with earlier missions, not only because of the problems with Apollo 13, but because of the more extensive lunar activities planned for Apollo 14. The Apollo 13 accident had been caused by the explosive failure of an oxygen tank, after the insulation of the internal wiring had been damaged by heating of the tank contents pre-launch—that the oxygen had gotten hot enough to damage the insulation had not been realized, since the protective thermostatic switches had failed because they were, through an error, not designed to handle the voltage applied during ground testing. The explosion damaged the other tank or its tubing, causing its contents to leak away.
The changes in response included a redesign of the oxygen tanks, with the thermostats being upgraded to handle the proper voltage. A third tank was also added, placed in Bay1 of the SM, on the side opposite the other two, and was given a valve that could isolate it in an emergency, and allow it to feed the CM's environmental system only. The quantity probe in each tank was upgraded from aluminum to stainless steel.
Also in response to the Apollo 13 accident, the electrical wiring in Bay4 (where the explosion had happened) was sheathed in stainless steel. The fuel cell oxygen supply valves were redesigned to isolate the Teflon-coated wiring from the oxygen. The spacecraft and Mission Control monitoring systems were modified to give more immediate and visible warnings of anomalies. The Apollo 13 astronauts had suffered shortages of water and of power after the accident. Accordingly, an emergency supply of of water was stored in Apollo 14's CM, and an emergency battery, identical to those that powered the LM's descent stage, was placed in the SM. The LM was modified to make the transfer of power from LM to CM easier.
Other changes included the installation of anti-slosh baffles in the LM descent stage's propellant tanks. This would prevent the low fuel light from coming on prematurely, as had happened on Apollo 11 and 12. Structural changes were made to accommodate the equipment to be used on the lunar surface, including the Modular Equipment Transporter.
Launch vehicle
The Saturn V used for Apollo 14 was designated SA-509, and was similar to those used on Apollo 8 through 13. At , it was the heaviest vehicle yet flown by NASA, heavier than the launch vehicle for Apollo 13.
A number of changes were made to avoid pogo oscillations, that had caused an early shutdown of the center J-2 engine on Apollo 13's S-II second stage. These included a helium gas accumulator installed in the liquid oxygen (LOX) line of the center engine, a backup cutoff device for that engine, and a simplified 2-position propellant utilization valve on each of the five J-2 engines.
ALSEP and other lunar surface equipment
The Apollo Lunar Surface Experiments Package (ALSEP) array of scientific instruments carried by Apollo 14 consisted of the Passive Seismic Experiment (PSE), Active Seismic Experiment (ASE), Suprathermal Ion Detector (SIDE), Cold Cathode Ion Gauge (CCIG), and Charged Particle Lunar Environmental Experiment (CPLEE). Two additional lunar surface experiments not part of the ALSEP were also flown, the Laser Ranging Retro-Reflector (LRRR or LR3), to be deployed in the ALSEP's vicinity, and the Lunar Portable Magnetometer (LPM), to be used by the astronauts during their second EVA. The PSE had been flown on Apollo 12 and 13, the ASE on Apollo 13, the SIDE on Apollo 12, the CCIG on Apollo 12 and 13, and the LRRR on Apollo 11. The LPM was new, but resembled equipment flown on Apollo 12. The ALSEP components flown on Apollo 13 were destroyed when its LM burned up in Earth's atmosphere.
Deployment of the ALSEP, and of the other instruments, each formed one of Apollo 14's mission objectives.
The PSE was a seismometer, similar to one left on the Moon by Apollo 12, and was to measure seismic activity in the Moon. The Apollo 14 instrument would be calibrated by the impact, after being jettisoned, of the LM's ascent stage, since an object of known mass and velocity would be impacting at a known location on the Moon. The Apollo 12 instrument would also be activated by the spent Apollo 14 S-IVB booster, which would impact the Moon after the mission entered lunar orbit. The two seismometers would, in combination with those left by later Apollo missions, constitute a network of such instruments at different locations on the Moon.
The ASE would also measure seismic waves. It consisted of two parts. In the first, one of the crew members would deploy three geophones at distances up to from the ALSEP's Central Station, and on his way back from the furthest, fire thumpers every . The second consisted of four mortars (with their launch tubes), of different properties and set to impact at different distances from the experiment. It was hoped that the waves generated from the impacts would provide data about seismic wave transmission in the Moon's regolith. The mortar shells were not to be fired until the astronauts had returned to Earth, and in the event were never fired for fear they would damage other experiments. A similar experiment was successfully deployed, and the mortars launched, on Apollo 16.
The LPM was to be carried during the second EVA and used to measure the Moon's magnetic field at various points.
The SIDE measured ions on the lunar surface, including from the solar wind. It was combined with the CCIG, which was to measure the lunar atmosphere and detect if it varied over time. The CPLEE measured the particle energies of protons and electrons generated by the Sun that reached the lunar surface. The LRRR acts as a passive target for laser beams, allowing the measurement of the Earth/Moon distance and how it changes over time. The LRRRs from Apollo 11, 14 and 15 are the only experiments left on the Moon by the Apollo astronauts that are still returning data.
Flown for the first time on Apollo 14 was the Buddy Secondary Life Support System (BSLSS), a set of flexible hoses that would enable Shepard and Mitchell to share cooling water should one of their Primary Life Support System (PLSS) backpacks fail. In such an emergency, the astronaut with the failed equipment would get oxygen from his Oxygen Purge System (OPS) backup cylinder, but the BSLSS would ensure he did not have to use oxygen for cooling, extending the life of the OPS. The OPSs used on Apollo 14 were modified from those used on previous missions in that the internal heaters were removed as unnecessary.
Water bags were also taken to the lunar surface, dubbed "Gunga Dins", for insertion in the astronauts' helmets, allowing them sips of water during the EVAs. These had been flown on Apollo 13, but Shepard and Mitchell were the first to use them on the Moon. Similarly, Shepard was the first on the lunar surface to wear a spacesuit with commander's stripes: red stripes on arms, legs, and on the helmet, though one had been worn by Lovell on Apollo 13. These were instituted because of the difficulty in telling one spacesuited astronaut from the other in photographs.
Modular Equipment Transporter
The Modular Equipment Transporter (MET) was a two-wheeled handcart, used only on Apollo 14, intended to allow the astronauts to take tools and equipment with them, and store lunar samples, without needing to carry them. On later Apollo program missions, the self-propelled Lunar Roving Vehicle (LRV) was flown instead.
The MET, when deployed for use on the lunar surface, was about long, wide and high. It had pressurized rubber tires wide and in diameter, containing nitrogen and inflated to about . The first use of tires on the Moon, these were developed by Goodyear and were dubbed their XLT (Experimental Lunar Tire) model. Fully loaded, the MET weighed about . Two legs combined with the wheels to provide four-point stability when at rest.
Mission highlights
Launch and flight to lunar orbit
Apollo 14 launched from Launch Complex 39-A at KSC at 4:03:02 pm (21:03:02 UTC), January 31, 1971. This followed a launch delay due to weather of 40 minutes and 2 seconds; the first such delay in the Apollo program. The original planned time, 3:23 pm, was at the very start of the launch window of just under four hours; had Apollo 14 not launched during it, it could not have departed until March. Apollo 12 had launched during poor weather and twice been struck by lightning, as a result of which the rules had been tightened. Among those present to watch the launch were U.S. Vice President Spiro T. Agnew and the Prince of Spain, the future King Juan Carlos I. The mission would take a faster trajectory to the Moon than planned, and thus make up the time in flight. Because it had, just over two days after launch, the mission timers would be put ahead by 40 minutes and 3 seconds so that later events would take place at the times scheduled in the flight plan.
After the vehicle reached orbit, the S-IVB third stage shut down, and the astronauts performed checks of the spacecraft before restarting the stage for translunar injection (TLI), the burn that placed the vehicle on course for the Moon. After TLI, the CSM separated from the S-IVB, and Roosa performed the transposition maneuver, turning it around in order to dock with the LM before the entire spacecraft separated from the stage. Roosa, who had practiced the maneuver many times, hoped to break the record for the least amount of propellant used in docking. But when he gently brought the modules together, the docking mechanism would not activate. He made several attempts over the next two hours, as mission controllers huddled and sent advice. If the LM could not be extracted from its place on the S-IVB, no lunar landing could take place, and with consecutive failures, the Apollo program might end. Mission Control proposed that they try it again with the docking probe retracted, hoping the contact would trigger the latches. This worked, and within an hour the joined spacecraft had separated from the S-IVB. The stage was set on a course to impact the Moon, which it did just over three days later, causing the Apollo 12 seismometer to register vibrations for over three hours.
The crew settled in for its voyage to Fra Mauro. At 60:30 Ground Elapsed Time, Shepard and Mitchell entered the LM to check its systems; while there they photographed a wastewater dump from the CSM, part of a particle contamination study in preparation for Skylab. Two midcourse corrections were performed on the translunar coast, with one burn lasting 10.19 seconds and one lasting 0.65 seconds.
Lunar orbit and descent
At 81:56:40.70 into the mission (February 4 at 1:59:43 am EST; 06:59:43 UTC), the Service Propulsion System engine in the SM was fired for 370.84 seconds to send the craft into a lunar orbit with apocynthion of and pericynthion of . A second burn, at 86:10:52 mission time, sent the spacecraft into an orbit of by . This was done in preparation for the release of the LM Antares. Apollo 14 was the first mission on which the CSM propelled the LM to the lower orbit—though Apollo 13 would have done so had the abort not already occurred. This was done to increase the amount of hover time available to the astronauts, a safety factor since Apollo 14 was to land in rough terrain.
After separating from the command module in lunar orbit, the LM Antares had two serious problems. First, the LM computer began getting an ABORT signal from a faulty switch. NASA believed the computer might be getting erroneous readings like this if a tiny ball of solder had shaken loose and was floating between the switch and the contact, closing the circuit. The immediate solution – tapping on the panel next to the switch – did work briefly, but the circuit soon closed again. If the problem recurred after the descent engine fired, the computer would think the signal was real and would initiate an auto-abort, causing the ascent stage to separate from the descent stage and climb back into orbit. NASA and the software teams at the Massachusetts Institute of Technology scrambled to find a solution. The software was hard-wired, preventing it from being updated from the ground. The fix made it appear to the system that an abort had already happened, and it would ignore incoming automated signals to abort. This would not prevent the astronauts from piloting the ship, though if an abort became necessary, they might have to initiate it manually. Mitchell entered the changes with minutes to go until planned ignition.
A second problem occurred during the powered descent, when the LM landing radar failed to lock automatically onto the Moon's surface, depriving the navigation computer of vital information on the vehicle's altitude and vertical descent speed. After the astronauts cycled the landing radar breaker, the unit successfully acquired a signal near . Mission rules required an abort if the landing radar was out at , though Shepard might have tried to land without it. With the landing radar, Shepard steered the LM to a landing which was the closest to the intended target of the six missions that landed on the Moon.
Lunar surface operations
Shepard stated, after stepping onto the lunar surface, "And it's been a long way, but we're here." The first EVA began at 9:42 am EST (14:42 UTC) on February 5, 1971, having been delayed by a problem with the communications system which set back the start of the first EVA to five hours after landing. The astronauts devoted much of the first EVA to equipment offloading, deployment of the ALSEP and the US flag, as well as setting up and loading the MET. These activities were televised back to Earth, though the picture tended to degenerate during the latter portion of the EVA. Mitchell deployed the ASE's geophone lines, unreeling and emplacing the two lines leading out from the ALSEP's Central Station. He then fired the thumper explosives, vibrations from which would give scientists back on Earth information about the depth and composition of the lunar regolith. Of the 21 thumpers, five failed to fire. On the way back to the LM, the astronauts collected and documented lunar samples, and took photographs of the area. The first EVA lasted 4 hours, 47 minutes, 50 seconds.
The astronauts had been surprised by the undulating ground, expecting flatter terrain in the area of the landing, and this became an issue on the second EVA, as they set out, MET in tow, for the rim of Cone crater. The craters that Shepard and Mitchell planned to use for navigational landmarks looked very different on the ground than on the maps they had, based on overhead shots taken from lunar orbit. Additionally, they consistently overestimated the distance they travelled. Mission Control and the CAPCOM, Fred Haise, could see nothing of this, as the television camera remained near the LM, but they worried as the clock ticked on the EVA, and monitored the heavy breathing and rapid heartbeats of the astronauts. They topped one ridge that they expected was the crater rim, only to view more such terrain beyond. Although Mitchell strongly suspected the rim was nearby, they had become physically exhausted from the effort. They were then instructed by Haise to sample where they were and then start moving back towards the LM. Later analysis using the pictures they took determined that they had come within about of the crater's rim. Images from the Lunar Reconnaissance Orbiter (LRO) show the tracks of the astronauts and the MET come to within 30 m of the rim. The difficulties faced by Shepard and Mitchell would emphasize the need for a means of transportation on the lunar surface with a navigation system, which was met by the Lunar Roving Vehicle, already planned to fly on Apollo 15.
Once the astronauts returned to the vicinity of the LM and were again within view of the television camera, Shepard performed a stunt he had been planning for years in the event he reached the Moon, and which is probably what Apollo 14 is best remembered for. Shepard brought along a Wilson six iron golf club head, which he had modified to attach to the handle of the contingency sample tool, and two golf balls. Shepard took several one-handed swings (due to the limited flexibility of the EVA suit) and exuberantly exclaimed that the second ball went "miles and miles and miles" in the low lunar gravity. Mitchell then threw a lunar scoop handle as if it were a javelin. The "javelin" and one of the golf balls wound up in a crater together, with Mitchell's projectile a bit further. In an interview with Ottawa Golf, Shepard stated the other landed near the ALSEP. The second EVA lasted 4 hours, 34 minutes, 41 seconds. Shepard brought back the club, gave it to the USGA Museum in New Jersey, and had a replica made which he gave to the National Air and Space Museum. In February 2021, to commemorate Apollo 14's 50th anniversary, imaging specialist Andy Saunders, who had previously worked to produce the clearest image of Neil Armstrong on the Moon, produced new, digitally enhanced images that were used to estimate the final resting places of the two balls that Shepard hit - the first landed approximately 24 yards from the "tee", while the second managed 40 yards.
Lunar samples
A total of of Moon rocks, or lunar samples, were brought back from Apollo 14. Most are breccias, which are rocks composed of fragments of other, older rocks. Breccias form when the heat and pressure of meteorite impacts fuse small rock fragments together. There were a few basalts that were collected in this mission in the form of clasts (fragments) in breccia. The Apollo 14 basalts are generally richer in aluminum and sometimes richer in potassium than other lunar basalts. Most lunar mare basalts collected during the Apollo program were formed from 3.0 to 3.8 billion years ago. The Apollo 14 basalts were formed 4.0 to 4.3 billion years ago, older than the volcanism known to have occurred at any of the mare locations reached during the Apollo program.
Some geologists were pleased enough with the close approach to Cone crater to send a case of scotch to the astronauts while they were in post-mission quarantine, though their enthusiasm was tempered by the fact that Shepard and Mitchell had documented few of the samples they brought back, making it hard and sometimes impossible to discern where they came from. Others were less happy; Don Wilhelms wrote in his book on the geological aspects of Apollo, "the golf game did not set well with most geologists in light of the results at Cone crater. The total haul from the rim-flank of Cone ... was 16 Hasselblad photographs (out of a mission total of 417), six rock-size samples heavier than 50 g, and a grand total of 10 kg of samples, 9 kg of which are in one rock (sample 14321 [i.e., Big Bertha]). That is to say, apart from 14321 we have less than 1 kg of rock—962 g to be exact—from what in my opinion is the most important single point reached by astronauts on the Moon." Geologist Lee Silver stated, "The Apollo 14 crews did not have the right attitude, did not learn enough about their mission, had the burden of not having the best possible preflight photography, and they weren't ready." In their sourcebook on Apollo, Richard W. Orloff and David M. Harland doubted that if Apollo 13 had reached the Moon, Lovell, and Haise, given a more distant landing point, could have got as close to Cone crater as Shepard and Mitchell did.
In January 2019 research showed that Big Bertha, which weighs , has characteristics that make it likely to be a terrestrial (Earth) meteorite. Granite and quartz, which are commonly found on Earth but very rarely found on the Moon, were confirmed to exist on Big Bertha. To find the sample's age, the research team from Curtin University looked at bits of the mineral zircon embedded in its structure. "By determining the age of zircon found in the sample, we were able to pinpoint the age of the host rock at about four billion years old, making it similar to the oldest rocks on Earth," researcher Alexander Nemchin said, adding that "the chemistry of the zircon in this sample is very different from that of every other zircon grain ever analyzed in lunar samples, and remarkably similar to that of zircons found on Earth." This would mean Big Bertha is both the first discovered terrestrial meteorite and the oldest known Earth rock.
Lunar orbit operations
Roosa spent almost two days alone aboard Kitty Hawk, performing the first intensive program of scientific observation from lunar orbit, much of which was intended to have been done by Apollo 13. After Antares separated and its crew began preparations to land, Roosa in Kitty Hawk performed an SPS burn to send the CSM to an orbit of approximately , and later a plane change maneuver to compensate for the rotation of the Moon.
Roosa took pictures from lunar orbit. The Lunar Topographic Camera, also known as the Hycon camera, was supposed to be used to image the surface, including the Descartes Highlands site being considered for Apollo 16, but it quickly developed a fault with the shutter that Roosa could not fix despite considerable help from Houston. Although about half of the photographic targets had to be scrubbed, Roosa was able to obtain photographs of Descartes with a Hasselblad camera and confirm that it was a suitable landing point. Roosa also used the Hasselblad to take photographs of the impact point of Apollo 13's S-IVB near Lansburg B crater. After the mission, troubleshooting found a tiny piece of aluminum contaminating the shutter control circuit, which caused the shutter to operate continuously.
Roosa was able to see sunlight glinting off Antares and view its lengthy shadow on the lunar surface on Orbit 17; on Orbit 29 he could see the sun reflecting off the ALSEP. He also took astronomical photographs, of the Gegenschein, and of the Lagrangian point of the Sun-Earth system that lies beyond the Earth (L), testing the theory that the Gegenschein is generated by reflections off particles at L. Performing the bistatic radar experiment, he also focused Kitty Hawk VHF and S-band transmitters at the Moon so that they would bounce off and be detected on Earth in an effort to learn more about the depth of the lunar regolith.
Return, splashdown and quarantine
Antares lifted off from the Moon at 1:48:42 pm EST (18:48:42 UTC) on February 6, 1971. Following the first direct (first orbit) rendezvous on a lunar landing mission, docking took place an hour and 47 minutes later. Despite concerns based on the docking problems early in the mission, the docking was successful on the first attempt, though the LM's Abort Guidance System, used for navigation, failed just before the two craft docked. After crew, equipment, and lunar samples were transferred to Kitty Hawk, the ascent stage was jettisoned, and impacted the Moon, setting off waves registered by the seismometers from Apollo 12 and 14.
A trans-earth injection burn took place on February 6 at 8:39:04 pm (February 7 at 01:39:04 UTC) taking 350.8 seconds, during Kitty Hawk 34th lunar revolution. During the trans-earth coast, two tests of the oxygen system were performed, one to ensure the system would operate properly with low densities of oxygen in the tanks, the second to operate the system at a high flow rate, as would be necessary for the in-flight EVAs scheduled for Apollo 15 and later. Additionally, a navigation exercise was done to simulate a return to Earth following a loss of communications. All were successful. During his rest periods on the voyage, Mitchell conducted ESP experiments without NASA's knowledge or sanction, attempting by prearrangement to send images of cards he had brought with him to four people on Earth. He stated after the mission that two of the four had gotten 51 out of 200 correct (the others were less successful), whereas random chance would have dictated 40.
On the final evening in space, the crew conducted a press conference, with the questions submitted to NASA in advance and read to the astronauts by the CAPCOM.
The command module Kitty Hawk splashed down in the South Pacific Ocean on February 9, 1971, at 21:05 [UTC], approximately south of American Samoa. After recovery by the ship USS New Orleans, the crew was flown to Pago Pago International Airport in Tafuna, then to Honolulu, then to Ellington Air Force Base near Houston in a plane containing a Mobile Quarantine Facility trailer before they continued their quarantine in the Lunar Receiving Laboratory. They remained there until their release from quarantine on February 27, 1971. The Apollo 14 astronauts were the last lunar explorers to be quarantined on their return from the Moon. They were the only Apollo crew to be quarantined both before and after the flight.
Roosa, who worked in forestry in his youth, took several hundred tree seeds on the flight. These were germinated after the return to Earth, and were widely distributed around the world as commemorative Moon trees. Some seedlings were given to state forestry associations in 1975 and 1976 to mark the United States Bicentennial.
Mission insignia
The mission insignia is an oval depicting the Earth and the Moon, and an astronaut pin drawn with a comet trail. The pin is leaving Earth and is approaching the Moon. A gold band around the edge includes the mission and astronaut names. The designer was Jean Beaulieu, who based it on a sketch by Shepard, who had been head of the Astronaut Office and meant the pin to symbolize that through him, the entire corps was in spirit flying to the Moon.
The backup crew spoofed the patch with its own version, with revised artwork showing a Wile E. Coyote cartoon character depicted as gray-bearded (for Shepard, who was 47 at the time of the mission and the oldest man on the Moon), pot-bellied (for Mitchell, who had a pudgy appearance) and red-furred (for Roosa's red hair), still on the way to the Moon, while Road Runner (for the backup crew) is already on the Moon, holding a U.S. flag and a flag labelled "1st Team". The flight name is replaced by "BEEP BEEP" and the backup crew's names are given. Several of these patches were hidden by the backup crew and found during the flight by the crew in notebooks and storage lockers in both the CSM Kitty Hawk and the LM Antares, and one patch was stored in the MET lunar handcart. One patch, attached to Shepard's PLSS, was worn on the lunar surface, and, mounted on a plaque, was presented by him to Cernan after the mission.
Spacecraft locations
The Apollo 14 command module Kitty Hawk is on display at the Apollo/Saturn V Center at the Kennedy Space Center Visitor Complex after being on display at the United States Astronaut Hall of Fame near Titusville, Florida, for several years. At the time of its transfer of ownership from NASA to the Smithsonian in July 1977, it was on display at the facilities of North American Rockwell (the company that had constructed it) in Downey, California. The SM reentered Earth's atmosphere and was destroyed, though there was no tracking or sightings of it.
The S-IVB booster impacted the Moon on February4 at . The ascent stage of lunar module Antares impacted the Moon on February7, 1971, at 00:45:25.7 UT (February 6, 7:45 pm EST), at . Antares descent stage and the mission's other equipment remain at Fra Mauro at .
Photographs taken in 2009 by the Lunar Reconnaissance Orbiter were released on July 17, and the Fra Mauro equipment was the most visible Apollo hardware at that time, owing to particularly good lighting conditions. In 2011, the LRO returned to the landing site at a lower altitude to take higher resolution photographs.
Gallery
See also
Google Moon
List of artificial objects on the Moon
List of spacewalks and moonwalks 1965–1999
References
Bibliography
External links
"Apollo 14" at Encyclopedia Astronautica
Apollo 11, 12, and 14 Traverses, at the Lunar and Planetary Institute
Apollo 14 Traverse Map – United States Geological Survey (USGS)
Apollo Mission Traverse Maps – Several maps showing routes of moonwalks
Apollo 14 Science Experiments at the Lunar and Planetary InstituteNASA reports The Apollo Spacecraft: A Chronology NASA, NASA SP-4009
"Table 2-42. Apollo 14 Characteristics" from NASA Historical Data Book: Volume III: Programs and Projects 1969–1978 by Linda Neuman Ezell, NASA History Series (1988)
"Masking the Abort Discrete" – by Paul Fjeld at the Apollo 14 Lunar Surface Journal. NASA. Detailed technical article describing the ABORT signal problem and its solution
"Apollo 14 Technical Air-to-Ground Voice Transcription" (PDF) Manned Spacecraft Center, NASA, February 1971Multimedia'
– slideshow by Life magazine
"The Apollo Astronauts" – Interview with the Apollo 14 astronauts, March 31, 1971, from the Commonwealth Club of California Records at the Hoover Institution Archives
"Apollo 14 Lunar Liftoff – Video" at Maniac World
, with Cone crater
1971 in spaceflight
1971 in the United States
Edgar Mitchell
Stuart Roosa
Alan Shepard
Apollo program missions
Articles containing video clips
Extravehicular activity
Crewed missions to the Moon
Sample return missions
Soft landings on the Moon
Spacecraft which reentered in 1971
Spacecraft launched in 1971
January 1971 events
February 1971 events
Spacecraft launched by Saturn rockets
1971 on the Moon
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Apollo 15 (July 26August 7, 1971) was the ninth crewed mission in the United States' Apollo program and the fourth to land on the Moon. It was the first J mission, with a longer stay on the Moon and a greater focus on science than earlier landings. Apollo 15 saw the first use of the Lunar Roving Vehicle.
The mission began on July 26 and ended on August 7, with the lunar surface exploration taking place between July 30 and August 2. Commander David Scott and Lunar Module Pilot James Irwin landed near Hadley Rille and explored the local area using the rover, allowing them to travel further from the lunar module than had been possible on previous missions. They spent 18 hours on the Moon's surface on four extravehicular activities (EVA), and collected of surface material.
At the same time, Command Module Pilot Alfred Worden orbited the Moon, operating the sensors in the scientific instrument module (SIM) bay of the service module. This suite of instruments collected data on the Moon and its environment using a panoramic camera, a gamma-ray spectrometer, a mapping camera, a laser altimeter, a mass spectrometer, and a lunar subsatellite deployed at the end of the moonwalks. The lunar module returned safely to the command module and, at the end of Apollo 15's 74th lunar orbit, the engine was fired for the journey home. During the return trip, Worden performed the first spacewalk in deep space. The Apollo 15 mission splashed down safely on August7 despite the loss of one of its three parachutes.
The mission accomplished its goals but was marred by negative publicity the following year when it emerged that the crew had carried unauthorized postal covers to the lunar surface, some of which were sold by a West German stamp dealer. The members of the crew were reprimanded for poor judgment, and did not fly in space again. The mission also saw the collection of the Genesis Rock, thought to be part of the Moon's early crust, and Scott's use of a hammer and a feather to validate Galileo's theory that when there is no air resistance, objects fall at the same rate due to gravity regardless of their mass.
Background
In 1962, NASA contracted for the construction of fifteen Saturn V rockets to achieve the Apollo program's goal of a crewed landing on the Moon by 1970; at the time no one knew how many missions this would require. Since success was obtained in 1969 with the sixth SaturnV on Apollo 11, nine rockets remained available for a hoped-for total of ten landings. These plans included a heavier, extended version of the Apollo spacecraft to be used in the last five missions (Apollo 16 through 20). The revamped lunar module would be capable of up to a 75-hour stay, and would carry a Lunar Roving Vehicle to the Moon's surface. The service module would house a package of orbital experiments to gather data on the Moon. In the original plan Apollo 15 was to be the last of the non-extended missions to land in Censorinus crater. But in anticipation of budget cuts, NASA cancelled three landing missions by September 1970. Apollo 15 became the first of three extended missions, known as J missions, and the landing site was moved to Hadley Rille, originally planned for Apollo 19.
Crew and key Mission Control personnel
Crew
Scott was born in 1932 in San Antonio, Texas, and, after spending his freshman year at the University of Michigan on a swimming scholarship, transferred to the United States Military Academy, from which he graduated in 1954. Serving in the Air Force, Scott had received two advanced degrees from MIT in 1962 before being selected as one of the third group of astronauts the following year. He flew in Gemini 8 in 1966 alongside Neil Armstrong and as command module pilot of Apollo 9 in 1969. Worden was born in 1932 in Jackson, Michigan, and like his commander, had attended West Point (class of 1955) and served in the Air Force. Worden earned two master's degrees in engineering from Michigan in 1963. Irwin had been born in 1930 in Pittsburgh, and had attended the United States Naval Academy, graduating in 1951 and serving in the Air Force, receiving a master's degree from Michigan in 1957. Both Worden and Irwin were selected in the fifth group of astronauts (1966), and Apollo 15 would be their only spaceflight. All three future astronauts had attended Michigan, and two had taken degrees from there; it had been the first university to offer an aeronautical engineering program.
The backup crew was Richard F. Gordon Jr. as commander, Vance D. Brand as command module pilot and Harrison H. Schmitt as lunar module pilot. By the usual rotation of crews, the three would most likely have flown Apollo 18, which was canceled. Brand flew later on the Apollo–Soyuz Test Project and on STS-5, the first operational Space Shuttle mission. With NASA under intense pressure to send a professional scientist to the Moon, Schmitt, a geologist, was selected as LMP of Apollo 17 instead of Joe Engle.
Apollo 15's support crew consisted of astronauts Joseph P. Allen, Robert A. Parker and Karl G. Henize. All three were scientist-astronauts, selected in 1967, as the prime crew felt they needed more assistance with the science than with the piloting. None of the support crew would fly during the Apollo program, waiting until the Space Shuttle program to go into space.
Mission Control
The flight directors for Apollo 15 were as follows:
Gerry Griffin, Gold team
Milton Windler, Maroon team
Glynn Lunney, Black team
Gene Kranz, White team
During a mission the capsule communicators (CAPCOMs), always fellow astronauts, were the only people who normally would speak to the crew. For Apollo 15, the CAPCOMs were Allen, Brand, C. Gordon Fullerton, Gordon, Henize, Edgar D. Mitchell, Parker, Schmitt and Alan B. Shepard.
Planning and training
Schmitt and other scientist-astronauts advocated for a greater place for science on the early Apollo missions. They were often met with disinterest from other astronauts, or found science displaced by higher priorities. Schmitt realized that what was needed was an expert teacher who could fire the astronauts' enthusiasm, and contacted Caltech geologist Lee Silver, whom Schmitt introduced to Apollo 13's commander, Jim Lovell, and to its lunar module pilot, Fred Haise, then in training for their mission. Lovell and Haise were willing to go on a field expedition with Silver, and geology became a significant part of their training. Geologist Farouk El-Baz trained the prime crew's command module pilot, Ken Mattingly to inform his planned observations from lunar orbit. The crew's newly acquired skills mostly went unused, due to the explosion that damaged the Apollo 13 spacecraft, and caused an abort of the mission. Apollo 14's CMP, Stuart Roosa, was enthusiastic about geology, but the mission commander, Shepard, less so.
Already familiar with the spacecraft as the backup crew for Apollo 12, Scott, Worden and Irwin could devote more of their training time as prime crew for Apollo 15 to geology and sampling techniques. Scott was determined that his crew bring back the maximum amount of scientific data possible, and met with Silver in April 1970 to begin planning the geological training. Schmitt's assignment as Apollo 15's backup LMP made him an insider, and allowed him to spark competition between the prime and backup crews. The cancellation of two Apollo missions in September 1970 transformed Apollo 15 into a J mission, with a longer stay on the lunar surface, and the first Lunar Roving Vehicle (LRV). This change was welcomed by Scott, who according to David West Reynolds in his account of the Apollo program, was "something more than a hotshot pilot. Scott had the spirit of a true explorer", one determined to get the most from the J mission. The additional need for communications, including from planned experiments and the rover, required the near-rebuilding of the Honeysuckle Creek Tracking Station in Australia.
Geology field trips took place about once a month throughout the crew's 20 months of training. At first, Silver would take the commanders and LMPs from the prime and backup crews to geological sites in Arizona and New Mexico as if for a normal field geology lesson, but closer to launch, these trips became more realistic. Crews began to wear mock-ups of the backpacks they would carry while hiking near the Rio Grande Gorge, and communicate using walkie-talkies to a CAPCOM in a tent. The CAPCOM was accompanied by a geologist unfamiliar with the area who would rely on the astronauts' descriptions to interpret the findings, and familiarized the crew members with describing landscapes to people who could not see them. Considering himself a serious amateur, Scott came to enjoy field geology.
The decision to land at Hadley came in September 1970. The Site Selection Committee had narrowed the field down to two sites—Hadley Rille, a deep channel on the edge of Mare Imbrium close to the Apennine mountains or the crater Marius, near which were a group of low, possibly volcanic, domes. Although not ultimately his decision, the commander of a mission always held great sway. To David Scott the choice was clear, as Hadley "had more variety. There is a certain intangible quality which drives the spirit of exploration and I felt that Hadley had it. Besides it looked beautiful and usually when things look good they are good." The selection of Hadley was made although NASA lacked high resolution images of the landing site; none had been made as the site was considered too rough to risk one of the earlier Apollo missions. The proximity of the Apennine mountains to the Hadley site required a landing approach trajectory of 26 degrees, far steeper than the 15 degrees in earlier Apollo landings.
The expanded mission meant that Worden spent much of his time at North American Rockwell's facilities at Downey, California, where the command and service module (CSM) was being built. He undertook a different kind of geology training. Working with El-Baz, he studied maps and photographs of the craters he would pass over while orbiting alone in the CSM. As El-Baz listened and gave feedback, Worden learned how to describe lunar features in a way that would be useful to the scientists who would listen to his transmissions back on Earth. Worden found El-Baz to be an enjoyable and inspiring teacher. Worden usually accompanied his crewmates on their geology field trips, though he was often in an airplane overhead, describing features of the landscape as the plane simulated the speed at which the lunar landscape would pass below the CSM.
The demands of the training strained both Worden's and Irwin's marriages; each sought Scott's advice, fearing a divorce might endanger their places on the mission as not projecting the image NASA wanted for the astronauts. Scott consulted Director of Flight Crew Operations Deke Slayton, their boss, who stated what was important was that the astronauts do their jobs. Although the Irwins overcame their marital difficulties, the Wordens divorced before the mission.
Hardware
Spacecraft
Apollo 15 used command and service module CSM-112, which was given the call sign Endeavour, named after HMS Endeavour, and lunar module LM-10, call sign Falcon, named after the United States Air Force Academy mascot. Scott explained the choice of the name Endeavour on the grounds that its captain, James Cook had commanded the first purely scientific sea voyage, and Apollo 15 was the first lunar landing mission on which there was a heavy emphasis on science. Apollo 15 took with it a small piece of wood from Cook's ship, while Falcon carried two falcon feathers to the Moon in recognition of the crew's service in the Air Force. Also part of the spacecraft were a Launch Escape System and a Spacecraft-Lunar Module Adapter, numbered SLA-19.
Technicians at the Kennedy Space Center had some problems with the instruments in the service module's scientific instrument module (SIM) bay. Some instruments were late in arriving, and principal investigators or representatives of NASA contractors sought further testing or to make small changes. Mechanical problems came from the fact the instruments were designed to operate in space, but had to be tested on the surface of the Earth. As such, things like the 7.5 m (24 ft) booms for the mass and gamma ray spectrometers could be tested only using equipment that tried to mimic the space environment, and, in space, the mass spectrometer boom several times did not fully retract.
On the lunar module, the fuel and oxidizer tanks were enlarged on both the descent and ascent stages, and the engine bell on the descent stage was extended. Batteries and solar cells were added for increased electrical power. In all this increased the weight of the lunar module to , heavier than previous models.
If Apollo 15 had flown as an H mission, it would have been with CSM-111 and LM-9. That CSM was used by the Apollo–Soyuz Test Project in 1975, but the lunar module went unused and is now at the Kennedy Space Center Visitor Complex. Endeavour is on display at the National Museum of the United States Air Force at Wright-Patterson Air Force Base in Dayton, Ohio, following its transfer of ownership from NASA to the Smithsonian in December 1974.
Launch vehicle
The Saturn V that launched Apollo 15 was designated SA-510, the tenth flight-ready model of the rocket. As the payload of the rocket was greater, changes were made to the rocket and to its launch trajectory. It was launched in a more southerly direction (80–100 degrees azimuth) than previous missions, and the Earth parking orbit was lowered to . These two changes meant more could be launched. The propellant reserves were reduced and the number of retrorockets on the S-IC first stage (used to separate the spent first stage from the S-II second stage) reduced from eight to four. The four outboard engines of the S-IC would be burned longer and the center engine would also burn longer. Changes were also made to the S-II to dampen pogo oscillations.
Once all major systems were installed in the SaturnV, it was moved from the Vehicle Assembly Building to the launch site, Launch Complex 39A. During late June and early July 1971, the rocket and Launch Umbilical Tower (LUT) were struck by lightning at least four times. There was no damage to the vehicle, and only minor damage to ground support equipment.
Space suits
The Apollo 15 astronauts wore redesigned space suits. On all previous Apollo flights, including the non-lunar flights, the commander and lunar module pilot had worn suits with the life support, liquid cooling, and communications connections in two parallel rows of three. On Apollo 15, the new suits, dubbed the "A7LB", had the connectors situated in triangular pairs. This new arrangement, along with the relocation of the entry zipper (which went in an up-down motion on the old suits), to run diagonally from the right shoulder to the left hip, aided in suiting and unsuiting in the cramped confines of the spacecraft. It also allowed for a new waist joint, letting the astronauts bend completely over, and sit on the rover. Upgraded backpacks allowed for longer-duration moonwalks. As in all missions from and after Apollo 13, the commander's suit bore a red stripe on the helmet, arms and legs.
Worden wore a suit similar to those worn by the Apollo 14 astronauts, but modified to interface with Apollo 15's equipment. Gear needed only for lunar surface EVAs, such as the liquid cooling garment, was not included with Worden's suit, as the only EVA he was expected to do was one to retrieve film cartridges from the SIM bay on the flight home.
Lunar Roving Vehicle
A vehicle that could operate on the surface of the Moon had been considered by NASA since the early 1960s. An early version was called MOLAB, which had a closed cabin and would have massed about ; some scaled-down prototypes were tested in Arizona. As it became clear NASA would not soon establish a lunar base, such a large vehicle seemed unnecessary. Still, a rover would enhance the J missions, which were to concentrate on science, though its mass was limited to about and it was not then clear that so light a vehicle could be useful. NASA did not decide to proceed with a rover until May 1969, as Apollo 10, the dress rehearsal for the Moon landing, made its way home from lunar orbit. Boeing received the contract for three rovers on a cost-plus basis; overruns (especially in the navigation system) meant the three vehicles eventually cost a total of $40 million. These cost overruns gained considerable media attention at a time of greater public weariness with the space program, when NASA's budget was being cut.
The Lunar Roving Vehicle could be folded into a space 5 ft by 20 in (1.5 m by 0.5 m). Unloaded, it weighed 460 lb (209 kg) and when carrying two astronauts and their equipment, 1500 lb (700 kg). Each wheel was independently driven by a horsepower (200 W) electric motor. Although it could be driven by either astronaut, the commander always drove. Travelling at speeds up to 6to 8mph (10to 12km/h), it meant that for the first time the astronauts could travel far afield from their lander and still have enough time to do some scientific experiments. The Apollo 15 rover bore a plaque, reading: "Man's First Wheels on the Moon, Delivered by Falcon, July 30, 1971". During pre-launch testing, the LRV was given additional bracing, lest it collapse if someone sat on it under Earth conditions.
Particles and Fields Subsatellite
The Apollo 15 Particles and Fields Subsatellite (PFS-1) was a small satellite released into lunar orbit from the SIM bay just before the mission left orbit to return to Earth. Its main objectives were to study the plasma, particle, and magnetic field environment of the Moon and map the lunar gravity field. Specifically, it measured plasma and energetic particle intensities and vector magnetic fields, and facilitated tracking of the satellite velocity to high precision. A basic requirement was that the satellite acquire fields and particle data everywhere on the orbit around the Moon. As well as measuring magnetic fields, the satellite contained sensors to study the Moon's mass concentrations, or mascons. The satellite orbited the Moon and returned data from August 4, 1971, until January 1973, when, following multiple failures of the subsatellite's electronics, ground support was terminated. It is believed to have crashed into the Moon sometime thereafter.
Mission highlights
Launch and outbound trip
Apollo 15 was launched on July 26, 1971, at 9:34am EDT from the Kennedy Space Center at Merritt Island, Florida. The time of launch was at the very start of the two-hour, 37-minute launch window, which would allow Apollo 15 to arrive at the Moon with the proper lighting conditions at Hadley Rille; had the mission been postponed beyond another window on July 27, it could not have been rescheduled until late August. The astronauts had been awakened five and a quarter hours before launch by Slayton, and after breakfast and suiting up, had been taken to Pad 39A, launch site of all seven attempts at crewed lunar landing, and entered the spacecraft about three hours before launch. There were no unplanned delays in the countdown.
At 000:11:36 into the mission, the S-IVB engine shut down, leaving Apollo 15 in its planned parking orbit in low Earth orbit. The mission remained there for 2hours and 40 minutes, allowing the crew (and Houston, via telemetry) to check the spacecraft's systems. At 002:50.02.6 into the mission, the S-IVB was restarted for trans-lunar injection (TLI), placing the craft on a path to the Moon. Before TLI, the craft had completed 1.5 orbits around the Earth.
The command and service module (CSM) and the lunar module remained attached to the nearly-exhausted S-IVB booster. Once trans-lunar injection had been achieved, placing the spacecraft on a trajectory towards the Moon, explosive cords separated the CSM from the booster as Worden operated the CSM's thrusters to push it away. Worden then maneuvered the CSM to dock with the LM (mounted on the end of the S-IVB), and the combined craft was then separated from the S-IVB by explosives. After Apollo 15 separated from the booster, the S-IVB maneuvered away, and, as planned, impacted the Moon about an hour after the crewed spacecraft entered lunar orbit, though due to an error the impact was away from the intended target. The booster's impact was detected by the seismometers left on the Moon by Apollo 12 and Apollo 14, providing useful scientific data.
There was a malfunctioning light on the craft's service propulsion system (SPS); after considerable troubleshooting, the astronauts did a test burn of the system that also served as a midcourse correction. This occurred about 028:40:00 into the mission. Fearing that the light meant the SPS might unexpectedly fire, the astronauts avoided using the control bank with the faulty light, bringing it online only for major burns, and controlling it manually. After the mission returned, the malfunction proved to be caused by a tiny bit of wire trapped within the switch.
After purging and renewing the LM's atmosphere to eliminate any contamination, the astronauts entered the LM about 34 hours into the mission, needing to check the condition of its equipment and move in items that would be required on the Moon. Much of this work was televised back to Earth, the camera operated by Worden. The crew discovered a broken outer cover on the Range/Range Rate tapemeter. This was a concern not only because an important piece of equipment, providing information on distance and rate of approach, might not work properly, but because bits of the glass cover were floating around Falcon'''s interior. The tapemeter was supposed to be in a helium atmosphere, but due to the breakage, it was in the LM's oxygen atmosphere. Testing on the ground verified the tapemeter would still work properly, and the crew removed most of the glass using a vacuum cleaner and adhesive tape.
As yet, there had been only minor problems, but at about 61:15:00 mission time (the evening of July 28 in Houston), Scott discovered a leak in the water system while preparing to chlorinate the water supply. The crew could not tell where it was coming from, and the issue had the potential to become serious. The experts in Houston found a solution, which was successfully implemented by the crew. The water was mopped up with towels, which were then put out to dry in the tunnel between the command module (CM) and lunar module—Scott stated it looked like someone's laundry.
At 073:31:14 into the mission, a second midcourse correction, with less than a second of burn, was made. Although there were four opportunities to make midcourse corrections following TLI, only two were needed. Apollo 15 approached the Moon on July 29, and the lunar orbit insertion (LOI) burn had to be made using the SPS, on the far side of the Moon, out of radio contact with Earth. If no burn occurred, Apollo 15 would emerge from the lunar shadow and come back in radio contact faster than expected; the continued lack of communication allowed Mission Control to conclude that the burn had taken place. When contact resumed, Scott did not immediately give the particulars of the burn, but spoke admiringly of the beauty of the Moon, causing Alan Shepard, the Apollo 14 commander, who was awaiting a television interview, to grumble, "To hell with that shit, give us details of the burn." The 398.36-second burn took place at 078:31:46.7 into the mission at an altitude of above the Moon, and placed Apollo 15 in an elliptical lunar orbit of .
Lunar orbit and landing
On Apollo 11 and 12, the lunar module decoupled from the CSM and descended to a much lower orbit from which the lunar landing attempt commenced; to save fuel in an increasingly heavy lander, beginning with Apollo 14, the SPS in the service module made that burn, known as descent orbit insertion (DOI), with the lunar module still attached to the CSM. The initial orbit Apollo 15 was in had its apocynthion, or high point, over the landing site at Hadley; a burn at the opposite point in the orbit was performed, with the result that Hadley would now be under the craft's pericynthion, or low point. The DOI burn was performed at 082:39:49.09 and took 24.53 seconds; the result was an orbit with apocynthion of and pericynthion of . Overnight between July 29 and 30, as the crew rested, it became apparent to Mission Control that mass concentrations in the Moon were making Apollo 15's orbit increasingly elliptical—pericynthion was by the time the crew was awakened on July 30. This, and uncertainty as to the exact altitude of the landing site, made it desirable that the orbit be modified, or trimmed. Using the craft's RCS thrusters, this took place at 095:56:44.70, lasting 30.40 seconds, and raised the pericynthion to and the apocynthion to .
As well as preparing the lunar module for its descent, the crew continued observations of the Moon (including of the landing site at Hadley) and provided television footage of the surface. Then, Scott and Irwin entered the lunar module in preparation for the landing attempt. Undocking was planned for 100:13:56, over the far side of the Moon, but nothing happened when separation was attempted. After analyzing the problem, the crew and Houston decided the probe instrumentation umbilical was likely loose or disconnected; Worden went into the tunnel connecting the command and lunar modules and determined this was so, seating it more firmly. With the problem resolved, Falcon separated from Endeavour at 100:39:16.2, about 25 minutes late, at an altitude of . Worden in Endeavour executed a SPS burn at 101:38:58.98 to send Endeavour to an orbit of by in preparation for his scientific work.
Aboard Falcon, Scott and Irwin prepared for powered descent initiation (PDI), the burn that was to place them on the lunar surface, and, after Mission Control gave them permission, they initiated PDI at 104:30:09.4 at an altitude of , slightly higher than planned. During the first part of the descent, Falcon was aligned so the astronauts were on their backs and thus could not see the lunar surface below them, but after the craft made a pitchover maneuver, they were upright and could see the surface in front of them. Scott, who as commander performed the landing, was confronted with a landscape that did not at first seem to resemble what he had seen during simulations. Part of this was due to an error in the landing path of some , of which CAPCOM Ed Mitchell informed the crew prior to pitchover; part because the craters Scott had relied on in the simulator were difficult to make out under lunar conditions, and he initially could not see Hadley Rille. He concluded that they were likely to overshoot the planned landing site, and, once he could see the rille, started maneuvering the vehicle to move the computer's landing target back towards the planned spot, and looked for a relatively smooth place to land.
Below about , Scott could see nothing of the surface because of the quantities of lunar dust being displaced by Falcons exhaust. Falcon had a larger engine bell than previous LMs, in part to accommodate a heavier load, and the importance of shutting down the engine at initial contact rather than risk "blowback", the exhaust reflecting off the lunar surface and going back into the engine (possibly causing an explosion) had been impressed on the astronauts by mission planners. Thus, when Irwin called "Contact", indicating that one of the probes on the landing leg extensions had touched the surface, Scott immediately shut off the engine, letting the lander fall the remaining distance to the surface. Already moving downward at about per second, Falcon dropped from a height of . Scott's speed resulted in what was likely the hardest lunar landing of any of the crewed missions, at about per second, causing a startled Irwin to yell "Bam!" Scott had landed Falcon on the rim of a small crater he could not see, and the lander settled back at an angle of 6.9 degrees and to the left of 8.6 degrees. Irwin described it in his autobiography as the hardest landing he had ever been in, and he feared that the craft would keep tipping over, forcing an immediate abort.
Falcon landed at 104:42:29.3 (22:16:29 GMT on July 30), with approximately 103 seconds of fuel remaining, about from the planned landing site. After Irwin's exclamation, Scott reported, "Okay, Houston. The Falcon is on the Plain at Hadley." Once within the planned landing zone, the increased mobility provided by the Lunar Roving Vehicle made unnecessary any further maneuvering.
Lunar surface
Stand-up EVA and first EVA
With Falcon due to remain on the lunar surface for almost three days, Scott deemed it important to maintain the circadian rhythm they were used to, and as they had landed in the late afternoon, Houston time, the two astronauts were to sleep before going onto the surface. But the time schedule allowed Scott to open the lander's top hatch (usually used for docking) and spend a half hour looking at their surroundings, describing them, and taking photographs. Lee Silver had taught him the importance of going to a high place to survey a new field site, and the top hatch served that purpose. Deke Slayton and other managers were initially opposed due to the oxygen that would be lost, but Scott got his way. During the only stand-up extravehicular activity (EVA) ever performed through the LM's top hatch on the lunar surface, Scott was able to make plans for the following day's EVA. He offered Irwin a chance to look out as well, but this would have required rearranging the umbilicals connecting Irwin to Falcon'''s life support system, and he declined. After repressurizing the spacecraft, Scott and Irwin removed their space suits for sleep, becoming the first astronauts to doff their suits while on the Moon.
Throughout the sleep period Mission Control in Houston monitored a slow but steady oxygen loss. Scott and Irwin eventually were awakened an hour early, and the source of the problem was found to be an open valve on the urine transfer device. In post-mission debriefing, Scott recommended that future crews be woken at once under similar circumstances. After the problem was solved, the crew began preparation for the first Moon walk.
After donning their suits and depressurizing the cabin, Scott and Irwin began their first full EVA, becoming the seventh and eighth humans, respectively, to walk on the Moon. They began deploying the lunar rover, stored folded up in a compartment of Falcons descent stage, but this proved troublesome due to the slant of the lander. The experts in Houston suggested lifting the front end of the rover as the astronauts pulled it out, and this worked. Scott began a system checkout. One of the batteries gave a zero voltage reading, but this was only an instrumentation problem. A greater concern was that the front wheel steering would not work. However, the rear wheel steering was sufficient to maneuver the vehicle. Completing his checkout, Scott said "Okay. Out of detent; we're moving", maneuvering the rover away from Falcon in mid-sentence. These were the first words uttered by a human while driving a vehicle on the Moon. The rover carried a television camera, controlled remotely from Houston by NASA's Ed Fendell. The resolution was not high compared to the still photographs that would be taken, but the camera allowed the geologists on Earth to indirectly participate in Scott and Irwin's activities.
The rille was not visible from the landing site, but as Scott and Irwin drove over the rolling terrain, it came into view. They were able to see Elbow crater, and they began to drive in that direction. Reaching Elbow, a known location, allowed Mission Control to backtrack and get closer to pinpointing the location of the lander. The astronauts took samples there, and then drove to another crater on the flank of Mons Hadley Delta, where they took more. After concluding this stop, they returned to the lander to drop off their samples and prepare to set up the Apollo Lunar Surface Experiments Package (ALSEP), the scientific instruments that would remain when they left. Scott had difficulty drilling the holes required for the heat flow experiment, and the work was not completed when they had to return to the lander. The first EVA lasted 6hours and 32 minutes.
Second and third EVAs
The rover's front steering, inoperative during the first EVA, worked during the second and third ones. The target of the second EVA, on August 1, was the slope of Mons Hadley Delta, where the pair sampled boulders and craters along the Apennine Front. They spent an hour at Spur crater, during which the astronauts collected a sample dubbed the Genesis Rock. This rock, an anorthosite, is believed to be part of the early lunar crust—the hope of finding such a specimen had been one reason the Hadley area had been chosen. Once back at the landing site, Scott continued to try to drill holes for experiments at the ALSEP site, with which he had struggled the day before. After conducting soil-mechanics experiments and raising the U.S. flag, Scott and Irwin returned to the LM. EVA2 lasted 7hours and 12 minutes.
Although Scott had eventually been successful at drilling the holes, he and Irwin had been unable to retrieve a core sample, and this was an early order of business during EVA 3, their third and final moonwalk. Time that could have been devoted to geology ticked away as Scott and Irwin attempted to pull it out. Once it had been retrieved, more time passed as they attempted to break the core into pieces for transport to Earth. Hampered by an incorrectly mounted vise on the rover, they eventually gave up on this—the core would be transported home with one segment longer than planned. Scott wondered if the core was worth the amount of time and effort invested, and the CAPCOM, Joe Allen, assured him it was. The core proved one of the most important items brought back from the Moon, revealing much about its history, but the expended time meant the planned visit to a group of hills known as the North Complex had to be scrubbed. Instead, the crew again ventured to the edge of Hadley Rille, this time to the northwest of the immediate landing site.
Once the astronauts were beside the LM, Scott used a kit provided by the Postal Service to cancel a first day cover of two stamps being issued on August 2, the current date. Scott then performed an experiment in view of the television camera, using a falcon feather and hammer to demonstrate Galileo's theory that all objects in a given gravity field fall at the same rate, regardless of mass, in the absence of aerodynamic drag. He dropped the hammer and feather at the same time; because of the negligible lunar atmosphere, there was no drag on the feather, which hit the ground at the same time as the hammer. This was Joe Allen's idea (he also served as CAPCOM during it) and was part of an effort to find a memorable popular science experiment to do on the Moon along the lines of Shepard's hitting of golf balls. The feather was most likely from a female gyrfalcon (a type of falcon), a mascot at the United States Air Force Academy.
Scott then drove the rover to a position away from the LM, where the television camera could be used to observe the lunar liftoff. Near the rover, he left a small aluminum statuette called Fallen Astronaut, along with a plaque bearing the names of 14 known American astronauts and Soviet cosmonauts who had died in the furtherance of space exploration. The memorial was left while the television camera was turned away; he told Mission Control he was doing some cleanup activities around the rover. Scott disclosed the memorial in a post-flight news conference. He also placed a Bible on the control panel of the rover before leaving it for the last time to enter the LM.
The EVA lasted 4 hours, 49 minutes and 50 seconds. In total, the two astronauts spent 18 hours outside the LM and collected approximately of lunar samples.
Command module activities
After the departure of Falcon, Worden in Endeavour executed a burn to take the CSM to a higher orbit. While Falcon was on the Moon, the mission effectively split, Worden and the CSM being assigned their own CAPCOM and flight support team.
Worden got busy with the tasks that were to occupy him for much of the time he spent in space alone: photography and operating the instruments in the SIM bay. The door to the SIM bay had been explosively jettisoned during the translunar coast. Filling previously-unused space in the service module, the SIM bay contained a gamma-ray spectrometer, mounted on the end of a boom, an X-ray spectrometer and a laser altimeter, which failed part way through the mission. Two cameras, a stellar camera and a metric camera, together comprised the mapping camera, which was complemented by a panoramic camera, derived from spy technology. The altimeter and cameras permitted the exact time and location from which pictures were taken to be determined. Also present were an alpha particle spectrometer, which could be used to detect evidence of lunar volcanism, and a mass spectrometer, also on a boom in the hope it would be unaffected by contamination from the ship. The boom would prove troublesome, as Worden would not always be able to get it to retract.
Endeavour was slated to pass over the landing site at the moment of planned landing, but Worden could not see Falcon and did not spot it until a subsequent orbit. He also exercised to avoid muscle atrophy, and Houston kept him up to date on Scott and Irwin's activities on the lunar surface. The panoramic camera did not operate perfectly, but provided enough images that no special adjustment was made. Worden took many photographs through the command module's windows, often with shots taken at regular intervals. His task was complicated by the lack of a working mission timer in the Lower Equipment Bay of the command module, as its circuit breaker had popped en route to the Moon. Worden's observations and photographs would inform the decision to send Apollo 17 to Taurus-Littrow to search for evidence of volcanic activity. There was a communications blackout when the CSM passed over the far side of the Moon from Earth; Worden greeted each resumption of contact with the words, "Hello, Earth. Greetings from Endeavour", expressed in different languages. Worden and El-Baz had come up with the idea, and the geology instructor had aided the astronaut in accumulating translations.
Results from the SIM bay experiments would include the conclusion, from data gathered by the X-ray spectrometer, that there was greater fluorescent X-ray flux than anticipated, and that the lunar highlands were richer in aluminum than were the mares. Endeavour was in a more inclined orbit than previous crewed missions, and Worden saw features that were not known previously, supplementing photographs with thorough descriptions.
By the time Scott and Irwin were ready to take off from the lunar surface and return to Endeavour, the CSM's orbit had drifted due to the rotation of the Moon, and a plane change burn was required to ensure that the CSM's orbit would be in the same plane as that of the LM once it took off from the Moon. Worden accomplished the 18-second burn with the SPS.
Return to Earth
Falcon lifted off the Moon at 17:11:22 GMT on August2 after 66 hours and 55 minutes on the lunar surface. Docking with the CSM took place just under two hours later. After the astronauts transferred samples and other items from the LM to the CSM, the LM was sealed off, jettisoned, and intentionally crashed into the lunar surface, an impact registered by the seismometers left by Apollo 12, 14 and 15. The jettison proved difficult because of problems getting airtight seals, requiring a delay in discarding the LM. After the jettison, Slayton came on the loop to recommend the astronauts take sleeping pills, or at least that Scott and Irwin do so. Scott as mission commander refused to allow it, feeling there was no need. During the EVAs, the doctors had noticed irregularities in both Scott's and Irwin's heartbeats, but the crew were not informed during the flight. Irwin had heart problems after retiring as an astronaut and died in 1991 of a heart attack; Scott felt that he as commander should have been informed of the biomedical readings. NASA doctors at the time theorized the heart readings were due to potassium deficiency, due to their hard work on the surface and inadequate resupply through liquids.
The crew spent the next two days working on orbital science experiments, including more observations of the Moon from orbit and releasing the subsatellite. Endeavour departed lunar orbit with another burn of the SPS engine of 2minutes 21 seconds at 21:22:45 GMT on August4. The next day, during the return to Earth, Worden performed a 39-minute EVA to retrieve film cassettes from the service module's scientific instrument module (SIM) bay, with assistance from Irwin who remained at the command module's hatch. At approximately 171,000 nautical miles (197,000 mi; 317,000 km) from Earth, it was the first "deep space" EVA in history, performed at great distance from any planetary body. As of , it remains one of only three such EVAs, all performed during Apollo's J missions under similar circumstances. Later that day, the crew set a record for the longest Apollo flight to that point.
On approach to Earth on August7, the service module was jettisoned, and the command module reentered the Earth's atmosphere. Although one of the three parachutes on the CM failed after deploying, likely due to damage as the spacecraft vented fuel, only two were required for a safe landing (one extra for redundancy). Upon landing in the North Pacific Ocean, the CM and crew were recovered and taken aboard the recovery ship, , after a mission lasting 12 days, 7hours, 11 minutes and 53 seconds.
Assessment
The mission objectives for Apollo 15 were to "perform selenological inspection, survey, and sampling of materials and surface features in a pre-selected area of the Hadley–Apennine region. Emplace and activate surface experiments. Evaluate the capability of the Apollo equipment to provide extended lunar surface stay time, increased extravehicular operations, and surface mobility. [and] Conduct inflight experiments and photographic tasks from lunar orbit." It achieved all those objectives. The mission also completed a long list of other tasks, including experiments. One of the photographic objectives, to obtain images of the gegenschein from lunar orbit, was not completed, as the camera was not pointed at the proper spot in the sky. According to the conclusions in the Apollo 15 Mission Report, the journey "was the fourth lunar landing and resulted in the collection of a wealth of scientific information. The Apollo system, in addition to providing a means of transportation, excelled as an operational scientific facility."
Apollo 15 saw an increase in public interest in the Apollo program, in part due to fascination with the LRV, as well as the attractiveness of the Hadley Rille site and the increased television coverage.
According to David Woods in the Apollo Lunar Flight Journal,
Controversies
Despite the successful mission, the careers of the crew were tarnished by a deal they had made before the flight to carry postal covers to the Moon in exchange for about $7,000 each, which they planned to set aside for their children. Walter Eiermann, who had many professional and social contacts with NASA employees and the astronaut corps, served as intermediary between the astronauts and a West German stamp dealer, Hermann Sieger, and Scott carried about 400 covers onto the spacecraft; they were subsequently transferred into Falcon and remained inside the lander during the astronauts' activities on the surface of the Moon. After the return to Earth, 100 of the covers were given to Eiermann, who passed them on to Sieger, receiving a commission. No permission had been received from Slayton to carry the covers, as required.
The 100 covers were put on sale to Sieger's customers in late 1971 at a price of about $1,500 each. After receiving the agreed payments, the astronauts returned them, and accepted no compensation. In April 1972, Slayton learned that unauthorized covers had been carried, and removed the three as the backup crew for Apollo 17. The matter became public in June 1972 and the three astronauts were reprimanded for poor judgment; none ever flew in space again. During the investigation, the astronauts had surrendered those covers still in their possession; after Worden filed suit, they were returned in 1983, something Slate magazine deemed an exoneration.
Another controversy surrounding the Fallen Astronaut statuette that Scott had left on the Moon, arose later. Before the mission, Scott had made a verbal agreement with Belgian artist Paul Van Hoeydonck to sculpt the statuette. Scott's intent, in keeping with NASA's strict policy against commercial exploitation of the US government's space program, was for a simple memorial with a minimum of publicity, keeping the artist anonymous, no commercial replicas being made except for a single copy for public exhibit at the National Air and Space Museum commissioned after the sculpture's public disclosure during the post-flight press conference. Van Hoeydonck claims to have had a different understanding of the agreement, by which he would have received recognition as the creator of a tribute to human space exploration, with rights to sell replicas to the public. Under pressure from NASA, Van Hoeydonck canceled a plan to publicly sell 950 signed copies.
During the congressional hearings into the postal covers and Fallen Astronaut matters, two Bulova timepieces taken on the mission by Scott were also matters of controversy. Before the mission, Scott had been introduced to Bulova's representative, General James McCormack by Apollo 8 commander Frank Borman. Bulova had been seeking to have its timepieces taken on Apollo missions, but after evaluation, NASA had selected Omega watches instead. Scott brought the Bulova timepieces on the mission, without disclosing them to Slayton. During Scott's second EVA, the crystal on his NASA standard issue Omega Speedmaster watch popped off, and, during the third EVA, he used a Bulova watch. The Bulova Chronograph Model #88510/01 that Scott wore on the lunar surface was a prototype, given to him by the Bulova Company, and it is the only privately owned watch to have been worn while walking on the lunar surface. There are images of him wearing this watch, when he saluted the American flag on the Moon, with the Hadley Delta expanse in the background. In 2015, the watch sold for $1.625 million, which makes it one of the most expensive astronaut-owned artifact ever sold at auction and one of the most expensive watches sold at auction.
Mission insignia
The Apollo 15 mission patch carries Air Force motifs, a nod to the crew's service there, just as the Apollo 12 all-Navy crew's patch had featured a sailing ship. The circular patch features stylized red, white and blue birds flying over Hadley Rille. Immediately behind the birds, a line of craters forms the Roman numeral XV. The Roman numerals were hidden in emphasized outlines of some craters after NASA insisted that the mission number be displayed in Arabic numerals. The artwork is circled in red, with a white band giving the mission and crew names and a blue border. Scott contacted fashion designer Emilio Pucci to design the patch, who came up with the basic idea of the three-bird motif on a square patch.
The crew changed the shape to round and the colors from blues and greens to a patriotic red, white and blue. Worden stated that each bird also represented an astronaut, white being his own color (and as Command Module Pilot, uppermost), Scott being the blue bird and Irwin the red. The colors matched Chevrolet Corvettes leased by the astronauts at KSC; a Florida car dealer had, since the time of Project Mercury, been leasing Chevrolets to astronauts for $1 and later selling them to the public. The astronauts were photographed with the cars and the training LRV for the June 11, 1971, edition of Life magazine.
Visibility from space
The halo area of the Apollo 15 landing site, created by the LM's exhaust plume, was observed by a camera aboard the Japanese lunar orbiter SELENE and confirmed by comparative analysis of photographs in May 2008. This corresponds well to photographs taken from the Apollo 15 command module showing a change in surface reflectivity due to the plume, and was the first visible trace of crewed landings on the Moon seen from space since the close of the Apollo program.
Gallery
Still images
Multimedia
See also
List of artificial objects on the Moon
List of spacewalks and moonwalks 1965–1999
Notes
References
Apollo Lunar Flight Journal
Apollo Lunar Surface Journal
Bibliography
External links
Apollo 15 Preliminary Science Report (1972) by the Manned Spacecraft Center
Apollo 15 Traverses, 41B4S4(25), Lunar Photomap at Lunar and Planetary Institute
1975 summary report by NASA
1972 NASA press releases at collectSPACE
Moonport: A History of Apollo Launch Facilities and Operations, a 1978 book published by NASA
Part 1 and part 2 of Apollo 15: In the Mountains of the Moon, a NASA documentary film on the Apollo 15 mission, at the Internet Archive
2011 podcast interview with AstrotalkUK
2016 interview with Worden at Medium
James Irwin
David Scott
Alfred Worden
Articles containing video clips
Apollo program missions
Extravehicular activity
Lunar rovers
Crewed missions to the Moon
Sample return missions
Soft landings on the Moon
Spacecraft which reentered in 1971
Spacecraft launched in 1971
June 1971 events
Spacecraft launched by Saturn rockets
1971 on the Moon
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Apollo 16 (April 1627, 1972) was the tenth crewed mission in the United States Apollo space program, administered by NASA, and the fifth and penultimate to land on the Moon. It was the second of Apollo's "J missions", with an extended stay on the lunar surface, a focus on science, and the use of the Lunar Roving Vehicle (LRV). The landing and exploration were in the Descartes Highlands, a site chosen because some scientists expected it to be an area formed by volcanic action, though this proved not to be the case.
The mission was crewed by Commander John Young, Lunar Module Pilot Charles Duke and Command Module Pilot Ken Mattingly. Launched from the Kennedy Space Center in Florida on April 16, 1972, Apollo 16 experienced a number of minor glitches en route to the Moon. These culminated with a problem with the spaceship's main engine that resulted in a six-hour delay in the Moon landing as NASA managers contemplated having the astronauts abort the mission and return to Earth, before deciding the problem could be overcome. Although they permitted the lunar landing, NASA had the astronauts return from the mission one day earlier than planned.
After flying the lunar module to the Moon's surface on April 21, Young and Duke spent 71 hours—just under three days—on the lunar surface, during which they conducted three extravehicular activities or moonwalks, totaling 20 hours and 14 minutes. The pair drove the lunar rover, the second used on the Moon, for . On the surface, Young and Duke collected of lunar samples for return to Earth, including Big Muley, the largest Moon rock collected during the Apollo missions. During this time Mattingly orbited the Moon in the command and service module (CSM), taking photos and operating scientific instruments. Mattingly, in the command module, spent 126 hours and 64 revolutions in lunar orbit. After Young and Duke rejoined Mattingly in lunar orbit, the crew released a subsatellite from the service module (SM). During the return trip to Earth, Mattingly performed a one-hour spacewalk to retrieve several film cassettes from the exterior of the service module. Apollo 16 returned safely to Earth on April 27, 1972.
Crew and key Mission Control personnel
John Young, the mission commander, was 41 years old and a captain in the Navy at the time of Apollo 16. Becoming an astronaut in 1962 as part of the second group to be selected by NASA, he flew in Gemini 3 with Gus Grissom in 1965, becoming the first American not of the Mercury Seven to fly in space. He thereafter flew in Gemini 10 (1966) with Michael Collins and as command module pilot of Apollo 10 (1969). With Apollo 16, he became the second American, after Jim Lovell, to fly in space four times.
Thomas Kenneth "Ken" Mattingly, the command module pilot, was 36 years old and a lieutenant commander in the Navy at the time of Apollo 16. Mattingly had been selected in NASA's fifth group of astronauts in 1966. He was a member of the support crew for Apollo 8 and Apollo 9. Mattingly then undertook parallel training with Apollo 11's backup CMP, William Anders, who had announced his resignation from NASA effective at the end of July 1969 and would thus be unavailable if the first lunar landing mission was postponed. Had Anders left NASA before Apollo 11 flew, Mattingly would have taken his place on the backup crew.
Mattingly had originally been assigned to the prime crew of Apollo 13, but was exposed to rubella through Charles Duke, at that time with Young on Apollo 13's backup crew; Duke had caught it from one of his children. Mattingly never contracted the illness, but three days before launch was removed from the crew and replaced by his backup, Jack Swigert. Duke, also a Group 5 astronaut and a space rookie, had served on the support crew of Apollo 10 and was a capsule communicator (CAPCOM) for Apollo 11. A lieutenant colonel in the Air Force, Duke was 36 years old at the time of Apollo 16, which made him the youngest of the twelve astronauts who walked on the Moon during Apollo as of the time of the mission. All three men were announced as the prime crew of Apollo 16 on March 3, 1971.
Apollo 16's backup crew consisted of Fred W. Haise Jr. (commander, who had flown on Apollo 13), Stuart A. Roosa (CMP, who had flown on Apollo 14) and Edgar D. Mitchell (LMP, also Apollo 14). Although not officially announced, Director of Flight Crew Operations Deke Slayton, the astronauts' supervisor, had originally planned to have a backup crew of Haise as commander, William R. Pogue (CMP) and Gerald P. Carr (LMP), who were targeted for the prime crew assignment on Apollo 19. However, after the cancellations of Apollos 18 and 19 were announced in September 1970, it made more sense to use astronauts who had already flown lunar missions as backups, rather than training others on what would likely be a dead-end assignment. Subsequently, Roosa and Mitchell were assigned to the backup crew, while Pogue and Carr were reassigned to the Skylab program where they flew on Skylab 4.
For projects Mercury and Gemini, a prime and a backup crew had been designated, but for Apollo, a third group of astronauts, known as the support crew, was also designated. Slayton created the support crews early in the Apollo Program on the advice of Apollo crew commander James McDivitt, who would lead Apollo 9. McDivitt believed that, with preparation going on in facilities across the U.S., meetings that needed a member of the flight crew would be missed. Support crew members were to assist as directed by the mission commander. Usually low in seniority, they assembled the mission's rules, flight plan, and checklists, and kept them updated. For Apollo 16, they were: Anthony W. England, Karl G. Henize, Henry W. Hartsfield Jr., Robert F. Overmyer and Donald H. Peterson.
Flight directors were Pete Frank and Philip Shaffer, first shift, Gene Kranz and Donald R. Puddy, second shift, and Gerry Griffin, Neil B. Hutchinson and Charles R. Lewis, third shift. Flight directors during Apollo had a one-sentence job description: "The flight director may take any actions necessary for crew safety and mission success." CAPCOMs were Haise, Roosa, Mitchell, James B. Irwin, England, Peterson, Hartsfield, and C. Gordon Fullerton.
Mission insignia and call signs
The insignia of Apollo 16 is dominated by a rendering of an American eagle and a red, white and blue shield, representing the people of the United States, over a gray background representing the lunar surface. Overlaying the shield is a gold NASA vector, orbiting the Moon. On its gold-outlined blue border, there are 16 stars, representing the mission number, and the names of the crew members: Young, Mattingly, Duke. The insignia was designed from ideas originally submitted by the crew of the mission, by Barbara Matelski of the graphics shop at the Manned Spacecraft Center in Houston.
Young and Duke chose "Orion" for the lunar module's call sign, while Mattingly chose "Casper" for the command and service module. According to Duke, he and Young chose "Orion" for the LM because they wanted something connected with the stars. Orion is one of the brightest constellations as seen from Earth, and one visible to the astronauts throughout their journey. Duke also stated, "it is a prominent constellation and easy to pronounce and transmit to Mission Control". Mattingly said he chose "Casper", evoking Casper the Friendly Ghost, because "there are enough serious things in this flight, so I picked a non-serious name."
Planning and training
Landing site selection
Apollo 16 was the second of Apollo's J missions, featuring the use of the Lunar Roving Vehicle, increased scientific capability, and three-day lunar surface stays. As Apollo 16 was the penultimate mission in the Apollo program and there was no major new hardware or procedures to test on the lunar surface, the last two missions (the other being Apollo 17) presented opportunities for astronauts to clear up some of the uncertainties in understanding the Moon's characteristics. Scientists sought information on the Moon's early history, which might be obtained from its ancient surface features, the lunar highlands. Previous Apollo expeditions, including Apollo 14 and Apollo 15, had obtained samples of pre-mare lunar material, likely thrown from the highlands by meteorite impacts. These were dated from before lava began to upwell from the Moon's interior and flood the low areas and basins. Nevertheless, no Apollo mission had actually visited the lunar highlands.
Apollo 14 had visited and sampled a ridge of material ejected by the impact that created the Mare Imbrium impact basin. Likewise, Apollo 15 had also sampled material in the region of Imbrium, visiting the basin's edge. Because the Apollo 14 and Apollo 15 landing sites were closely associated with the Imbrium basin, there was still the chance that different geologic processes were prevalent in areas of the lunar highlands far from Mare Imbrium. Scientist Dan Milton, studying photographs of the highlands from Lunar Orbiter photographs, saw an area in the Descartes region of the Moon with unusually high albedo that he theorized might be due to volcanic rock; his theory quickly gained wide support. Several members of the scientific community noted that the central lunar highlands resembled regions on Earth that were created by volcanism processes and hypothesized the same might be true on the Moon. They hoped scientific output from the Apollo 16 mission would provide an answer. Some scientists advocated for a landing near the large crater, Tycho, but its distance from the lunar equator and the fact that the lunar module would have to approach over very rough terrain ruled it out.
The Ad Hoc Apollo Site Evaluation Committee met in April and May 1971 to decide the Apollo 16 and 17 landing sites; it was chaired by Noel Hinners of Bellcomm. There was consensus the final landing sites should be in the lunar highlands, and among the sites considered for Apollo 16 were the Descartes Highlands region west of Mare Nectaris and the crater Alphonsus. The considerable distance between the Descartes site and previous Apollo landing sites would also be beneficial for the network of seismometers, deployed on each landing mission beginning with Apollo 12.
At Alphonsus, three scientific objectives were determined to be of primary interest and paramount importance: the possibility of old, pre-Imbrium impact material from within the crater's wall, the composition of the crater's interior and the possibility of past volcanic activity on the floor of the crater at several smaller "dark halo" craters. Geologists feared, however, that samples obtained from the crater might have been contaminated by the Imbrium impact, thus preventing Apollo 16 from obtaining samples of pre-Imbrium material. There also remained the distinct possibility that this objective would have already been satisfied by the Apollo 14 and Apollo 15 missions, as the Apollo 14 samples had not yet been completely analyzed and samples from Apollo 15 had not yet been obtained.
On June 3, 1971, the site selection committee decided to target the Apollo 16 mission for the Descartes site. Following the decision, the Alphonsus site was considered the most likely candidate for Apollo 17, but was eventually rejected. With the assistance of orbital photography obtained on the Apollo 14 mission, the Descartes site was determined to be safe enough for a crewed landing. The specific landing site was between two young impact craters, North Ray and South Ray craters – in diameter, respectively – which provided "natural drill holes" which penetrated through the lunar regolith at the site, thus leaving exposed bedrock that could be sampled by the crew.
After the selection, mission planners made the Descartes and Cayley formations, two geologic units of the lunar highlands, the primary sampling interest of the mission. It was these formations that the scientific community widely suspected were formed by lunar volcanism, but this hypothesis was proven incorrect by the composition of lunar samples from the mission.
Training
In addition to the usual Apollo spacecraft training, Young and Duke, along with backup commander Fred Haise, underwent an extensive geological training program that included several field trips to introduce them to concepts and techniques they would use in analyzing features and collecting samples on the lunar surface. During these trips, they visited and provided scientific descriptions of geologic features they were likely to encounter. The backup LMP, Mitchell, was unavailable during the early part of the training, occupied with tasks relating to Apollo 14, but by September 1971 had joined the geology field trips. Before that, Tony England (a member of the support crew and the lunar EVA CAPCOM) or one of the geologist trainers would train alongside Haise on geology field trips.
Since Descartes was believed to be volcanic, a good deal of this training was geared towards volcanic rocks and features, but field trips were made to sites featuring other sorts of rock. As Young later commented, the non-volcanic training proved more useful, given that Descartes did not prove to be volcanic. In July 1971, they visited Sudbury, Ontario, Canada, for geology training exercises, the first time U.S. astronauts trained in Canada. The Apollo 14 landing crew had visited a site in West Germany; geologist Don Wilhelms related that unspecified incidents there had caused Slayton to rule out further European training trips. Geologists chose Sudbury because of a wide crater created about 1.8 billion years ago by a large meteorite. The Sudbury Basin shows evidence of shatter cone geology, familiarizing the Apollo crew with geologic evidence of a meteorite impact. During the training exercises the astronauts did not wear space suits, but carried radio equipment to converse with each other and England, practicing procedures they would use on the lunar surface. By the end of the training, the field trips had become major exercises, involving up to eight astronauts and dozens of support personnel, attracting coverage from the media. For the exercise at the Nevada Test Site, where the massive craters left by nuclear explosions simulated the large craters to be found on the Moon, all participants had to have security clearance and a listed next-of-kin, and an overflight by CMP Mattingly required special permission.
In addition to the field geology training, Young and Duke also trained to use their EVA space suits, adapt to the reduced lunar gravity, collect samples, and drive the Lunar Roving Vehicle. The fact that they had been backups for Apollo 13, planned to be a landing mission, meant that they could spend about 40 percent of their time training for their surface operations. They also received survival training and prepared for technical aspects of the mission. The astronauts spent much time studying the lunar samples brought back by earlier missions, learning about the instruments to be carried on the mission, and hearing what the principal investigators in charge of those instruments expected to learn from Apollo 16. This training helped Young and Duke, while on the Moon, quickly realize that the expected volcanic rocks were not there, even though the geologists in Mission Control initially did not believe them. Much of the training—according to Young, 350 hours—was conducted with the crew wearing space suits, something that Young deemed vital, allowing the astronauts to know the limitations of the equipment in doing their assigned tasks. Mattingly also received training in recognizing geological features from orbit by flying over the field areas in an airplane, and trained to operate the Scientific Instrument Module from lunar orbit.
Equipment
Launch vehicle
The launch vehicle which took Apollo 16 to the Moon was a Saturn V, designated as AS-511. This was the eleventh Saturn V to be flown and the ninth used on crewed missions. Apollo 16's Saturn V was almost identical to Apollo 15's. One change that was made was the restoration of four retrorockets to the S-IC first stage, meaning there would be a total of eight, as on Apollo 14 and earlier. The retrorockets were used to minimize the risk of collision between the jettisoned first stage and the Saturn V. These four retrorockets had been omitted from Apollo 15's Saturn V to save weight, but analysis of Apollo 15's flight showed that the S-IC came closer than expected after jettison, and it was feared that if there were only four rockets and one failed, there might be a collision.
ALSEP and other surface equipment
As on all lunar landing missions after Apollo 11, an Apollo Lunar Surface Experiments Package (ALSEP) was flown on Apollo 16. This was a suite of nuclear-powered experiments designed to keep functioning after the astronauts who set them up returned to Earth. Apollo 16's ALSEP consisted of a Passive Seismic Experiment (PSE, a seismometer), an Active Seismic Experiment (ASE), a Lunar Heat Flow Experiment (HFE), and a Lunar Surface Magnetometer (LSM). The ALSEP was powered by a SNAP-27 radioisotope thermoelectric generator, developed by the Atomic Energy Commission.
The PSE added to the network of seismometers left by Apollo 12, 14 and 15. NASA intended to calibrate the Apollo 16 PSE by crashing the LM's ascent stage near it after the astronauts were done with it, an object of known mass and velocity impacting at a known location. However, NASA lost control of the ascent stage after jettison, and this did not occur. The ASE, designed to return data about the Moon's geologic structure, consisted of two groups of explosives: one, a line of "thumpers" were to be deployed attached to three geophones. The thumpers would be exploded during the ALSEP deployment. A second group was four mortars of different sizes, to be set off remotely once the astronauts had returned to Earth. Apollo 14 had also carried an ASE, though its mortars were never set off for fear of affecting other experiments.
The HFE involved the drilling of two holes into the lunar surface and emplacement of thermometers which would measure how much heat was flowing from the lunar interior. This was the third attempt to emplace a HFE: the first flew on Apollo 13 and never reached the lunar surface, while on Apollo 15, problems with the drill meant the probes did not go as deep as planned. The Apollo 16 attempt would fail after Duke had successfully emplaced the first probe; Young, unable to see his feet in the bulky spacesuit, pulled out and severed the cable after it wrapped around his leg. NASA managers vetoed a repair attempt due to the amount of time it would take. A HFE flew, and was successfully deployed, on Apollo 17.
The LSM was designed to measure the strength of the Moon's magnetic field, which is only a small fraction of Earth's. Additional data would be returned by the use of the Lunar Portable Magnetometer (LPM), to be carried on the lunar rover and activated at several geology stops. Scientists also hoped to learn from an Apollo 12 sample, to be briefly returned to the Moon on Apollo 16, from which "soft" magnetism had been removed, to see if it had been restored on its journey. Measurements after the mission found that "soft" magnetism had returned to the sample, although at a lower intensity than before.
A Far Ultraviolet Camera/Spectrograph (UVC) was flown, the first astronomical observations taken from the Moon, seeking data on hydrogen sources in space without the masking effect of the Earth's corona. The instrument was placed in the LM's shadow and pointed at nebulae, other astronomical objects, the Earth itself, and any suspected volcanic vents seen on the lunar surface. The film was returned to Earth. When asked to summarize the results for a general audience, Dr. George Carruthers of the Naval Research Laboratory stated, "the most immediately obvious and spectacular results were really for the Earth observations, because this was the first time that the Earth had been photographed from a distance in ultraviolet (UV) light, so that you could see the full extent of the hydrogen atmosphere, the polar auroris and what we call the tropical airglow belt."
Four panels mounted on the LM's descent stage comprised the Cosmic Ray Detector, designed to record cosmic ray and solar wind particles. Three of the panels were left uncovered during the voyage to the Moon, with the fourth uncovered by the crew early in the EVA. The panels would be bagged for return to Earth. The free-standing Solar Wind Composition Experiment flew on Apollo 16, as it had on each of the lunar landings, for deployment on the lunar surface and return to Earth. Platinum foil was added to the aluminum of the previous experiments, to minimize contamination.
Particles and Fields Subsatellite PFS-2
The Apollo 16 Particles and Fields Subsatellite (PFS-2) was a small satellite released into lunar orbit from the service module. Its principal objective was to measure charged particles and magnetic fields all around the Moon as the Moon orbited Earth, similar to its sister spacecraft, PFS-1, released eight months earlier by Apollo 15. The two probes were intended to have similar orbits, ranging from above the lunar surface.
Like the Apollo 15 subsatellite, PFS-2 was expected to have a lifetime of at least a year before its orbit decayed and it crashed onto the lunar surface. The decision to bring Apollo 16 home early after there were difficulties with the main engine meant that the spacecraft did not go to the orbit which had been planned for PFS-2. Instead, it was ejected into a lower-than-planned orbit and crashed into the Moon a month later on May 29, 1972, after circling the Moon 424 times. This brief lifetime was because lunar mascons were near to its orbital ground track and helped pull PFS-2 into the Moon.
Mission events
Elements of the spacecraft and launch vehicle began arriving at Kennedy Space Center in July 1970, and all had arrived by September 1971. Apollo 16 was originally scheduled to launch on March 17, 1972. One of the bladders for the CM's reaction control system burst during testing. This issue, in combination with concerns that one of the explosive cords that would jettison the LM from the CSM after the astronauts returned from the lunar surface would not work properly, and a problem with Duke's spacesuit, made it desirable to slip the launch to the next launch window. Thus, Apollo 16 was postponed to April 16. The launch vehicle stack, which had been rolled out from the Vehicle Assembly Building on December 13, 1971, was returned thereto on January 27, 1972. It was rolled out again to Launch Complex 39A on February 9.
The official mission countdown began on Monday, April 10, 1972, at 8:30 am, six days before the launch. At this point the SaturnV rocket's three stages were powered up, and drinking water was pumped into the spacecraft. As the countdown began, the crew of Apollo 16 was participating in final training exercises in anticipation of a launch on April 16. The astronauts underwent their final preflight physical examination on April 11. The only holds in the countdown were the ones pre-planned in the schedule, and the weather was fair as the time for launch approached.
Launch and outward journey
The Apollo 16 mission launched from the Kennedy Space Center in Florida at 12:54 pm EST on April 16, 1972. The launch was nominal; the crew experienced vibration similar to that on previous missions. The first and second stages of the SaturnV (the S-IC and S-II) performed nominally; the spacecraft entered orbit around Earth just under 12 minutes after lift-off.
After reaching orbit, the crew spent time adapting to the zero-gravity environment and preparing the spacecraft for trans-lunar injection (TLI), the burn of the third-stage rocket that would propel them to the Moon. In Earth orbit, the crew faced minor technical issues, including a potential problem with the environmental control system and the S-IVB third stage's attitude control system, but eventually resolved or compensated for them as they prepared to depart towards the Moon.
After two orbits, the rocket's third stage reignited for just over five minutes, propelling the craft towards the Moon at about . Six minutes after the burn of the S-IVB, the command and service modules (CSM), containing the crew, separated from the rocket and traveled away from it before turning around and retrieving the lunar module from inside the expended rocket stage. The maneuver, performed by Mattingly and known as transposition, docking, and extraction, went smoothly.
Following transposition and docking, the crew noticed the exterior surface of the lunar module was giving off particles from a spot where the LM's skin appeared torn or shredded; at one point, Duke estimated they were seeing about five to ten particles per second. Young and Duke entered the lunar module through the docking tunnel connecting it with the command module to inspect its systems, at which time they did not spot any major issues.
Once on course towards the Moon, the crew put the spacecraft into a rotisserie "barbecue" mode in which the craft rotated along its long axis three times per hour to ensure even heat distribution about the spacecraft from the Sun. After further preparing the craft for the voyage, the crew began the first sleep period of the mission just under 15 hours after launch.
By the time Mission Control issued the wake-up call to the crew for flight day two, the spacecraft was about away from the Earth, traveling at about . As it was not due to arrive in lunar orbit until flight day four, flight days two and three were largely preparatory, consisting of spacecraft maintenance and scientific research. On day two, the crew performed an electrophoresis experiment, also performed on Apollo 14, in which they attempted to demonstrate that electrophoretic separation in their near-weightless environment could be used to produce substances of greater purity than would be possible on Earth. Using two different sizes of polystyrene particles, one size colored red and one blue, separation of the two types via electrophoresis was achieved, though electro-osmosis in the experiment equipment prevented the clear separation of two particle bands.
The remainder of day two included a two-second mid-course correction burn performed by the CSM's service propulsion system (SPS) engine to tweak the spacecraft's trajectory. Later in the day, the astronauts entered the lunar module for the second time to further inspect the landing craft's systems. The crew reported they had observed additional paint peeling from a portion of the LM's outer aluminum skin. Despite this, the crew discovered that the spacecraft's systems were performing nominally. Following the LM inspection, the crew reviewed checklists and procedures for the following days in anticipation of their arrival and the Lunar Orbit Insertion (LOI) burn. Command Module Pilot Mattingly reported "gimbal lock", meaning that the system to keep track of the craft's attitude was no longer accurate. Mattingly had to realign the guidance system using the Sun and Moon. At the end of day two, Apollo 16 was about away from Earth.
When the astronauts were awakened for flight day three, the spacecraft was about away from the Earth. The velocity of the craft steadily decreased, as it had not yet reached the lunar sphere of gravitational influence. The early part of day three was largely housekeeping, spacecraft maintenance and exchanging status reports with Mission Control in Houston. The crew performed the Apollo light flash experiment, or ALFMED, to investigate "light flashes" that were seen by Apollo lunar astronauts when the spacecraft was dark, regardless of whether their eyes were open. This was thought to be caused by the penetration of the eye by cosmic ray particles. During the second half of the day, Young and Duke again entered the lunar module to power it up and check its systems, and perform housekeeping tasks in preparation for the lunar landing. The systems were found to be functioning as expected. Following this, the crew donned their space suits and rehearsed procedures that would be used on landing day. Just before the end of flight day three at 59 hours, 19 minutes, 45 seconds after liftoff, while from the Earth and from the Moon, the spacecraft's velocity began increasing as it accelerated towards the Moon after entering the lunar sphere of influence.
After waking up on flight day four, the crew began preparations for the LOI maneuver that would brake them into orbit. At an altitude of the scientific instrument module (SIM) bay cover was jettisoned. At just over 74 hours into the mission, the spacecraft passed behind the Moon, temporarily losing contact with Mission Control. While over the far side, the SPS burned for 6minutes and 15 seconds, braking the spacecraft into an orbit with a low point (pericynthion) of 58.3 and a high point (apocynthion) of 170.4 nautical miles (108.0 and 315.6 km, respectively). After entering lunar orbit, the crew began preparations for the Descent Orbit Insertion (DOI) maneuver to further modify the spacecraft's orbital trajectory. The maneuver was successful, decreasing the craft's pericynthion to . The remainder of flight day four was spent making observations and preparing for activation of the lunar module, undocking, and landing the following day.
Lunar surface
The crew continued preparing for lunar module activation and undocking shortly after waking up to begin flight day five. The boom that extended the mass spectrometer in the SIM bay was stuck, semi-deployed. It was decided that Young and Duke would visually inspect the boom after undocking the LM from the CSM. They entered the LM for activation and checkout of the spacecraft's systems. Despite entering the LM 40 minutes ahead of schedule, they completed preparations only 10 minutes early due to numerous delays in the process. With the preparations finished, they undocked 96 hours, 13 minutes, 31 seconds into the mission.
For the rest of the two crafts' passes over the near side of the Moon, Mattingly prepared to shift Casper to a higher, near-circular orbit, while Young and Duke prepared Orion for the descent to the lunar surface. At this point, during tests of the CSM's steerable rocket engine in preparation for the burn to modify the craft's orbit, Mattingly detected oscillations in the SPS engine's backup gimbal system. According to mission rules, under such circumstances, Orion was to re-dock with Casper, in case Mission Control decided to abort the landing and use the lunar module's engines for the return trip to Earth. Instead, the two craft kept station, maintaining positions close to each other. After several hours of analysis, mission controllers determined that the malfunction could be worked around, and Young and Duke could proceed with the landing.
Powered descent to the lunar surface began about six hours behind schedule. Because of the delay, Young and Duke began their descent to the surface at an altitude higher than that of any previous mission, at . After descending to an altitude of about , Young was able to view the landing site in its entirety. Throttle-down of the LM's landing engine occurred on time, and the spacecraft tilted forward to its landing orientation at an altitude of . The LM landed north and west of the planned landing site at 104 hours, 29 minutes, and 35 seconds into the mission, at 2:23:35 UTC on April 21 (8:23:35 pm on April 20 in Houston). The availability of the Lunar Roving Vehicle rendered their distance from the targeted point trivial.
After landing, Young and Duke began powering down some of the LM's systems to conserve battery power. Upon completing their initial procedures, the pair configured Orion for their three-day stay on the lunar surface, removed their space suits and took initial geological observations of the immediate landing site. They then settled down for their first meal on the surface. After eating, they configured the cabin for sleep. The landing delay caused by the malfunction in the CSM's main engine necessitated significant modifications to the mission schedule. Apollo 16 would spend one less day in lunar orbit after surface exploration had been completed to afford the crew ample margins in the event of further problems. In order to improve Young's and Duke's sleep schedule, the third and final moonwalk of the mission was trimmed from seven hours to five.
First moonwalk
After waking up on April 21, Young and Duke ate breakfast and began preparations for the first extravehicular activity (EVA), or moonwalk. After the pair donned and pressurized their space suits and depressurized the lunar module cabin, Young climbed out onto the "porch" of the LM, a small platform above the ladder. Duke handed Young a jettison bag full of trash to dispose of on the surface. Young then lowered the equipment transfer bag (ETB), containing equipment for use during the EVA, to the surface. Young descended the ladder and, upon setting foot on the lunar surface, became the ninth human to walk on the Moon. Upon stepping onto the surface, Young expressed his sentiments about being there: "There you are: Mysterious and unknown Descartes. Highland plains. Apollo 16 is gonna change your image. I'm sure glad they got ol' Brer Rabbit, here, back in the briar patch where he belongs." Duke soon descended the ladder and joined Young on the surface, becoming the tenth person to walk on the Moon. Duke was then aged 36; no younger human has ever walked on the lunar surface. Duke expressed his excitement, stating to CAPCOM Anthony England: "Fantastic! Oh, that first foot on the lunar surface is super, Tony!" The pair's first task of the moonwalk was to offload the Lunar Roving Vehicle, the Far Ultraviolet Camera/Spectrograph, and other equipment. This was done without problems. On first driving the lunar rover, Young discovered that the rear steering was not working. He alerted Mission Control to the problem before setting up the television camera, after which Duke erected the United States flag. During lunar surface operations, Commander Young always drove the rover, while Lunar Module Pilot Duke assisted with navigation; this was a division of responsibilities used consistently throughout Apollo's J missions.
The day's next task was to deploy the ALSEP; while they were parking the lunar rover, on which the TV camera was mounted, to observe the deployment, the rear steering began functioning. After ALSEP deployment, they collected samples in the vicinity. About four hours after the beginning of EVA-1, they mounted the lunar rover and drove to the first geologic stop, Plum Crater, a crater on the rim of Flag Crater, about across. There, at a distance of from the LM, they sampled material in the vicinity, which scientists believed had penetrated through the upper regolith layer to the underlying Cayley Formation. It was there that Duke retrieved, at the request of Mission Control, the largest rock returned by an Apollo mission, a breccia nicknamed Big Muley after mission geology principal investigator William R. Muehlberger. The next stop of the day was Buster Crater, a small crater located north of the larger Spook Crater, about from the LM. There, Duke took pictures of Stone Mountain and South Ray Crater, while Young deployed the LPM. By this point, scientists were beginning to reconsider their pre-mission hypothesis that Descartes had been the setting of ancient volcanic activity, as the two astronauts had yet to find any volcanic material. Following their stop at Buster, Young did a "Grand Prix" demonstration drive of the lunar rover, which Duke filmed with a 16 mm movie camera. This had been attempted on Apollo 15, but the camera had malfunctioned. After completing more tasks at the ALSEP, they returned to the LM to close out the moonwalk. They reentered the LM 7hours, 6minutes, and 56 seconds after the start of the EVA. Once inside, they pressurized the LM cabin, went through a half-hour debriefing with scientists in Mission Control, and configured the cabin for the sleep period.
Second moonwalk
Waking up three and a half minutes earlier than planned, they discussed the day's timeline of events with Houston. The second lunar excursion's primary objective was to visit Stone Mountain to climb up the slope of about 20 degrees to reach a cluster of five craters known as "Cinco craters". They drove there in the LRV, traveling from the LM. At above the valley floor, the pair were at the highest elevation above the LM of any Apollo mission. They marveled at the view (including South Ray) from the side of Stone Mountain, which Duke described as "spectacular", then gathered samples in the vicinity. After spending 54 minutes on the slope, they climbed aboard the lunar rover en route to the day's second stop, dubbed Station 5, a crater across. There, they hoped to find Descartes material that had not been contaminated by ejecta from South Ray Crater, a large crater south of the landing site. The samples they collected there, despite still uncertain origin, are according to geologist Wilhelms, "a reasonable bet to be Descartes".
The next stop, Station 6, was a blocky crater, where the astronauts believed they could sample the Cayley Formation as evidenced by the firmer soil found there. Bypassing station seven to save time, they arrived at Station 8 on the lower flank of Stone Mountain, where they sampled material on a ray from South Ray crater for about an hour. There, they collected black and white breccias and smaller, crystalline rocks rich in plagioclase. At Station 9, an area known as the "Vacant Lot", which was believed to be free of ejecta from South Ray, they spent about 40 minutes gathering samples. Twenty-five minutes after departing the Vacant Lot, they arrived at the final stop of the day, halfway between the ALSEP site and the LM. There, they dug a double core and conducted several penetrometer tests along a line stretching east of the ALSEP. At the request of Young and Duke, the moonwalk was extended by ten minutes. After returning to the LM to wrap up the second lunar excursion, they climbed back inside the landing craft's cabin, sealing and pressurizing the interior after 7hours, 23 minutes, and 26 seconds of EVA time, breaking a record that had been set on Apollo 15. After eating a meal and proceeding with a debriefing on the day's activities with Mission Control, they reconfigured the LM cabin and prepared for the sleep period.
Third moonwalk
Flight day seven was their third and final day on the lunar surface, returning to orbit to rejoin Mattingly in the CSM following the day's moonwalk. During the third and final lunar excursion, they were to explore North Ray crater, the largest of any of the craters any Apollo expedition had visited. After exiting Orion, the pair drove to North Ray crater. The drive was smoother than that of the previous day, as the craters were shallower and boulders were less abundant north of the immediate landing site. After passing Palmetto crater, boulders gradually became larger and more abundant as they approached North Ray in the lunar rover. Upon arriving at the rim of North Ray crater, they were away from the LM. After their arrival, the duo took photographs of the wide and deep crater. They visited a large boulder, taller than a four-story building, which became known as 'House Rock'. Samples obtained from this boulder delivered the final blow to the pre-mission volcanic hypothesis, proving it incorrect. House Rock had numerous bullet hole-like marks where micrometeoroids from space had impacted the rock.
About 1hour and 22 minutes after arriving at the North Ray crater, they departed for Station 13, a large boulder field about from North Ray. On the way, they set a lunar speed record, traveling at an estimated downhill. They arrived at a high boulder, which they called "Shadow Rock". Here, they sampled permanently shadowed soil. During this time, Mattingly was preparing the CSM in anticipation of their return approximately six hours later. After three hours and six minutes, they returned to the LM, where they completed several experiments and unloaded the rover. A short distance from the LM, Duke placed a photograph of his family and an Air Force commemorative medallion on the surface. Young drove the rover to a point about east of the LM, known as the 'VIP site,' so its television camera, controlled remotely by Mission Control, could observe Apollo 16's liftoff from the Moon. They then reentered the LM after a 5-hour and 40-minute final excursion. After pressurizing the LM cabin, the crew began preparing to return to lunar orbit.
Solo activities
After Orion was cleared for the landing attempt, Casper maneuvered away, and Mattingly performed a burn that took his spacecraft to an orbit of in preparation for his scientific work. The SM carried a suite of scientific instruments in its SIM bay, similar to those carried on Apollo 15. Mattingly had compiled a busy schedule operating the various SIM bay instruments, one that became even busier once Houston decided to bring Apollo 16 home a day early, as the flight directors sought to make up for lost time.
His work was hampered by various malfunctions: when the Panoramic Camera was turned on, it appeared to take so much power from one of the CSM's electrical systems, that it initiated the spacecraft Master Alarm. It was immediately shut off, though later analysis indicated that the drain might have been from the spacecraft's heaters, which came on at the same time. Its work was also hampered by the delay in the beginning of Casper'''s orbital scientific work and the early return to Earth, and by a malfunction resulting in the overexposure of many of the photographs. Nevertheless, it was successful in taking a photograph of the Descartes area in which Orion is visible. The Mass Spectrometer boom did not fully retract following its initial extension, as had happened on Apollo 15, though it retracted far enough to allow the SPS engine to be fired safely when Casper maneuvered away from Orion before the LM began its Moon landing attempt. Although the Mass Spectrometer was able to operate effectively, it stuck near its fully deployed position prior to the burn that preceded rendezvous, and had to be jettisoned. Scientists had hoped to supplement the lunar data gained with more on the trans-earth coast, but Apollo 15 data could be used instead. The Mapping Camera also did not function perfectly; later analysis found it to have problems with its glare shield. The changes to the flight plan meant that some areas of the lunar surface that were supposed to be photographed could not be; also, a number of images were overexposed. The Laser Altimeter, designed to accurately measure the spacecraft altitude, slowly lost accuracy due to reduced power, and finally failed just before it was due to be used for the last time.
Return to Earth
Eight minutes before the planned departure from the lunar surface, CAPCOM James Irwin notified Young and Duke from Mission Control that they were go for liftoff. Two minutes before launch, they activated the "Master Arm" switch and then the "Abort Stage" button, causing small explosive charges to sever the ascent stage from the descent stage, with cables connecting the two severed by a guillotine-like mechanism. At the pre-programmed moment, there was liftoff and the ascent stage blasted away from the Moon, as the camera aboard the LRV followed the first moments of the flight. Six minutes after liftoff, at a speed of about , Young and Duke reached lunar orbit. Young and Duke successfully rendezvoused and re-docked with Mattingly in the CSM. To minimize the transfer of lunar dust from the LM cabin into the CSM, Young and Duke cleaned the cabin before opening the hatch separating the two spacecraft. After opening the hatch and reuniting with Mattingly, the crew transferred the samples Young and Duke had collected on the surface into the CSM for transfer to Earth. After transfers were completed, the crew would sleep before jettisoning the empty lunar module ascent stage the next day, when it was to be crashed intentionally into the lunar surface in order to calibrate the seismometer Young and Duke had left on the surface.
The next day, after final checks were completed, the expended LM ascent stage was jettisoned. Likely because of a failure by the crew to activate a certain switch in the LM before sealing it off, it tumbled after separation. NASA could not control it, and it did not execute the rocket burn necessary for the craft's intentional de-orbit. The ascent stage eventually crashed into the lunar surface nearly a year after the mission. The crew's next task, after jettisoning the lunar module ascent stage, was to release a subsatellite into lunar orbit from the CSM's scientific instrument bay. The burn to alter the CSM's orbit to that desired for the subsatellite had been cancelled; as a result, the subsatellite lasted just over a month in orbit, far less than its anticipated one year. Just under five hours after the subsatellite release, on the CSM's 65th orbit around the Moon, its service propulsion system main engine was reignited to propel the craft on a trajectory that would return it to Earth. The SPS engine performed the burn flawlessly despite the malfunction that had delayed their landing several days previously.
During the return to Earth, Mattingly performed an 83-minute EVA to retrieve film cassettes from the cameras in the SIM bay, with assistance from Duke who remained at the command module's hatch. At approximately from Earth, it was the second "deep space" EVA in history, performed at great distance from any planetary body. , it remains one of only three such EVAs, all performed during Apollo's J-missions under similar circumstances. During the EVA, Mattingly set up a biological experiment, the Microbial Ecology Evaluation Device (MEED), an experiment unique to Apollo 16, to evaluate the response of microbes to the space environment. The crew carried out various housekeeping and maintenance tasks aboard the spacecraft and ate a meal before concluding the day.
The penultimate day of the flight was largely spent performing experiments, aside from a twenty-minute press conference during the second half of the day. During the press conference, the astronauts answered questions pertaining to several technical and non-technical aspects of the mission prepared and listed by priority at the Manned Spacecraft Center in Houston by journalists covering the flight. In addition to numerous housekeeping tasks, the astronauts prepared the spacecraft for its atmospheric reentry the next day. At the end of the crew's final full day in space, the spacecraft was approximately from Earth and closing at a rate of about .
When the wake-up call was issued to the crew for their final day in space by CAPCOM England, the CSM was about from Earth, traveling just over . Just over three hours before splashdown in the Pacific Ocean, the crew performed a final course correction burn, using the spacecraft's thrusters to change their velocity by . Approximately ten minutes before reentry into Earth's atmosphere, the cone-shaped command module containing the three crewmembers separated from the service module, which would burn up during reentry. At 265 hours and 37 minutes into the mission, at a velocity of about , Apollo 16 began atmospheric reentry. At its maximum, the temperature of the heat shield was between . After successful parachute deployment and less than 14 minutes after reentry began, the command module splashed down in the Pacific Ocean southeast of the island of Kiritimati 265 hours, 51 minutes, 5seconds after liftoff. The spacecraft and its crew was retrieved by the aircraft carrier . The astronauts were safely aboard the Ticonderoga 37 minutes after splashdown.
Scientific results and aftermath
Scientific analysis of the rocks brought back to Earth confirmed that the Cayley Formation was not volcanic in nature. There was less certainty regarding the Descartes Formation, as it was not clear which if any of the rocks came from there. There was no evidence that showed that Stone Mountain was volcanic. One reason why Descartes had been selected was that it was visually different from previous Apollo landing sites, but rocks from there proved to be closely related to those from the Fra Mauro Formation, Apollo 14's landing site. Geologists realized that they had been so certain that Cayley was volcanic, they had not been open to dissenting views, and that they had been over-reliant on analogues from Earth, a flawed model because the Moon does not share much of the Earth's geologic history. They concluded that there are few if any volcanic mountains on the Moon. These conclusions were informed by observations from Mattingly, the first CMP to use binoculars in his observations, who had seen that from the perspective of lunar orbit, there was nothing distinctive about the Descartes Formation—it fit right in with the Mare Imbrium structure. Other results gained from Apollo 16 included the discovery of two new auroral belts around Earth.
After the mission, Young and Duke served as backups for Apollo 17, and Duke retired from NASA in December 1975. Young and Mattingly both flew the Space Shuttle: Young, who served as Chief Astronaut from 1974 to 1987, commanded the first Space Shuttle mission, STS-1 in 1981, as well as STS-9 in 1983, on the latter mission becoming the first person to journey into space six times. He retired from NASA in 2004. Mattingly also twice commanded Shuttle missions, STS-4 (1982) and STS-51-C (1985), before retiring from NASA in 1985.
Locations of spacecraft and other equipment
The Ticonderoga delivered the Apollo 16 command module to the North Island Naval Air Station, near San Diego, California, on Friday, May 5, 1972. On Monday, May 8, ground service equipment being used to empty the residual toxic reaction control system fuel in the command module tanks exploded in a Naval Air Station hangar. Forty-six people were sent to the hospital for 24 to 48 hours' observation, most suffering from inhalation of toxic fumes. Most seriously injured was a technician who suffered a fractured kneecap when a cart overturned on him. A hole was blown in the hangar roof 250 feet above; about 40 windows in the hangar were shattered. The command module suffered a three-inch gash in one panel.
The Apollo 16 command module Casper'' is on display at the U.S. Space & Rocket Center in Huntsville, Alabama, following a transfer of ownership from NASA to the Smithsonian in November 1973. The lunar module ascent stage separated from the CSM on April 24, 1972, but NASA lost control of it. It orbited the Moon for about a year. Its impact site remains unknown, though research published in 2023 suggests an impact date of May 29, 1972 (the same as for the subsattelite) and an impact location of 9.99° N, 104.26° E.
The S-IVB was deliberately crashed into the Moon. However, due to a communication failure before impact the exact location was unknown until January 2016, when it was discovered within Mare Insularum by the Lunar Reconnaissance Orbiter, approximately southwest of Copernicus Crater.
Duke left two items on the Moon, both of which he photographed while there. One is a plastic-encased photo portrait of his family. The reverse of the photo is signed by Duke's family and bears this message: "This is the family of Astronaut Duke from Planet Earth. Landed on the Moon, April 1972." The other item was a commemorative medal issued by the United States Air Force, which was celebrating its 25th anniversary in 1972. He took two medals, leaving one on the Moon and donating the other to the National Museum of the United States Air Force at Wright-Patterson Air Force Base in Ohio.
In 2006, shortly after Hurricane Ernesto affected Bath, North Carolina, eleven-year-old Kevin Schanze discovered a piece of metal debris on the ground near his beach home. Schanze and a friend discovered a "stamp" on the flat metal sheet, which upon further inspection turned out to be a faded copy of the Apollo 16 mission insignia. NASA later confirmed the object to be a piece of the first stage of the SaturnV that had launched Apollo 16 into space. In July 2011, after returning the piece of debris at NASA's request, 16-year-old Schanze was given an all-access tour of the Kennedy Space Center and VIP seating for the launch of STS-135, the final mission of the Space Shuttle program.
See also
List of artificial objects on the Moon
List of spacewalks and moonwalks 1965–1999
References
Bibliography
External links
Apollo 16 Traverses, Lunar Photomap 78D2S2(25)
On the Moon with Apollo 16: A guidebook to the Descartes Region by Gene Simmons, NASA, EP-95, 1972
Apollo 16: "Nothing so hidden..." (Part 1) – NASA film on the Apollo 16 mission at the Internet Archive
Apollo 16: "Nothing so hidden..." (Part 2) – NASA film on the Apollo 16 mission at the Internet Archive
Apollo Lunar Surface VR Panoramas – QTVR panoramas at moonpans.com
Apollo 16 Science Experiments at the Lunar and Planetary Institute
Audio recording of Apollo 16 landing as recorded at the Honeysuckle Creek Tracking Station
Interview with the Apollo 16 Astronauts (28 June 1972) from the Commonwealth Club of California Records at the Hoover Institution Archives
"Apollo 16: Driving on the Moon" – Apollo 16 film footage of lunar rover at the Astronomy Picture of the Day, 29 January 2013
Astronaut's Eye View of Apollo 16 Site, from LROC
Apollo program missions
Crewed missions to the Moon
Charles Duke
Ken Mattingly
John Young (astronaut)
1972 on the Moon
1972 in the United States
April 1972 events
Extravehicular activity
Lunar rovers
Sample return missions
Soft landings on the Moon
Spacecraft launched in 1972
Spacecraft which reentered in 1972
Spacecraft launched by Saturn rockets
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Apollo 17 (December 7–19, 1972) was the eleventh and final mission of NASA's Apollo program, the sixth and most recent time humans have set foot on the Moon or traveled beyond low Earth orbit. Commander Gene Cernan and Lunar Module Pilot Harrison Schmitt walked on the Moon, while Command Module Pilot Ronald Evans orbited above. Schmitt was the only professional geologist to land on the Moon; he was selected in place of Joe Engle, as NASA had been under pressure to send a scientist to the Moon. The mission's heavy emphasis on science meant the inclusion of a number of new experiments, including a biological experiment containing five mice that was carried in the command module.
Mission planners had two primary goals in deciding on the landing site: to sample lunar highland material older than that at Mare Imbrium and to investigate the possibility of relatively recent volcanic activity. They therefore selected Taurus–Littrow, where formations that had been viewed and pictured from orbit were thought to be volcanic in nature. Since all three crew members had backed up previous Apollo lunar missions, they were familiar with the Apollo spacecraft and had more time for geology training.
Launched at 12:33 a.m. Eastern Standard Time (EST) on December 7, 1972, following the only launch-pad delay in the course of the whole Apollo program that was caused by a hardware problem, Apollo 17 was a "J-type" mission that included three days on the lunar surface, expanded scientific capability, and the use of the third Lunar Roving Vehicle (LRV). Cernan and Schmitt landed in the Taurus–Littrow valley, completed three moonwalks, took lunar samples and deployed scientific instruments. Orange soil was discovered at Shorty crater; it proved to be volcanic in origin, although from early in the Moon's history. Evans remained in lunar orbit in the command and service module (CSM), taking scientific measurements and photographs. The spacecraft returned to Earth on December 19.
The mission broke several records for crewed spaceflight, including the longest crewed lunar landing mission (12 days, 14 hours), greatest distance from a spacecraft during an extravehicular activity of any type (7.6 kilometers or 4.7 miles), longest total duration of lunar-surface extravehicular activities (22 hours, 4 minutes), largest lunar-sample return (approximately 115 kg or 254 lb), longest time in lunar orbit (6 days, 4 hours), and greatest number of lunar orbits (75).
Crew and key Mission Control personnel
In 1969, NASA announced that the backup crew of Apollo 14 would be Gene Cernan, Ronald Evans, and former X-15 pilot Joe Engle. This put them in line to be the prime crew of Apollo 17, because the Apollo program's crew rotation generally meant that a backup crew would fly as prime crew three missions later. Harrison Schmitt, who was a professional geologist as well as an astronaut, had served on the backup crew of Apollo 15, and thus, because of the rotation, would have been due to fly as lunar module pilot on Apollo 18.
In September 1970, the plan to launch Apollo 18 was cancelled. The scientific community pressed NASA to assign a geologist, rather than a pilot with non-professional geological training, to an Apollo landing. NASA subsequently assigned Schmitt to Apollo 17 as the lunar module pilot. After that, NASA’s director of flight crew operations, Deke Slayton, was left with the question of who would fill the two other Apollo 17 slots: the rest of the Apollo 15 backup crew (Dick Gordon and Vance Brand), or Cernan and Evans from the Apollo 14 backup crew. Slayton ultimately chose Cernan and Evans. Support at NASA for assigning Cernan was not unanimous. Cernan had crashed a Bell 47G helicopter into the Indian River near Cape Kennedy during a training exercise in January 1971; the accident was later attributed to pilot error, as Cernan had misjudged his altitude before crashing into the water. Jim McDivitt, who was manager of the Apollo Spacecraft Program Office at the time, objected to Cernan's selection because of this accident, but Slayton dismissed the concern. After Cernan was offered command of the mission, he advocated for Engle to fly with him on the mission, but it was made clear to him that Schmitt would be assigned instead, with or without Cernan, so he acquiesced. The prime crew of Apollo 17 was publicly announced on August 13, 1971.
When assigned to Apollo 17, Cernan was a 38-year-old captain in the United States Navy; he had been selected in the third group of astronauts in 1963, and flown as pilot of Gemini 9A in 1966 and as lunar module pilot of Apollo 10 in 1969 before he served on Apollo 14's backup crew. Evans, 39 years old when assigned to Apollo 17, had been selected as part of the fifth group of astronauts in 1966, and had been a lieutenant commander in the United States Navy. Schmitt, a civilian, was 37 years old when assigned Apollo 17, had a doctorate in geology from Harvard University, and had been selected in the fourth group of astronauts in 1965. Both Evans and Schmitt were making their first spaceflights.
For the backup crews of Apollo 16 and 17, the final Apollo lunar missions, NASA selected astronauts who had already flown Apollo lunar missions, to take advantage of their experience, and avoid investing time and money in training rookies who would be unlikely to ever fly an Apollo mission. The original backup crew for Apollo 17, announced at the same time as the prime crew, was the crew of Apollo 15: David Scott as commander, Alfred Worden as CMP and James Irwin as LMP, but in May 1972 they were removed from the backup crew because of their roles in the Apollo 15 postal covers incident. They were replaced with the landing crew of Apollo 16: John W. Young as backup crew commander, Charles Duke as LMP, and Apollo 14's CMP, Stuart Roosa. Originally, Apollo 16's CMP, Ken Mattingly, was to be assigned along with his crewmates, but he declined so he could spend more time with his family, his son having just been born, and instead took an assignment to the Space Shuttle program. Roosa had also served as backup CMP for Apollo 16.
For the Apollo program, in addition to the prime and backup crews that had been used in the Mercury and Gemini programs, NASA assigned a third crew of astronauts, known as the support crew. Their role was to provide any assistance in preparing for the missions that the missions director assigned then. Preparations took place in meetings at facilities across the US and sometimes needed a member of the flight crew to attend them. Because McDivitt was concerned that problems could be created if a prime or backup crew member was unable to attend a meeting, Slayton created the support crews to ensure that someone would be able to attend in their stead. Usually low in seniority, they also assembled the mission's rules, flight plan and checklists, and kept them updated; for Apollo 17, they were Robert F. Overmyer, Robert A. Parker and C. Gordon Fullerton.
Flight directors were Gerry Griffin, first shift, Gene Kranz and Neil B. Hutchinson, second shift, and Pete Frank and Charles R. Lewis, third shift. According to Kranz, flight directors during the program Apollo had a one-sentence job description, "The flight director may take any actions necessary for crew safety and mission success." Capsule communicators (CAPCOMs) were Fullerton, Parker, Young, Duke, Mattingly, Roosa, Alan Shepard and Joseph P. Allen.
Mission insignia and call signs
The insignia's most prominent feature is an image of the Greek sun god Apollo backdropped by a rendering of an American eagle, the red bars on the eagle mirroring those on the U.S. flag. Three white stars above the red bars represent the three crewmembers of the mission. The background includes the Moon, the planet Saturn, and a galaxy or nebula. The wing of the eagle partially overlays the Moon, suggesting humanity's established presence there.
The insignia includes, along with the colors of the U.S. flag (red, white, and blue), the color gold, representative of a "golden age" of spaceflight that was to begin with Apollo 17. The image of Apollo in the mission insignia is a rendering of the Apollo Belvedere sculpture in the Vatican Museums. It looks forward into the future, towards the celestial objects shown in the insignia beyond the Moon. These represent humanity's goals, and the image symbolizes human intelligence, wisdom and ambition. The insignia was designed by artist Robert McCall, based on ideas from the crew.
In deciding the call signs for the command module (CM) and lunar module (LM), the crew wished to pay tribute to the American public for their support of the Apollo program, and to the mission, and wanted names with a tradition within American history. The CM was given the call sign "America". According to Cernan, this evoked the 19th century sailing ships which were given that name, and was a thank-you to the people of the United States. The crew selected the name "Challenger" for the LM in lieu of an alternative, "Heritage". Cernan stated that the selected name "just seemed to describe more of what the future for America really held, and that was a challenge". After Schmitt stepped onto the Moon from Challenger, he stated, "I think the next generation ought to accept this as a challenge. Let's see them leave footprints like these."
Planning and training
Scheduling and landing site selection
Prior to the cancellation of Apollo 18 through 20, Apollo 17 was slated to launch in September 1971 as part of NASA's tentative launch schedule set forth in 1969. The in-flight abort of Apollo 13 and the resulting modifications to the Apollo spacecraft delayed subsequent missions. Following the cancellation of Apollo 20 in early 1970, NASA decided there would be no more than two Apollo missions per year. Part of the reason Apollo 17 was scheduled for December 1972 was to make it fall after the presidential election in November, ensuring that if there was a disaster, it would have no effect on President Richard Nixon's re-election campaign. Nixon had been deeply concerned about the Apollo 13 astronauts, and, fearing another mission in crisis as he ran for re-election, initially decided to omit the funds for Apollo 17 from the budget; he was persuaded to accept a December 1972 date for the mission.
Like Apollo 15 and 16, Apollo 17 was slated to be a "J-mission", an Apollo mission type that featured lunar surface stays of three days, higher scientific capability, and the usage of the Lunar Roving Vehicle. Since Apollo 17 was to be the final lunar landing of the Apollo program, high-priority landing sites that had not been visited previously were given consideration for potential exploration. Some sites were rejected at earlier stages. For instance, a landing in the crater Copernicus was rejected because Apollo 12 had already obtained samples from that impact, and three other Apollo expeditions had already visited the vicinity of Mare Imbrium, near the rim of which Copernicus is located. The lunar highlands near the crater Tycho were rejected because of the rough terrain that the astronauts would encounter there. A site on the lunar far side in the crater Tsiolkovskiy was rejected due to technical considerations and the operational costs of maintaining communication with Earth during surface operations. Lastly, a landing in a region southwest of Mare Crisium was rejected on the grounds that a Soviet spacecraft could easily access the site and retrieve samples; Luna 20 ultimately did so shortly after the Apollo 17 site selection was made. Schmitt advocated for a landing on the far side of the Moon until told by Director of Flight Operations Christopher C. Kraft that it would not happen as NASA lacked the funds for the necessary communications satellites.
The three sites that made the final consideration for Apollo 17 were Alphonsus crater, Gassendi crater, and the Taurus–Littrow valley. In making the final landing site decision, mission planners considered the primary objectives for Apollo 17: obtaining old highlands material a substantial distance from Mare Imbrium, sampling material from young volcanic activity (i.e., less than three billion years), and having minimal ground overlap with the orbital ground tracks of Apollo 15 and Apollo 16 to maximize the amount of new data obtained. A significant reason for the selection of Taurus–Littrow was that Apollo 15's CMP, Al Worden, had overflown the site and observed features he described as likely volcanic in nature.
Gassendi was eliminated because NASA felt that its central peak would be difficult to reach due to the roughness of the local terrain, and, though Alphonsus might be easier operationally than Taurus–Littrow, it was of lesser scientific interest. At Taurus–Littrow, it was believed that the crew would be able to obtain samples of old highland material from the remnants of a landslide event that occurred on the south wall of the valley and the possibility of relatively young, explosive volcanic activity in the area. Although the valley is similar to the landing site of Apollo 15 in that it is on the border of a lunar mare, the advantages of Taurus–Littrow were believed to outweigh the drawbacks. The Apollo Site Selection Board, a committee of NASA personnel and scientists charged with setting out scientific objectives of the Apollo landing missions and selecting landing sites for them, unanimously recommended Taurus–Littrow at its final meeting in February 1972. Upon that recommendation, NASA selected Taurus–Littrow as the landing site for Apollo 17.
Training
As with previous lunar landings, the Apollo 17 astronauts undertook an extensive training program that included learning to collect samples on the surface, usage of the spacesuits, navigation in the Lunar Roving Vehicle, field geology training, survival training, splashdown and recovery training, and equipment training. The geology field trips were conducted as much as possible as if the astronauts were on the Moon: they would be provided with aerial images and maps, and briefed on features of the site and a suggested routing. The following day, they would follow the route, and have tasks and observations to be done at each of the stops.
The geology field trips began with one to Big Bend National Park in Texas in October 1971. The early ones were not specifically tailored to prepare the astronauts for Taurus–Littrow, which was not selected until February 1972, but by June, the astronauts were going on field trips to sites specifically selected to prepare for Apollo 17's landing site. Both Cernan and Schmitt had served on backup crews for Apollo landing missions, and were familiar with many of the procedures. Their trainers, such as Gordon Swann, feared that Cernan would defer to Schmitt as a professional geologist on matters within his field. Cernan also had to adjust for the loss of Engle, with whom he had trained for Apollo 14. In spite of these issues, Cernan and Schmitt worked well together as a team, and Cernan became adept at describing what he was seeing on geology field trips, and working independently of Schmitt when necessary.
The landing crew aimed for a division of labor so that, when they arrived in a new area, Cernan would perform tasks such as adjusting the antenna on the Lunar Roving Vehicle so as to transmit to Earth while Schmitt gave a report on the geological aspects of the site. The scientists in the geology "backroom" relied on Schmitt's reports to adjust the tasks planned for that site, which would be transmitted to the CapCom and then to Cernan and Schmitt. According to William R. Muehlberger, one of the scientists who trained the astronauts, "In effect [Schmitt] was running the mission from the Moon. But we set it up this way. All of those within the geological world certainly knew it, and I had a sneaking hunch that the top brass knew it too, but this is a practical way out, and they didn't object."
Also participating in some of the geology field trips were the commander and lunar module pilot of the backup crew. The initial field trips took place before the Apollo 15 astronauts were assigned as the backup crew for Apollo 17 in February 1972. Either one or both of Scott and Irwin of Apollo 15 took part in four field trips, though both were present together for only two of them. After they were removed from the backup crew, the new backup commander and LMP, Young and Duke, took part in the final four field trips. On field trips, the backup crew would follow half an hour after the prime crew, performing identical tasks, and have their own simulated CapCom and Mission Control guiding them. The Apollo 17 astronauts had fourteen field trips—the Apollo 11 crew had only one.
Evans did not go on the geology field trips, having his own set of trainers—by this time, geology training for the CMP was well-established. He would fly with a NASA geologist/pilot, Dick Laidley, over geologic features, with part of the exercise conducted at , and part at to . The higher altitude was equivalent to what could be seen from the planned lunar orbit of about 60 nmi with binoculars. Evans would be briefed for several hours before each exercise, and given study guides; afterwards, there would be debriefing and evaluation. Evans was trained in lunar geology by Farouk El-Baz late in the training cycle; this continued until close to launch. The CMP was given information regarding the lunar features he would overfly in the CSM and which he was expected to photograph.
Mission hardware and experiments
Spacecraft and launch vehicle
The Apollo 17 spacecraft comprised CSM-114 (consisting of Command Module 114 (CM-114) and Service Module 114 (SM-114)); Lunar Module 12 (LM-12); a Spacecraft-Lunar Module Adapter (SLA) numbered SLA-21; and a Launch Escape System (LES). The LES contained a rocket motor that would propel the CM to safety in the event of an aborted mission in the moments after launch, while the SLA housed the LM during the launch and early part of the flight. The LES was jettisoned after the launch vehicle ascended to the point that it was not needed, while the SLA was left atop the S-IVB third stage of the rocket after the CSM and LM separated from it.
The launch vehicle, SA-512, was one of fifteen Saturn V rockets built, and was the twelfth to fly. With a weight at launch of ( of which was attributable to the spacecraft), Apollo 17's vehicle was slightly lighter than Apollo 16, but heavier than every other crewed Apollo mission.
Preparation and assembly
The first piece of the launch vehicle to arrive at Kennedy Space Center was the S-II second stage, on October 27, 1970; it was followed by the S-IVB on December 21; the S-IC first stage did not arrive until May 11, 1972, followed by the Instrument Unit on June 7. By then, LM-12 had arrived, the ascent stage on June 16, 1971, and the descent stage the following day; they were not mated until May 18, 1972. CM-114, SM-114 and SLA-21 all arrived on March 24, 1972. The rover reached Kennedy Space Center on June 2, 1972.
The CM and the service module (SM) were mated on March 28, 1972, and the testing of the spacecraft began that month. The CSM was placed in a vacuum chamber at Kennedy Space Center, and the testing was conducted under those conditions. The LM was also placed in a vacuum chamber; both the prime and the backup crews participated in testing the CSM and LM. During the testing, it was discovered that the LM's rendezvous radar assembly had received too much voltage during earlier tests; it was replaced by the manufacturer, Grumman. The LM's landing radar also malfunctioned intermittently and was also replaced. The front and rear steering motors of the Lunar Roving Vehicle (LRV) also had to be replaced, and it required several modifications. Following the July 1972 removal from the vacuum chamber, the LM's landing gear was installed, and it, the CSM and the SLA were mated to each other. The combined craft was moved into the Vehicle Assembly Building in August for further testing, after which it was mounted on the launch vehicle. After completing testing, including a simulated mission, the LRV was placed in the LM on August 13.
Erection of the stages of the launch vehicle began on May 15, 1972, in High Bay 3 of the Vehicle Assembly Building, and was completed on June 27. Since the launch vehicles for Skylab 1 and Skylab 2 were being processed in that building at the same time, this marked the first time NASA had three launch vehicles there since the height of the Apollo program in 1969. After the spacecraft was mounted on the launch vehicle on August 24, it was rolled out to Pad 39-A on August 28. Although this was not the final time a Saturn V would fly (another would lift Skylab to orbit), area residents reacted as though it was, and 5,000 of them watched the rollout, during which the prime crew joined the operating crew from Bendix atop the crawler.
At Pad 39-A, testing continued, and the CSM was electrically mated to the launch vehicle on October 11, 1972. Testing concluded with the countdown demonstration tests, accomplished on November 20 and 21. The countdown to launch began at 7:53 a.m. (12:53 UTC) on December 5, 1972.
Lunar surface science
ALSEP
The Apollo Lunar Surface Experiments Package was a suite of nuclear-powered experiments, flown on each landing mission after Apollo 11. This equipment was to be emplaced by the astronauts to continue functioning after the astronauts returned to Earth. For Apollo 17, the ALSEP experiments were a Heat Flow Experiment (HFE), to measure the rate of heat flow from the interior of the Moon, a Lunar Surface Gravimeter (LSG), to measure alterations in the lunar gravity field at the site, a Lunar Atmospheric Composition Experiment (LACE), to investigate what the lunar atmosphere is made up of, a Lunar Seismic Profiling Experiment (LSPE), to detect nearby seismic activity, and a Lunar Ejecta and Meteorites Experiment (LEME), to measure the velocity and energy of dust particles. Of these, only the HFE had been flown before; the others were new.
The HFE had been flown on the aborted Apollo 13 mission, as well as on Apollo 15 and 16, but placed successfully only on Apollo 15, and unexpected results from that device made scientists anxious for a second successful emplacement. It was successfully deployed on Apollo 17. The lunar gravimeter was intended to detect wavers in gravity, which would provide support for Albert Einstein's general theory of relativity; it ultimately failed to function as intended. The LACE was a surface-deployed module that used a mass spectrometer to analyze the Moon's atmosphere. On previous missions, the Code Cathode Gauge experiment had measured the quantity of atmospheric particles, but the LACE determined which gases were present: principally neon, helium and hydrogen. The LSPE was a seismic-detecting device that used geophones, which would detect explosives to be set off by ground command once the astronauts left the Moon. When operating, it could only send useful data to Earth in high bit rate, meaning that no other ALSEP experiment could send data then, and limiting its operating time. It was turned on to detect the liftoff of the ascent stage, as well as use of the explosives packages, and the ascent stage's impact, and thereafter about once a week, as well as for some 100 hour periods. The LEME had a set of detectors to measure the characteristics of the dust particles it sought. It was hoped that the LEME would detect dust impacting the Moon from elsewhere, such as from comets or interstellar space, but analysis showed that it primarily detected dust moving at slow speeds across the lunar surface.
All powered ALSEP experiments that remained active were deactivated on September 30, 1977, principally because of budgetary constraints.
Other lunar-surface science
Like Apollo 15 and 16, Apollo 17 carried a Lunar Roving Vehicle. In addition to being used by the astronauts for transport from station to station on the mission's three moonwalks, the LRV was used to transport the astronauts' tools, communications equipment, and the lunar samples they gathered. The Apollo 17 LRV was also used to carry some of the scientific instruments, such as the Traverse Gravimeter Experiment (TGE) and Surface Electrical Properties (SEP) experiment. The Apollo 17 LRV traveled a cumulative distance of approximately in a total drive time of about four hours and twenty-six minutes; the greatest distance Cernan and Schmitt traveled from the lunar module was about .
This was the only mission to carry the TGE, which was built by Draper Laboratory at the Massachusetts Institute of Technology. As gravimeters had been useful in studying the Earth's internal structure, the objective of this experiment was to do the same on the Moon. The gravimeter was used to obtain relative gravity measurements at the landing site in the immediate vicinity of the lunar module, as well as various locations on the mission's traverse routes. Scientists would then use this data to help determine the geological substructure of the landing site and the surrounding vicinity. Measurements were taken while the TGE was mounted on the LRV, and also while the device was placed on the lunar surface. A total of 26 measurements were taken with the TGE during the mission's three moonwalks, with productive results.
The SEP was also unique to Apollo 17, and included two major components: a transmitting antenna deployed near the lunar module and a receiver mounted on the LRV. At different stops during the mission's traverses, electrical signals traveled from the transmitting device, through the ground, and were received at the LRV. The electrical properties of the lunar regolith could be determined by comparison of the transmitted and received electrical signals. The results of this experiment, which are consistent with lunar rock composition, show that there is almost no water in the area of the Moon in which Apollo 17 landed, to a depth of .
A long, diameter device, the Lunar Neutron Probe was inserted into one of the holes drilled into the surface to collect core samples. It was designed to measure the quantity of neutrons which penetrated to the detectors it bore along its length. This was intended to measure the rate of the "gardening" process on the lunar surface, whereby the regolith on the surface is slowly mixed or buried due to micrometeorites and other events. Placed during the first EVA, it was retrieved during the third and final EVA. The astronauts brought it with them back to Earth, and the measurements from it were compared with the evidence of neutron flux in the core that had been removed from the hole it had been placed in. Results from the probe and from the cores were instrumental in current theories that the top centimeter of lunar regolith turns over every million years, whereas "gardening" to a depth of one meter takes about a billion years.
Orbital science
Biological experiments
Apollo 17's CM carried a biological cosmic ray experiment (BIOCORE), containing five mice that had been implanted with radiation monitors under their scalps to see whether they suffered damage from cosmic rays. These animals were placed in individual metal tubes inside a sealed container that had its own oxygen supply, and flown on the mission. All five were pocket mice (Perognathus longimembris); this species was chosen because it was well-documented, small, easy to maintain in an isolated state (not requiring drinking water during the mission and with highly concentrated waste), and for its ability to withstand environmental stress. Officially, the mice—four male and one female—were assigned the identification numbers A3326, A3400, A3305, A3356 and A3352. Unofficially, according to Cernan, the Apollo 17 crew dubbed them Fe, Fi, Fo, Fum, and Phooey.
Four of the five mice survived the flight, though only two of them appeared healthy and active; the cause of death of the fifth mouse was not determined. Of those that survived, the study found lesions in the scalp itself and, in one case, the liver. The scalp lesions and liver lesions appeared to be unrelated to one another; nothing was found that could be attributed to cosmic rays.
The Biostack experiment was similar to one carried on Apollo 16, and was designed to test the effects of the cosmic rays encountered in space travel on microorganisms that were included, on seeds, and on the eggs of simple animals (brine shrimp and beetles), which were carried in a sealed container. After the mission, the microorganisms and seeds showed little effect, but many of the eggs of all species failed to hatch, or to mature normally; many died or displayed abnormalities.
Scientific Instrument Module
The Apollo 17 SM contained the scientific instrument module (SIM) bay. The SIM bay housed three new experiments for use in lunar orbit: a lunar sounder, an infrared scanning radiometer, and a far-ultraviolet spectrometer. A mapping camera, panoramic camera, and a laser altimeter, which had been carried previously, were also included in the SIM bay.
The lunar sounder was to beam electromagnetic impulses toward the lunar surface, which were designed with the objective of obtaining data to assist in developing a geological model of the interior of the Moon to an approximate depth of . The infrared scanning radiometer was designed with the objective of generating a temperature map of the lunar surface to aid in locating surface features such as rock fields, structural differences in the lunar crust, and volcanic activity. The far-ultraviolet spectrometer was to be used to obtain information on the composition, density, and constituency of the lunar atmosphere. The spectrometer was also designed to detect far-UV radiation emitted by the Sun that had been reflected off the lunar surface. The laser altimeter was designed to measure the altitude of the spacecraft above the lunar surface within approximately , providing altitude information to the panoramic and mapping cameras, which were also in the SIM bay.
Light-flash phenomenon and other experiments
Beginning with Apollo 11, crew members observed light flashes that penetrated their closed eyelids. These flashes, described by the astronauts as "streaks" or "specks" of light, were usually observed while the spacecraft was darkened during a sleep period. These flashes, while not observed on the lunar surface, would average about two per minute and were observed by the crew members during the trip out to the Moon, back to Earth, and in lunar orbit.
The Apollo 17 crew repeated an experiment, also conducted on Apollo 16, with the objective of linking these light flashes with cosmic rays. Evans wore a device over his eyes that recorded the time, strength, and path of high-energy atomic particles that penetrated the device, while the other two wore blindfolds to keep out light. Investigators concluded that the available evidence supports the hypothesis that these flashes occur when charged particles travel through the retina in the eye.
Apollo 17 carried a sodium-iodide crystal identical to the ones in the gamma-ray spectrometer flown on Apollo 15 and 16. Data from this, once it was examined on Earth, was to be used to help form a baseline, allowing for subtraction of rays from the CM or from cosmic radiation to gain better data from the earlier results. In addition, the S-band transponders in the CSM and LM were pointed at the Moon to gain data on its gravitational field. Results from the Lunar Orbiter probes had revealed that lunar gravity varies slightly due to the presence of mass concentrations, or "mascons". Data from the missions, and from the lunar subsatellites left by Apollo 15 and 16, were used to map such variations in lunar gravity.
Mission events
Launch and outbound trip
Originally planned to launch on December 6, 1972, at 9:53 p.m. EST (2:53 a.m. on December 7 UTC), Apollo 17 was the final crewed SaturnV launch, and the only one to occur at night. The launch was delayed by two hours and forty minutes due to an automatic cutoff in the launch sequencer at the T-30 second mark in the countdown. The cause of the problem was quickly determined to be the launch sequencer's failure to automatically pressurize the liquid oxygen tank in the third stage of the rocket; although launch control noticed this and manually caused the tank to pressurize, the sequencer did not recognize the fix and therefore paused the countdown. The clock was reset and held at the T-22 minute mark while technicians worked around the malfunction in order to continue with the launch. This pause was the only launch delay in the Apollo program caused by a hardware problem. The countdown then resumed, and the liftoff occurred at 12:33 a.m. EST on December 7, 1972. The launch window, which had begun at the originally planned launch time of 9:53 p.m. on December 6, remained open until 1:31 a.m., the latest time at which a launch could have occurred during the December 6–7 window.
Approximately 500,000 people observed the launch in the immediate vicinity of Kennedy Space Center, despite the early-morning hour. The launch was visible as far away as , and observers in Miami, Florida, reported a "red streak" crossing the northern sky. Among those in attendance at the program's final launch were astronauts Neil Armstrong and Dick Gordon, as well as centenarian Charlie Smith, who alleged he was 130 years old at the time of Apollo 17.
The ascent resulted in an orbit with an altitude and velocity almost exactly that which had been planned. In the hours following the launch, Apollo 17 orbited the Earth while the crew spent time monitoring and checking the spacecraft to ensure its readiness to depart Earth orbit. At 3:46 a.m. EST, the S-IVB third stage was reignited for the 351-second trans-lunar injection burn to propel the spacecraft towards the Moon. Ground controllers chose a faster trajectory for Apollo 17 than originally planned to allow the vehicle to reach lunar orbit at the planned time, despite the launch delay. The Command and Service Module separated from the S-IVB approximately half an hour following the S-IVB trans-lunar injection burn, after which Evans turned the spacecraft to face the LM, still attached to the S-IVB. The CSM then docked with the LM and extracted it from the S-IVB. Following the LM extraction, Mission Control programmed the S-IVB, no longer needed to propel the spacecraft, to impact the Moon and trip the seismometers left by prior Apollo crews. It struck the Moon just under 87 hours into the mission, triggering the seismometers from Apollo 12, 14, 15 and 16. Approximately nine hours after launch, the crew concluded the mission's first day with a sleep period, until waking up to begin the second day.
Mission Control and the crew decided to shorten the mission's second day, the first full day in space, in order to adjust the crew's wake-up times for the subsequent days in preparation for an early morning (EST) wake-up time on the day of the lunar landing, then scheduled for early afternoon (EST). This was done since the first day of the mission had been extended because of the launch delay. Following the second rest period, and on the third day of the mission, the crew executed the first mid-course correction, a two-second burn of the CSM's service propulsion engine to adjust the spacecraft's Moon-bound trajectory. Following the burn, the crew opened the hatch separating the CSM and LM in order to check the LM's systems and concluded that they were nominal. So that events would take place at the time indicated in the flight plan, the mission clocks were moved ahead by 2 hours and 40 minutes, the amount of the launch delay, with one hour of it at 45:00:00 into the mission and the remainder at 65:00:00.
Among their other activities during the outbound trip, the crew photographed the Earth from the spacecraft as it travelled towards the Moon. One of these photographs is now known as The Blue Marble. The crew found that one of the latches holding the CSM and LM together was unlatched. While Schmitt and Cernan were engaged in a second period of LM housekeeping beginning just before sixty hours into the Mission, Evans worked on the balky latch. He was successful, and left it in the position it would need to be in for the CSM-LM docking that would occur upon return from the lunar surface.
Also during the outward journey, the crew performed a heat flow and convection demonstration, as well as the Apollo light-flash experiment. A few hours before entry into lunar orbit, the SIM door on the SM was jettisoned. At approximately 2:47 p.m. EST on December 10, the service propulsion system engine on the CSM ignited to slow down the CSM/LM stack into lunar orbit. Following orbit insertion and orbital stabilization, the crew began preparations for the landing at Taurus–Littrow.
Lunar landing
The day of the landing began with a checkout of the Lunar Module's systems, which revealed no problems preventing continuation of the mission. Cernan, Evans, and Schmitt each donned their spacesuits, and Cernan and Schmitt entered the LM in preparation for separating from the CSM and landing. The LM undocked from the CSM, and the two spacecraft orbited close together for about an hour and a half while the astronauts made visual inspections and conducted their final pre-landing checks. After finally separating from the CSM, the LM Challenger and its crew of two adjusted their orbit, such that its lowest point would pass about above the landing site, and began preparations for the descent to Taurus–Littrow. While Cernan and Schmitt prepared for landing, Evans remained in orbit to take observations, perform experiments and await the return of his crewmates a few days later.
Soon after completing their preparations for landing and just over two hours following the LM's undocking from the CSM, Cernan and Schmitt began their descent to the Taurus–Littrow valley on the lunar surface with the ignition of the Lunar Module's descent propulsion system (DPS) engine. Approximately ten minutes later, as planned, the LM pitched over, giving Cernan and Schmitt their first look at the landing site during the descent phase and allowing Cernan to guide the spacecraft to a desirable landing target while Schmitt provided data from the flight computer essential for landing. The LM touched down on the lunar surface at 2:55 p.m. EST on December 11, just over twelve minutes after DPS ignition. Challenger landed about east of the planned landing point. Shortly thereafter, the two astronauts began re-configuring the LM for their stay on the surface and began preparations for the first moonwalk of the mission, or EVA-1.
Lunar surface
First EVA
During their approximately 75-hour stay on the lunar surface, Cernan and Schmitt performed three moonwalks (EVAs). The astronauts deployed the LRV, then emplaced the ALSEP and the seismic explosive charges. They drove the rover to nine planned geological-survey stations to collect samples and make observations. Additionally, twelve short sampling stops were made at Schmitt's discretion while riding the rover, during which the astronauts used a handled scoop to get a sample, without dismounting. During lunar-surface operations, Commander Cernan always drove the rover, while Lunar Module Pilot Schmitt was a passenger who assisted with navigation. This division of responsibilities between the two crew positions was used consistently throughout Apollo's J-missions.
The first lunar excursion began four hours after landing, at 6:54 p.m. EST on December 11. After exiting through the hatch of the LM and descending the ladder to the footpad, Cernan took the first step on the lunar surface of the mission. Just before doing so, Cernan remarked, "I'm on the footpad. And, Houston, as I step off at the surface at Taurus–Littrow, we'd like to dedicate the first step of Apollo 17 to all those who made it possible." After Cernan surveyed the exterior of the LM and commented on the immediate landing site, Schmitt joined Cernan on the surface. The first task was to offload the rover and other equipment from the LM. While working near the rover, Cernan caught his hammer under the right-rear fender extension, accidentally breaking it off. A similar incident occurred on Apollo 16 as John Young maneuvered around the rover. Although this was not a mission-critical issue, the loss of the part caused Cernan and Schmitt to be covered with dust stirred up when the rover was in motion. The crew made a short-lived fix using duct tape at the beginning of the second EVA, attaching a paper map to the damaged fender. Lunar dust stuck to the tape's surface, however, preventing it from adhering properly. Following deployment and testing the maneuverability of the rover, the crew deployed the ALSEP just west of the landing site. The ALSEP deployment took longer than had been planned, with the drilling of core holes presenting some difficulty, meaning the geological portion of the first EVA would need to be shortened, cancelling a planned visit to Emory crater. Instead, following the deployment of the ALSEP, Cernan and Schmitt drove to Steno crater, to the south of the landing site. The objective at Steno was to sample the subsurface material excavated by the impact that formed the crater. The astronauts gathered of samples, took seven gravimeter measurements, and deployed two explosive packages. The explosive packages were later detonated remotely; the resulting explosions detected by geophones placed by the astronauts and also by seismometers left during previous missions. The first EVA ended after seven hours and twelve minutes. and the astronauts remained in the pressurized LM for the next 17 hours.
Second EVA
On December 12, awakened by a recording of "Ride of the Valkyries" played from Mission Control, Cernan and Schmitt began their second lunar excursion. The first order of business was to provide the rover's fender a better fix. Overnight, the flight controllers devised a procedure communicated by John Young: taping together four stiff paper maps to form a "replacement fender extension" and then clamping it onto the fender. The astronauts carried out the new fix which did its job without failing until near the end of the third excursion. Cernan and Schmitt then departed for station 2—Nansen Crater, at the foot of the South Massif. When they arrived, their range from the Challenger was 7.6 kilometers (4.7 miles, 25,029 feet). This remains the furthest distance any spacefarers have ever traveled away from the safety of a pressurizable spacecraft while on a planetary body, and also during an EVA of any type. The astronauts were at the extremity of their "walkback limit", a safety constraint meant to ensure that they could walk back to the LM if the rover failed. They began a return trip, traveling northeast in the rover.
At station 3, Schmitt fell to the ground while working, looking so awkward that Parker jokingly told him that NASA's switchboard had lit up seeking Schmitt's services for Houston's ballet group, and the site of station 3 was in 2019 renamed Ballet Crater. Cernan took a sample at Station 3 that was to be maintained in vacuum until better analytical techniques became available, joking with the CAPCOM, Parker, about placing a note inside. The container remained unopened until 2022.
Stopping at station 4—Shorty crater—the astronauts discovered orange soil, which proved to be very small beads of volcanic glass formed over 3.5 billion years ago. This discovery caused great excitement among the scientists at Mission Control, who felt that the astronauts may have discovered a volcanic vent. However, post-mission sample analysis revealed that Shorty is not a volcanic vent, but rather an impact crater. Analysis also found the orange soil to be a remnant of a fire fountain. This fire fountain sprayed molten lava high into the lunar sky in the Moon's early days, some 3.5 billion years ago and long before Shorty's creation. The orange volcanic beads were droplets of molten lava from the fountain that solidified and were buried by lava deposits until exposed by the impact that formed Shorty, less than 20 million years ago.
The final stop before returning to the LM was Camelot crater; throughout the sojourn, the astronauts collected of samples, took another seven gravimeter measurements, and deployed three more explosive packages. Concluding the EVA at seven hours and thirty-seven minutes, Cernan and Schmitt had completed the longest-duration EVA in history to-date, traveling further away from a spacecraft and covering more ground on a planetary body during a single EVA than any other spacefarers. The improvised fender had remained intact throughout, causing the president of the "Auto Body Association of America" to award them honorary lifetime membership.
Third EVA
The third moonwalk, the last of the Apollo program, began at 5:25 p.m. EST on December 13. Cernan and Schmitt rode the rover northeast of the landing site, exploring the base of the North Massif and the Sculptured Hills. Stopping at station 6, they examined a house-sized split boulder dubbed Tracy's Rock (or Split Rock), after Cernan's daughter. The ninth and final planned station was conducted at Van Serg crater. The crew collected of lunar samples and took another nine gravimeter measurements. Schmitt had seen a fine-grained rock, unusual for that vicinity, earlier in the mission and had stood it on its edge; before closing out the EVA, he went and got it. Subsequently, designated Sample 70215, it was, at , the largest rock brought back by Apollo 17. A small piece of it is on exhibit at the Smithsonian Institution, one of the few rocks from the Moon that the public may touch. Schmitt also collected a sample, designated as Sample 76535, at geology station 6 near the base of the North Massif; the sample, a troctolite, was later identified as the oldest known "unshocked" lunar rock, meaning it has not been damaged by high-impact geological events. Scientists have therefore used Sample 76535 in thermochronological studies to determine if the Moon formed a metallic core or, as study results suggest, a core dynamo.
Before concluding the moonwalk, the crew collected a breccia rock, dedicating it to the nations of Earth, 70 of which were represented by students touring the U.S. and present in Mission Control Center in Houston, Texas, at the time. Portions of this sample, known as the Friendship Rock, were subsequently distributed to the nations represented by the students. A plaque located on the LM, commemorating the achievements made during the Apollo program, was then unveiled. Before reentering the LM for the final time, Cernan remarked,
Cernan then followed Schmitt into the LM; the final lunar excursion had a duration of seven hours and fifteen minutes. Following closing of the LM hatch and repressurization of the LM cabin, Cernan and Schmitt removed their spacesuits and reconfigured the cabin for a final rest period on the lunar surface. As they did following each of the previous two EVAs, Cernan and Schmitt discussed their geological observations from the day's excursion with mission control while preparing to rest.
Solo activities
While Cernan and Schmitt were on the lunar surface, Evans remained alone in the CSM in lunar orbit and was assigned a number of observational and scientific tasks to perform while awaiting the return of his crewmates. In addition to the operation of the various orbital science equipment contained in the CSM's SIM bay, Evans conducted both visual and photographic observation of surface features from his aerial vantage point. The orbit of the CSM having been modified to an elliptical orbit in preparation for the LM's departure and eventual descent, one of Evans' solo tasks in the CSM was to circularize its orbit such that the CSM would remain at approximately the same distance above the surface throughout its orbit. Evans observed geological features visible to him and used handheld cameras to record certain visual targets. Evans also observed and sketched the solar corona at "sunrise," or the period of time during which the CSM would pass from the darkened portion of the Moon to the illuminated portion when the Moon itself mostly obscured the sun. To photograph portions of the surface that were not illuminated by the sun while Evans passed over them, Evans relied in conjunction on exposure and Earthlight. Evans photographed such features as the craters Eratosthenes and Copernicus, as well as the vicinity of Mare Orientale, using this technique. According to the Apollo 17 Mission Report, Evans was able to capture all scientific photographic targets, as well as some other targets of interest.
Similarly to the crew of Apollo 16, Evans (as well as Schmitt, while in lunar orbit) reported seeing light "flashes" apparently originating from the lunar surface, known as transient lunar phenomena (TLP); Evans reported seeing these "flashes" in the vicinity of Grimaldi crater and Mare Orientale. The causes of TLP are not well-understood and, though inconclusive as an explanation, both of the sites in which Evans reported seeing TLP are the general locations of outgassing from the Moon's interior. Meteorite impacts are another possible explanation.
The flight plan kept Evans busy, making him so tired he overslept one morning by an hour, despite the efforts of Mission Control to awaken him. Before the LM departed for the lunar surface, Evans had discovered that he had misplaced his pair of scissors, necessary to open food packets. Cernan and Schmitt lent him one of theirs. The instruments in the SIM bay functioned without significant hindrance during the orbital portion of the mission, though the lunar sounder and the mapping camera encountered minor problems. Evans spent approximately 148 total hours in lunar orbit, including solo time and time spent together with Cernan and Schmitt, which is more time than any other individual has spent orbiting the Moon.
Evans was also responsible for piloting the CSM during the orbital phase of the mission, maneuvering the spacecraft to alter and maintain its orbital trajectory. In addition to the initial orbital recircularization maneuver shortly after the LM's departure, one of the solo activities Evans performed in the CSM in preparation for the return of his crewmates from the lunar surface was the plane change maneuver. This maneuver was meant to align the CSM's trajectory to the eventual trajectory of the LM to facilitate rendezvous in orbit. Evans fired the SPS engine of the CSM for about 20 seconds in successfully adjusting the CSM's orbital plane.
Return to Earth
Cernan and Schmitt successfully lifted off from the lunar surface in the ascent stage of the LM on December14, at 5:54 p.m. EST. The return to lunar orbit took just over seven minutes. The LM, piloted by Cernan, and the CSM, piloted by Evans, maneuvered, and redocked about two hours after liftoff from the surface. Once the docking had taken place, the crew transferred equipment and lunar samples from the LM to the CSM for return to Earth. The crew sealed the hatches between the CSM and the LM ascent stage following completion of the transfer and the LM was jettisoned at 11:51 p.m. EST on December14. The unoccupied ascent stage was then remotely deorbited, crashing it into the Moon with an impact recorded by the seismometers left by Apollo 17 and previous missions. At 6:35 p.m. EST on December16, the CSM's SPS engine was ignited once more to propel the spacecraft away from the Moon on a trajectory back towards Earth. The successful trans-Earth injection SPS burn lasted just over two minutes.
During the return to Earth, Evans performed a 65-minute EVA to retrieve film cassettes from the service module's SIM bay, with assistance from Schmitt who remained at the command module's hatch. At approximately 160,000 nautical miles (184,000 mi; 296,000 km) from Earth, it was the third "deep space" EVA in history, performed at great distance from any planetary body. As of , it remains one of only three such EVAs, all performed during Apollo's J-missions under similar circumstances. It was the last EVA of the Apollo program.
During the trip back to Earth, the crew operated the infrared radiometer in the SM, as well as the ultraviolet spectrometer. One midcourse correction was performed, lasting 9 seconds. On December 19, the crew jettisoned the no-longer-needed SM, leaving only the CM for return to Earth. The Apollo 17 spacecraft reentered Earth's atmosphere and splashed down safely in the Pacific Ocean at 2:25 p.m. EST, from the recovery ship, . Cernan, Evans, and Schmitt were then retrieved by a recovery helicopter piloted by Commander Edward E. Dahill, III and were safe aboard the recovery ship 52 minutes after splashdown. As the final Apollo mission concluded successfully, Mission Control in Houston was filled with many former flight controllers and astronauts, who applauded as America returned to Earth.
Aftermath and spacecraft locations
Following their mission, the crew undertook both domestic and international tours, visiting 29 states and 11 countries. The tour kicked off at Super Bowl VII, with the crew leading the crowd in the Pledge of Allegiance; the CM America was also displayed during the pregame activities.
None of the Apollo 17 astronauts flew in space again. Cernan retired from NASA and the Navy in 1976. He died in 2017. Evans retired from the Navy in 1976 and from NASA in 1977, entering the private sector. He died in 1990. Schmitt resigned from NASA in 1975 prior to his successful run for a United States Senate seat from New Mexico in 1976. There, he served one six-year term.
The Command Module America is currently on display at Space Center Houston at the Lyndon B. Johnson Space Center in Houston, Texas. The ascent stage of Lunar Module Challenger impacted the Moon on December 15, 1972, at 06:50:20.8 UTC (1:50 a.m. EST), at . The descent stage remains on the Moon at the landing site, . In 2023, a study of Apollo-era data from the Lunar Seismic Profiling Experiment showed that the descent stage was causing very slight tremors each lunar morning as components expanded in the heat.
Eugene Cernan's flown Apollo 17 spacesuit is in the collection of the Smithsonian's National Air and Space Museum (NASM), where it was transferred in 1974, and Harrison Schmitt's is in storage at NASM's Paul E. Garber Facility. Amanda Young of NASM indicated in 2004 that Schmitt's suit is in the best condition of the flown Apollo lunar spacesuits, and therefore is not on public display. Ron Evans' spacesuit was also transferred from NASA in 1974 to the collection of the NASM; it remains in storage.
Since Apollo 17's return, there have been attempts to photograph the landing site, where the LM's descent stage, LRV and some other mission hardware, remain. In 2009 and again in 2011, the Lunar Reconnaissance Orbiter photographed the landing site from increasingly low orbits. At least one group has indicated an intention to visit the site as well; in 2018, the German space company PTScientists said that it planned to land two lunar rovers nearby.
See also
List of Apollo missions
List of astronauts by year of selection
List of human spaceflights
List of human spaceflight programs
List of landings on extraterrestrial bodies
List of crewed spacecraft
List of NASA missions
List of spacewalks and moonwalks 1965–1999
Moon landing
The Case of the Missing Moon Rocks
Apollo in Real Time
Notes
References
Bibliography
External links
Apollo 17 Traverses, 43D1S2(25), Lunar Photomap at Lunar and Planetary Institute
"Apollo 17" – Detailed mission information by David R. Williams, NASA Goddard Space Flight Center
"Table 2-45. Apollo 17 Characteristics" from NASA Historical Data Book: Volume III: Programs and Projects 1969–1978 by Linda Neuman Ezell, NASA SP-4012, NASA History Series (1988)
Apollo 17 Lunar Surface Journal
"Apollo 17 Real-Time Mission Experience" – All mission audio, film, video, and photography presented in real-time.
Apollo 17 Mission Experiments Overview at the Lunar and Planetary Institute
Apollo 17 Voice Transcript Pertaining to the Geology of the Landing Site (PDF) by N. G. Bailey and G. E. Ulrich, United States Geological Survey, 1975
"Apollo Program Summary Report" (PDF), NASA, JSC-09423, April 1975
The Apollo Spacecraft: A Chronology NASA, NASA SP-4009
"The Final Flight" – Excerpt from the September 1973 issue of National Geographic magazine
Gene Cernan
Ronald Evans (astronaut)
Harrison Schmitt
1972 in the United States
Apollo program missions
Articles containing video clips
Extravehicular activity
Lunar rovers
Crewed missions to the Moon
Sample return missions
Soft landings on the Moon
Spacecraft launched in 1972
Spacecraft which reentered in 1972
Last events
December 1972 events
Spacecraft launched by Saturn rockets
1972 on the Moon
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The American Revolution was an ideological and political revolution based on the principles of the American Enlightenment that generally occurred in British America between 1765 and 1789. It created the environment for the American Revolutionary War, which lasted from 1775 to 1783, whereby the Thirteen Colonies secured their independence from the British Crown and consequently established the United States as the first sovereign nation state founded on Enlightenment principles of the consent of the governed, constitutionalism and liberal democracy.
American colonists objected to being taxed by the British Parliament, a body in which they had no direct representation. Prior to the 1760s, British colonial authorities afforded the colonies a relatively high level of autonomy in their internal affairs, which were locally governed by colonial legislatures. During the 1760s, however, the British Parliament passed acts that were intended to bring the American colonies under more direct rule by the British monarchy and intertwine the economies of the American colonies with Britain in ways that benefited the British monarchy and increased the colonies' dependence on it. In 1765, the British Parliament passed the Stamp Act, which imposed taxes on official documents, newspapers and magazines, and most things printed in the colonies, leading to colonial protest and resulting in representatives from several colonies convening the Stamp Act Congress in New York City to plan a response. The British repealed the Stamp Act, alleviating tensions briefly but they flared again in 1767 with Parliament's passage of the Townshend Acts, a group of new taxes and regulations imposed on the thirteen colonies.
In an effort to quell a mounting rebellion in the colonies, which was particularly severe in the colonial-era Province of Massachusetts Bay, King George III deployed troops to Boston, resulting in the Boston Massacre on March 5, 1770. The British government then repealed most of the Townshend duties in 1770, but it retained its tax on tea in order to symbolically assert Parliament's right to tax the colonies. The thirteen colonies responded assertively, first burning the Gaspee in Rhode Island in 1772 and then launching the Boston Tea Party in Boston Harbor on December 16, 1773, which vastly escalated tensions. The British responded by closing Boston Harbor and enacting a series of punitive laws, which effectively rescinded Massachusetts' governing autonomy.
In late 1774, in support of Massachusetts, twelve of the thirteen colonies sent delegates to Philadelphia, where they formed the First Continental Congress and began coordinating resistance to Britain's colonial governance. Opponents of Britain were known as "Patriots" or "Whigs", and colonists who retained allegiance to the Crown were known as "Loyalists" or "Tories." In early 1775, the British monarchy declared Massachusetts to be in a state of open defiance and rebellion, and it sent an order to have American patriots disarmed.
On April 19, 1775, tensions between the British Army and patriot militiamen escalated to open warfare, launching the American Revolutionary War, when British troops were sent to capture a cache of military supplies and were confronted by American patriots at Lexington and Concord. On June 14, 1775, the Second Continental Congress in Philadelphia responded by authorizing formation of the Continental Army and appointed George Washington as its commander-in-chief. In an early victory for the Americans, Washington and the Continental Army engaged British forces in the Siege of Boston, forcing them to withdraw by sea. Each of the thirteen colonies also formed their own Provincial Congress, assuming power from former British-controlled colonial governments. The Provincial Congresses suppressed Loyalists and contributed to the Continental Army. The Patriots unsuccessfully attempted to invade northeastern Quebec in an attempt to rally sympathetic colonists there during the winter of 1775–1776, but were more successful in the southwestern parts of the colony.
At Independence Hall in Philadelphia, the Second Continental Congress declared King George III a tyrant who trampled the colonists' rights as Englishmen. On July 2, 1776, the Congress passed the Lee Resolution, which declared that the colonies considered themselves "free and independent states". Two days later, on July 4, 1776, the Congress unanimously adopted the Declaration of Independence, which was principally authored by Thomas Jefferson, a member of the Committee of Five charged by Congress with its development. The Declaration of Independence embodied the political philosophies of liberalism and republicanism, rejected monarchy and aristocracy, and famously proclaimed that "all men are created equal".
In the summer of 1776, in a setback for American patriots, the British captured New York City and its strategic harbor. In September 1777, in anticipation of a coordinated attack by the British Army on the revolutionary capital of Philadelphia, the Continental Congress was forced to depart Philadelphia temporarily for Baltimore, where they continued deliberations.
In October 1777, the Continental Army experienced a significant victory, capturing British troops at the Battle of Saratoga. Following the victory in the Saratoga campaign, France then entered the war as an ally of the United States and the cause of American independence, which expanded the Revolutionary War into a global conflict. The British Royal Navy blockaded ports and held New York City for the duration of the war, and other cities for brief periods, but failed in their effort to destroy Washington's forces. Britain's priorities shifted southward, attempting to hold the Southern states with the anticipated aid of Loyalists that never materialized. British general Charles Cornwallis captured Continental Army troops at Charleston, South Carolina in early 1780, but he failed to enlist enough volunteers from Loyalist civilians to take effective control of the territory. A combined American and French force captured Cornwallis' army at Yorktown in the fall of 1781, effectively securing an American victory and end to the war. On September 3, 1783, the British signed the Treaty of Paris in which they acknowledged the independence and sovereignty of the thirteen colonies, and led to the formation of the United States, which took possession of nearly all the territory east of the Mississippi River and south of the Great Lakes, including southern Canada, while the British retained control of northern Canada, and French ally Spain took back Florida.
Among the significant results of the American victory were American independence and the end of British mercantilism in America, opening up worldwide trade for the United States, including a resumption of it with Britain. Around 60,000 Loyalists migrated to other British territories in Canada and elsewhere, but the great majority remained in the United States. In 1787, at the Congress of the Confederation in Philadelphia, American delegates authorized, and states then ratified the United States Constitution, which took effect March 4, 1789 and replaced the weaker wartime Articles of Confederation. It provided for a relatively strong national government structured as a federal republic, including an elected executive, a national judiciary, and an elected bicameral Congress representing states in the Senate and the population in the House of Representatives. With its victory in the American Revolution, the United States became the first federal democratic republic in world history founded on the consent of the governed. In 1791, a Bill of Rights was ratified as the first ten amendments, guaranteeing fundamental rights used as justification for the revolution. Subsequent amendments, including the Reconstruction Amendments, the Nineteenth Amendment, and others, extended those rights to ever greater categories of citizens.
Origin
1651–1763: Early seeds
From the start of English colonization of the Americas, the English government pursued a policy of mercantilism, consistent with the economic policies of other European colonial powers of the time. Under this system, they hoped to grow England's economic and political power by restricting imports, promoting exports, regulating commerce, gaining access to new natural resources, and accumulating new precious metals as monetary reserves. Mercantilist policies were a defining feature of several English American colonies from their inception. The original 1606 charter of the Virginia Company regulated trade in what would become the Colony of Virginia. In general, the export of raw materials to foreign lands was banned, imports of foreign goods were discouraged, and cabotage was restricted to English vessels. These regulations were enforced by the Royal Navy.
Following the Parliamentarian victory in the English Civil War, the first mercantilist legislation was passed. In 1651, the Rump Parliament passed the first of the Navigation Acts, intended to both improve England's trade ties with its colonies and to address Dutch domination of the trans-Atlantic trade at the time. This led to the outbreak of war with the Netherlands the following year. After the Restoration, the 1651 Act was repealed, but the Cavalier Parliament passed a series of even more restrictive Navigation Acts. Colonial reactions to these policies were mixed. The Acts prohibited exports of tobacco and other raw materials to non-English territories, which prevented many planters from receiving higher prices for their goods. Additionally, merchants were restricted from importing certain goods and materials from other nations, harming profits. These factors led to smuggling among colonial merchants, especially following passage of the Molasses Act. On the other hand, certain merchants and local industries benefitted from the restrictions on foreign competition. The restrictions on foreign-built ships also greatly benefitted the colonial shipbuilding industry, particularly of the New England colonies. Some argue that the economic impact was minimal on the colonists, but the political friction which the acts triggered was more serious, as the merchants most directly affected were also the most politically active.
King Philip's War was fought from 1675 to 1678 between the New England colonies and a handful of indigenous tribes. It was fought without military assistance from England, thereby contributing to the development of a unique American identity separate from that of the British people. The Restoration of King Charles II to the English throne also accelerated this development. New England had strong Puritan heritage and had supported the parliamentarian Commonwealth government that was responsible for the execution of his father, Charles I. Massachusetts did not recognize the legitimacy of Charles II's reign for more than a year after its onset. Charles II thus became determined to bring the New England colonies under a more centralized administration and direct English control in the 1680s. The New England colonists fiercely opposed his efforts, and the Crown nullified their colonial charters in response. Charles' successor James II finalized these efforts in 1686, establishing the consolidated Dominion of New England, which also included the formerly separate colonies of New York and New Jersey. Edmund Andros was appointed royal governor, and tasked with governing the new Dominion under his direct rule. Colonial assemblies and town meetings were restricted, new taxes were levied, and rights were abridged. Dominion rule triggered bitter resentment throughout New England; the enforcement of the unpopular Navigation Acts and the curtailing of local democracy greatly angered the colonists.
New Englanders were encouraged, however, by a change of government in England which saw King James II effectively abdicate, and a populist uprising in Boston overthrew Dominion rule on April 18, 1689. Colonial governments reasserted their control after the revolt. The new monarchs, William and Mary, granted new charters to the individual New England colonies, and local democratic self-government was restored. Successive Crown governments made no attempts to restore the Dominion.
Subsequent British governments continued in their efforts to tax certain goods however, passing acts regulating the trade of wool, hats, and molasses. The Molasses Act of 1733 was particularly egregious to the colonists, as a significant part of colonial trade relied on molasses. The taxes severely damaged the New England economy and resulted in a surge of smuggling, bribery, and intimidation of customs officials. Colonial wars fought in America were also a source of considerable tension. For example, New England colonial forces captured the fortress of Louisbourg in Acadia during King George's War in 1745, but the British government then ceded it back to France in 1748 in exchange for Chennai, which the British had lost in 1746. New England colonists resented their losses of lives, as well as the effort and expenditure involved in subduing the fortress, only to have it returned to their erstwhile enemy, who would remain a threat to them after the war.
Some writers begin their histories of the American Revolution with the British coalition victory in the Seven Years' War in 1763, viewing the French and Indian War as though it were the American theater of the Seven Years' War. Lawrence Henry Gipson writes:
The Royal Proclamation of 1763 redrew boundaries of the lands west of newly-British Quebec and west of a line running along the crest of the Allegheny Mountains, making them indigenous territory and barred to colonial settlement for two years. The colonists protested, and the boundary line was adjusted in a series of treaties with indigenous tribes. In 1768, the Iroquois agreed to the Treaty of Fort Stanwix, and the Cherokee agreed to the Treaty of Hard Labour followed in 1770 by the Treaty of Lochaber. The treaties opened most of what is present-day Kentucky and West Virginia to colonial settlement. The new map was drawn up at the Treaty of Fort Stanwix, which moved the line much farther to the west, from the green line to the red line on the map at right.
1764–1766: Taxes imposed and withdrawn
In 1764 Parliament passed the Sugar Act, decreasing the existing customs duties on sugar and molasses but providing stricter measures of enforcement and collection. That same year, Prime Minister George Grenville proposed direct taxes on the colonies to raise revenue, but he delayed action to see whether the colonies would propose some way to raise the revenue themselves.
Grenville asserted in 1762 that the whole revenue of the custom houses in America amounted to one or two thousand pounds sterling a year, and that the English exchequer was paying between seven and eight thousand pounds a year to collect. Adam Smith wrote in The Wealth of Nations that Parliament "has never hitherto demanded of [the American colonies] anything which even approached to a just proportion to what was paid by their fellow subjects at home." Benjamin Franklin would later testify in Parliament in 1766 to the contrary, reporting that Americans already contributed heavily to the defense of the Empire. He argued that local colonial governments had raised, outfitted, and paid 25,000 soldiers to fight France in just the French and Indian War alone—as many as Britain itself sent—and spent many millions from American treasuries doing so.
Parliament passed the Stamp Act in March 1765, which imposed direct taxes on the colonies for the first time. All official documents, newspapers, almanacs, and pamphlets were required to have the stamps—even decks of playing cards. The colonists did not object that the taxes were high; they were actually low. They objected to their lack of representation in the Parliament, which gave them no voice concerning legislation that affected them. The British were, however, reacting to an entirely different issue: at the conclusion of the recent war the Crown had to deal with approximately 1,500 politically well-connected British Army officers. The decision was made to keep them on active duty with full pay, but they—and their commands—also had to be stationed somewhere. Stationing a standing army in Great Britain during peacetime was politically unacceptable, so they determined to station them in America and have the Americans pay them through the new tax. The soldiers had no military mission however; they were not there to defend the colonies because there was no current threat to the colonies.
Shortly following adoption of the Stamp Act, the Sons of Liberty formed, and began using public demonstrations, boycotts, and threats of violence to ensure that the British tax laws became unenforceable. In Boston, the Sons of Liberty burned the records of the vice admiralty court and looted the home of chief justice Thomas Hutchinson. Several legislatures called for united action, and nine colonies sent delegates to the Stamp Act Congress in New York City in October. Moderates led by John Dickinson drew up a Declaration of Rights and Grievances stating that taxes passed without representation violated their rights as Englishmen, and Congressed emphasized their determination by organizing a boycott on imports of all British merchandise.
The Parliament at Westminster saw itself as the supreme lawmaking authority throughout the Empire and thus entitled to levy any tax without colonial approval or even consultation. They argued that the colonies were legally British corporations subordinate to the British Parliament, and they pointed to numerous instances where Parliament had made laws in the past that were binding on the colonies. Parliament insisted that the colonists effectively enjoyed a "virtual representation", as most British people did, since only a small minority of the British population elected representatives to Parliament. However, Americans such as James Otis maintained that there was no one in Parliament responsible specifically for any colonial constituency, so they were not "virtually represented" by anyone in Parliament at all.
The Rockingham government came to power in July 1765, and Parliament debated whether to repeal the stamp tax or to send an army to enforce it. Benjamin Franklin appeared to make the case for repeal, explaining that the colonies had spent heavily in manpower, money, and blood defending the empire in a series of wars against the French and indigenous people, and that further taxes to pay for those wars were unjust and might bring about a rebellion. Parliament agreed and repealed the tax on February 21, 1766, but they insisted in the Declaratory Act of March 1766 that they retained full power to make laws for the colonies "in all cases whatsoever". The repeal nonetheless caused widespread celebrations in the colonies.
1767–1773: Townshend Acts and the Tea Act
In 1767, the British Parliament passed the Townshend Acts, which placed duties on several staple goods, including paper, glass, and tea, and established a Board of Customs in Boston to more rigorously execute trade regulations. The new taxes were enacted on the belief that Americans only objected to internal taxes and not to external taxes such as custom duties. However, in his widely read pamphlet, Letters from a Farmer in Pennsylvania, John Dickinson argued against the constitutionality of the acts because their purpose was to raise revenue and not to regulate trade. Colonists responded to the taxes by organizing new boycotts of British goods. These boycotts were less effective, however, as the goods taxed by the Townshend Acts were widely used.
In February 1768, the Assembly of Massachusetts Bay Colony issued a circular letter to the other colonies urging them to coordinate resistance. The governor dissolved the assembly when it refused to rescind the letter. Meanwhile, a riot broke out in Boston in June 1768 over the seizure of the sloop Liberty, owned by John Hancock, for alleged smuggling. Customs officials were forced to flee, prompting the British to deploy troops to Boston. A Boston town meeting declared that no obedience was due to parliamentary laws and called for the convening of a convention. A convention assembled but only issued a mild protest before dissolving itself. In January 1769, Parliament responded to the unrest by reactivating the Treason Act 1543 which called for subjects outside the realm to face trials for treason in England. The governor of Massachusetts was instructed to collect evidence of said treason, and the threat caused widespread outrage, though it was not carried out.
On March 5, 1770, a large crowd gathered around a group of British soldiers on a Boston street. The crowd grew threatening, throwing snowballs, rocks, and debris at them. One soldier was clubbed and fell. There was no order to fire, but the soldiers panicked and fired into the crowd. They hit 11 people; three civilians died of wounds at the scene of the shooting, and two died shortly after the incident. The event quickly came to be called the Boston Massacre. The soldiers were tried and acquitted (defended by John Adams), but the widespread descriptions soon began to turn colonial sentiment against the British. This accelerated the downward spiral in the relationship between Britain and the Province of Massachusetts.
A new ministry under Lord North came to power in 1770, and Parliament withdrew all taxes except the tax on tea, giving up its efforts to raise revenue while maintaining the right to tax. This temporarily resolved the crisis, and the boycott of British goods largely ceased, with only the more radical patriots such as Samuel Adams continuing to agitate.
In June 1772, American patriots, including John Brown, burned a British warship that had been vigorously enforcing unpopular trade regulations, in what became known as the Gaspee Affair. The affair was investigated for possible treason, but no action was taken.
In 1772, it became known that the Crown intended to pay fixed salaries to the governors and judges in Massachusetts, which had been paid by local authorities. This would reduce the influence of colonial representatives over their government. In Boston, Samuel Adams set about creating new Committees of Correspondence, which linked Patriots in all 13 colonies and eventually provided the framework for a rebel government. Virginia, the largest colony, set up its Committee of Correspondence in early 1773, on which Patrick Henry and Thomas Jefferson served.
A total of about 7,000 to 8,000 Patriots served on Committees of Correspondence at the colonial and local levels, comprising most of the leadership in their communities. Loyalists were excluded. The committees became the leaders of the American resistance to British actions, and later largely determined the war effort at the state and local level. When the First Continental Congress decided to boycott British products, the colonial and local Committees took charge, examining merchant records and publishing the names of merchants who attempted to defy the boycott by importing British goods.
In 1773, private letters were published in which Massachusetts Governor Thomas Hutchinson claimed that the colonists could not enjoy all English liberties, and in which Lieutenant Governor Andrew Oliver called for the direct payment of colonial officials. The letters' contents were used as evidence of a systematic plot against American rights, and discredited Hutchinson in the eyes of the people; the colonial Assembly petitioned for his recall. Benjamin Franklin, postmaster general for the colonies, acknowledged that he leaked the letters, which led to him being berated by British officials and removed from his position.
Meanwhile, Parliament passed the Tea Act lowering the price of taxed tea exported to the colonies, to help the British East India Company undersell smuggled untaxed Dutch tea. Special consignees were appointed to sell the tea to bypass colonial merchants. The act was opposed by those who resisted the taxes and also by smugglers who stood to lose business. In most instances, the consignees were forced by the Americans to resign and the tea was turned back, but Massachusetts governor Hutchinson refused to allow Boston merchants to give in to pressure. A town meeting in Boston determined that the tea would not be landed, and ignored a demand from the governor to disperse. On December 16, 1773, a group of men, led by Samuel Adams and dressed to evoke the appearance of indigenous people, boarded the ships of the East India Company and dumped £10,000 worth of tea from their holds (approximately £636,000 in 2008) into Boston Harbor. Decades later, this event became known as the Boston Tea Party and remains a significant part of American patriotic lore.
1774–1775: Intolerable Acts
The British government responded by passing several measures that came to be known as the Intolerable Acts, further darkening colonial opinion towards England. They consisted of four laws enacted by the British parliament. The first was the Massachusetts Government Act which altered the Massachusetts charter and restricted town meetings. The second act was the Administration of Justice Act which ordered that all British soldiers to be tried were to be arraigned in Britain, not in the colonies. The third Act was the Boston Port Act, which closed the port of Boston until the British had been compensated for the tea lost in the Boston Tea Party. The fourth Act was the Quartering Act of 1774, which allowed royal governors to house British troops in the homes of citizens without requiring permission of the owner.
In response, Massachusetts patriots issued the Suffolk Resolves and formed an alternative shadow government known as the Provincial Congress, which began training militia outside British-occupied Boston. In September 1774, the First Continental Congress convened, consisting of representatives from each colony, to serve as a vehicle for deliberation and collective action. During secret debates, conservative Joseph Galloway proposed the creation of a colonial Parliament that would be able to approve or disapprove acts of the British Parliament, but his idea was tabled in a vote of 6 to 5 and was subsequently removed from the record. Congress called for a boycott beginning on December 1, 1774, of all British goods; it was enforced by new local committees authorized by the Congress.
Military hostilities begin
Massachusetts was declared in a state of rebellion in February 1775 and the British garrison received orders to disarm the rebels and arrest their leaders, leading to the Battles of Lexington and Concord on April 19, 1775. The Patriots laid siege to Boston, expelled royal officials from all the colonies, and took control through the establishment of Provincial Congresses. The Battle of Bunker Hill followed on June 17, 1775. It was a British victory—but at a great cost: about 1,000 British casualties from a garrison of about 6,000, as compared to 500 American casualties from a much larger force. The Second Continental Congress was divided on the best course of action, but eventually produced the Olive Branch Petition, in which they attempted to come to an accord with King George. The king, however, issued a Proclamation of Rebellion which declared that the states were "in rebellion" and the members of Congress were traitors.
The war that arose was in some ways a classic insurgency. As Benjamin Franklin wrote to Joseph Priestley in October 1775:
In the winter of 1775, the Americans invaded northeastern Quebec under generals Benedict Arnold and Richard Montgomery, expecting to rally sympathetic colonists there. The attack was a failure; many Americans who weren't killed were either captured or died of smallpox.
In March 1776, the Continental Army forced the British to evacuate Boston, with George Washington as the commander of the new army. The revolutionaries now fully controlled all thirteen colonies and were ready to declare independence. There still were many Loyalists, but they were no longer in control anywhere by July 1776, and all of the Royal officials had fled.
Creating new state constitutions
Following the Battle of Bunker Hill in June 1775, the Patriots had control of Massachusetts outside Boston's city limits, and the Loyalists suddenly found themselves on the defensive with no protection from the British army. In all 13 colonies, Patriots had overthrown their existing governments, closing courts and driving away British officials. They held elected conventions and "legislatures" that existed outside any legal framework; new constitutions were drawn up in each state to supersede royal charters. They proclaimed that they were now states, no longer colonies.
On January 5, 1776, New Hampshire ratified the first state constitution. In May 1776, Congress voted to suppress all forms of crown authority, to be replaced by locally created authority. New Jersey, South Carolina, and Virginia created their constitutions before July 4. Rhode Island and Connecticut simply took their existing royal charters and deleted all references to the crown. The new states were all committed to republicanism, with no inherited offices. They decided what form of government to create, and also how to select those who would craft the constitutions and how the resulting document would be ratified. On May 26, 1776, John Adams wrote James Sullivan from Philadelphia warning against extending the franchise too far:
The resulting constitutions in states, including those of Delaware, Maryland, Massachusetts, New York, and Virginia featured:
Property qualifications for voting and even more substantial requirements for elected positions (though New York and Maryland lowered property qualifications)
Bicameral legislatures, with the upper house as a check on the lower
Strong governors with veto power over the legislature and substantial appointment authority
Few or no restraints on individuals holding multiple positions in government
The continuation of state-established religion
In Pennsylvania, New Jersey, and New Hampshire, the resulting constitutions embodied:
universal manhood suffrage, or minimal property requirements for voting or holding office (New Jersey enfranchised some property-owning widows, a step that it retracted 25 years later)
strong, unicameral legislatures
relatively weak governors without veto powers, and with little appointing authority
prohibition against individuals holding multiple government posts
The radical provisions of Pennsylvania's constitution, however, lasted only 14 years. In 1790, conservatives gained power in the state legislature, called a new constitutional convention, and rewrote the constitution. The new constitution substantially reduced universal male suffrage, gave the governor veto power and patronage appointment authority, and added an upper house with substantial wealth qualifications to the unicameral legislature. Thomas Paine called it a constitution unworthy of America.
Independence and Union
In April 1776, the North Carolina Provincial Congress issued the Halifax Resolves explicitly authorizing its delegates to vote for independence. By June, nine Provincial Congresses were ready for independence; one by one, the last four fell into line: Pennsylvania, Delaware, Maryland, and New York. Richard Henry Lee was instructed by the Virginia legislature to propose independence, and he did so on June 7, 1776. On June 11, a committee was created by the Second Continental Congress to draft a document explaining the justifications for separation from Britain. After securing enough votes for passage, independence was voted for on July 2.
Gathered at Pennsylvania State House in Philadelphia, 56 of the nation's Founding Fathers, representing America's Thirteen Colonies, unanimously adopted and issued to King George III the Declaration of Independence, which was drafted largely by Thomas Jefferson and presented by the Committee of Five, which had been charged with its development. The Congress struck several provisions of Jefferson's draft, and then adopted it unanimously on July 4. With the issuance of the Declaration of Independence, each colony began operating as independent and autonomous states. The next step was to form a union to facilitate international relations and alliances.
On November 5, 1777, the Congress approved the Articles of Confederation and Perpetual Union and sent it to each state for ratification. The Congress immediately began operating under the Articles' terms, providing a structure of shared sovereignty during prosecution of the Revolutionary War and facilitating international relations and alliances. The Articles were fully ratified on March 1, 1781. At that point, the Continental Congress was dissolved and a new government of the United States in Congress Assembled took its place the following day, on March 2, 1782, with Samuel Huntington leading the Congress as presiding officer.
Defending the Revolution
British return: 1776–1777
According to British historian Jeremy Black, the British had significant advantages, including a highly trained army, the world's largest navy, and an efficient system of public finance that could easily fund the war. However, they seriously misunderstood the depth of support for the American Patriot position and ignored the advice of General Gage, misinterpreting the situation as merely a large-scale riot. The British government believed that they could overawe the Americans by sending a large military and naval force, forcing them to be loyal again:
Washington forced the British out of Boston in the spring of 1776, and neither the British nor the Loyalists controlled any significant areas. The British, however, were amassing forces at their naval base at Halifax, Nova Scotia. They returned in force in July 1776, landing in New York and defeating Washington's Continental Army in August at the Battle of Brooklyn. Following that victory, they requested a meeting with representatives from Congress to negotiate an end to hostilities.
A delegation including John Adams and Benjamin Franklin met British admiral Richard Howe on Staten Island in New York Harbor on September 11 in what became known as the Staten Island Peace Conference. Howe demanded that the Americans retract the Declaration of Independence, which they refused to do, and negotiations ended. The British then seized New York City and nearly captured Washington's army. They made the city and its strategic harbor their main political and military base of operations, holding it until November 1783. The city became the destination for Loyalist refugees and a focal point of Washington's intelligence network.
The British also took New Jersey, pushing the Continental Army into Pennsylvania. Washington crossed the Delaware River back into New Jersey in a surprise attack in late December 1776 and defeated the Hessian and British armies at Trenton and Princeton, thereby regaining control of most of New Jersey. The victories gave an important boost to Patriots at a time when morale was flagging, and they have become iconic events of the war.
In 1777, the British sent Burgoyne's invasion force from Canada south to New York to seal off New England. Their aim was to isolate New England, which the British perceived as the primary source of agitation. Rather than move north to support Burgoyne, the British army in New York City went to Philadelphia in a major case of mis-coordination, capturing it from Washington. The invasion army under Burgoyne was much too slow and became trapped in northern New York state. It surrendered after the Battles of Saratoga in October 1777. From early October 1777 until November 15, a siege distracted British troops at Fort Mifflin, Philadelphia, Pennsylvania, and allowed Washington time to preserve the Continental Army by safely leading his troops to harsh winter quarters at Valley Forge.
Prisoners
On August 23, 1775, George III declared Americans to be traitors to the Crown if they took up arms against royal authority. There were thousands of British and Hessian soldiers in American hands following their surrender at the Battles of Saratoga. Lord Germain took a hard line, but the British generals on American soil never held treason trials, and instead treated captured American soldiers as prisoners of war. The dilemma was that tens of thousands of Loyalists were under American control and American retaliation would have been easy. The British built much of their strategy around using these Loyalists. The British maltreated the prisoners whom they held, resulting in more deaths to American prisoners of war than from combat operations. At the end of the war, both sides released their surviving prisoners.
American alliances after 1778
The capture of a British army at Saratoga encouraged the French to formally enter the war in support of Congress, and Benjamin Franklin negotiated a permanent military alliance in early 1778; France thus became the first foreign nation to officially recognize the Declaration of Independence. On February 6, 1778, the United States and France signed the Treaty of Amity and Commerce and the Treaty of Alliance. William Pitt spoke out in Parliament urging Britain to make peace in America and to unite with America against France, while British politicians who had sympathized with colonial grievances now turned against the Americans for allying with Britain's rival and enemy.
The Spanish and the Dutch became allies of the French in 1779 and 1780 respectively, forcing the British to fight a global war without major allies, and requiring it to slip through a combined blockade of the Atlantic. Britain began to view the American war for independence as merely one front in a wider war, and the British chose to withdraw troops from America to reinforce the British colonies in the Caribbean, which were under threat of Spanish or French invasion. British commander Sir Henry Clinton evacuated Philadelphia and returned to New York City. General Washington intercepted him in the Battle of Monmouth Court House, the last major battle fought in the north. After an inconclusive engagement, the British retreated to New York City. The northern war subsequently became a stalemate, as the focus of attention shifted to the smaller southern theater.
The British move South: 1778–1783
The British strategy in America now concentrated on a campaign in the southern states. With fewer regular troops at their disposal, the British commanders saw the "southern strategy" as a more viable plan, as they perceived the south as strongly Loyalist with a large population of recent immigrants and large numbers of slaves who might be tempted to run away from their masters to join the British and gain their freedom.
Beginning in late December 1778, the British captured Savannah and controlled the Georgia coastline. In 1780, they launched a fresh invasion and took Charleston, as well. A significant victory at the Battle of Camden meant that royal forces soon controlled most of Georgia and South Carolina. The British set up a network of forts inland, hoping that the Loyalists would rally to the flag. Not enough Loyalists turned out, however, and the British had to fight their way north into North Carolina and Virginia with a severely weakened army. Behind them, much of the territory that they had already captured dissolved into a chaotic guerrilla war, fought predominantly between bands of Loyalists and American militia, and which negated many of the gains that the British had previously made.
Surrender at Yorktown (1781)
The British army under Cornwallis marched to Yorktown, Virginia, where they expected to be rescued by a British fleet. The fleet did arrive, but so did a larger French fleet. The French were victorious in the Battle of the Chesapeake, and the British fleet returned to New York for reinforcements, leaving Cornwallis trapped. In October 1781, the British surrendered their second invading army of the war under a siege by the combined French and Continental armies commanded by Washington.
The end of the war
Washington did not know if or when the British might reopen hostilities after Yorktown. They still had 26,000 troops occupying New York City, Charleston, and Savannah, together with a powerful fleet. The French army and navy departed, so the Americans were on their own in 1782–83. The American treasury was empty, and the unpaid soldiers were growing restive, almost to the point of mutiny or possible coup d'etat. Washington dispelled the unrest among officers of the Newburgh Conspiracy in 1783, and Congress subsequently created the promise of a five years bonus for all officers.
Historians continue to debate whether the odds were long or short for American victory. John E. Ferling says that the odds were so long that the American victory was "almost a miracle". On the other hand, Joseph Ellis says that the odds favored the Americans, and asks whether there ever was any realistic chance for the British to win. He argues that this opportunity came only once, in the summer of 1776, and the British failed that test. Admiral Howe and his brother General Howe "missed several opportunities to destroy the Continental Army .... Chance, luck, and even the vagaries of the weather played crucial roles." Ellis's point is that the strategic and tactical decisions of the Howes were fatally flawed because they underestimated the challenges posed by the Patriots. Ellis concludes that, once the Howe brothers failed, the opportunity "would never come again" for a British victory.
Support for the conflict had never been strong in Britain, where many sympathized with the Americans, but now it reached a new low. King George wanted to fight on, but his supporters lost control of Parliament and they launched no further offensives in America on the eastern seaboard. However, the British continued formal and informal assistance to Indian tribes making war on US citizens over the next three decades, which contributed to a "Second American Revolution" in the War of 1812. In that war against Britain, the US permanently established its territory and its citizenship independent of the British Empire.
Paris peace treaty
During negotiations in Paris, the American delegation discovered that France supported American independence but no territorial gains, hoping to confine the new nation to the area east of the Appalachian Mountains. The Americans opened direct secret negotiations with London, cutting out the French. British Prime Minister Lord Shelburne was in charge of the British negotiations, and he saw a chance to make the United States a valuable economic partner. The US obtained all the land east of the Mississippi River, including southern Canada, but Spain took control of Florida from the British. It gained fishing rights off Canadian coasts, and agreed to allow British merchants and Loyalists to recover their property. Prime Minister Shelburne foresaw highly profitable two-way trade between Britain and the rapidly growing United States, which did come to pass. The blockade was lifted and all British interference had been driven out, and American merchants were free to trade with any nation anywhere in the world.
The British largely abandoned their indigenous allies, who were not a party to this treaty and did not recognize it until they were defeated militarily by the United States. However, the British did sell them munitions and maintain forts in American territory until the Jay Treaty of 1795.
Losing the war and the Thirteen Colonies was a shock to Britain. The war revealed the limitations of Britain's fiscal-military state when they discovered that they suddenly faced powerful enemies with no allies, and they were dependent on extended and vulnerable transatlantic lines of communication. The defeat heightened dissension and escalated political antagonism to the King's ministers. The King went so far as to draft letters of abdication, although they were never delivered. Inside Parliament, the primary concern changed from fears of an over-mighty monarch to the issues of representation, parliamentary reform, and government retrenchment. Reformers sought to destroy what they saw as widespread institutional corruption, and the result was a crisis from 1776 to 1783. The crisis ended after 1784 confidence in the British constitution was restored during the administration of Prime Minister William Pitt.
Finance
Britain's war against the Americans, the French, and the Spanish cost about £100 million, and the Treasury borrowed 40 percent of the money that it needed. Meanwhile in Paris, heavy spending and a weak tax base brought France to the verge of bankruptcy and revolution. In London the British had relatively little difficulty financing their war, keeping their suppliers and soldiers paid, and hiring tens of thousands of German soldiers. Britain had a sophisticated financial system based on the wealth of thousands of landowners who supported the government, together with banks and financiers in London. The British tax system collected about 12 percent of the GDP in taxes during the 1770s.
In sharp contrast, Congress and the American states had no end of difficulty financing the war. In 1775, there was at most 12 million dollars in gold in the colonies, not nearly enough to cover current transactions, let alone finance a major war. The British made the situation much worse by imposing a tight blockade on every American port, which cut off almost all imports and exports. One partial solution was to rely on volunteer support from militiamen and donations from patriotic citizens. Another was to delay actual payments, pay soldiers and suppliers in depreciated currency, and promise that it would be made good after the war. Indeed, the soldiers and officers were given land grants in 1783 to cover the wages that they had earned but had not been paid during the war. The national government did not have a strong leader in financial matters until 1781, when Robert Morris was named Superintendent of Finance of the United States. Morris used a French loan in 1782 to set up the private Bank of North America to finance the war. He reduced the civil list, saved money by using competitive bidding for contracts, tightened accounting procedures, and demanded the national government's full share of money and supplies from the individual states.
Congress used four main methods to cover the cost of the war, which cost about 66 million dollars in specie (gold and silver). Congress made issues of paper money, known colloquially as "Continental Dollars", in 1775–1780 and in 1780–1781. The first issue amounted to 242 million dollars. This paper money would supposedly be redeemed for state taxes, but the holders were eventually paid off in 1791 at the rate of one cent on the dollar. By 1780, the paper money was so devalued that the phrase "not worth a Continental" became synonymous with worthlessness. The skyrocketing inflation was a hardship on the few people who had fixed incomes, but 90 percent of the people were farmers and were not directly affected by it. Debtors benefited by paying off their debts with depreciated paper. The greatest burden was borne by the soldiers of the Continental Army whose wages were usually paid late and declined in value every month, weakening their morale and adding to the hardships of their families.
Beginning in 1777, Congress repeatedly asked the states to provide money, but the states had no system of taxation and were of little help. By 1780, Congress was making requisitions for specific supplies of corn, beef, pork, and other necessities, an inefficient system which barely kept the army alive. Starting in 1776, the Congress sought to raise money by loans from wealthy individuals, promising to redeem the bonds after the war. The bonds were redeemed in 1791 at face value, but the scheme raised little money because Americans had little specie, and many of the rich merchants were supporters of the Crown. The French secretly supplied the Americans with money, gunpowder, and munitions to weaken Great Britain; the subsidies continued when France entered the war in 1778, and the French government and Paris bankers lent large sums to the American war effort. The Americans struggled to pay off the loans; they ceased making interest payments to France in 1785 and defaulted on installments due in 1787. In 1790, however, they resumed regular payments on their debts to the French, and settled their accounts with the French government in 1795 when James Swan, an American banker, assumed responsibility for the balance of the debt in exchange for the right to refinance it at a profit.
Concluding the Revolution
Creating a "more perfect union" and guaranteeing rights
The war ended in 1783 and was followed by a period of prosperity. The national government was still operating under the Articles of Confederation and settled the issue of the western territories, which the states ceded to Congress. American settlers moved rapidly into those areas, with Vermont, Kentucky, and Tennessee becoming states in the 1790s.
However, the national government had no money either to pay the war debts owed to European nations and the private banks, or to pay Americans who had been given millions of dollars of promissory notes for supplies during the war. Nationalists led by Washington, Alexander Hamilton, and other veterans feared that the new nation was too fragile to withstand an international war, or even the repetition of internal revolts such as the Shays' Rebellion of 1786 in Massachusetts. They convinced Congress to call the Philadelphia Convention in 1787. The Convention adopted a new Constitution which provided for a republic with a much stronger national government in a federal framework, including an effective executive in a check-and-balance system with the judiciary and legislature. The Constitution was ratified in 1788, after a fierce debate in the states over the proposed new government. The new administration under President George Washington took office in New York in March 1789. James Madison spearheaded Congressional legislation proposing amendments to the Constitution as assurances to those cautious about federal power, guaranteeing many of the inalienable rights that formed a foundation for the revolution. Rhode Island was the final state to ratify the Constitution in 1790, the first ten amendments were ratified in 1791 and became known as the United States Bill of Rights.
National debt
The national debt fell into three categories after the American Revolution. The first was the $12 million owed to foreigners, mostly money borrowed from France. There was general agreement to pay the foreign debts at full value. The national government owed $40 million and state governments owed $25 million to Americans who had sold food, horses, and supplies to the Patriot forces. There were also other debts which consisted of promissory notes issued during the war to soldiers, merchants, and farmers who accepted these payments on the premise that the new Constitution would create a government that would pay these debts eventually.
The war expenses of the individual states added up to $114 million, compared to $37 million by the central government. In 1790, Congress combined the remaining state debts with the foreign and domestic debts into one national debt totaling $80 million at the recommendation of first Secretary of the Treasury Alexander Hamilton. Everyone received face value for wartime certificates, so that the national honor would be sustained and the national credit established.
Ideology and factions
The population of the Thirteen States was not homogeneous in political views and attitudes. Loyalties and allegiances varied widely within regions and communities and even within families, and sometimes shifted during the Revolution.
Ideology behind the Revolution
The American Enlightenment was a critical precursor of the American Revolution. Chief among the ideas of the American Enlightenment were the concepts of natural law, natural rights, consent of the governed, individualism, property rights, self-ownership, self-determination, liberalism, republicanism, and defense against corruption. A growing number of American colonists embraced these views and fostered an intellectual environment which led to a new sense of political and social identity.
Liberalism
John Locke (1632–1704) is often referred to as "the philosopher of the American Revolution" due to his work in the Social Contract and Natural Rights theories that underpinned the Revolution's political ideology. Locke's Two Treatises of Government published in 1689 was especially influential. He argued that all humans were created equally free, and governments therefore needed the "consent of the governed". In late eighteenth-century America, belief was still widespread in "equality by creation" and "rights by creation". Locke's ideas on liberty influenced the political thinking of English writers such as John Trenchard, Thomas Gordon, and Benjamin Hoadly, whose political ideas in turn also had a strong influence on the American Patriots.
The theory of the social contract influenced the belief among many of the Founders that the right of the people to overthrow their leaders, should those leaders betray the historic rights of Englishmen, was one of the "natural rights" of man. The Americans heavily relied on Montesquieu's analysis of the wisdom of the "balanced" British Constitution (mixed government) in writing the state and national constitutions.
Republicanism
The most basic features of republicanism anywhere are a representational government in which citizens elect leaders from among themselves for a predefined term, as opposed to a permanent ruling class or aristocracy, and laws are passed by these leaders for the benefit of the entire republic. In addition, unlike a direct or "pure" democracy in which the majority vote rules, a republic codifies in a charter or constitution a certain set of basic civil rights that is guaranteed to every citizen and cannot be overridden by majority rule.
The American interpretation of "republicanism" was inspired by the Whig party in Great Britain which openly criticized the corruption within the British government. Americans were increasingly embracing republican values, seeing Britain as corrupt and hostile to American interests. The colonists associated political corruption with ostentatious luxury and inherited aristocracy, which they condemned.
The Founding Fathers were strong advocates of republican values, particularly Samuel Adams, Patrick Henry, John Adams, Benjamin Franklin, Thomas Jefferson, Thomas Paine, George Washington, James Madison, and Alexander Hamilton, which required men to put civic duty ahead of their personal desires. Men were honor bound by civic obligation to be prepared and willing to fight for the rights and liberties of their countrymen. John Adams wrote to Mercy Otis Warren in 1776, agreeing with some classical Greek and Roman thinkers: "Public Virtue cannot exist without private, and public Virtue is the only Foundation of Republics." He continued:
"Republican motherhood" became the ideal for American women, exemplified by Abigail Adams and Mercy Otis Warren; the first duty of the republican woman was to instill republican values in her children and to avoid luxury and ostentation.
Protestant Dissenters and the Great Awakening
Protestant churches that had separated from the Church of England, called "dissenters", were the "school of democracy", in the words of historian Patricia Bonomi. Before the Revolution, the Southern Colonies and three of the New England Colonies had official established churches: Congregational in Massachusetts Bay, Connecticut, and New Hampshire, and the Church of England in Maryland, Virginia, North-Carolina, South Carolina, and Georgia. The New York, New Jersey, Pennsylvania, Delaware, and the Colony of Rhode Island and Providence Plantations had no officially established churches. Church membership statistics from the period are unreliable and scarce, but what little data exists indicates that the Church of England was not in the majority, not even in the colonies where the it was the established church, and they probably did not comprise even 30 percent of the population in most localities (with the possible exception of Virginia).
John Witherspoon, president of the College of New Jersey (now Princeton University), who was considered a "new light" Presbyterian, wrote widely circulated sermons linking the American Revolution to the teachings of the Bible. Throughout the colonies, dissenting Protestant ministers from the Congregational, Baptist, and Presbyterian churches preached Revolutionary themes in their sermons while most Church of England clergymen preached loyalty to the king, the titular head of the English state church. Religious motivation for fighting tyranny transcended socioeconomic lines to encompass rich and poor, men and women, frontierspeople and townspeople, farmers and merchants. The Declaration of Independence also referred to the "Laws of Nature and of Nature's God" as justification for the Americans' separation from the British monarchy. Most eighteenth-century Americans believed that the entire universe ("nature") was God's creation and he was "Nature's God". Everything was part of the "universal order of things" which began with God and was directed by his providence. Accordingly, the signers of the Declaration professed their "firm reliance on the Protection of divine Providence", and they appealed to "the Supreme Judge for the rectitude of our intentions". George Washington was firmly convinced that he was an instrument of providence, to the benefit of the American people and of all humanity.
Historian Bernard Bailyn argues that the evangelicalism of the era challenged traditional notions of natural hierarchy by preaching that the Bible teaches that all men are equal, so that the true value of a man lies in his moral behavior, not in his class. Kidd argues that religious disestablishment, belief in God as the source of human rights, and shared convictions about sin, virtue, and divine providence worked together to unite rationalists and evangelicals and thus encouraged a large proportion of Americans to fight for independence from the Empire. Bailyn, on the other hand, denies that religion played such a critical role. Alan Heimert argues that New Light anti-authoritarianism was essential to furthering democracy in colonial American society, and set the stage for a confrontation with British monarchical and aristocratic rule.
Class and psychology of the factions
John Adams concluded in 1818:
In the mid-20th century, historian Leonard Woods Labaree identified eight characteristics of the Loyalists that made them essentially conservative, opposite to the characteristics of the Patriots. Loyalists tended to feel that resistance to the Crown was morally wrong, while the Patriots thought that morality was on their side. Loyalists were alienated when the Patriots resorted to violence, such as burning houses and tarring and feathering. Loyalists wanted to take a centrist position and resisted the Patriots' demand to declare their opposition to the Crown. Many Loyalists had maintained strong and long-standing relations with Britain, especially merchants in port cities such as New York and Boston. Many Loyalists felt that independence was bound to come eventually, but they were fearful that revolution might lead to anarchy, tyranny, or mob rule. In contrast, the prevailing attitude among Patriots was a desire to seize the initiative. Labaree also wrote that Loyalists were pessimists who lacked the confidence in the future displayed by the Patriots.
Historians in the early 20th century such as J. Franklin Jameson examined the class composition of the Patriot cause, looking for evidence of a class war inside the revolution. More recent historians have largely abandoned that interpretation, emphasizing instead the high level of ideological unity. Both Loyalists and Patriots were a "mixed lot", but ideological demands always came first. The Patriots viewed independence as a means to gain freedom from British oppression and to reassert their basic rights. Most yeomen farmers, craftsmen, and small merchants joined the Patriot cause to demand more political equality. They were especially successful in Pennsylvania but less so in New England, where John Adams attacked Thomas Paine's Common Sense for the "absurd democratical notions" that it proposed.
King George III
The revolution became a personal issue for the king, fueled by his growing belief that British leniency would be taken as weakness by the Americans. He also sincerely believed that he was defending Britain's constitution against usurpers, rather than opposing patriots fighting for their natural rights.
Although Prime Minister Lord North was not an ideal war leader, George III managed to give Parliament a sense of purpose to fight, and Lord North was able to keep his cabinet together. Lord North's cabinet ministers, the Earl of Sandwich, First Lord of the Admiralty, and Lord George Germain, Secretary of State for the Colonies, however, proved to lack leadership skills suited for their positions, which in turn, aided the American revolutionaries.
King George III is often accused of obstinately trying to keep Great Britain at war with the revolutionaries in America, despite the opinions of his own ministers. In the words of the British historian George Otto Trevelyan, the King was determined "never to acknowledge the independence of the Americans, and to punish their contumacy by the indefinite prolongation of a war which promised to be eternal." The king wanted to "keep the rebels harassed, anxious, and poor, until the day when, by a natural and inevitable process, discontent and disappointment were converted into penitence and remorse". Later historians defend George by saying in the context of the times no king would willingly surrender such a large territory, and his conduct was far less ruthless than contemporary monarchs in Europe. After the surrender of a British army at Saratoga, both Parliament and the British people were largely in favor of the war; recruitment ran at high levels and although political opponents were vocal, they remained a small minority.
With the setbacks in America, Lord North asked to transfer power to Lord Chatham, whom he thought more capable, but George refused to do so; he suggested instead that Chatham serve as a subordinate minister in North's administration, but Chatham refused. He died later in the same year. Lord North was allied to the "King's Friends" in Parliament and believed George III had the right to exercise powers. In early 1778, Britain's chief rival France signed a treaty of alliance with the United States, and the confrontation soon escalated from a "rebellion" to something that has been characterized as "world war". The French fleet was able to outrun the British naval blockade of the Mediterranean and sailed to North America. The conflict now affected North America, Europe and India. The United States and France were joined by Spain in 1779 and the Dutch Republic, while Britain had no major allies of its own, except for the Loyalist minority in America and German auxiliaries (i.e. Hessians). Lord Gower and Lord Weymouth both resigned from the government. Lord North again requested that he also be allowed to resign, but he stayed in office at George III's insistence. Opposition to the costly war was increasing, and in June 1780 contributed to disturbances in London known as the Gordon riots.
As late as the Siege of Charleston in 1780, Loyalists could still believe in their eventual victory, as British troops inflicted defeats on the Continental forces at the Battle of Camden and the Battle of Guilford Court House. In late 1781, the news of Cornwallis's surrender at the siege of Yorktown reached London; Lord North's parliamentary support ebbed away and he resigned the following year. The king drafted an abdication notice, which was never delivered, finally accepted the defeat in North America, and authorized peace negotiations. The Treaties of Paris, by which Britain recognized the independence of the United States and returned Florida to Spain, were signed in 1782 and 1783 respectively. In early 1783, George III privately conceded "America is lost!" He reflected that the Northern colonies had developed into Britain's "successful rivals" in commercial trade and fishing.
When John Adams was appointed American Minister to London in 1785, George had become resigned to the new relationship between his country and the former colonies. He told Adams, "I was the last to consent to the separation; but the separation having been made and having become inevitable, I have always said, as I say now, that I would be the first to meet the friendship of the United States as an independent power."
Patriots
Those who fought for independence were called "Revolutionaries" "Continentals", "Rebels", "Patriots", "Whigs", "Congress-men", or "Americans" during and after the war. They included a full range of social and economic classes but were unanimous regarding the need to defend the rights of Americans and uphold the principles of republicanism in rejecting monarchy and aristocracy, while emphasizing civic virtue by citizens. The signers of the Declaration of Independence were mostly—with definite exceptions—well-educated, of British stock, and of the Protestant faith. Newspapers were strongholds of patriotism (although there were a few Loyalist papers) and printed many pamphlets, announcements, patriotic letters, and pronouncements.
According to historian Robert Calhoon, 40 to 45 percent of the white population in the Thirteen Colonies supported the Patriots' cause, 15 to 20 percent supported the Loyalists, and the remainder were neutral or kept a low profile. Mark Lender analyzes why ordinary people became insurgents against the British, even if they were unfamiliar with the ideological reasons behind the war. He concludes that such people held a sense of rights which the British were violating, rights that stressed local autonomy, fair dealing, and government by consent. They were highly sensitive to the issue of tyranny, which they saw manifested in the British response to the Boston Tea Party. The arrival in Boston of the British Army heightened their sense of violated rights, leading to rage and demands for revenge. They had faith that God was on their side.
Thomas Paine published his pamphlet Common Sense in January 1776, after the Revolution had started. It was widely distributed and often read aloud in taverns, contributing significantly to concurrently spreading the ideas of republicanism and liberalism, bolstering enthusiasm for separation from Great Britain and encouraging recruitment for the Continental Army. Paine presented the Revolution as the solution for Americans alarmed by the threat of tyranny.
Loyalists
The consensus of scholars is that about 15 to 20 percent of the white population remained loyal to the British Crown. Those who actively supported the king were known at the time as "Loyalists", "Tories", or "King's men". The Loyalists never controlled territory unless the British Army occupied it. They were typically older, less willing to break with old loyalties, and often connected to the Church of England; they included many established merchants with strong business connections throughout the Empire, as well as royal officials such as Thomas Hutchinson of Boston.
There were 500 to 1,000 Black Loyalists, enslaved African Americans who escaped to British lines and supported Britain's cause via several means. Many of them died from various diseases, but the survivors were evacuated by the British to their remaining colonies in North America.
The revolution could divide families, such as William Franklin, son of Benjamin Franklin and royal governor of the Province of New Jersey who remained loyal to the Crown throughout the war. He and his father never spoke again. Recent immigrants who had not been fully Americanized were also inclined to support the King, such as Flora MacDonald, a Scottish settler in the backcountry.
After the war, the great majority of the half-million Loyalists remained in America and resumed normal lives. Some became prominent American leaders, such as Samuel Seabury. Approximately 46,000 Loyalists relocated to Canada; others moved to Britain (7,000), Florida, or the West Indies (9,000). The exiles represented approximately two percent of the total population of the colonies. Nearly all black loyalists left for Nova Scotia, Florida, or England, where they could remain free. Loyalists who left the South in 1783 took thousands of their slaves with them as they fled to the British West Indies.
Neutrals
A minority of uncertain size tried to stay neutral in the war. Most kept a low profile, but the Quakers were the most important group to speak out for neutrality, especially in Pennsylvania. The Quakers continued to do business with the British even after the war began, and they were accused of supporting British rule, "contrivers and authors of seditious publications" critical of the revolutionary cause. Most Quakers remained neutral, although a sizeable number nevertheless participated to some degree.
Role of women
Women contributed to the American Revolution in many ways and were involved on both sides. Formal politics did not include women, but ordinary domestic behaviors became charged with political significance as Patriot women confronted a war which permeated all aspects of political, civil, and domestic life. They participated by boycotting British goods, spying on the British, following armies as they marched, washing, cooking, and mending for soldiers, delivering secret messages, and even fighting disguised as men in a few cases, such as Deborah Samson. Mercy Otis Warren held meetings in her house and cleverly attacked Loyalists with her creative plays and histories. Many women also acted as nurses and helpers, tending to the soldiers' wounds and buying and selling goods for them. Some of these camp followers even participated in combat, such as Madam John Turchin who led her husband's regiment into battle. Above all, women continued the agricultural work at home to feed their families and the armies. They maintained their families during their husbands' absences and sometimes after their deaths.
American women were integral to the success of the boycott of British goods, as the boycotted items were largely household articles such as tea and cloth. Women had to return to knitting goods and to spinning and weaving their own cloth—skills that had fallen into disuse. In 1769, the women of Boston produced 40,000 skeins of yarn, and 180 women in Middletown, Massachusetts wove of cloth. Many women gathered food, money, clothes, and other supplies during the war to help the soldiers. A woman's loyalty to her husband could become an open political act, especially for women in America committed to men who remained loyal to the King. Legal divorce, usually rare, was granted to Patriot women whose husbands supported the King.
Other participants
France and Spain
In early 1776, France set up a major program of aid to the Americans, and the Spanish secretly added funds. Each country spent one million "livres tournaises" to buy munitions. A dummy corporation run by Pierre Beaumarchais concealed their activities. American Patriots obtained some munitions from the Dutch Republic as well, through the French and Spanish ports in the West Indies. Heavy expenditures and a weak taxation system pushed France toward bankruptcy.
In 1777, Charles François Adrien le Paulmier, Chevalier d'Annemours, acting as a secret agent for France, made sure General George Washington was privy to his mission. He followed Congress around for the next two years, reporting what he observed back to France. The Treaty of Alliance between the French and the Americans followed in 1778, which led to more French money, matériel and troops being sent to the United States.
Spain did not officially recognize the United States, but it was a French ally and it separately declared war on Britain on June 21, 1779. Bernardo de Gálvez, general of the Spanish forces in New Spain, also served as governor of Louisiana. He led an expedition of colonial troops to capture Florida from the British and to keep open a vital conduit for supplies.
Germans
Ethnic Germans served on both sides of the American Revolutionary War. As George III was also the Elector of Hanover, many supported the Loyalist cause and served as allies of the Kingdom of Great Britain; most notably rented auxiliary troops from German states such as the Landgraviate of Hessen-Kassel.
American Patriots tended to represent such troops as mercenaries in propaganda against the British Crown. Even American historians followed suit, in spite of Colonial-era jurists drawing a distinction between auxiliaries and mercenaries, with auxiliaries serving their prince when sent to the aid of another prince, and mercenaries serving a foreign prince as individuals. By this distinction the troops which served in the American Revolution were auxiliaries.
Other German individuals came to assist the American revolutionaries, most notably Friedrich Wilhelm von Steuben, who served as a general in the Continental Army and is credited with professionalizing that force, but most Germans who served were already colonists. Von Steuben's native Prussia joined the League of Armed Neutrality, and King Frederick II of Prussia was well appreciated in the United States for his support early in the war. He expressed interest in opening trade with the United States and bypassing English ports, and allowed an American agent to buy arms in Prussia. Frederick predicted American success, and promised to recognize the United States and American diplomats once France did the same. Prussia also interfered in the recruiting efforts of Russia and neighboring German states when they raised armies to send to the Americas, and Frederick II forbade enlistment for the American war within Prussia. All Prussian roads were denied to troops from Anhalt-Zerbst, which delayed reinforcements that Howe had hoped to receive during the winter of 1777–1778.
However, when the War of the Bavarian Succession (1778-1779) erupted, Frederick II became much more cautious with Prussian/British relations. U.S. ships were denied access to Prussian ports, and Frederick refused to officially recognize the United States until they had signed the Treaty of Paris. Even after the war, Frederick II predicted that the United States was too large to operate as a republic, and that it would soon rejoin the British Empire with representatives in Parliament.
Native Americans
Most indigenous people rejected pleas that they remain neutral and instead supported the British Crown. The great majority of the 200,000 indigenous people east of the Mississippi distrusted the Americans and supported the British cause, hoping to forestall continued expansion of settlement into their territories. Those tribes closely involved in trade tended to side with the Patriots, although political factors were important as well. Some indigenous people tried to remain neutral, seeing little value in joining what they perceived to be a "white man's war", and fearing reprisals from whichever side they opposed.
The great majority of indigenous people did not participate directly in the war, with the notable exceptions of warriors and bands associated with four of the Iroquois tribes in New York and Pennsylvania which allied with the British, and the Oneida and Tuscarora tribes among the Iroquois of central and western New York who supported the American cause. The British did have other allies, particularly in the regions of southwest Quebec on the Patriot's frontier. The British provided arms to indigenous people who were led by Loyalists in war parties to raid frontier settlements from the Carolinas to New York. These war parties managed to kill many settlers on the frontier, especially in Pennsylvania and New York's Mohawk Valley.
In 1776, Cherokee war parties attacked American Colonists all along the southern Quebec frontier of the uplands throughout the Washington District, North Carolina (now Tennessee) and the Kentucky wilderness area. The Chickamauga Cherokee under Dragging Canoe allied themselves closely with the British, and fought on for an additional decade after the Treaty of Paris was signed. They would launch raids with roughly 200 warriors, as seen in the Cherokee–American wars; they could not mobilize enough forces to invade settler areas without the help of allies, most often the Creek.
Joseph Brant (also Thayendanegea) of the powerful Mohawk tribe in New York was the most prominent indigenous leader against the Patriot forces. In 1778 and 1780, he led 300 Iroquois warriors and 100 white Loyalists in multiple attacks on small frontier settlements in New York and Pennsylvania, killing many settlers and destroying villages, crops, and stores.
In 1779, the Continental Army forced the hostile indigenous people out of upstate New York when Washington sent an army under John Sullivan which destroyed 40 evacuated Iroquois villages in central and western New York. Sullivan systematically burned the empty villages and destroyed about 160,000 bushels of corn that composed the winter food supply. The Battle of Newtown proved decisive, as the Patriots had an advantage of three-to-one, and it ended significant resistance; there was little combat otherwise. Facing starvation and homeless for the winter, the Iroquois fled to Canada. The British resettled them in Ontario, providing land grants as compensation for some of their losses.
At the peace conference following the war, the British ceded lands which they did not really control, and which they did not consult about with their indigenous allies during the treaty negotiations. They transferred control to the United States of all the land south of the Great Lakes east of the Mississippi and north of Florida. Calloway concludes:
The British did not give up their forts until 1796 in the Ohio country and Illinois country; they kept alive the dream of forming an allied indigenous nation there, which they referred to an "Indian barrier state". That goal was one of the causes of the War of 1812.
Black Americans
Free blacks in the New England Colonies and Middle Colonies in the North as well as Southern Colonies fought on both sides of the War, but the majority fought for the Patriots. Gary Nash reports that there were about 9,000 black veteran Patriots, counting the Continental Army and Navy, state militia units, privateers, wagoneers in the Army, servants to officers, and spies. Ray Raphael notes that thousands did join the Loyalist cause, but "a far larger number, free as well as slave, tried to further their interests by siding with the patriots." Crispus Attucks was one of the five people killed in the Boston Massacre in 1770 and is considered the first American casualty for the cause of independence.
The effects of the war were more dramatic in the South. Tens of thousands of slaves escaped to British lines throughout the South, causing dramatic losses to slaveholders and disrupting cultivation and harvesting of crops. For instance, South Carolina was estimated to have lost about 25,000 slaves to flight, migration, or death which amounted to a third of its slave population. From 1770 to 1790, the black proportion of the population (mostly slaves) in South Carolina dropped from 60.5 percent to 43.8 percent, and from 45.2 percent to 36.1 percent in Georgia.
During the war, the British commanders attempted to weaken the Patriots by issuing proclamations of freedom to their slaves. In the November 1775 document known as Dunmore's Proclamation Virginia royal governor, Lord Dunmore recruited black men into the British forces with the promise of freedom, protection for their families, and land grants. Some men responded and briefly formed the British Ethiopian Regiment. Historian David Brion Davis explains the difficulties with a policy of wholesale arming of the slaves:
Davis underscores the British dilemma: "Britain, when confronted by the rebellious American colonists, hoped to exploit their fear of slave revolts while also reassuring the large number of slave-holding Loyalists and wealthy Caribbean planters and merchants that their slave property would be secure". The Americans, however, accused the British of encouraging slave revolts, with the issue becoming one of the 27 colonial grievances.
The existence of slavery in the American colonies had attracted criticism from both sides of the Atlantic as many could not reconcile the existence of the institution with the egalitarian ideals espoused by leaders of the Revolution. British writer Samuel Johnson wrote "how is it we hear the loudest yelps for liberty among the drivers of the Negroes?" in a text opposing the grievances of the colonists. Referring to this contradiction, English abolitionist Thomas Day wrote in a 1776 letter that African American writer Lemuel Haynes expressed similar viewpoints in his essay Liberty Further Extended where he wrote that "Liberty is Equally as pre[c]ious to a Black man, as it is to a white one". Thomas Jefferson unsuccessfully attempted to include a section in the Declaration of Independence which asserted that King George III had "forced" the slave trade onto the colonies. Despite the turmoil of the period, African-Americans contributed to the foundation of an American national identity during the Revolution. Phyllis Wheatley, an African-American poet, popularized the image of Columbia to represent America. She came to public attention when her Poems on Various Subjects, Religious and Moral appeared in 1773, and received praise from George Washington.
The 1779 Philipsburg Proclamation expanded the promise of freedom for black men who enlisted in the British military to all the colonies in rebellion. British forces gave transportation to 10,000 slaves when they evacuated Savannah and Charleston, carrying through on their promise. They evacuated and resettled more than 3,000 Black Loyalists from New York to Nova Scotia, Upper Canada, and Lower Canada. Others sailed with the British to England or were resettled as freedmen in the West Indies of the Caribbean. But slaves carried to the Caribbean under control of Loyalist masters generally remained slaves until British abolition of slavery in its colonies in 1833–1838. More than 1,200 of the Black Loyalists of Nova Scotia later resettled in the British colony of Sierra Leone, where they became leaders of the Krio ethnic group of Freetown and the later national government. Many of their descendants still live in Sierra Leone, as well as other African countries.
Effects of the Revolution
After the Revolution, genuinely democratic politics became possible in the former American colonies. The rights of the people were incorporated into state constitutions. Concepts of liberty, individual rights, equality among men and hostility toward corruption became incorporated as core values of liberal republicanism. The greatest challenge to the old order in Europe was the challenge to inherited political power and the democratic idea that government rests on the consent of the governed. The example of the first successful revolution against a European empire, and the first successful establishment of a republican form of democratically elected government, provided a model for many other colonial peoples who realized that they too could break away and become self-governing nations with directly elected representative government.
Interpretations
Interpretations vary concerning the effect of the Revolution. Historians such as Bernard Bailyn, Gordon Wood, and Edmund Morgan view it as a unique and radical event which produced deep changes and had a profound effect on world affairs, such as an increasing belief in the principles of the Enlightenment. These were demonstrated by a leadership and government that espoused protection of natural rights, and a system of laws chosen by the people. John Murrin, by contrast, argues that the definition of "the people" at that time was mostly restricted to free men who passed a property qualification. This view argues that any significant gain of the revolution was irrelevant in the short term to women, black Americans and slaves, poor white men, youth, and Native Americans.
Gordon Wood states:
The American Revolution was integral to the changes occurring in American society, politics and culture .... These changes were radical, and they were extensive .... The Revolution not only radically changed the personal and social relationships of people, including the position of women, but also destroyed aristocracy as it'd been understood in the Western world for at least two millennia.
Edmund Morgan has argued that, in terms of long-term impact on American society and values:
The Revolution did revolutionize social relations. It did displace the deference, the patronage, the social divisions that had determined the way people viewed one another for centuries and still view one another in much of the world. It did give to ordinary people a pride and power, not to say an arrogance, that have continued to shock visitors from less favored lands. It may have left standing a host of inequalities that have troubled us ever since. But it generated the egalitarian view of human society that makes them troubling and makes our world so different from the one in which the revolutionists had grown up.
Inspiring other independence movements and revolutions
The first shot of the American Revolution at the Battle of Lexington and Concord is referred to as the "shot heard 'round the world" due to its historical and global significance. The Revolutionary War victory not only established the United States as the first modern constitutional republic, but marked the transition from an age of monarchy to a new age of freedom by inspiring similar movements worldwide. The American Revolution was the first of the "Atlantic Revolutions": followed most notably by the French Revolution, the Haitian Revolution, and the Latin American wars of independence. Aftershocks contributed to rebellions in Ireland, the Polish–Lithuanian Commonwealth, and the Netherlands.
The U.S. Constitution, drafted shortly after independence, remains the world's oldest written constitution, and has been emulated by other countries, in some cases verbatim. Some historians and scholars argue that the subsequent wave of independence and revolutionary movements has contributed to the continued expansion of democratic government; 144 countries, representing two-third of the world's population, are full or partially democracies of same form.
The Dutch Republic, also at war with Britain, was the next country after France to sign a treaty with the United States, on October 8, 1782. On April 3, 1783, Ambassador Extraordinary Gustaf Philip Creutz, representing King Gustav III of Sweden, and Benjamin Franklin, signed a Treaty of Amity and Commerce with the U.S.
The Revolution had a strong, immediate influence in Great Britain, Ireland, the Netherlands, and France. Many British and Irish Whigs in Parliament spoke glowingly in favor of the American cause. In Ireland, the Protestant minority who controlled Ireland demanded self-rule. Under the leadership of Henry Grattan, the Irish Patriot Party forced the reversal of mercantilist prohibitions against trade with other British colonies. The King and his cabinet in London could not risk another rebellion on the American model, and so made a series of concessions to the Patriot faction in Dublin. Armed volunteer units of the Protestant Ascendancy were set up ostensibly to protect against an invasion from France. As had been in colonial America, so too in Ireland now the King no longer had a monopoly of lethal force.
For many Europeans, such as the Marquis de Lafayette, who later were active during the era of the French Revolution, the American case along with the Dutch Revolt (end of the 16th century) and the 17th century English Civil War, was among the examples of overthrowing an old regime. The American Declaration of Independence influenced the French Declaration of the Rights of Man and of the Citizen of 1789. The spirit of the Declaration of Independence led to laws ending slavery in all the Northern states and the Northwest Territory, with New Jersey the last in 1804. States such as New Jersey and New York adopted gradual emancipation, which kept some people as slaves for more than two decades longer.
Status of African Americans
During the revolution, the contradiction between the Patriots' professed ideals of liberty and the institution of slavery generated increased scrutiny of the latter. As early as 1764, the Boston Patriot leader James Otis, Jr. declared that all men, "white or black", were "by the law of nature" born free. Anti-slavery calls became more common in the early 1770s. In 1773, Benjamin Rush, the future signer of the Declaration of Independence, called on "advocates for American liberty" to oppose slavery, writing, "The plant of liberty is of so tender a nature that it cannot thrive long in the neighborhood of slavery.". The contradiction between calls for liberty and the continued existence of slavery also opened up the Patriots to charges of hypocrisy. In 1775, the English Tory writer Samuel Johnson asked, "How is it that we hear the loudest yelps for liberty among the drivers of negroes?"
In the late 1760s and early 1770s, several colonies, including Massachusetts and Virginia, attempted to restrict the slave trade, but were prevented from doing so by royally appointed governors. In 1774, as part of a broader non-importation movement aimed at Britain, the Continental Congress called on all the colonies to ban the importation of slaves, and the colonies passed acts doing so. In 1775, the Quakers founded first antislavery society in the Western world, the Pennsylvania Abolition Society.
In the first two decades after the American Revolution, state legislatures and individuals took actions to free slaves, in part based on revolutionary ideals. Northern states passed new constitutions that contained language about equal rights or specifically abolished slavery; some states, such as New York and New Jersey, where slavery was more widespread, passed laws by the end of the 18th century to abolish slavery by a gradual method. By 1804, all the northern states had passed laws outlawing slavery, either immediately or over time. In New York, the last slaves were freed in 1827. Indentured servitude (temporary slavery), which had been widespread in the colonies (half the population of Philadelphia had once been bonded servants) dropped dramatically, and disappeared by 1800.
No southern state abolished slavery, but for a period individual owners could free their slaves by personal decision, often providing for manumission in wills but sometimes filing deeds or court papers to free individuals. Numerous slaveholders who freed their slaves cited revolutionary ideals in their documents; others freed slaves as a reward for service. Records also suggest that some slaveholders were freeing their own mixed-race children, born into slavery to slave mothers. The number of free blacks as a proportion of the black population in the upper South increased from less than 1 percent to nearly 10 percent between 1790 and 1810 as a result of these actions. Nevertheless, slavery continued in the South, where it became a "peculiar institution", setting the stage for future sectional conflict between North and South over the issue.
Thousands of free Blacks in the northern states fought in the state militias and Continental Army. In the south, both sides offered freedom to slaves who would perform military service. Roughly 20,000 slaves fought in the American Revolution.
Status of American women
The democratic ideals of the Revolution inspired changes in the roles of women.
The concept of republican motherhood was inspired by this period and reflects the importance of revolutionary republicanism as the dominant American ideology. It assumed that a successful republic rested upon the virtue of its citizens. Women were considered to have the essential role of instilling their children with values conducive to a healthy republic. During this period, the wife's relationship with her husband also became more liberal, as love and affection instead of obedience and subservience began to characterize the ideal marital relationship. In addition, many women contributed to the war effort through fundraising and running family businesses without their husbands.
The traditional constraints gave way to more liberal conditions for women. Young people had more freedom to choose their spouses and more often used birth control to regulate the size of their families. Society emphasized the role of mothers in child rearing, especially the patriotic goal of raising republican children rather than those locked into aristocratic value systems. There was more permissiveness in child-rearing. Patriot women married to Loyalists who left the state could get a divorce and obtain control of the ex-husband's property.
Whatever gains they had made, however, women still found themselves subordinated, legally and socially, to their husbands, disfranchised and usually with only the role of mother open to them. But, some women earned livelihoods as midwives and in other roles in the community not originally recognized as significant by men.
Abigail Adams expressed to her husband, the president, the desire of women to have a place in the new republic:
The Revolution sparked a discussion on the rights of woman and an environment favorable to women's participation in politics. Briefly the possibilities for women's rights were highly favorable, but a backlash led to a greater rigidity that excluded women from politics.
For more than thirty years, however, the 1776 New Jersey State Constitution gave the vote to "all inhabitants" who had a certain level of wealth, including unmarried women and blacks (not married women because they could not own property separately from their husbands), until in 1807, when that state legislature passed a bill interpreting the constitution to mean universal white male suffrage, excluding paupers.
Loyalist expatriation
Tens of thousands of Loyalists left the United States following the war, and Maya Jasanoff estimates as many as 70,000. Some migrated to Britain, but the great majority received land and subsidies for resettlement in British colonies in North America, especially Quebec (concentrating in the Eastern Townships), Prince Edward Island, and Nova Scotia. Britain created the colonies of Upper Canada (Ontario) and New Brunswick expressly for their benefit, and the Crown awarded land to Loyalists as compensation for losses in the United States. Nevertheless, approximately eighty-five percent of the Loyalists stayed in the United States as American citizens, and some of the exiles later returned to the U.S. Patrick Henry spoke of the issue of allowing Loyalists to return as such: "Shall we, who have laid the proud British lion at our feet, be frightened of its whelps?" His actions helped secure return of the Loyalists to American soil.
Commemorations
The American Revolution has a central place in the American memory as the story of the nation's founding. It is covered in the schools, memorialized by two national holidays, Washington's Birthday in February and Independence Day in July, and commemorated in innumerable monuments. George Washington's estate at Mount Vernon was one of the first national pilgrimages for tourists and attracted 10,000 visitors a year by the 1850s.
The Revolution became a matter of contention in the 1850s in the debates leading to the American Civil War (1861–1865), as spokesmen of both the Northern United States and the Southern United States claimed that their region was the true custodian of the legacy of 1776. The United States Bicentennial in 1976 came a year after the American withdrawal from the Vietnam War, and speakers stressed the themes of renewal and rebirth based on a restoration of traditional values.
Today, more than 100 battlefields and historic sites of the American Revolution are protected and maintained by the government. The National Park Service alone manages and maintains more than 50 battlefield parks and many other sites such as Independence Hall that are related to the Revolution, as well as the residences, workplaces and meeting places of many Founders and other important figures. The private American Battlefield Trust uses government grants and other funds to preserve almost 700 acres of battlefield land in six states, and the ambitious private recreation/restoration/preservation/interpretation of over 300 acres of pre-1790 Colonial Williamsburg was created in the first half of the 20th century for public visitation.
See also
List of films about the American Revolution
List of George Washington articles
List of television series and miniseries about the American Revolution
Museum of the American Revolution
Notes
References
General sources
Bibliography
Reference works
Barnes, Ian, and Charles Royster. The Historical Atlas of the American Revolution (2000), maps and commentary excerpt and text search
Herrera, Ricardo A. "American War of Independence" Oxford Bibliographies (2017) annotated guide to major scholarly books and articles online
Kennedy, Frances H. The American Revolution: A Historical Guidebook (2014) A guide to 150 famous historical sites.
Purcell, L. Edward. Who Was Who in the American Revolution (1993); 1500 short biographies
Surveys of the era
Alden, John R. A history of the American Revolution (1966) 644 pp online free to borrow, A scholarly general survey
Allison, Robert. The American Revolution: A Concise History (2011) 128 pp excerpt and text search
Atkinson, Rick. The British Are Coming: The War for America, Lexington to Princeton, 1775–1777 (2019) (vol 1 of his 'The Revolution Trilogy'); called, "one of the best books written on the American War for Independence," [Journal of Military History Jan 2020 p. 268]; the maps are online here
Bancroft, George. History of the United States of America, from the discovery of the American continent. (1854–78), vol 4–10 online edition, classic 19th century narrative; highly detailed
Brown, Richard D., and Thomas Paterson, eds. Major Problems in the Era of the American Revolution, 1760–1791: Documents and Essays (2nd ed. 1999)
Cogliano, Francis D. Revolutionary America, 1763–1815; A Political History (2nd ed. 2008), British textbook
Ellis, Joseph J. American Creation: Triumphs and Tragedies in the Founding of the Republic (2008) excerpt and text search
Higginbotham, Don. The War of American Independence: Military Attitudes, Policies, and Practice, 1763–1789 (1983) Online in ACLS Humanities E-book Project; comprehensive coverage of military and domestic aspects of the war.
Lecky, William Edward Hartpole. The American Revolution, 1763–1783 (1898), older British perspective online edition
Mackesy, Piers. The War for America: 1775–1783 (1992), British military study
Middlekauff, Robert. The Glorious Cause: The American Revolution, 1763–1789 (Oxford History of the United States, 2005).
Miller, John C. Triumph of Freedom, 1775–1783 (1948)
Miller, John C. Origins of the American Revolution (1943), to 1775
Rakove, Jack N. Revolutionaries: A New History of the Invention of America (2010) interpretation by leading scholar excerpt and text search
Taylor, Alan. American Revolutions: A Continental History, 1750–1804 (2016) 704 pp; recent survey by leading scholar
Weintraub, Stanley. Iron Tears: Rebellion in America 1775–83 (2005) excerpt and text search, popular
Wrong, George M. Washington and His Comrades in Arms: A Chronicle of the War of Independence (1921) online short survey by Canadian scholar online
Specialized studies
Baer, Friederike. Hessians: German Soldiers in the American Revolutionary War (Oxford University Press, 2022). Publisher's website.
Bailyn, Bernard. The Ideological Origins of the American Revolution. (Harvard University Press, 1967).
Becker, Frank: The American Revolution as a European Media Event, European History Online, Mainz: Institute of European History, 2011, retrieved: October 25, 2011.
Fischer, David Hackett. Washington's Crossing (2004). 1776 campaigns; Pulitzer prize.
Horne, Gerald. The Counter-Revolution of 1776: Slave Resistance and the Origins of the United States of America. (New York University Press, 2014).
Langley, Lester D. The Long American Revolution and Its Legacy(U of Georgia Press, 2019) online review emphasis on long-term global impact.
McCullough, David. 1776 (2005). ; popular narrative of the year 1776
Maier, Pauline. American Scripture: Making the Declaration of Independence (1998) excerpt and text search
Nash, Gary B. The Unknown American Revolution: The Unruly Birth of Democracy and the Struggle to Create America. (2005).
Nevins, Allan; The American States during and after the Revolution, 1775–1789 1927. online edition
Norton, Mary Beth. 1774: The Long Year of Revolution (2020) online review by Gordon S. Wood
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Palmer, Robert R. The Age of the Democratic Revolution: A Political History of Europe and America, 1760–1800. vol 1 (1959)
Rothbard, Murray, Conceived in Liberty (2011), Volume III: Advance to Revolution, 1760–1775 and Volume IV: The Revolutionary War, 1775–1784. , libertarian perspective
Van Tyne, Claude Halstead. American Loyalists: The Loyalists in the American Revolution (1902) online edition
Volo, James M. and Dorothy Denneen Volo. Daily Life during the American Revolution (2003)
Wahlke, John C. ed. The Causes of the American Revolution (1967) primary and secondary readings online
Wood, Gordon S. American Revolution (2005) [excerpt and text search] 208 pp excerpt and text search
Historiography
Allison, David, and Larrie D. Ferreiro, eds. The American Revolution: A World War (Smithsonian, 2018) excerpt
Breen, Timothy H. "Ideology and nationalism on the eve of the American Revolution: Revisions once more in need of revising." Journal of American History (1997): 13–39. in JSTOR
Countrymen, Edward. "Historiography" in Harold E. Selesky, ed., Encyclopedia of the American Revolution (Gale, 2006) pp. 501–508.
Gibson, Alan. Interpreting the Founding: Guide to the Enduring Debates over the Origins and Foundations of the American Republic (2006).
Hattem, Michael D. "The Historiography of the American Revolution" Journal of the American Revolution (2013) online outlines ten different scholarly approaches
Morgan, Gwenda. The Debate on the American Revolution (2007). Manchester University Press.
Schocket, Andrew M. Fighting over the Founders: How We Remember the American Revolution (2014). . How politicians, screenwriters, activists, biographers, museum professionals, and re-enactors portray the American Revolution. excerpt
Sehat, David. The Jefferson Rule: How the Founding Fathers Became Infallible and Our Politics Inflexible (2015). excerpt
Shalhope, Robert E. "Toward a republican synthesis: the emergence of an understanding of republicanism in American historiography." William and Mary Quarterly (1972): 49–80. in JSTOR
Waldstreicher, David. "The Revolutions of Revolution Historiography: Cold War Contradance, Neo-Imperial Waltz, or Jazz Standard?" Reviews in American History 42.1 (2014): 23–35. online
Wood, Gordon S. "Rhetoric and Reality in the American Revolution." William and Mary Quarterly (1966): 4–32. in JSTOR
Young, Alfred F. and Gregory H. Nobles. Whose American Revolution Was It? Historians Interpret the Founding (2011). NYU Press.
Primary sources
The American Revolution: Writings from the War of Independence (2001), Library of America
Dann, John C., ed. The Revolution Remembered: Eyewitness Accounts of the War for Independence (1999). . excerpt and text search, recollections by ordinary soldiers
Humphrey, Carol Sue, ed. The Revolutionary Era: Primary Documents on Events from 1776 to 1800 (2003), Greenwood Press. , Newspaper accounts excerpt and text search
Jensen, Merill, ed. Tracts of the American Revolution, 1763–1776 (1967). American pamphlets
Jensen, Merill, ed. English Historical Documents: American Colonial Documents to 1776: Volume 9 (1955), 890pp; major collection of important documents
Morison, Samuel E. ed. Sources and Documents Illustrating the American Revolution, 1764–1788, and the Formation of the Federal Constitution (1923). .
Tansill, Charles C. ed.; Documents Illustrative of the Formation of the Union of the American States. (1927). Government Printing Office. .
Martin Kallich and Andrew MacLeish, eds. The American Revolution through British eyes (1962) primary documents
Contemporaneous sources: Annual Register
Murdoch, David H. ed. Rebellion in America: A Contemporary British Viewpoint, 1769–1783 (1979), 900+ pp of annotated excerpts from Annual Register
Annual Register 1773, British compendium of speeches and reports
Annual Register 1774
Annual Register 1775
Annual Register 1776
Annual Register 1777
Annual Register 1778
Annual Register 1779
Annual Register 1780
Annual Register 1781
Annual Register 1782
Annual Register 1783
External links
American Revolution, US National Park Service website portal
''American Independence Teaching with Historic Places uses historic places in National Parks and the National Park Service's National Register of Historic Places to enliven history, social studies, geography, civics, and other subjects
Library of Congress Guide to the American Revolution
"Hessians:" German Soldiers in the American Revolutionary War. Academic blog with original German sources, English translations, and commentary.
Museum of the American Revolution
Revolution! The Atlantic World Reborn, explores the transformations in the world's politics from 1763 to 1815, with particular attention to three revolutions in America, France, and Haiti. Linking the attack on monarchism and aristocracy to the struggle against slavery, it at how freedom, equality, and sovereignty of the people became universal goals. New-York Historical Society
132 historic photographs dealing with the personalities, monuments, weapons and locations of the American Revolution; these are pre-1923 and out of copyright.
Pictures of the Revolutionary War: Select Audiovisual Records, National Archives and Records Administration images, including non-military events and portraits
The Democratic Revolution of the Enlightenment. Legacy of the struggle for independence and democracy.
PBS Television Series Liberty
Chickasaws Conflicted by the American Revolution – Chickasaw.TV
Smithsonian study unit on Revolutionary Money
The American Revolution, the History Channel (US cable television) website
Black Loyalist Heritage Society
Spanish and Latin American contribution to the American Revolution
American Archives: Documents of the American Revolution at Northern Illinois University Libraries
"Counter-Revolution of 1776": Was U.S. Independence War a Conservative Revolt in Favor of Slavery? Democracy Now! June 27, 2014.
1760s conflicts
1770s conflicts
1780s conflicts
1770s in the United States
1780s in the United States
18th-century rebellions
18th-century revolutions
Age of Enlightenment
Legal history of the United States
Coups d'état and coup attempts in the United States
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Alpha Centauri (α Centauri, Alpha Cen, or α Cen) is a triple star system in the southern constellation of Centaurus. It consists of three stars: Rigil Kentaurus (Alpha Centauri A), Toliman (B) and Proxima Centauri (C). Proxima Centauri is the closest star to the Sun at 4.2465 light-years (1.3020 pc).
Alpha Centauri A and B are Sun-like stars (Class G and K, respectively), and together form the binary star system Alpha Centauri AB. To the naked eye, the two main components appear to be a single star with an apparent magnitude of −0.27. It is the brightest star in the constellation and the third-brightest in the night sky, outshone only by Sirius and Canopus.
Alpha Centauri A has 1.1 times the mass and 1.5 times the luminosity of the Sun, while Alpha Centauri B is smaller and cooler, at 0.9 solar mass and less than 0.5 solar luminosity. The pair orbit around a common centre with an orbital period of 79 years. Their elliptical orbit is eccentric, so that the distance between A and B varies from 35.6 astronomical units (AU), or about the distance between Pluto and the Sun, to 11.2 AU, or about the distance between Saturn and the Sun.
Alpha Centauri C, or Proxima Centauri, is a small faint red dwarf (Class M). Though not visible to the naked eye, Proxima Centauri is the closest star to the Sun at a distance of , slightly closer than Alpha Centauri AB. Currently, the distance between Proxima Centauri and Alpha Centauri AB is about , equivalent to about 430 times the radius of Neptune's orbit.
Proxima Centauri has two confirmed planets: Proxima b, an Earth-sized planet in the habitable zone discovered in 2016, and Proxima d, a candidate sub-Earth which orbits very closely to the star, announced in 2022. The existence of Proxima c, a mini-Neptune 1.5 AU away discovered in 2019, is controversial. Alpha Centauri A may have a candidate Neptune-sized planet in the habitable zone, though it is not yet known to be planetary in nature and could be an artifact of the discovery mechanism. Alpha Centauri B has no known planets: planet Bb, purportedly discovered in 2012, was later disproven, and no other planet has yet been confirmed.
Etymology and nomenclature
α Centauri (Latinised to Alpha Centauri) is the system's designation given by Johann Bayer in 1603. It bears the traditional name Rigil Kentaurus, which is a Latinisation of the Arabic name Rijl al-Qinṭūrus, meaning 'the Foot of the Centaur'. The name is frequently abbreviated to Rigil Kent or even Rigil, though the latter name is better known for Rigel (Beta Orionis).
An alternative name found in European sources, Toliman, is an approximation of the Arabic aẓ-Ẓalīmān (in older transcription, aṭ-Ṭhalīmān), meaning 'the (two male) Ostriches', an appellation Zakariya al-Qazwini had applied to Lambda and Mu Sagittarii, also in the southern hemisphere.
A third name that has been used is Bungula (). Its origin is not known, but it may have been coined from the Greek letter beta (β) and Latin 'hoof'.
Alpha Centauri C was discovered in 1915 by Robert T. A. Innes, who suggested that it be named Proxima Centaurus, . The name Proxima Centauri later became more widely used and is now listed by the International Astronomical Union (IAU) as the approved proper name.
In 2016, the Working Group on Star Names of the IAU, having decided to attribute proper names to individual component stars rather than to multiple systems, approved the name Rigil Kentaurus () as being restricted to Alpha Centauri A and the name Proxima Centauri () for Alpha Centauri C. On 10 August 2018, the IAU approved the name Toliman () for Alpha Centauri B.
Observation
To the naked eye, Alpha Centauri AB appears to be a single star, the brightest in the southern constellation of Centaurus. Their apparent angular separation varies over about 80 years between 2 and 22 arcseconds (the naked eye has a resolution of 60 arcsec), but through much of the orbit, both are easily resolved in binoculars or small telescopes. At −0.27 apparent magnitude (combined for A and B magnitudes), Alpha Centauri is a first-magnitude star and is fainter only than Sirius and Canopus. It is the outer star of The Pointers or The Southern Pointers, so called because the line through Beta Centauri (Hadar/Agena), some 4.5° west, points to the constellation Crux—the Southern Cross. The Pointers easily distinguish the true Southern Cross from the fainter asterism known as the False Cross.
South of about 29° South latitude, Alpha Centauri is circumpolar and never sets below the horizon. North of about 29° N latitude, Alpha Centauri never rises. Alpha Centauri lies close to the southern horizon when viewed from the 29° North latitude to the equator (close to Hermosillo and Chihuahua City in Mexico; Galveston, Texas; Ocala, Florida; and Lanzarote, the Canary Islands of Spain), but only for a short time around its culmination. The star culminates each year at local midnight on 24 April and at local 9 p.m. on 8 June.
As seen from Earth, Proxima Centauri is 2.2° southwest from Alpha Centauri AB; this distance is about four times the angular diameter of the Moon. Proxima Centauri appears as a deep-red star of a typical apparent magnitude of 11.1 in a sparsely populated star field, requiring moderately sized telescopes to be seen. Listed as V645 Cen in the General Catalogue of Variable Stars Version 4.2, this UV Ceti star or "flare star" can unexpectedly brighten rapidly by as much as 0.6 magnitude at visual wavelengths, then fade after only a few minutes. Some amateur and professional astronomers regularly monitor for outbursts using either optical or radio telescopes. In August 2015, the largest recorded flares of the star occurred, with the star becoming 8.3 times brighter than normal on 13 August, in the B band (blue light region).
Alpha Centauri may be inside the G-cloud of the Local Bubble, and its nearest known system is the binary brown dwarf system Luhman 16, at from Alpha Centauri.
Observational history
Alpha Centauri is listed in the 2nd-century Almagest, the star catalog of Ptolemy. He gave its ecliptic coordinates, but texts differ as to whether the ecliptic latitude reads or . (Presently the ecliptic latitude is , but it has decreased by a fraction of a degree since Ptolemy's time due to proper motion.) In Ptolemy's time, Alpha Centauri was visible from Alexandria, Egypt, at but, due to precession, its declination is now , and it can no longer be seen at that latitude. English explorer Robert Hues brought Alpha Centauri to the attention of European observers in his 1592 work Tractatus de Globis, along with Canopus and Achernar, noting:
The binary nature of Alpha Centauri AB was recognized in December 1689 by Jean Richaud, while observing a passing comet from his station in Puducherry. Alpha Centauri was only the second binary star to be discovered, preceded by Acrux.
The large proper motion of Alpha Centauri AB was discovered by Manuel John Johnson, observing from Saint Helena, who informed Thomas Henderson at the Royal Observatory, Cape of Good Hope of it. The parallax of Alpha Centauri was subsequently determined by Henderson from many exacting positional observations of the AB system between April 1832 and May 1833. He withheld his results, however, because he suspected they were too large to be true, but eventually published them in 1839 after Friedrich Wilhelm Bessel released his own accurately determined parallax for 61 Cygni in 1838. For this reason, Alpha Centauri is sometimes considered as the second star to have its distance measured because Henderson's work was not fully acknowledged at first. (The distance of Alpha Centauri from the Earth is now reckoned at 4.396 light-years .)
Later, John Herschel made the first micrometrical observations in 1834. Since the early 20th century, measures have been made with photographic plates.
By 1926, William Stephen Finsen calculated the approximate orbit elements close to those now accepted for this system. All future positions are now sufficiently accurate for visual observers to determine the relative places of the stars from a binary star ephemeris. Others, like D. Pourbaix (2002), have regularly refined the precision of new published orbital elements.
Robert T. A. Innes discovered Proxima Centauri in 1915 by blinking photographic plates taken at different times during a proper motion survey. These showed large proper motion and parallax similar in both size and direction to those of Alpha Centauri AB, which suggested that Proxima Centauri is part of the Alpha Centauri system and slightly closer to Earth than Alpha Centauri AB. As such, Innes concluded that Proxima Centauri was the closest star to Earth yet discovered.
Kinematics
All components of Alpha Centauri display significant proper motion against the background sky. Over centuries, this causes their apparent positions to slowly change. Proper motion was unknown to ancient astronomers. Most assumed that the stars were permanently fixed on the celestial sphere, as stated in the works of the philosopher Aristotle. In 1718, Edmond Halley found that some stars had significantly moved from their ancient astrometric positions.
In the 1830s, Thomas Henderson discovered the true distance to Alpha Centauri by analysing his many astrometric mural circle observations. He then realised this system also likely had a high proper motion. In this case, the apparent stellar motion was found using Nicolas Louis de Lacaille's astrometric observations of 1751–1752, by the observed differences between the two measured positions in different epochs.
Calculated proper motion of the centre of mass for Alpha Centauri AB is about 3620 mas/y (milliarcseconds per year) toward the west and 694 mas/y toward the north, giving an overall motion of 3686 mas/y in a direction 11° north of west. The motion of the centre of mass is about 6.1 arcmin each century, or 1.02° each millennium. The speed in the western direction is and in the northerly direction . Using spectroscopy the mean radial velocity has been determined to be around towards the Solar System. This gives a speed with respect to the Sun of , very close to the peak in the distribution of speeds of nearby stars.
Since Alpha Centauri AB is almost exactly in the plane of the Milky Way as viewed from Earth, many stars appear behind it. In early May 2028, Alpha Centauri A will pass between the Earth and a distant red star, when there is a 45% probability that an Einstein ring will be observed. Other conjunctions will also occur in the coming decades, allowing accurate measurement of proper motions and possibly giving information on planets.
Predicted future changes
Based on the system's common proper motion and radial velocities, Alpha Centauri will continue to change its position in the sky significantly and will gradually brighten. For example, in about 6,200 AD, α Centauri's true motion will cause an extremely rare first-magnitude stellar conjunction with Beta Centauri, forming a brilliant optical double star in the southern sky. It will then pass just north of the Southern Cross or Crux, before moving northwest and up towards the present celestial equator and away from the galactic plane. By about 26,700 AD, in the present-day constellation of Hydra, Alpha Centauri will reach perihelion at away, though later calculations suggest that this will occur in 27,000 AD. At nearest approach, Alpha Centauri will attain a maximum apparent magnitude of −0.86, comparable to present-day magnitude of Canopus, but it will still not surpass that of Sirius, which will brighten incrementally over the next 60,000 years, and will continue to be the brightest star as seen from Earth (other than the Sun) for the next 210,000 years.
Stellar system
Alpha Centauri is a triple star system, with its two main stars, Alpha Centauri A and Alpha Centauri B, together comprising a binary component. The AB designation, or older A×B, denotes the mass centre of a main binary system relative to companion star(s) in a multiple star system. AB-C refers to the component of Proxima Centauri in relation to the central binary, being the distance between the centre of mass and the outlying companion. Because the distance between Proxima (C) and either of Alpha Centauri A or B is similar, the AB binary system is sometimes treated as a single gravitational object.
Orbital properties
The A and B components of Alpha Centauri have an orbital period of 79.762 years. Their orbit is moderately eccentric, as it has an eccentricity of almost 0.52; their closest approach or periastron is , or about the distance between the Sun and Saturn; and their furthest separation or apastron is , about the distance between the Sun and Pluto. The most recent periastron was in August 1955 and the next will occur in May 2035; the most recent apastron was in May 1995 and will next occur in 2075.
Viewed from Earth, the apparent orbit of A and B means that their separation and position angle (PA) are in continuous change throughout their projected orbit. Observed stellar positions in 2019 are separated by 4.92 arcsec through the PA of 337.1°, increasing to 5.49 arcsec through 345.3° in 2020. The closest recent approach was in February 2016, at 4.0 arcsec through the PA of 300°. The observed maximum separation of these stars is about 22 arcsec, while the minimum distance is 1.7 arcsec. The widest separation occurred during February 1976, and the next will be in January 2056.
Alpha Centauri C is about from Alpha Centauri AB, equivalent to about 5% of the distance between Alpha Centauri AB and the Sun. Until 2017, measurements of its small speed and its trajectory were of too little accuracy and duration in years to determine whether it is bound to Alpha Centauri AB or unrelated.
Radial velocity measurements made in 2017 were precise enough to show that Proxima Centauri and Alpha Centauri AB are gravitationally bound. The orbital period of Proxima Centauri is approximately years, with an eccentricity of 0.5, much more eccentric than Mercury's. Proxima Centauri comes within of AB at periastron, and its apastron occurs at .
Physical properties
Asteroseismic studies, chromospheric activity, and stellar rotation (gyrochronology) are all consistent with the Alpha Centauri system being similar in age to, or slightly older than, the Sun. Asteroseismic analyses that incorporate tight observational constraints on the stellar parameters for the Alpha Centauri stars have yielded age estimates of Gyr, Gyr, 5.2 ± 1.9 Gyr, 6.4 Gyr, and Gyr. Age estimates for the stars based on chromospheric activity (Calcium H & K emission) yield 4.4 ± 2.1 Gyr, whereas gyrochronology yields Gyr. Stellar evolution theory implies both stars are slightly older than the Sun at 5 to 6 billion years, as derived by their mass and spectral characteristics.
From the orbital elements, the total mass of Alpha Centauri AB is about – or twice that of the Sun. The average individual stellar masses are about and , respectively, though slightly different masses have also been quoted in recent years, such as and , totalling . Alpha Centauri A and B have absolute magnitudes of +4.38 and +5.71, respectively.
Alpha Centauri AB System
Alpha Centauri A
Alpha Centauri A, also known as Rigil Kentaurus, is the principal member, or primary, of the binary system. It is a solar-like main-sequence star with a similar yellowish colour, whose stellar classification is spectral type G2-V; it is about 10% more massive than the Sun, with a radius about 22% larger. When considered among the individual brightest stars in the night sky, it is the fourth-brightest at an apparent magnitude of +0.01, being slightly fainter than Arcturus at an apparent magnitude of −0.05.
The type of magnetic activity on Alpha Centauri A is comparable to that of the Sun, showing coronal variability due to star spots, as modulated by the rotation of the star. However, since 2005 the activity level has fallen into a deep minimum that might be similar to the Sun's historical Maunder Minimum. Alternatively, it may have a very long stellar activity cycle and is slowly recovering from a minimum phase.
Alpha Centauri B
Alpha Centauri B, also known as Toliman, is the secondary star of the binary system. It is a main-sequence star of spectral type K1-V, making it more an orange colour than Alpha Centauri A; it has around 90% of the mass of the Sun and a 14% smaller diameter. Although it has a lower luminosity than A, Alpha Centauri B emits more energy in the X-ray band. Its light curve varies on a short time scale, and there has been at least one observed flare. It is more magnetically active than Alpha Centauri A, showing a cycle of compared to 11 years for the Sun, and has about half the minimum-to-peak variation in coronal luminosity of the Sun. Alpha Centauri B has an apparent magnitude of +1.35, slightly dimmer than Mimosa.
Alpha Centauri C (Proxima Centauri)
Alpha Centauri C, better known as Proxima Centauri, is a small main-sequence red dwarf of spectral class M6-Ve. It has an absolute magnitude of +15.60, over 20,000 times fainter than the Sun. Its mass is calculated to be . It is the closest star to the Sun but is too faint to be visible to the naked eye.
Planetary system
The Alpha Centauri system as a whole has two confirmed planets, both of them around Proxima Centauri. While other planets have been claimed to exist around all of the stars, none of the discoveries have been confirmed.
Planets of Proxima Centauri
Proxima Centauri b is a terrestrial planet discovered in 2016 by astronomers at the European Southern Observatory (ESO). It has an estimated minimum mass of 1.17 (Earth masses) and orbits approximately 0.049 AU from Proxima Centauri, placing it in the star's habitable zone.
Proxima Centauri c is a planet that was formally published in 2020 and could be a super-Earth or mini-Neptune. It has a mass of roughly 7 and orbits about 1.49 AU from Proxima Centauri with a period of . In June 2020, a possible direct imaging detection of the planet hinted at the potential presence of a large ring system. However, a 2022 study disputed the existence of this planet.
A 2020 paper refining Proxima b's mass excludes the presence of extra companions with masses above at periods shorter than 50 days, but the authors detected a radial-velocity curve with a periodicity of 5.15 days, suggesting the presence of a planet with a mass of about . This planet, Proxima Centauri d, was confirmed in 2022.
Planets of Alpha Centauri A
In 2021, a candidate planet named Candidate 1 (abbreviated as C1) was detected around Alpha Centauri A, thought to orbit at approximately 1.1 AU with a period of about one year, and to have a mass between that of Neptune and one-half that of Saturn, though it may be a dust disk or an artifact. The possibility of C1 being a background star has been ruled out. If this candidate is confirmed, the temporary name C1 will most likely be replaced with the scientific designation Alpha Centauri Ab in accordance with current naming conventions.
GO Cycle 1 observations are planned for the James Webb Space Telescope (JWST) to search for planets around Alpha Centauri A. The observations are planned to occur at a date between July and August 2023. Pre-launch estimates predicted that JWST will be able to find planets with a radius of 5 at 1–3 au. Multiple observations every 3–6 months could push the limit down to 3 . Post-processing techniques could push the limit down to 0.5 to 0.7 . Post-launch estimates based on observations of HIP 65426 b find that JWST will be able to find planets even closer to Alpha Centauri A and could find a 5 planet at 0.5 to 2.5 au. Candidate 1 has an estimated radius between 3.3 and 11 and orbits at 1.1 au. It is therefore likely within the reach of JWST observations.
Planets of Alpha Centauri B
In 2012, a planet around Alpha Centauri B was reported, Alpha Centauri Bb, but in 2015 a new analysis concluded that that report was an artifact of the datum analysis.
A possible transit-like event was observed in 2013, which could be associated with a separate planet. The transit event could correspond to a planetary body with a radius around . This planet would most likely orbit Alpha Centauri B with an orbital period of 20.4 days or less, with only a 5% chance of it having a longer orbit. The median of the likely orbits is 12.4 days. Its orbit would likely have an eccentricity of 0.24 or less. It could have lakes of molten lava and would be far too close to Alpha Centauri B to harbour life. If confirmed, this planet might be called Alpha Centauri Bc. However, the name has not been used in the literature, as it is not a claimed discovery. , it appears that no further transit-like events have been observed.
Hypothetical planets
Additional planets may exist in the Alpha Centauri system, either orbiting Alpha Centauri A or Alpha Centauri B individually, or in large orbits around Alpha Centauri AB. Because both stars are fairly similar to the Sun (for example, in age and metallicity), astronomers have been especially interested in making detailed searches for planets in the Alpha Centauri system. Several established planet-hunting teams have used various radial velocity or star transit methods in their searches around these two bright stars. All the observational studies have so far failed to find evidence for brown dwarfs or gas giants.
In 2009, computer simulations showed that a planet might have been able to form near the inner edge of Alpha Centauri B's habitable zone, which extends from 0.5 to 0.9 AU from the star. Certain special assumptions, such as considering that the Alpha Centauri pair may have initially formed with a wider separation and later moved closer to each other (as might be possible if they formed in a dense star cluster), would permit an accretion-friendly environment farther from the star. Bodies around Alpha Centauri A would be able to orbit at slightly farther distances due to its stronger gravity. In addition, the lack of any brown dwarfs or gas giants in close orbits around Alpha Centauri make the likelihood of terrestrial planets greater than otherwise. A theoretical study indicates that a radial velocity analysis might detect a hypothetical planet of in Alpha Centauri B's habitable zone.
Radial velocity measurements of Alpha Centauri B made with the High Accuracy Radial Velocity Planet Searcher spectrograph were sufficiently sensitive to detect a planet within the habitable zone of the star (i.e. with an orbital period P = 200 days), but no planets were detected.
Current estimates place the probability of finding an Earth-like planet around Alpha Centauri at roughly 75%. The observational thresholds for planet detection in the habitable zones by the radial velocity method are currently (2017) estimated to be about for Alpha Centauri A, for Alpha Centauri B, and for Proxima Centauri.
Early computer-generated models of planetary formation predicted the existence of terrestrial planets around both Alpha Centauri A and B, but most recent numerical investigations have shown that the gravitational pull of the companion star renders the accretion of planets difficult. Despite these difficulties, given the similarities to the Sun in spectral types, star type, age and probable stability of the orbits, it has been suggested that this stellar system could hold one of the best possibilities for harbouring extraterrestrial life on a potential planet.
In the Solar System, it was once thought that Jupiter and Saturn were probably crucial in perturbing comets into the inner Solar System, providing the inner planets with a source of water and various other ices. However, since isotope measurements of the deuterium to hydrogen (D/H) ratio in comets Halley, Hyakutake, Hale–Bopp, 2002T7, and Tuttle yield values approximately twice that of Earth's oceanic water, more recent models and research predict that less than 10% of Earth's water was supplied from comets. In the Alpha Centauri system, Proxima Centauri may have influenced the planetary disk as the Alpha Centauri system was forming, enriching the area around Alpha Centauri with volatile materials. This would be discounted if, for example, Alpha Centauri B happened to have gas giants orbiting Alpha Centauri A (or vice versa), or if Alpha Centauri A and B themselves were able to perturb comets into each other's inner systems as Jupiter and Saturn presumably have done in the Solar System. Such icy bodies probably also reside in Oort clouds of other planetary systems. When they are influenced gravitationally by either the gas giants or disruptions by passing nearby stars, many of these icy bodies then travel star-wards. Such ideas also apply to the close approach of Alpha Centauri or other stars to the Solar System, when, in the distant future, the Oort Cloud might be disrupted enough to increase the number of active comets.
To be in the habitable zone, a planet around Alpha Centauri A would have an orbital radius of between about 1.2 and so as to have similar planetary temperatures and conditions for liquid water to exist. For the slightly less luminous and cooler Alpha Centauri B, the habitable zone is between about 0.7 and .
With the goal of finding evidence of such planets, both Proxima Centauri and Alpha Centauri-AB were among the listed "Tier-1" target stars for NASA's Space Interferometry Mission (S.I.M.). Detecting planets as small as three Earth-masses or smaller within two AU of a "Tier-1" target would have been possible with this new instrument. The S.I.M. mission, however, was cancelled due to financial issues in 2010.
Circumstellar discs
Based on observations between 2007 and 2012, a study found a slight excess of emissions in the 24-µm (mid/far-infrared) band surrounding , which may be interpreted as evidence for a sparse circumstellar disc or dense interplanetary dust. The total mass was estimated to be between to the mass of the Moon, or 10–100 times the mass of the Solar System's zodiacal cloud. If such a disc existed around both stars, disc would likely be stable to 2.8 AU, and would likely be stable to 2.5 AU This would put A's disc entirely within the frost line, and a small part of B's outer disc just outside.
View from this system
The sky from Alpha Centauri AB would appear much as it does from the Earth, except that Centaurus would be missing its brightest star. The Sun would appear as a white star of apparent magnitude +0.5, roughly the same as the average brightness of Betelgeuse from Earth. It would be at the antipodal point of Alpha Centauri AB's current right ascension and declination, at (2000), in eastern Cassiopeia, easily outshining all the rest of the stars in the constellation. With the placement of the Sun east of the magnitude 3.4 star Epsilon Cassiopeiae, nearly in front of the Heart Nebula, the "W" line of stars of Cassiopeia would have a "/W" shape.
The Winter Triangle would not look equilateral, but very thin and long, with Procyon outshining Pollux in the middle of Gemini, and Sirius lying less than a degree from Betelgeuse in Orion. With a magnitude of −1.2, Sirius would be a little fainter than from Earth but still the brightest star in the night sky. Both Vega and Altair would be shifted northwestward relative to Deneb, giving the Summer Triangle a more equilateral appearance.
A planet around either α Centauri A or B would see the other star as a very bright secondary. For example, an Earth-like planet at 1.25 AU from α Cen A (with a revolution period of 1.34 years) would get Sun-like illumination from its primary, and α Cen B would appear 5.7 to 8.6 magnitudes dimmer (−21.0 to −18.2), 190 to 2,700 times dimmer than α Cen A but still 150 to 2,100 times brighter than the full Moon. Conversely, an Earth-like planet at 0.71 AU from α Cen B (with a revolution period of 0.63 years) would get nearly Sun-like illumination from its primary, and α Cen A would appear 4.6 to 7.3 magnitudes dimmer (−22.1 to −19.4), 70 to 840 times dimmer than α Cen B but still 470 to 5,700 times brighter than the full Moon.
Proxima Centauri would appear dim as one of many stars.
Other names
In modern literature, colloquial alternative names of Alpha Centauri include Rigil Kent (also Rigel Kent and variants; ) and Toliman (the latter of which became the proper name of Alpha Centauri B on 10 August 2018 by approval of the International Astronomical Union).
Rigil Kent is short for Rigil Kentaurus, which is sometimes further abbreviated to Rigil or Rigel, though that is ambiguous with Beta Orionis, which is also called Rigel.
The name Toliman originates with Jacobus Golius' 1669 edition of Al-Farghani's Compendium. Tolimân is Golius' latinisation of the Arabic name "the ostriches", the name of an asterism of which Alpha Centauri formed the main star.
During the 19th century, the northern amateur popularist Elijah H. Burritt used the now-obscure name Bungula, possibly coined from "β" and the Latin ungula ("hoof").
Together, Alpha and Beta Centauri form the "Southern Pointers" or "The Pointers", as they point towards the Southern Cross, the asterism of the constellation of Crux.
In Chinese astronomy, Nán Mén, meaning Southern Gate, refers to an asterism consisting of Alpha Centauri and Epsilon Centauri. Consequently, the Chinese name for Alpha Centauri itself is Nán Mén Èr, the Second Star of the Southern Gate.
To the Australian aboriginal Boorong people of northwestern Victoria, Alpha Centauri and Beta Centauri are Bermbermgle, two brothers noted for their courage and destructiveness, who speared and killed Tchingal "The Emu" (the Coalsack Nebula). The form in Wotjobaluk is Bram-bram-bult.
Future exploration
Alpha Centauri is a first target for crewed or robotic interstellar exploration. Using current spacecraft technologies, crossing the distance between the Sun and Alpha Centauri would take several millennia, though the possibility of nuclear pulse propulsion or laser light sail technology, as considered in the Breakthrough Starshot program, could make the journey to Alpha Centauri in 20 years. An objective of such a mission would be to make a fly-by of, and possibly photograph, planets that might exist in the system. The existence of Proxima Centauri b, announced by the European Southern Observatory (ESO) in August 2016, would be a target for the Starshot program.
NASA announced in 2017 that it plans to send a spacecraft to Alpha Centauri in 2069, scheduled to coincide with the 100th anniversary of the first crewed lunar landing in 1969, Apollo 11. Even at speed 10% of the speed of light (about 108 million km/h), which NASA experts say may be possible, it would take a spacecraft 44 years to reach the constellation, by the year 2113, and will take another 4 years for a signal, by the year 2117 to reach Earth.
Historical distance estimates
See also
Alpha Centauri in fiction
List of nearest stars and brown dwarfs
Project Longshot
Sagan Planet Walk
Notes
References
External links
SIMBAD observational data
Sixth Catalogue of Orbits of Visual Binary Stars U.S.N.O.
The Imperial Star – Alpha Centauri
Alpha Centauri – A Voyage to Alpha Centauri
Immediate History of Alpha Centauri
eSky: Alpha Centauri
Hypothetical planets or exploration
Alpha Centauri System
O Sistema Alpha Centauri (Portuguese)
Alpha Centauri – Associação de Astronomia (Portuguese)
G-type main-sequence stars
K-type main-sequence stars
M-type main-sequence stars
Centauri, Alpha
Maunder Minimum
Triple star systems
Hypothetical planetary systems
Centaurus
Rigil Kentaurus
Centauri, Alpha
PD-60 05483
0559
128620 and 128621
071681 and 071683
5759 and 5760
Articles containing video clips
16891215
Astronomical objects known since antiquity
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Amiga is a family of personal computers introduced by Commodore in 1985. The original model is one of a number of mid-1980s computers with 16- or 16/32-bit processors, 256 KB or more of RAM, mouse-based GUIs, and significantly improved graphics and audio compared to previous 8-bit systems. These systems include the Atari ST—released earlier the same year—as well as the Macintosh and Acorn Archimedes. Based on the Motorola 68000 microprocessor, the Amiga differs from its contemporaries through the inclusion of custom hardware to accelerate graphics and sound, including sprites and a blitter, and a pre-emptive multitasking operating system called AmigaOS.
The Amiga 1000 was released in July 1985, but production problems kept it from becoming widely available until early 1986. The best-selling model, the Amiga 500, was introduced in 1987 along with the more expandable Amiga 2000. The Amiga 3000 was introduced in 1990, followed by the Amiga 500 Plus, and Amiga 600 in March 1992. Finally, the Amiga 1200 and Amiga 4000 were released in late 1992. The Amiga line sold an estimated 4.85 million units.
Although early advertisements cast the computer as an all-purpose business machine, especially when outfitted with the Sidecar IBM PC compatibility add-on, the Amiga was most commercially successful as a home computer, with a wide range of games and creative software. The Video Toaster hardware and software suite helped Amiga find a prominent role in desktop video and video production. The Amiga's audio hardware made it a popular platform for music tracker software. The processor and memory capacity enabled 3D rendering packages, including LightWave 3D, Imagine, and Traces, a predecessor to Blender.
Poor marketing and the failure of later models to repeat the technological advances of the first systems resulted in Commodore quickly losing market share to the rapidly dropping prices of IBM PC compatibles, which gained 256 color graphics in 1987, as well as the fourth generation of video game consoles.
Commodore ultimately went bankrupt in April 1994 after a version of the Amiga packaged as a game console, the Amiga CD32, failed in the marketplace. Since the demise of Commodore, various groups have marketed successors to the original Amiga line, including Genesi, Eyetech, ACube Systems Srl and A-EON Technology. AmigaOS has influenced replacements, clones, and compatible systems such as MorphOS and AROS. Currently Belgian company Hyperion Entertainment maintains and develops AmigaOS 4, which is an official and direct descendant of AmigaOS 3.1 – the last system made by Commodore for the original Amiga Computers.
History
Concept and early development
Jay Miner joined Atari, Inc. in the 1970s to develop custom integrated circuits, and led development of the Atari Video Computer System's TIA. When complete, the team began developing a much more sophisticated set of chips, CTIA, ANTIC and POKEY, that formed the basis of the Atari 8-bit family.
With the 8-bit line's launch in 1979, the team once again started looking at a next generation chipset. Nolan Bushnell had sold the company to Warner Communications in 1978, and the new management was much more interested in the existing lines than development of new products that might cut into their sales. Miner wanted to start work with the new Motorola 68000, but management was only interested in another 6502 based system. Miner left the company, and, for a time, the industry.
In 1979, Larry Kaplan left Atari and founded Activision. In 1982, Kaplan was approached by a number of investors who wanted to develop a new game platform. Kaplan hired Miner to run the hardware side of the newly formed company, "Hi-Toro". The system was code-named "Lorraine" in keeping with Miner's policy of giving systems female names, in this case the company president's wife, Lorraine Morse. When Kaplan left the company late in 1982, Miner was promoted to head engineer and the company relaunched as Amiga Corporation.
The Amiga hardware was designed by Miner, RJ Mical, and Dale Luck. A breadboard prototype for testing and development was largely completed by late 1983, and shown at the January 1984 Consumer Electronics Show (CES). At the time, the operating system was not ready, so the machine was demonstrated with the "Boing Ball" demo, a real-time animation showing a red-and-white spinning ball bouncing and casting a shadow; this bouncing ball later became the official logo of Escom subsidiary Amiga Technologies. CES attendees had trouble believing the computer being demonstrated had the power to display such a demo and searched in vain for the "real" computer behind it.
A further developed version of the system was demonstrated at the June 1984 CES and shown to many companies in hopes of garnering further funding, but found little interest in a market that was in the final stages of the video game crash of 1983.
In March, Atari expressed a tepid interest in Lorraine for its potential use in a games console or home computer tentatively known as the . The talks were progressing slowly, and Amiga was running out of money. A temporary arrangement in June led to a $500,000 loan from Atari to Amiga to keep the company going. The terms required the loan to be repaid at the end of the month, otherwise Amiga would forfeit the Lorraine design to Atari.
Commodore
During 1983, Atari lost over a week, due to the combined effects of the crash and the ongoing price war in the home computer market. By the end of the year, Warner was desperate to sell the company. In January 1984, Jack Tramiel resigned from Commodore due to internal battles over the future direction of the company. A number of Commodore employees followed him to his new company, Tramel Technology. This included a number of the senior technical staff, where they began development of a 68000-based machine of their own. In June, Tramiel arranged a no-cash deal to take over Atari, reforming Tramel Technology as Atari Corporation.
As many Commodore technical staff had moved to Atari, Commodore was left with no workable path to design their own next-generation computer. The company approached Amiga offering to fund development as a home computer system. They quickly arranged to repay the Atari loan, ending that threat. The two companies were initially arranging a license agreement before Commodore offered to purchase Amiga outright.
By late 1984, the prototype breadboard chipset had successfully been turned into integrated circuits, and the system hardware was being readied for production. At this time the operating system (OS) was not as ready, and led to a deal to port an OS known as TRIPOS to the platform. TRIPOS was a multitasking system that had been written in BCPL during the 1970s for the PDP-11 minicomputer, but later experimentally ported to the 68000. This early version was known as AmigaDOS and the GUI as Workbench. The BCPL parts were later rewritten in the C language, and the entire system became AmigaOS.
The system was enclosed in a pizza box form factor case; a late change was the introduction of vertical supports on either side of the case to provide a "garage" under the main section of the system where the keyboard could be stored.
Launch
The first model was announced in 1985 as simply "The Amiga from Commodore", later to be retroactively dubbed the Amiga 1000. They were first offered for sale in August, but by October only 50 had been built, all of which were used by Commodore. Machines only began to arrive in quantity in mid-November, meaning they missed the Christmas buying rush. By the end of the year, they had sold 35,000 machines, and severe cashflow problems made the company pull out of the January 1986 CES. Bad or entirely missing marketing, forcing the development team to move to the east coast, notorious stability problems and other blunders limited sales in early 1986 to between 10,000 and 15,000 units a month.
Later models
In late 1985, Thomas Rattigan was promoted to COO of Commodore, and then to CEO in February 1986. He immediately implemented an ambitious plan that covered almost all of the company's operations. Among these was the long-overdue cancellation of the now outdated PET and VIC-20 lines, as well as a variety of poorly selling Commodore 64 offshoots and the Commodore 900 workstation effort.
Another one of the changes was to split the Amiga into two products, a new high-end version of the Amiga aimed at the creative market, and a cost-reduced version that would take over for the Commodore 64 in the low-end market. These new designs were released in 1987 as the Amiga 2000 and Amiga 500, the latter of which went on to widespread success and became their best selling model.
Similar high-end/low-end models would make up the Amiga line for the rest of its history; follow-on designs included the Amiga 3000/Amiga 500 Plus/Amiga 600, and the Amiga 4000/Amiga 1200. These models incorporated a series of technical upgrades known as the ECS and AGA, which added higher resolution displays among many other improvements and simplifications.
The Amiga line sold an estimated 4,850,000 machines over its lifetime. The machines were most popular in the UK and Germany, with about 1.5 million sold in each country, and sales in the high hundreds of thousands in other European nations. The machine was less popular in North America, where an estimated 700,000 were sold. In the United States, the Amiga found a niche with enthusiasts and in vertical markets for video processing and editing. In Europe, it was more broadly popular as a home computer and often used for video games. Beginning in 1988 it overlapped with the 16-bit Mega Drive, then the Super Nintendo Entertainment System in the early 1990s. Commodore UK's Kelly Sumner did not see Sega or Nintendo as competitors, but instead credited their marketing campaigns which spent over or for promoting video games as a whole and thus helping to boost Amiga sales.
Bankruptcy
In spite of his successes in making the company profitable and bringing the Amiga line to market, Rattigan was soon forced out in a power struggle with majority shareholder, Irving Gould. This is widely regarded as the turning point, as further improvements to the Amiga were eroded by rapid improvements in other platforms.
Commodore shut down the Amiga division on April 26, 1994, and filed for bankruptcy three days later. Commodore's assets were purchased by Escom, a German PC manufacturer, who created the subsidiary company Amiga Technologies. They re-released the A1200 and A4000T, and introduced a new 68060 version of the A4000T. In 1996, it was reported that Escom had sold the Amiga intellectual property to VIScorp for $40m (). Amiga Technologies researched and developed the Amiga Walker prototype. They presented the machine publicly at CeBit, but this deal fell through, and Escom, in turn, went bankrupt in 1997.
A U.S. Wintel PC manufacturer, Gateway 2000, then purchased the Amiga branch and technology. In 2000, Gateway sold the Amiga brand to Amiga, Inc., without having released any products. Amiga, Inc. licensed the rights to sell hardware using the AmigaOne brand to Eyetech Group and Hyperion Entertainment. In 2019, Amiga, Inc. sold its intellectual property to Amiga Corporation.
Hardware
The Amiga has a custom chipset consisting of several coprocessors which handle audio, video, and direct memory access independently of the Central Processing Unit (CPU). This architecture gave the Amiga a performance edge over its competitors, particularly for graphics-intensive applications and games.
The architecture uses two distinct bus subsystems: the chipset bus and the CPU bus. The chipset bus allows the coprocessors and CPU to address "Chip RAM". The CPU bus provides addressing to conventional RAM, ROM and the Zorro II or Zorro III expansion subsystems. This enables independent operation of the subsystems. The CPU bus can be much faster than the chipset bus. CPU expansion boards may provide additional custom buses. Additionally, "busboards" or "bridgeboards" may provide ISA or PCI buses.
Central processing unit
The most popular models from Commodore, including the Amiga 1000, Amiga 500, and Amiga 2000, use the Motorola 68000 as the CPU. From a developer's point of view, the 68000 provides a full suite of 32-bit operations, but the chip can address only 16 MB of physical memory and is implemented using a 16-bit arithmetic logic unit and has a 16-bit external data bus, so 32-bit computations are transparently handled as multiple 16-bit values at a performance cost. The later Amiga 2500 and the Amiga 3000 models use fully 32-bit, 68000 compatible, processors from Motorola improved performance and larger addressing capability.
CPU upgrades were offered by both Commodore and third-party manufacturers. Most Amiga models can be upgraded either by direct CPU replacement or through expansion boards. Such boards often included faster and higher capacity memory interfaces and hard disk controllers.
Towards the end of Commodore's time in charge of Amiga development, there were suggestions that Commodore intended to move away from the 68000 series to higher performance RISC processors, such as the PA-RISC. Those ideas were never developed before Commodore filed for bankruptcy. Despite this, third-party manufacturers designed upgrades featuring a combination of 68000 series and PowerPC processors along with a PowerPC native microkernel and software. Later Amiga clones featured PowerPC processors only.
Custom chipset
The custom chipset at the core of the Amiga design appeared in three distinct generations, with a large degree of backward-compatibility. The Original Chip Set (OCS) appeared with the launch of the A1000 in 1985. OCS was eventually followed by the modestly improved Enhanced Chip Set (ECS) in 1990 and finally by the partly 32-bit Advanced Graphics Architecture (AGA) in 1992. Each chipset consists of several coprocessors that handle graphics acceleration, digital audio, direct memory access and communication between various peripherals (e.g., CPU, memory and floppy disks). In addition, some models featured auxiliary custom chips that performed tasks such as SCSI control and display de-interlacing.
Graphics
All Amiga systems can display full-screen animated planar graphics with 2, 4, 8, 16, 32, 64 (EHB Mode), or 4096 colors (HAM Mode). Models with the AGA chipset (A1200 and A4000) also have non-EHB 64, 128, 256, and 262144 (HAM8 Mode) color modes and a palette expanded from 4096 to 16.8 million colors.
The Amiga chipset can genlock, which is the ability to adjust its own screen refresh timing to match an incoming NTSC or PAL video signal. When combined with setting transparency, this allows an Amiga to overlay an external video source with graphics. This ability made the Amiga popular for many applications, and provides the ability to do character generation and CGI effects far more cheaply than earlier systems. This ability has been frequently utilized by wedding videographers, TV stations and their weather forecasting divisions (for weather graphics and radar), advertising channels, music video production, and desktop videographers. The NewTek Video Toaster was made possible by the genlock ability of the Amiga.
In 1988, the release of the Amiga A2024 fixed-frequency monochrome monitor with built-in framebuffer and flicker fixer hardware provided the Amiga with a choice of high-resolution graphic modes (1024×800 for NTSC and 1024×1024 for PAL).
ReTargetable Graphics
ReTargetable Graphics is an API for device drivers mainly used by 3rd party graphics hardware to interface with AmigaOS via a set of libraries. The software libraries may include software tools to adjust resolution, screen colors, pointers and screenmodes. The standard Intuition interface is limited to display depths of 8 bits, while RTG makes it possible to handle higher depths like 24-bits.
Sound
The sound chip, named Paula, supports four PCM sound channels (two for the left speaker and two for the right) with 8-bit resolution for each channel and a 6-bit volume control per channel. The analog output is connected to a low-pass filter, which filters out high-frequency aliasing when the Amiga is using a lower sampling rate (see Nyquist frequency). The brightness of the Amiga's power LED is used to indicate the status of the Amiga's low-pass filter. The filter is active when the LED is at normal brightness, and deactivated when dimmed (or off on older A500 Amigas). On Amiga 1000 (and first Amiga 500 and Amiga 2000 model), the power LED had no relation to the filter's status, and a wire needed to be manually soldered between pins on the sound chip to disable the filter. Paula can read arbitrary waveforms at arbitrary rates and amplitudes directly from the system's RAM, using direct memory access (DMA), making sound playback without CPU intervention possible.
Although the hardware is limited to four separate sound channels, software such as OctaMED uses software mixing to allow eight or more virtual channels, and it was possible for software to mix two hardware channels to achieve a single 14-bit resolution channel by playing with the volumes of the channels in such a way that one of the source channels contributes the most significant bits and the other the least.
The quality of the Amiga's sound output, and the fact that the hardware is ubiquitous and easily addressed by software, were standout features of Amiga hardware unavailable on PC platforms for years. Third-party sound cards exist that provide DSP functions, multi-track direct-to-disk recording, multiple hardware sound channels and 16-bit and beyond resolutions. A retargetable sound API called AHI was developed allowing these cards to be used transparently by the OS and software.
Kickstart firmware
Kickstart is the firmware upon which AmigaOS is bootstrapped. Its purpose is to initialize the Amiga hardware and core components of AmigaOS and then attempt to boot from a bootable volume, such as a floppy disk or hard disk drive. Most models (excluding the Amiga 1000) come equipped with Kickstart on an embedded ROM-chip.
Keyboard and mouse
The keyboard on Amiga computers is similar to that found on a mid-80s IBM PC: Ten function keys, a numeric keypad, and four separate directional arrow keys. Caps Lock and Control share space to the left of A. Absent are Home, End, Page Up, and Page Down keys: These functions are accomplished on Amigas by pressing shift and the appropriate arrow key. The Amiga keyboard adds a Help key, which a function key usually acts as on PCs (usually F1). In addition to the Control and Alt modifier keys, the Amiga has 2 "Amiga" keys, rendered as "Open Amiga" and "Closed Amiga" similar to the Open/Closed Apple logo keys on Apple II keyboards. The left is used to manipulate the operating system (moving screens and the like) and the right delivers commands to the application. The absence of Num lock frees space for more mathematical symbols around the numeric pad.
Like IBM-compatible computers, the mouse has two buttons, but in AmigaOS, pressing and holding the right button replaces the system status line at the top of the screen with a Maclike menu bar. As with Apple's Mac OS prior to Mac OS 8, menu options are selected by releasing the button over that option, not by left clicking. Menu items that have a boolean toggle state can be left clicked whilst the menu is kept open with the right button, which allows the user – for example – to set some selected text to bold, underline and italics in one visit to the menus.
The mouse plugs into one of two Atari joystick ports used for joysticks, game paddles, and graphics tablets. Although compatible with analog joysticks, Atari-style digital joysticks became standard. Unusually, two independent mice can be connected to the joystick ports; some games, such as Lemmings, were designed to take advantage of this.
Other peripherals and expansions
The Amiga was one of the first computers for which inexpensive sound sampling and video digitization accessories were available. As a result of this and the Amiga's audio and video capabilities, the Amiga became a popular system for editing and producing both music and video.
Many expansion boards were produced for Amiga computers to improve the performance and capability of the hardware, such as memory expansions, SCSI controllers, CPU boards, and graphics boards. Other upgrades include genlocks, network cards for Ethernet, modems, sound cards and samplers, video digitizers, extra serial ports, and IDE controllers. Additions after the demise of Commodore company are USB cards. The most popular upgrades were memory, SCSI controllers and CPU accelerator cards. These were sometimes combined into one device.
Early CPU accelerator cards used the full 32-bit CPUs of the 68000 family such as the Motorola 68020 and Motorola 68030, almost always with 32-bit memory and usually with FPUs and MMUs or the facility to add them. Later designs feature the Motorola 68040 or Motorola 68060. Both CPUs feature integrated FPUs and MMUs. Many CPU accelerator cards also had integrated SCSI controllers.
Phase5 designed the PowerUP boards (Blizzard PPC and CyberStorm PPC) featuring both a 68k (a 68040 or 68060) and a PowerPC (603 or 604) CPU, which are able to run the two CPUs at the same time and share the system memory. The PowerPC CPU on PowerUP boards is usually used as a coprocessor for heavy computations; a powerful CPU is needed to run MAME for example, but even decoding JPEG pictures and MP3 audio was considered heavy computation at the time. It is also possible to ignore the 68k CPU and run Linux on the PPC via project Linux APUS, but a PowerPC-native AmigaOS promised by Amiga Technologies GmbH was not available when the PowerUP boards first appeared.
24-bit graphics cards and video cards were also available. Graphics cards were designed primarily for 2D artwork production, workstation use, and later, gaming. Video cards are designed for inputting and outputting video signals, and processing and manipulating video.
In the North American market, the NewTek Video Toaster was a video effects board that turned the Amiga into an affordable video processing computer that found its way into many professional video environments. One well-known use was to create the special effects in early series of Babylon 5. Due to its NTSC-only design, it did not find a market in countries that used the PAL standard, such as in Europe. In those countries, the OpalVision card was popular, although less featured and supported than the Video Toaster. Low-cost time base correctors (TBC) specifically designed to work with the Toaster quickly came to market, most of which were designed as standard Amiga bus cards.
Various manufacturers started producing PCI busboards for the A1200, A3000 and A4000, allowing standard Amiga computers to use PCI cards such as graphics cards, Sound Blaster sound cards, 10/100 Ethernet cards, USB cards, and television tuner cards. Other manufacturers produced hybrid boards that contained an Intel x86 series chip, allowing the Amiga to emulate a PC.
PowerPC upgrades with Wide SCSI controllers, PCI busboards with Ethernet, sound and 3D graphics cards, and tower cases allowed the A1200 and A4000 to survive well into the late nineties.
Expansion boards were made by Richmond Sound Design that allow their show control and sound design software to communicate with their custom hardware frames either by ribbon cable or fiber optic cable for long distances, allowing the Amiga to control up to eight million digitally controlled external audio, lighting, automation, relay and voltage control channels spread around a large theme park, for example. See Amiga software for more information on these applications.
Other devices included the following:
Amiga 501 with 512 KB RAM and real-time clock
Trumpcard 500 Zorro-II SCSI interface
GVP A530 Turbo, accelerator, RAM expansion, PC emulator
A2091 / A590 SCSI hard disk controller + 2 MB RAM expansion
A3070 SCSI tape backup unit with a capacity of , OEM Archive Viper 1/4-inch
A2065 Ethernet Zorro-II interface – the first Ethernet interface for Amiga; uses the AMD Am7990 chip The same interface chip is used in DECstation as well.
Ariadne Zorro-II Ethernet interface using the AMD Am7990
A4066 Zorro II Ethernet interface using the SMC 91C90QF
X-Surf from Individual Computers using the Realtek 8019AS
A2060 Arcnet
A1010 floppy disk drive consisting of a 3.5-inch double density (DD), , drive unit connected via DB-23 connector; track-to-track delay is on the order of . The default capacity is . Many clone drives were available, and products such as the Catweasel and KryoFlux make it possible to read and write Amiga and other special disc formats on standard x86 PCs.
NE2000-compatible PCMCIA Ethernet cards for Amiga 600 and Amiga 1200
Serial ports
The Commodore A2232 board provides seven RS-232C serial ports in addition to the Amiga's built-in serial port. Each port can be driven independently at speeds of 50 to . There is, however, a driver available on Aminet that allows two of the serial ports to be driven at . The serial card used the 65CE02 CPU clocked at . This CPU was also part of the CSG 4510 CPU core that was used in the Commodore 65 computer.
Networking
Amiga has three networking interface APIs:
AS225: the official Commodore TCP/IP stack API with hard-coded drivers in revision 1 (AS225r1) for the A2065 Ethernet and the A2060 Arcnet interfaces. In revision 2, (AS225r2) the SANA-II interface was used.
SANA-II: a standardized API for hardware of network interfaces. It uses an inefficient buffer handling scheme, and lacks proper support for promiscuous and multicast modes.
Miami Network Interface (MNI): an API that doesn't have the problems that SANA-II suffers from. It requires AmigaOS v2.04 or higher.
Different network media were used:
Models and variants
The original Amiga models were produced from 1985 to 1996. They are, in order of production: 1000, 2000, 500, 1500, 2500, 3000, 3000UX, 3000T, CDTV, 500+, 600, 4000, 1200, CD32, and 4000T. The PowerPC-based AmigaOne computers were later marketed beginning in 2002. Several companies and private persons have also released Amiga clones and still do so today.
Commodore Amiga
The first Amiga model, the Amiga 1000, was launched in 1985. In 2006, PC World rated the Amiga 1000 as the seventh greatest PC of all time, stating "Years ahead of its time, the Amiga was the world's first multimedia, multitasking personal computer".
Commodore updated the desktop line of Amiga computers with the Amiga 2000 in 1987, the Amiga 3000 in 1990, and the Amiga 4000 in 1992, each offering improved capabilities and expansion options. The best-selling models were the budget models, however, particularly the highly successful Amiga 500 (1987) and the Amiga 1200 (1992). The Amiga 500+ (1991) was the shortest-lived model, replacing the Amiga 500 and lasting only six months until it was phased out and replaced with the Amiga 600 (1992), which in turn was also quickly replaced by the Amiga 1200.
The CDTV, launched in 1991, was a CD-ROM-based game console and multimedia appliance several years before CD-ROM drives were common. The system never achieved any real success.
Commodore's last Amiga offering before filing for bankruptcy was the Amiga CD32 (1993), a 32-bit CD-ROM games console. Although discontinued after Commodore's demise it met with moderate commercial success in Europe. The CD32 was a next-generation CDTV, and it was designed to save Commodore by entering the growing video game console market.
Following purchase of Commodore's assets by Escom in 1995, the A1200 and A4000T continued to be sold in small quantities until 1996, though the ground lost since the initial launch and the prohibitive expense of these units meant that the Amiga line never regained any real popularity.
Several Amiga models contained references to songs by the rock band The B-52's. Early A500 units had the words "B52/ROCK LOBSTER" silk-screen printed onto their printed circuit board, a reference to the song "Rock Lobster" The Amiga 600 referenced "JUNE BUG" (after the song "Junebug") and the Amiga 1200 had "CHANNEL Z" (after "Channel Z"), and the CD-32 had "Spellbound."
AmigaOS 4 systems
AmigaOS 4 is designed for PowerPC Amiga systems. It is mainly based on AmigaOS 3.1 source code, with some parts of version 3.9. Currently runs on both Amigas equipped with CyberstormPPC or BlizzardPPC accelerator boards, on the Teron series based AmigaOne computers built by Eyetech under license by Amiga, Inc., on the Pegasos II from Genesi/bPlan GmbH, on the ACube Systems Srl Sam440ep / Sam460ex / AmigaOne 500 systems and on the A-EON AmigaOne X1000.
AmigaOS 4.0 had been available only in developer pre-releases for numerous years until it was officially released in December 2006. Due to the nature of some provisions of the contract between Amiga Inc. and Hyperion Entertainment (the Belgian company that is developing the OS), the commercial AmigaOS 4 had been available only to licensed buyers of AmigaOne motherboards.
AmigaOS 4.0 for Amigas equipped with PowerUP accelerator boards was released in November 2007. Version 4.1 was released in August 2008 for AmigaOne systems, and in May 2011 for Amigas equipped with PowerUP accelerator boards. The most recent release of AmigaOS for all supported platforms is 4.1 update 5. Starting with release 4.1 update 4 there is an Emulation drawer containing official AmigaOS 3.x ROMs (all classic Amiga models including CD32) and relative Workbench files.
Acube Systems entered an agreement with Hyperion under which it has ported AmigaOS 4 to its Sam440ep and Sam460ex line of PowerPC-based motherboards. In 2009 a version for Pegasos II was released in co-operation with Acube Systems. In 2012, A-EON Technology Ltd manufactured and released the AmigaOne X1000 to consumers through their partner, Amiga Kit who provided end-user support, assembly and worldwide distribution of the new system.
Amiga hardware clones
Long-time Amiga developer MacroSystem entered the Amiga-clone market with their DraCo non-linear video editing system. It appears in two versions, initially a tower model and later a cube. DraCo expanded upon and combined a number of earlier expansion cards developed for Amiga (VLabMotion, Toccata, WarpEngine, RetinaIII) into a true Amiga-clone powered by the Motorola 68060 processor. The DraCo can run AmigaOS 3.1 up through AmigaOS 3.9. It is the only Amiga-based system to support FireWire for video I/O. DraCo also offers an Amiga-compatible Zorro-II expansion bus and introduced a faster custom DraCoBus, capable of transfer rates (faster than Commodore's Zorro-III). The technology was later used in the Casablanca system, a set-top-box also designed for non-linear video editing.
In 1998, Index Information released the Access, an Amiga-clone similar to the Amiga 1200, but on a motherboard that could fit into a standard -inch drive bay. It features either a 68020 or 68030 CPU, with a AGA chipset, and runs AmigaOS 3.1.
In 1998, former Amiga employees (John Smith, Peter Kittel, Dave Haynie and Andy Finkel to mention few) formed a new company called PIOS. Their hardware platform, PIOS One, was aimed at Amiga, Atari and Macintosh users. The company was renamed to Met@box in 1999 until it folded.
The NatAmi (short for Native Amiga) hardware project began in 2005 with the aim of designing and building an Amiga clone motherboard that is enhanced with modern features. The NatAmi motherboard is a standard Mini-ITX-compatible form factor computer motherboard, powered by a Motorola/Freescale 68060 and its chipset. It is compatible with the original Amiga chipset, which has been inscribed on a programmable FPGA Altera chip on the board. The NatAmi is the second Amiga clone project after the Minimig motherboard, and its history is very similar to that of the C-One mainboard developed by Jeri Ellsworth and Jens Schönfeld. From a commercial point of view, Natami's circuitry and design are currently closed source. One goal of the NatAmi project is to design an Amiga-compatible motherboard that includes up-to-date features but that does not rely on emulation (as in WinUAE), modern PC Intel components, or a modern PowerPC mainboard. As such, NatAmi is not intended to become another evolutionary heir to classic Amigas, such as with AmigaOne or Pegasos computers. This "purist" philosophy essentially limits the resulting processor speed but puts the focus on bandwidth and low latencies. The developers also recreated the entire Amiga chipset, freeing it from legacy Amiga limitations such as two megabytes of audio and video graphics RAM as in the AGA chipset, and rebuilt this new chipset by programming a modern FPGA Altera Cyclone IV chip. Later, the developers decided to create from scratch a new software-form processor chip, codenamed "N68050" that resides in the physical Altera FPGA programmable chip.
In 2006, two new Amiga clones were announced, both using FPGA based hardware synthesis to replace the Amiga OCS custom chipset. The first, the Minimig, is a personal project of Dutch engineer Dennis van Weeren. Referred to as "new Amiga hardware", the original model was built on a Xilinx Spartan-3 development board, but soon a dedicated board was developed. The minimig uses the FPGA to reproduce the custom Denise, Agnus, Paula and Gary chips as well as both 8520 CIAs and implements a simple version of Amber. The rest of the chips are an actual 68000 CPU, ram chips, and a PIC microcontroller for BIOS control. The design for Minimig was released as open-source on July 25, 2007. In February 2008, an Italian company Acube Systems began selling Minimig boards. A third party upgrade replaces the PIC microcontroller with a more powerful ARM processor, providing more functionality such as write access and support for hard disk images. The Minimig core has been ported to the FPGArcade "Replay" board. The Replay uses an FPGA with about three times more capacity and that does support the AGA chipset and a 68020 soft core with 68030 capabilities. The Replay board is designed to implement many older computers and classic arcade machines.
The second is the Clone-A system announced by Individual Computers. As of mid-2007 it has been shown in its development form, with FPGA-based boards replacing the Amiga chipset and mounted on an Amiga 500 motherboard.
Operating systems
AmigaOS
AmigaOS is a single-user multitasking operating system. It was one of the first commercially available consumer operating systems for personal computers to implement preemptive multitasking. It was developed first by Commodore International and initially introduced in 1985 with the Amiga 1000. John C. Dvorak wrote in PC Magazine in 1996:
AmigaOS combines a command-line interface and graphical user interface. AmigaDOS is the disk operating system and command line portion of the OS and Workbench the native graphical windowing, graphical environment for file management and launching applications. AmigaDOS allows long filenames (up to 107 characters) with whitespace and does not require filename extensions. The windowing system and user interface engine that handles all input events is called Intuition.
The multi-tasking kernel is called Exec. It acts as a scheduler for tasks running on the system, providing pre-emptive multitasking with prioritised round-robin scheduling. It enabled true pre-emptive multitasking in as little as 256 KB of free memory.
AmigaOS does not implement memory protection; the 68000 CPU does not include a memory management unit. Although this speeds and eases inter-process communication because programs can communicate by simply passing a pointer back and forth, the lack of memory protection made the AmigaOS more vulnerable to crashes from badly behaving programs than other multitasking systems that did implement memory protection, and Amiga OS is fundamentally incapable of enforcing any form of security model since any program had full access to the system. A co-operational memory protection feature was implemented in AmigaOS 4 and could be retrofitted to old AmigaOS systems using Enforcer or CyberGuard tools.
The problem was somewhat exacerbated by Commodore's initial decision to release documentation relating not only to the OS's underlying software routines, but also to the hardware itself, enabling intrepid programmers who had developed their skills on the Commodore 64 to POKE the hardware directly, as was done on the older platform. While the decision to release the documentation was a popular one and allowed the creation of fast, sophisticated sound and graphics routines in games and demos, it also contributed to system instabilityas some programmers lacked the expertise to program at this level. For this reason, when the new AGA chipset was released, Commodore declined to release low-level documentation in an attempt to force developers into using the approved software routines.
Influence on other operating systems
AmigaOS directly or indirectly inspired the development of various operating systems. MorphOS and AROS clearly inherit heavily from the structure of AmigaOS as explained directly in articles regarding these two operating systems. AmigaOS also influenced BeOS, which featured a centralized system of Datatypes, similar to that present in AmigaOS. Likewise, DragonFly BSD was also inspired by AmigaOS as stated by Dragonfly developer Matthew Dillon who is a former Amiga developer. WindowLab and amiwm are among several window managers for the X Window System seek to mimic the Workbench interface. IBM licensed the Amiga GUI from Commodore in exchange for the REXX language license. This allowed OS/2 to have the WPS (Workplace Shell) GUI shell for OS/2 2.0, a 32-bit operating system.
Unix and Unix-like systems
Commodore-Amiga produced Amiga Unix, informally known as Amix, based on AT&T SVR4. It supports the Amiga 2500 and Amiga 3000 and is included with the Amiga 3000UX. Among other unusual features of Amix is a hardware-accelerated windowing system that can scroll windows without copying data. Amix is not supported on the later Amiga systems based on 68040 or 68060 processors.
Other, still maintained, operating systems are available for the classic Amiga platform, including Linux and NetBSD. Both require a CPU with MMU such as the 68020 with 68851 or full versions of the 68030, 68040 or 68060. There is also a version of Linux for Amigas with PowerPC accelerator cards. Debian and Yellow Dog Linux can run on the AmigaOne.
There is an official, older version of OpenBSD. The last Amiga release is 3.2. MINIX 1.5.10 also runs on Amiga.
Emulating other systems
The Amiga Sidecar is a complete IBM PC XT compatible computer contained in an expansion card. It was released by Commodore in 1986 and promoted as a way to run business software on the Amiga 1000.
Amiga software
In the late 1980s and early 1990s the platform became particularly popular for gaming, demoscene activities and creative software uses. During this time commercial developers marketed a wide range of games and creative software, often developing titles simultaneously for the Atari ST due to the similar hardware architecture. Popular creative software included 3D rendering (ray-tracing) packages, bitmap graphics editors, desktop video software, software development packages and "tracker" music editors.
Until the late 1990s the Amiga remained a popular platform for non-commercial software, often developed by enthusiasts, and much of which was freely redistributable. An on-line archive, Aminet, was created in 1991 and until the late-1990s was the largest public archive of software, art and documents for any platform.
Marketing
The name Amiga was chosen by the developers from the Spanish word for a female friend, because they knew Spanish, and because it occurred before Apple and Atari alphabetically. It also conveyed the message that the Amiga computer line was "user friendly" as a pun or play on words.
The first official Amiga logo was a rainbow-colored double check mark. In later marketing material Commodore largely dropped the checkmark and used logos styled with various typefaces. Although it was never adopted as a trademark by Commodore, the "Boing Ball" has been synonymous with Amiga since its launch. It became an unofficial and enduring theme after a visually impressive animated demonstration at the 1984 Winter Consumer Electronics Show in January 1984 showing a checkered ball bouncing and rotating. Following Escom's purchase of Commodore in 1996, the Boing Ball theme was incorporated into a new logo.
Early Commodore advertisements attempted to cast the computer as an all-purpose business machine, though the Amiga was most commercially successful as a home computer. Throughout the 1980s and early 1990s Commodore primarily placed advertising in computer magazines and occasionally in national newspapers and on television.
Legacy
Since the demise of Commodore, various groups have marketed successors to the original Amiga line:
Genesi sold PowerPC based hardware under the Pegasos brand running AmigaOS and MorphOS;
Eyetech sold PowerPC based hardware under the AmigaOne brand from 2002 to 2005 running AmigaOS 4;
Amiga Kit distributes and sells PowerPC based hardware under the AmigaOne brand from 2010 to present day running AmigaOS 4;
ACube Systems sells the AmigaOS 3 compatible Minimig system with a Freescale MC68SEC000 CPU (Motorola 68000 compatible) and AmigaOS 4 compatible Sam440 / Sam460 / AmigaOne 500 systems with PowerPC processors;
A-EON Technology Ltd sells the AmigaOS 4 compatible AmigaOne X1000 system with P.A. Semi PWRficient PA6T-1682M processor.
Amiga Kit, Vesalia Computer and AMIGAstore.eu sell numerous items from aftermarket components to refurbished classic systems.
AmigaOS and MorphOS are commercial proprietary operating systems. AmigaOS 4, based on AmigaOS 3.1 source code with some parts of version 3.9, is developed by Hyperion Entertainment and runs on PowerPC based hardware. MorphOS, based on some parts of AROS source code, is developed by MorphOS Team and is continued on Apple and other PowerPC based hardware.
There is also AROS, a free and open source operating system (re-implementation of the AmigaOS 3.1 APIs), for Amiga 68k, x86 and ARM hardware (one version runs Linux-hosted on the Raspberry Pi). In particular, AROS for Amiga 68k hardware aims to create an open source Kickstart ROM replacement for emulation purpose and/or for use on real "classic" hardware.
Magazines
Amiga Format continued publication until 2000. Amiga Active was launched in 1999 and was published until 2001.
Several magazines are in publication today: Amiga Future, which is available in both English and German; Bitplane.it, a bimonthly magazine in Italian; and AmigaPower, a long-running French magazine. Print magazine Amiga Addict started publication in 2020.
Trade Shows
The Amiga continues to be popular enough that fans to support conferences such as Amiga37 which had over 50 vendors.
Uses
The Amiga series of computers found a place in early computer graphic design and television presentation. Season 1 and part of season 2 of the television series Babylon 5 were rendered in LightWave 3D on Amigas. Other television series using Amigas for special effects included SeaQuest DSV and Max Headroom.
In addition, many celebrities and notable individuals have made use of the Amiga:
Andy Warhol was an early user of the Amiga and appeared at the launch, where he made a computer artwork of Debbie Harry. Warhol used the Amiga to create a new style of art made with computers, and was the author of a multimedia opera called You Are the One, which consists of an animated sequence featuring images of actress Marilyn Monroe assembled in a short movie with a soundtrack. The video was discovered on two old Amiga floppies in a drawer in Warhol's studio and repaired in 2006 by the Detroit Museum of New Art. The pop artist has been quoted as saying: "The thing I like most about doing this kind of work on the Amiga is that it looks like my work in other media".
Artist Jean "Moebius" Giraud credits the Amiga he bought for his son as a bridge to learning about "using paint box programs". He uploaded some of his early experiments to the file sharing forums on CompuServe.
Futurist and science fiction author Arthur C. Clarke used an Amiga computer to calculate and explore Mandelbrot sets in the 1988 documentary film God, the Universe and Everything Else.
The "Weird Al" Yankovic film UHF contains a computer-animated music video parody of the Dire Straits song "Money for Nothing", titled "Money for Nothing/Beverly Hillbillies*". According to the DVD commentary track, this spoof was created on an Amiga home computer.
Rolf Harris used an Amiga to digitize his hand-drawn art work for animation on his television series Rolf's Cartoon Club.
Debbie Harry appeared together with Andy Warhol (see above) at launch.
Todd Rundgren's video "Change Myself" was produced with Toaster and Lightwave.
Scottish pop artist Calvin Harris composed his 2007 debut album I Created Disco with an Amiga 1200.
Susumu Hirasawa, a Japanese progressive-electronic artist, is known for using Amigas to compose and perform music, aid his live shows and make his promotional videos. He has also been inspired by the Amiga, and has referenced it in his lyrics. His December 13, 1994 "Adios Jay" Interactive Live Show was dedicated to (then recently deceased) Jay Miner. He also used the Amiga to create the virtual drummer TAINACO, who was a CG rendered figure whose performance was made with Elan Performer and was projected with DCTV. He also composed and performed "Eastern-boot", the AmigaOS 4 boot jingle.
Electronic musician Max Tundra created his three albums with an Amiga 500.
Bob Casale, keyboardist and guitarist of the new wave band Devo, used Amiga computer graphics on the album cover to Devo's album Total Devo.
Most of Pokémon Gold and Silver's music was created on an Amiga computer, converted to MIDI, and then reconverted to the game's music format.
Special purpose applications
Amigas were used in various NASA laboratories to keep track of low orbiting satellites until 2004. Amigas were used at Kennedy Space Center to run strip-chart recorders, to format and display data, and control stations of platforms for Delta rocket launches.
Palomar Observatory used Amigas to calibrate and control the charge-coupled devices in their telescopes, as well as to display and store the digitized images they collected.
London Transport Museum developed their own interactive multi-media software for the CD32 including a virtual tour of the museum.
Amiga 500 motherboards were used, in conjunction with a LaserDisc player and genlock device, in arcade games manufactured by American Laser Games.
A custom Amiga 4000T motherboard was used in the HDI 1000 medical ultrasound system built by Advanced Technology Labs.
, the Grand Rapids Public School district uses a Commodore Amiga 2000 with 1200 baud modem to automate its air conditioning and heating systems for the 19 schools covered by the GRPS district. The system has been operating day and night for decades.
The Weather Network used Amigas to display the weather on TV.
See also
Amiga Forever
List of Amiga games
Amiga emulation
SAGE Computer Technology
Notes
References
Works cited
External links
Official AmigaOS website
History of the Amiga at Ars Technica
Amiga, Inc. Website
Amiga Software Database
Amiga Hardware Database
Big Book of Amiga Hardware
Lemon Amiga: Amiga Fanbase
RUN Magazine Issue 21, September 1985 article on the introduction of the Amiga
Amiga.org: community forums and support
English Amiga Board: Amiga community forums and support
The Hall of Light: the database of Amiga games
The Amiga Museum
68k-based computers
American inventions
Computer-related introductions in 1985
Desktop computers
Home computers
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ASP may refer to:
Combat
ASP pistol
ASP, Inc., law enforcement weapon manufacturer
A type of extending baton
Ammunition Supply Point, military storage facility for live ammunition and explosives
Computing
Active Server Pages, a web-scripting interface by Microsoft
ASP.NET, a web-application framework by Microsoft
Advanced Simple Profile, an MPEG-4 video codec profile
Answer set programming, a declarative programming paradigm
Application service provider, to customers over a network
AppleTalk Session Protocol
Association of Software Professionals
Attached Support Processor, IBM hardware system
Auxiliary storage pool, a feature of the IBM operating system
Education
American School of Paris
Jan Matejko Academy of Fine Arts, Kraków, Poland
Electronics
Audio Signal Processor, large-scale digital signal processor
Anti-skip protection or electronic skip protection in CD playback
Angle-sensitive pixel, a light sensor
Entertainment
ASP (band), a German gothic metal band
ASP (Japanese group), Japanese idol girl group
Adult service provider (disambiguation)
Apparent Sensory Perception, a thought recording and reproduction device in William Gibson's fiction
Medicine and biology
Aspartic acid, α-amino acid used in the biosynthesis of proteins
Acylation stimulating protein
American Society for Photobiology
Amnesic shellfish poisoning
Complement component 3, a protein in the complement system
Antimicrobial stewardship, effort to educate and persuade prescribers of antimicrobials to follow evidence-based prescribing
American Society of Primatologists
Politics
Act of the Scottish Parliament
American Solidarity Party, a Christian Democratic political party in the United States
Australian Sex Party
Afro-Shirazi Party, political party in Tanzania
Assembly for the Sovereignty of the Peoples, a political party in Bolivia
Assembly of States Parties, the legislative body of the International Criminal Court
Other uses
Airborne Surveillance Platform, Indian defence project
Albany Student Press, newspaper of the University at Albany, The State University of New York
Alice Springs Airport (IATA airport code)
Allegany State Park
Appalachia Service Project, for housing improvement
Arkansas State Police
Asociación de Scouts del Perú
Aspatria railway station, UK, National Rail code
Assault system pod or A.S.P., for the G.I. Joe doll
Association of Surfing Professionals, former name of World Surf League
Assistant superintendent of police
Astronomical Society of the Pacific
Authorized service provider
Avenal State Prison in California, USA
Average selling price of goods
See also
ASPS (disambiguation)
Asp (disambiguation)
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Algebraic geometry is a branch of mathematics which classically studies zeros of multivariate polynomials. Modern algebraic geometry is based on the use of abstract algebraic techniques, mainly from commutative algebra, for solving geometrical problems about these sets of zeros.
The fundamental objects of study in algebraic geometry are algebraic varieties, which are geometric manifestations of solutions of systems of polynomial equations. Examples of the most studied classes of algebraic varieties are lines, circles, parabolas, ellipses, hyperbolas, cubic curves like elliptic curves, and quartic curves like lemniscates and Cassini ovals. These are plane algebraic curves. A point of the plane lies on an algebraic curve if its coordinates satisfy a given polynomial equation. Basic questions involve the study of points of special interest like singular points, inflection points and points at infinity. More advanced questions involve the topology of the curve and the relationship between curves defined by different equations.
Algebraic geometry occupies a central place in modern mathematics and has multiple conceptual connections with such diverse fields as complex analysis, topology and number theory. As a study of systems of polynomial equations in several variables, the subject of algebraic geometry begins with finding specific solutions via equation solving, and then proceeds to understand the intrinsic properties of the totality of solutions of a system of equations. This understanding requires both conceptual theory and computational technique.
In the 20th century, algebraic geometry split into several subareas.
The mainstream of algebraic geometry is devoted to the study of the complex points of the algebraic varieties and more generally to the points with coordinates in an algebraically closed field.
Real algebraic geometry is the study of the real algebraic varieties.
Diophantine geometry and, more generally, arithmetic geometry is the study of algebraic varieties over fields that are not algebraically closed and, specifically, over fields of interest in algebraic number theory, such as the field of rational numbers, number fields, finite fields, function fields, and p-adic fields.
A large part of singularity theory is devoted to the singularities of algebraic varieties.
Computational algebraic geometry is an area that has emerged at the intersection of algebraic geometry and computer algebra, with the rise of computers. It consists mainly of algorithm design and software development for the study of properties of explicitly given algebraic varieties.
Much of the development of the mainstream of algebraic geometry in the 20th century occurred within an abstract algebraic framework, with increasing emphasis being placed on "intrinsic" properties of algebraic varieties not dependent on any particular way of embedding the variety in an ambient coordinate space; this parallels developments in topology, differential and complex geometry. One key achievement of this abstract algebraic geometry is Grothendieck's scheme theory which allows one to use sheaf theory to study algebraic varieties in a way which is very similar to its use in the study of differential and analytic manifolds. This is obtained by extending the notion of point: In classical algebraic geometry, a point of an affine variety may be identified, through Hilbert's Nullstellensatz, with a maximal ideal of the coordinate ring, while the points of the corresponding affine scheme are all prime ideals of this ring. This means that a point of such a scheme may be either a usual point or a subvariety. This approach also enables a unification of the language and the tools of classical algebraic geometry, mainly concerned with complex points, and of algebraic number theory. Wiles' proof of the longstanding conjecture called Fermat's Last Theorem is an example of the power of this approach.
Basic notions
Zeros of simultaneous polynomials
In classical algebraic geometry, the main objects of interest are the vanishing sets of collections of polynomials, meaning the set of all points that simultaneously satisfy one or more polynomial equations. For instance, the two-dimensional sphere of radius 1 in three-dimensional Euclidean space R3 could be defined as the set of all points (x,y,z) with
A "slanted" circle in R3 can be defined as the set of all points (x,y,z) which satisfy the two polynomial equations
Affine varieties
First we start with a field k. In classical algebraic geometry, this field was always the complex numbers C, but many of the same results are true if we assume only that k is algebraically closed. We consider the affine space of dimension n over k, denoted An(k) (or more simply An, when k is clear from the context). When one fixes a coordinate system, one may identify An(k) with kn. The purpose of not working with kn is to emphasize that one "forgets" the vector space structure that kn carries.
A function f : An → A1 is said to be polynomial (or regular) if it can be written as a polynomial, that is, if there is a polynomial p in k[x1,...,xn] such that f(M) = p(t1,...,tn) for every point M with coordinates (t1,...,tn) in An. The property of a function to be polynomial (or regular) does not depend on the choice of a coordinate system in An.
When a coordinate system is chosen, the regular functions on the affine n-space may be identified with the ring of polynomial functions in n variables over k. Therefore, the set of the regular functions on An is a ring, which is denoted k[An].
We say that a polynomial vanishes at a point if evaluating it at that point gives zero. Let S be a set of polynomials in k[An]. The vanishing set of S (or vanishing locus or zero set) is the set V(S) of all points in An where every polynomial in S vanishes. Symbolically,
A subset of An which is V(S), for some S, is called an algebraic set. The V stands for variety (a specific type of algebraic set to be defined below).
Given a subset U of An, can one recover the set of polynomials which generate it? If U is any subset of An, define I(U) to be the set of all polynomials whose vanishing set contains U. The I stands for ideal: if two polynomials f and g both vanish on U, then f+g vanishes on U, and if h is any polynomial, then hf vanishes on U, so I(U) is always an ideal of the polynomial ring k[An].
Two natural questions to ask are:
Given a subset U of An, when is U = V(I(U))?
Given a set S of polynomials, when is S = I(V(S))?
The answer to the first question is provided by introducing the Zariski topology, a topology on An whose closed sets are the algebraic sets, and which directly reflects the algebraic structure of k[An]. Then U = V(I(U)) if and only if U is an algebraic set or equivalently a Zariski-closed set. The answer to the second question is given by Hilbert's Nullstellensatz. In one of its forms, it says that I(V(S)) is the radical of the ideal generated by S. In more abstract language, there is a Galois connection, giving rise to two closure operators; they can be identified, and naturally play a basic role in the theory; the example is elaborated at Galois connection.
For various reasons we may not always want to work with the entire ideal corresponding to an algebraic set U. Hilbert's basis theorem implies that ideals in k[An] are always finitely generated.
An algebraic set is called irreducible if it cannot be written as the union of two smaller algebraic sets. Any algebraic set is a finite union of irreducible algebraic sets and this decomposition is unique. Thus its elements are called the irreducible components of the algebraic set. An irreducible algebraic set is also called a variety. It turns out that an algebraic set is a variety if and only if it may be defined as the vanishing set of a prime ideal of the polynomial ring.
Some authors do not make a clear distinction between algebraic sets and varieties and use irreducible variety to make the distinction when needed.
Regular functions
Just as continuous functions are the natural maps on topological spaces and smooth functions are the natural maps on differentiable manifolds, there is a natural class of functions on an algebraic set, called regular functions or polynomial functions. A regular function on an algebraic set V contained in An is the restriction to V of a regular function on An. For an algebraic set defined on the field of the complex numbers, the regular functions are smooth and even analytic.
It may seem unnaturally restrictive to require that a regular function always extend to the ambient space, but it is very similar to the situation in a normal topological space, where the Tietze extension theorem guarantees that a continuous function on a closed subset always extends to the ambient topological space.
Just as with the regular functions on affine space, the regular functions on V form a ring, which we denote by k[V]. This ring is called the coordinate ring of V.
Since regular functions on V come from regular functions on An, there is a relationship between the coordinate rings. Specifically, if a regular function on V is the restriction of two functions f and g in k[An], then f − g is a polynomial function which is null on V and thus belongs to I(V). Thus k[V] may be identified with k[An]/I(V).
Morphism of affine varieties
Using regular functions from an affine variety to A1, we can define regular maps from one affine variety to another. First we will define a regular map from a variety into affine space: Let V be a variety contained in An. Choose m regular functions on V, and call them f1, ..., fm. We define a regular map f from V to Am by letting . In other words, each fi determines one coordinate of the range of f.
If V′ is a variety contained in Am, we say that f is a regular map from V to V′ if the range of f is contained in V′.
The definition of the regular maps apply also to algebraic sets.
The regular maps are also called morphisms, as they make the collection of all affine algebraic sets into a category, where the objects are the affine algebraic sets and the morphisms are the regular maps. The affine varieties is a subcategory of the category of the algebraic sets.
Given a regular map g from V to V′ and a regular function f of k[V′], then . The map is a ring homomorphism from k[V′] to k[V]. Conversely, every ring homomorphism from k[V′] to k[V] defines a regular map from V to V′. This defines an equivalence of categories between the category of algebraic sets and the opposite category of the finitely generated reduced k-algebras. This equivalence is one of the starting points of scheme theory.
Rational function and birational equivalence
In contrast to the preceding sections, this section concerns only varieties and not algebraic sets. On the other hand, the definitions extend naturally to projective varieties (next section), as an affine variety and its projective completion have the same field of functions.
If V is an affine variety, its coordinate ring is an integral domain and has thus a field of fractions which is denoted k(V) and called the field of the rational functions on V or, shortly, the function field of V. Its elements are the restrictions to V of the rational functions over the affine space containing V. The domain of a rational function f is not V but the complement of the subvariety (a hypersurface) where the denominator of f vanishes.
As with regular maps, one may define a rational map from a variety V to a variety V'. As with the regular maps, the rational maps from V to V' may be identified to the field homomorphisms from k(V') to k(V).
Two affine varieties are birationally equivalent if there are two rational functions between them which are inverse one to the other in the regions where both are defined. Equivalently, they are birationally equivalent if their function fields are isomorphic.
An affine variety is a rational variety if it is birationally equivalent to an affine space. This means that the variety admits a rational parameterization, that is a parametrization with rational functions. For example, the circle of equation is a rational curve, as it has the parametric equation
which may also be viewed as a rational map from the line to the circle.
The problem of resolution of singularities is to know if every algebraic variety is birationally equivalent to a variety whose projective completion is nonsingular (see also smooth completion). It was solved in the affirmative in characteristic 0 by Heisuke Hironaka in 1964 and is yet unsolved in finite characteristic.
Projective variety
Just as the formulas for the roots of second, third, and fourth degree polynomials suggest extending real numbers to the more algebraically complete setting of the complex numbers, many properties of algebraic varieties suggest extending affine space to a more geometrically complete projective space. Whereas the complex numbers are obtained by adding the number i, a root of the polynomial , projective space is obtained by adding in appropriate points "at infinity", points where parallel lines may meet.
To see how this might come about, consider the variety . If we draw it, we get a parabola. As x goes to positive infinity, the slope of the line from the origin to the point (x, x2) also goes to positive infinity. As x goes to negative infinity, the slope of the same line goes to negative infinity.
Compare this to the variety V(y − x3). This is a cubic curve. As x goes to positive infinity, the slope of the line from the origin to the point (x, x3) goes to positive infinity just as before. But unlike before, as x goes to negative infinity, the slope of the same line goes to positive infinity as well; the exact opposite of the parabola. So the behavior "at infinity" of V(y − x3) is different from the behavior "at infinity" of V(y − x2).
The consideration of the projective completion of the two curves, which is their prolongation "at infinity" in the projective plane, allows us to quantify this difference: the point at infinity of the parabola is a regular point, whose tangent is the line at infinity, while the point at infinity of the cubic curve is a cusp. Also, both curves are rational, as they are parameterized by x, and the Riemann-Roch theorem implies that the cubic curve must have a singularity, which must be at infinity, as all its points in the affine space are regular.
Thus many of the properties of algebraic varieties, including birational equivalence and all the topological properties, depend on the behavior "at infinity" and so it is natural to study the varieties in projective space. Furthermore, the introduction of projective techniques made many theorems in algebraic geometry simpler and sharper: For example, Bézout's theorem on the number of intersection points between two varieties can be stated in its sharpest form only in projective space. For these reasons, projective space plays a fundamental role in algebraic geometry.
Nowadays, the projective space Pn of dimension n is usually defined as the set of the lines passing through a point, considered as the origin, in the affine space of dimension , or equivalently to the set of the vector lines in a vector space of dimension . When a coordinate system has been chosen in the space of dimension , all the points of a line have the same set of coordinates, up to the multiplication by an element of k. This defines the homogeneous coordinates of a point of Pn as a sequence of elements of the base field k, defined up to the multiplication by a nonzero element of k (the same for the whole sequence).
A polynomial in variables vanishes at all points of a line passing through the origin if and only if it is homogeneous. In this case, one says that the polynomial vanishes at the corresponding point of Pn. This allows us to define a projective algebraic set in Pn as the set , where a finite set of homogeneous polynomials vanishes. Like for affine algebraic sets, there is a bijection between the projective algebraic sets and the reduced homogeneous ideals which define them. The projective varieties are the projective algebraic sets whose defining ideal is prime. In other words, a projective variety is a projective algebraic set, whose homogeneous coordinate ring is an integral domain, the projective coordinates ring being defined as the quotient of the graded ring or the polynomials in variables by the homogeneous (reduced) ideal defining the variety. Every projective algebraic set may be uniquely decomposed into a finite union of projective varieties.
The only regular functions which may be defined properly on a projective variety are the constant functions. Thus this notion is not used in projective situations. On the other hand, the field of the rational functions or function field is a useful notion, which, similarly to the affine case, is defined as the set of the quotients of two homogeneous elements of the same degree in the homogeneous coordinate ring.
Real algebraic geometry
Real algebraic geometry is the study of real algebraic varieties.
The fact that the field of the real numbers is an ordered field cannot be ignored in such a study. For example, the curve of equation is a circle if , but has no real points if . Real algebraic geometry also investigates, more broadly, semi-algebraic sets, which are the solutions of systems of polynomial inequalities. For example, neither branch of the hyperbola of equation is a real algebraic variety. However, the branch in the first quadrant is a semi-algebraic set defined by and .
One open problem in real algebraic geometry is the following part of Hilbert's sixteenth problem: Decide which respective positions are possible for the ovals of a nonsingular plane curve of degree 8.
Computational algebraic geometry
One may date the origin of computational algebraic geometry to meeting EUROSAM'79 (International Symposium on Symbolic and Algebraic Manipulation) held at Marseille, France, in June 1979. At this meeting,
Dennis S. Arnon showed that George E. Collins's Cylindrical algebraic decomposition (CAD) allows the computation of the topology of semi-algebraic sets,
Bruno Buchberger presented Gröbner bases and his algorithm to compute them,
Daniel Lazard presented a new algorithm for solving systems of homogeneous polynomial equations with a computational complexity which is essentially polynomial in the expected number of solutions and thus simply exponential in the number of the unknowns. This algorithm is strongly related with Macaulay's multivariate resultant.
Since then, most results in this area are related to one or several of these items either by using or improving one of these algorithms, or by finding algorithms whose complexity is simply exponential in the number of the variables.
A body of mathematical theory complementary to symbolic methods called numerical algebraic geometry has been developed over the last several decades. The main computational method is homotopy continuation. This supports, for example, a model of floating point computation for solving problems of algebraic geometry.
Gröbner basis
A Gröbner basis is a system of generators of a polynomial ideal whose computation allows the deduction of many properties of the affine algebraic variety defined by the ideal.
Given an ideal I defining an algebraic set V:
V is empty (over an algebraically closed extension of the basis field), if and only if the Gröbner basis for any monomial ordering is reduced to {1}.
By means of the Hilbert series one may compute the dimension and the degree of V from any Gröbner basis of I for a monomial ordering refining the total degree.
If the dimension of V is 0, one may compute the points (finite in number) of V from any Gröbner basis of I (see Systems of polynomial equations).
A Gröbner basis computation allows one to remove from V all irreducible components which are contained in a given hypersurface.
A Gröbner basis computation allows one to compute the Zariski closure of the image of V by the projection on the k first coordinates, and the subset of the image where the projection is not proper.
More generally Gröbner basis computations allow one to compute the Zariski closure of the image and the critical points of a rational function of V into another affine variety.
Gröbner basis computations do not allow one to compute directly the primary decomposition of I nor the prime ideals defining the irreducible components of V, but most algorithms for this involve Gröbner basis computation. The algorithms which are not based on Gröbner bases use regular chains but may need Gröbner bases in some exceptional situations.
Gröbner bases are deemed to be difficult to compute. In fact they may contain, in the worst case, polynomials whose degree is doubly exponential in the number of variables and a number of polynomials which is also doubly exponential. However, this is only a worst case complexity, and the complexity bound of Lazard's algorithm of 1979 may frequently apply. Faugère F5 algorithm realizes this complexity, as it may be viewed as an improvement of Lazard's 1979 algorithm. It follows that the best implementations allow one to compute almost routinely with algebraic sets of degree more than 100. This means that, presently, the difficulty of computing a Gröbner basis is strongly related to the intrinsic difficulty of the problem.
Cylindrical algebraic decomposition (CAD)
CAD is an algorithm which was introduced in 1973 by G. Collins to implement with an acceptable complexity the Tarski–Seidenberg theorem on quantifier elimination over the real numbers.
This theorem concerns the formulas of the first-order logic whose atomic formulas are polynomial equalities or inequalities between polynomials with real coefficients. These formulas are thus the formulas which may be constructed from the atomic formulas by the logical operators and (∧), or (∨), not (¬), for all (∀) and exists (∃). Tarski's theorem asserts that, from such a formula, one may compute an equivalent formula without quantifier (∀, ∃).
The complexity of CAD is doubly exponential in the number of variables. This means that CAD allows, in theory, to solve every problem of real algebraic geometry which may be expressed by such a formula, that is almost every problem concerning explicitly given varieties and semi-algebraic sets.
While Gröbner basis computation has doubly exponential complexity only in rare cases, CAD has almost always this high complexity. This implies that, unless if most polynomials appearing in the input are linear, it may not solve problems with more than four variables.
Since 1973, most of the research on this subject is devoted either to improving CAD or finding alternative algorithms in special cases of general interest.
As an example of the state of art, there are efficient algorithms to find at least a point in every connected component of a semi-algebraic set, and thus to test if a semi-algebraic set is empty. On the other hand, CAD is yet, in practice, the best algorithm to count the number of connected components.
Asymptotic complexity vs. practical efficiency
The basic general algorithms of computational geometry have a double exponential worst case complexity. More precisely, if d is the maximal degree of the input polynomials and n the number of variables, their complexity is at most for some constant c, and, for some inputs, the complexity is at least for another constant c′.
During the last 20 years of the 20th century, various algorithms have been introduced to solve specific subproblems with a better complexity. Most of these algorithms have a complexity .
Among these algorithms which solve a sub problem of the problems solved by Gröbner bases, one may cite testing if an affine variety is empty and solving nonhomogeneous polynomial systems which have a finite number of solutions. Such algorithms are rarely implemented because, on most entries Faugère's F4 and F5 algorithms have a better practical efficiency and probably a similar or better complexity (probably because the evaluation of the complexity of Gröbner basis algorithms on a particular class of entries is a difficult task which has been done only in a few special cases).
The main algorithms of real algebraic geometry which solve a problem solved by CAD are related to the topology of semi-algebraic sets. One may cite counting the number of connected components, testing if two points are in the same components or computing a Whitney stratification of a real algebraic set. They have a complexity of
, but the constant involved by O notation is so high that using them to solve any nontrivial problem effectively solved by CAD, is impossible even if one could use all the existing computing power in the world. Therefore, these algorithms have never been implemented and this is an active research area to search for algorithms with have together a good asymptotic complexity and a good practical efficiency.
Abstract modern viewpoint
The modern approaches to algebraic geometry redefine and effectively extend the range of basic objects in various levels of generality to schemes, formal schemes, ind-schemes, algebraic spaces, algebraic stacks and so on. The need for this arises already from the useful ideas within theory of varieties, e.g. the formal functions of Zariski can be accommodated by introducing nilpotent elements in structure rings; considering spaces of loops and arcs, constructing quotients by group actions and developing formal grounds for natural intersection theory and deformation theory lead to some of the further extensions.
Most remarkably, in the late 1950s, algebraic varieties were subsumed into Alexander Grothendieck's concept of a scheme. Their local objects are affine schemes or prime spectra which are locally ringed spaces which form a category which is antiequivalent to the category of commutative unital rings, extending the duality between the category of affine algebraic varieties over a field k, and the category of finitely generated reduced k-algebras. The gluing is along Zariski topology; one can glue within the category of locally ringed spaces, but also, using the Yoneda embedding, within the more abstract category of presheaves of sets over the category of affine schemes. The Zariski topology in the set theoretic sense is then replaced by a Grothendieck topology. Grothendieck introduced Grothendieck topologies having in mind more exotic but geometrically finer and more sensitive examples than the crude Zariski topology, namely the étale topology, and the two flat Grothendieck topologies: fppf and fpqc; nowadays some other examples became prominent including Nisnevich topology. Sheaves can be furthermore generalized to stacks in the sense of Grothendieck, usually with some additional representability conditions leading to Artin stacks and, even finer, Deligne–Mumford stacks, both often called algebraic stacks.
Sometimes other algebraic sites replace the category of affine schemes. For example, Nikolai Durov has introduced commutative algebraic monads as a generalization of local objects in a generalized algebraic geometry. Versions of a tropical geometry, of an absolute geometry over a field of one element and an algebraic analogue of Arakelov's geometry were realized in this setup.
Another formal generalization is possible to universal algebraic geometry in which every variety of algebras has its own algebraic geometry. The term variety of algebras should not be confused with algebraic variety.
The language of schemes, stacks and generalizations has proved to be a valuable way of dealing with geometric concepts and became cornerstones of modern algebraic geometry.
Algebraic stacks can be further generalized and for many practical questions like deformation theory and intersection theory, this is often the most natural approach. One can extend the Grothendieck site of affine schemes to a higher categorical site of derived affine schemes, by replacing the commutative rings with an infinity category of differential graded commutative algebras, or of simplicial commutative rings or a similar category with an appropriate variant of a Grothendieck topology. One can also replace presheaves of sets by presheaves of simplicial sets (or of infinity groupoids). Then, in presence of an appropriate homotopic machinery one can develop a notion of derived stack as such a presheaf on the infinity category of derived affine schemes, which is satisfying certain infinite categorical version of a sheaf axiom (and to be algebraic, inductively a sequence of representability conditions). Quillen model categories, Segal categories and quasicategories are some of the most often used tools to formalize this yielding the derived algebraic geometry, introduced by the school of Carlos Simpson, including Andre Hirschowitz, Bertrand Toën, Gabrielle Vezzosi, Michel Vaquié and others; and developed further by Jacob Lurie, Bertrand Toën, and Gabriele Vezzosi. Another (noncommutative) version of derived algebraic geometry, using A-infinity categories has been developed from the early 1990s by Maxim Kontsevich and followers.
History
Before the 16th century
Some of the roots of algebraic geometry date back to the work of the Hellenistic Greeks from the 5th century BC. The Delian problem, for instance, was to construct a length x so that the cube of side x contained the same volume as the rectangular box a2b for given sides a and b. Menaechmus () considered the problem geometrically by intersecting the pair of plane conics ay = x2 and xy = ab. In the 3rd century BC, Archimedes and Apollonius systematically studied additional problems on conic sections using coordinates. Apollonius in the Conics further developed a method that is so similar to analytic geometry that his work is sometimes thought to have anticipated the work of Descartes by some 1800 years. His application of reference lines, a diameter and a tangent is essentially no different from our modern use of a coordinate frame, where the distances measured along the diameter from the point of tangency are the abscissas, and the segments parallel to the tangent and intercepted between the axis and the curve are the ordinates. He further developed relations between the abscissas and the corresponding coordinates using geometric methods like using parabolas and curves. Medieval mathematicians, including Omar Khayyam, Leonardo of Pisa, Gersonides and Nicole Oresme in the Medieval Period , solved certain cubic and quadratic equations by purely algebraic means and then interpreted the results geometrically. The Persian mathematician Omar Khayyám (born 1048 AD) believed that there was a relationship between arithmetic, algebra and geometry. This was criticized by Jeffrey Oaks, who claims that the study of curves by means of equations originated with Descartes in the seventeenth century.
Renaissance
Such techniques of applying geometrical constructions to algebraic problems were also adopted by a number of Renaissance mathematicians such as Gerolamo Cardano and Niccolò Fontana "Tartaglia" on their studies of the cubic equation. The geometrical approach to construction problems, rather than the algebraic one, was favored by most 16th and 17th century mathematicians, notably Blaise Pascal who argued against the use of algebraic and analytical methods in geometry. The French mathematicians Franciscus Vieta and later René Descartes and Pierre de Fermat revolutionized the conventional way of thinking about construction problems through the introduction of coordinate geometry. They were interested primarily in the properties of algebraic curves, such as those defined by Diophantine equations (in the case of Fermat), and the algebraic reformulation of the classical Greek works on conics and cubics (in the case of Descartes).
During the same period, Blaise Pascal and Gérard Desargues approached geometry from a different perspective, developing the synthetic notions of projective geometry. Pascal and Desargues also studied curves, but from the purely geometrical point of view: the analog of the Greek ruler and compass construction. Ultimately, the analytic geometry of Descartes and Fermat won out, for it supplied the 18th century mathematicians with concrete quantitative tools needed to study physical problems using the new calculus of Newton and Leibniz. However, by the end of the 18th century, most of the algebraic character of coordinate geometry was subsumed by the calculus of infinitesimals of Lagrange and Euler.
19th and early 20th century
It took the simultaneous 19th century developments of non-Euclidean geometry and Abelian integrals in order to bring the old algebraic ideas back into the geometrical fold. The first of these new developments was seized up by Edmond Laguerre and Arthur Cayley, who attempted to ascertain the generalized metric properties of projective space. Cayley introduced the idea of homogeneous polynomial forms, and more specifically quadratic forms, on projective space. Subsequently, Felix Klein studied projective geometry (along with other types of geometry) from the viewpoint that the geometry on a space is encoded in a certain class of transformations on the space. By the end of the 19th century, projective geometers were studying more general kinds of transformations on figures in projective space. Rather than the projective linear transformations which were normally regarded as giving the fundamental Kleinian geometry on projective space, they concerned themselves also with the higher degree birational transformations. This weaker notion of congruence would later lead members of the 20th century Italian school of algebraic geometry to classify algebraic surfaces up to birational isomorphism.
The second early 19th century development, that of Abelian integrals, would lead Bernhard Riemann to the development of Riemann surfaces.
In the same period began the algebraization of the algebraic geometry through commutative algebra. The prominent results in this direction are Hilbert's basis theorem and Hilbert's Nullstellensatz, which are the basis of the connection between algebraic geometry and commutative algebra, and Macaulay's multivariate resultant, which is the basis of elimination theory. Probably because of the size of the computation which is implied by multivariate resultants, elimination theory was forgotten during the middle of the 20th century until it was renewed by singularity theory and computational algebraic geometry.
20th century
B. L. van der Waerden, Oscar Zariski and André Weil developed a foundation for algebraic geometry based on contemporary commutative algebra, including valuation theory and the theory of ideals. One of the goals was to give a rigorous framework for proving the results of the Italian school of algebraic geometry. In particular, this school used systematically the notion of generic point without any precise definition, which was first given by these authors during the 1930s.
In the 1950s and 1960s, Jean-Pierre Serre and Alexander Grothendieck recast the foundations making use of sheaf theory. Later, from about 1960, and largely led by Grothendieck, the idea of schemes was worked out, in conjunction with a very refined apparatus of homological techniques. After a decade of rapid development the field stabilized in the 1970s, and new applications were made, both to number theory and to more classical geometric questions on algebraic varieties, singularities, moduli, and formal moduli.
An important class of varieties, not easily understood directly from their defining equations, are the abelian varieties, which are the projective varieties whose points form an abelian group. The prototypical examples are the elliptic curves, which have a rich theory. They were instrumental in the proof of Fermat's Last Theorem and are also used in elliptic-curve cryptography.
In parallel with the abstract trend of the algebraic geometry, which is concerned with general statements about varieties, methods for effective computation with concretely-given varieties have also been developed, which lead to the new area of computational algebraic geometry. One of the founding methods of this area is the theory of Gröbner bases, introduced by Bruno Buchberger in 1965. Another founding method, more specially devoted to real algebraic geometry, is the cylindrical algebraic decomposition, introduced by George E. Collins in 1973.
See also: derived algebraic geometry.
Analytic geometry
An analytic variety is defined locally as the set of common solutions of several equations involving analytic functions. It is analogous to the included concept of real or complex algebraic variety. Any complex manifold is an analytic variety. Since analytic varieties may have singular points, not all analytic varieties are manifolds.
Modern analytic geometry is essentially equivalent to real and complex algebraic geometry, as has been shown by Jean-Pierre Serre in his paper GAGA, the name of which is French for Algebraic geometry and analytic geometry. Nevertheless, the two fields remain distinct, as the methods of proof are quite different and algebraic geometry includes also geometry in finite characteristic.
Applications
Algebraic geometry now finds applications in statistics, control theory, robotics, error-correcting codes, phylogenetics and geometric modelling. There are also connections to string theory, game theory, graph matchings, solitons and integer programming.
See also
Glossary of classical algebraic geometry
Important publications in algebraic geometry
List of algebraic surfaces
Noncommutative algebraic geometry
Notes
References
Sources
Further reading
Some classic textbooks that predate schemes
Modern textbooks that do not use the language of schemes
Textbooks in computational algebraic geometry
Textbooks and references for schemes
External links
Foundations of Algebraic Geometry by Ravi Vakil, 808 pp.
Algebraic geometry entry on PlanetMath
English translation of the van der Waerden textbook
The Stacks Project, an open source textbook and reference work on algebraic stacks and algebraic geometry
Fields of mathematics
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Austin ( , ) is the capital city of the U.S. state of Texas, as well as the seat and most populous city of Travis County, with portions extending into Hays and Williamson counties. Incorporated on December 27, 1839, it is the 10th most populous city in the United States, the 4th most populous city in Texas, and the 2nd most populous state capital city. It has been one of the fastest growing large cities in the United States since 2010. Downtown Austin and Downtown San Antonio are approximately apart, and both fall along the Interstate 35 corridor. Austin is the southernmost state capital in the contiguous United States and is considered a Beta-level global city as categorized by the Globalization and World Cities Research Network.
As of 2021, Austin had an estimated population of 964,177, up from 961,855 at the 2020 census. The city is the cultural and economic center of the metropolitan statistical area, which had an estimated population of 2,421,115 as of July 1, 2022. Located in within the greater Texas Hill Country, it is home to numerous lakes, rivers, and waterways, including Lady Bird Lake and Lake Travis on the Colorado River, Barton Springs, McKinney Falls, and Lake Walter E. Long.
Residents of Austin are known as Austinites. They include a diverse mix of government employees, college students, musicians, high-tech workers, and blue-collar workers. The city's official slogan promotes Austin as "The Live Music Capital of the World", a reference to the city's many musicians and live music venues, as well as the long-running PBS TV concert series Austin City Limits. The city also adopted "Silicon Hills" as a nickname in the 1990s due to a rapid influx of technology and development companies. In recent years, some Austinites have adopted the unofficial slogan "Keep Austin Weird", which refers to the desire to protect small, unique, and local businesses from being overrun by large corporations. Since the late 19th century, Austin has also been known as the "City of the Violet Crown", because of the colorful glow of light across the hills just after sunset.
In 1987, Austin originated and remains the site for South by Southwest (stylized as SXSW and colloquially referred to as South By), an annual conglomeration of parallel film, interactive media, and music festivals and conferences that take place in mid-March.
Emerging from a strong economic focus on government and education, since the 1990s, Austin has become a center for technology and business. The technology roots in Austin can be traced back to the 1960s when Tracor (now BAE Systems), a major defense electronics contractor, began operation in the city in 1962. IBM followed in 1967, opening a facility to produce its Selectric typewriters. Texas Instruments setup in Austin two years later, Motorola (now NXP Semiconductors) started semiconductor chip manufacturing in 1974. BAE Systems, IBM, and NXP Semiconductors still have campuses and manufacturing operations in Austin as of 2022. A number of Fortune 500 companies have headquarters or regional offices in Austin, including 3M, Advanced Micro Devices (AMD), Amazon, Apple, Facebook (Meta), Google, IBM, Intel, NXP Semiconductors, Oracle, Tesla, Texas Instruments, and Whole Foods Market. Dell's worldwide headquarters is located in the nearby suburb of Round Rock. With regard to education, Austin is the home of the University of Texas at Austin, which is one of the largest universities in the U.S., with over 50,000 students. In 2021, Austin became home to the Austin FC, the first (and currently only) major professional sports team in the city.
History
Austin, Travis County and Williamson County have been the site of human habitation since at least 9200 BC. The area's earliest known inhabitants lived during the late Pleistocene (Ice Age) and are linked to the Clovis culture around 9200 BC (over 11,200 years ago), based on evidence found throughout the area and documented at the much-studied Gault Site, midway between Georgetown and Fort Cavazos.
When settlers arrived from Europe, the Tonkawa tribe inhabited the area. The Comanches and Lipan Apaches were also known to travel through the area. Spanish colonists, including the Espinosa-Olivares-Aguirre expedition, traveled through the area, though few permanent settlements were created for some time. In 1730, three Catholic missions from East Texas were combined and reestablished as one mission on the south side of the Colorado River, in what is now Zilker Park, in Austin. The mission was in this area for only about seven months, and then was moved to San Antonio de Béxar and split into three missions.
During the 1830s, pioneers began to settle the area in central Austin along the Colorado River. Spanish forts were established in what are now Bastrop and San Marcos. Following Mexico's independence, new settlements were established in Central Texas, but growth in the region was stagnant because of conflicts with the regional Native Americans.
In 1835–1836, Texans fought and won independence from Mexico. Texas thus became an independent country with its own president, congress, and monetary system. In 1839, the Texas Congress formed a commission to seek a site for a new capital of the Republic of Texas to replace Houston. When he was Vice President of Texas, Mirabeau B. Lamar had visited the area during a buffalo-hunting expedition between 1837 and 1838. He advised the commissioners to consider the area on the north bank of the Colorado River (near the present-day Congress Avenue Bridge), noting the area's hills, waterways, and pleasant surroundings. It was seen as a convenient crossroads for trade routes between Santa Fe and Galveston Bay, as well as routes between northern Mexico and the Red River. In 1839, the site was chosen, and was briefly incorporated under the name "Waterloo". Shortly afterward, the name was changed to Austin in honor of Stephen F. Austin, the "Father of Texas" and the republic's first secretary of state.
The city grew throughout the 19th century and became a center for government and education with the construction of the Texas State Capitol and the University of Texas at Austin.
Edwin Waller was picked by Lamar to survey the village and draft a plan laying out the new capital. The original site was narrowed to that fronted the Colorado River between two creeks, Shoal Creek and Waller Creek, which was later named in his honor. Waller and a team of surveyors developed Austin's first city plan, commonly known as the Waller Plan, dividing the site into a 14-block grid plan bisected by a broad north–south thoroughfare, Congress Avenue, running up from the river to Capital Square, where the new Texas State Capitol was to be constructed. A temporary one-story capitol was erected on the corner of Colorado and 8th Streets. On August 1, 1839, the first auction of 217 out of 306 lots total was held. The Waller Plan designed and surveyed now forms the basis of downtown Austin.
In 1840, a series of conflicts between the Texas Rangers and the Comanches, known as the Council House Fight and the Battle of Plum Creek, pushed the Comanches westward, mostly ending conflicts in Central Texas. Settlement in the area began to expand quickly. Travis County was established in 1840, and the surrounding counties were mostly established within the next two decades.
Initially, the new capital thrived but Lamar's political enemy, Sam Houston, used two Mexican army incursions to San Antonio as an excuse to move the government. Sam Houston fought bitterly against Lamar's decision to establish the capital in such a remote wilderness. The men and women who traveled mainly from Houston to conduct government business were intensely disappointed as well. By 1840, the population had risen to 856, nearly half of whom fled Austin when Congress recessed. The resident African American population listed in January of this same year was 176. The fear of Austin's proximity to the Indians and Mexico, which still considered Texas a part of their land, created an immense motive for Sam Houston, the first and third President of the Republic of Texas, to relocate the capital once again in 1841. Upon threats of Mexican troops in Texas, Houston raided the Land Office to transfer all official documents to Houston for safe keeping in what was later known as the Archive War, but the people of Austin would not allow this unaccompanied decision to be executed. The documents stayed, but the capital would temporarily move from Austin to Houston to Washington-on-the-Brazos. Without the governmental body, Austin's population declined to a low of only a few hundred people throughout the early 1840s. The voting by the fourth President of the Republic, Anson Jones, and Congress, who reconvened in Austin in 1845, settled the issue to keep Austin the seat of government, as well as annex the Republic of Texas into the United States.
In 1860, 38% of Travis County residents were slaves. In 1861, with the outbreak of the American Civil War, voters in Austin and other Central Texas communities voted against secession. However, as the war progressed and fears of attack by Union forces increased, Austin contributed hundreds of men to the Confederate forces. The African American population of Austin swelled dramatically after the enforcement of the Emancipation Proclamation in Texas by Union General Gordon Granger at Galveston, in an event commemorated as Juneteenth. Black communities such as Wheatville, Pleasant Hill, and Clarksville were established, with Clarksville being the oldest surviving freedomtown ‒ the original post-Civil War settlements founded by former African-American slaves ‒ west of the Mississippi River. In 1870, blacks made up 36.5% of Austin's population.
The postwar period saw dramatic population and economic growth. The opening of the Houston and Texas Central Railway (H&TC) in 1871 turned Austin into the major trading center for the region, with the ability to transport both cotton and cattle. The Missouri, Kansas & Texas (MKT) line followed close behind. Austin was also the terminus of the southernmost leg of the Chisholm Trail, and "drovers" pushed cattle north to the railroad. Cotton was one of the few crops produced locally for export, and a cotton gin engine was located downtown near the trains for "ginning" cotton of its seeds and turning the product into bales for shipment. However, as other new railroads were built through the region in the 1870s, Austin began to lose its primacy in trade to the surrounding communities. In addition, the areas east of Austin took over cattle and cotton production from Austin, especially in towns like Hutto and Taylor that sit over the blackland prairie, with its deep, rich soils for producing cotton and hay.
In September 1881, Austin public schools held their first classes. The same year, Tillotson Collegiate and Normal Institute (now part of Huston–Tillotson University) opened its doors. The University of Texas held its first classes in 1883, although classes had been held in the original wooden state capitol for four years before.
During the 1880s, Austin gained new prominence as the state capitol building was completed in 1888 and claimed as the seventh largest building in the world. In the late 19th century, Austin expanded its city limits to more than three times its former area, and the first granite dam was built on the Colorado River to power a new street car line and the new "moon towers". The first dam washed away in a flood on April 7, 1900.
In the late 1920s and 1930s, Austin implemented the 1928 Austin city plan through a series of civic development and beautification projects that created much of the city's infrastructure and many of its parks. In addition, the state legislature established the Lower Colorado River Authority (LCRA) that, along with the city of Austin, created the system of dams along the Colorado River to form the Highland Lakes. These projects were enabled in large part because the Public Works Administration provided Austin with greater funding for municipal construction projects than other Texas cities.
During the early twentieth century, a three-way system of social segregation emerged in Austin, with Anglos, African Americans and Mexicans being separated by custom or law in most aspects of life, including housing, health care, and education. Deed restrictions also played an important role in residential segregation. After 1935 most housing deeds prohibited African Americans (and sometimes other nonwhite groups) from using land. Combined with the system of segregated public services, racial segregation increased in Austin during the first half of the twentieth century, with African Americans and Mexicans experiencing high levels of discrimination and social marginalization.
In 1940, the destroyed granite dam on the Colorado River was finally replaced by a hollow concrete dam that formed Lake McDonald (now called Lake Austin) and which has withstood all floods since. In addition, the much larger Mansfield Dam was built by the LCRA upstream of Austin to form Lake Travis, a flood-control reservoir.
In the early 20th century, the Texas Oil Boom took hold, creating tremendous economic opportunities in Southeast Texas and North Texas. The growth generated by this boom largely passed by Austin at first, with the city slipping from fourth largest to tenth largest in Texas between 1880 and 1920.
After a severe lull in economic growth from the Great Depression, Austin resumed its steady development. Following the mid-20th century, Austin became established as one of Texas' major metropolitan centers. In 1970, the U.S. Census Bureau reported Austin's population as 14.5% Hispanic, 11.9% black, and 73.4% non-Hispanic white. In the late 20th century, Austin emerged as an important high tech center for semiconductors and software. The University of Texas at Austin emerged as a major university.
The 1970s saw Austin's emergence in the national music scene, with local artists such as Willie Nelson, Asleep at the Wheel, and Stevie Ray Vaughan and iconic music venues such as the Armadillo World Headquarters. Over time, the long-running television program Austin City Limits, its namesake Austin City Limits Festival, and the South by Southwest music festival solidified the city's place in the music industry.
Geography
Austin, the southernmost state capital of the contiguous 48 states, is located in Central Texas on the Colorado River. Austin is northwest of Houston, south of Dallas and northeast of San Antonio.
Austin occupies a total area of . Approximately of this area is water. Austin is situated at the foot of the Balcones Escarpment, on the Colorado River, with three artificial lakes within the city limits: Lady Bird Lake (formerly known as Town Lake), Lake Austin (both created by dams along the Colorado River), and Lake Walter E. Long that is partly used for cooling water for the Decker Power Plant. Mansfield Dam and the foot of Lake Travis are located within the city's limits. Lady Bird Lake, Lake Austin, and Lake Travis are each on the Colorado River.
The elevation of Austin varies from to approximately above sea level. Due to the fact it straddles the Balcones Fault, much of the eastern part of the city is flat, with heavy clay and loam soils, whereas the western part and western suburbs consist of rolling hills on the edge of the Texas Hill Country. Because the hills to the west are primarily limestone rock with a thin covering of topsoil, portions of the city are frequently subjected to flash floods from the runoff caused by thunderstorms. To help control this runoff and to generate hydroelectric power, the Lower Colorado River Authority operates a series of dams that form the Texas Highland Lakes. The lakes also provide venues for boating, swimming, and other forms of recreation within several parks on the lake shores.
Austin is located at the intersection of four major ecological regions, and is consequently a temperate-to-hot green oasis with a highly variable climate having some characteristics of the desert, the tropics, and a wetter climate. The area is very diverse ecologically and biologically, and is home to a variety of animals and plants. Notably, the area is home to many types of wildflowers that blossom throughout the year but especially in the spring. This includes the popular bluebonnets, some planted by "Lady Bird" Johnson, wife of former President Lyndon B. Johnson.
The soils of Austin range from shallow, gravelly clay loams over limestone in the western outskirts to deep, fine sandy loams, silty clay loams, silty clays or clays in the city's eastern part. Some of the clays have pronounced shrink-swell properties and are difficult to work under most moisture conditions. Many of Austin's soils, especially the clay-rich types, are slightly to moderately alkaline and have free calcium carbonate.
Cityscape
Austin's skyline historically was modest, dominated by the Texas State Capitol and the University of Texas Main Building. However, since the 2000s, many new high-rise towers have been constructed. Austin is currently undergoing a skyscraper boom, which includes recent construction on new office, hotel and residential buildings. Downtown's buildings are somewhat spread out, partly due to a set of zoning restrictions that preserve the view of the Texas State Capitol from various locations around Austin, known as the Capitol View Corridors.
At night, parts of Austin are lit by "artificial moonlight" from moonlight towers built to illuminate the central part of the city. The moonlight towers were built in the late 19th century and are now recognized as historic landmarks. Only 15 of the 31 original innovative towers remain standing in Austin, but none remain in any of the other cities where they were installed. The towers are featured in the 1993 film Dazed and Confused.
Downtown
The central business district of Austin is home to the tallest condo towers in the state, with The Independent (58 stories and tall) and The Austonian (topping out at 56 floors and tall). The Independent became the tallest all-residential building in the U.S. west of Chicago when topped out in 2018. In 2005, then-Mayor Will Wynn set out a goal of having 25,000 people living downtown by 2015. Although downtown's growth did not meet this goal, downtown's residential population did surge from an estimated 5,000 in 2005 to 12,000 in 2015. The skyline has drastically changed in recent years, and the residential real estate market has remained relatively strong. , there were 31 high rise projects either under construction, approved or planned to be completed in Austin's downtown core between 2017 and 2020. Sixteen of those were set to rise above tall, including four above 600', and eight above 500'. An additional 15 towers were slated to stand between 300' and 399' tall.
Climate
Austin is located within the middle of a unique, narrow transitional zone between the dry deserts of the American Southwest and the lush, green, more humid regions of the American Southeast. Its climate, topography, and vegetation share characteristics of both. Officially, Austin has a humid subtropical climate (Cfa) under the Köppen climate classification. This climate is typified by long, very hot summers, short, mild winters, and warm to hot spring and fall seasons in-between. Austin averages of annual rainfall distributed mostly evenly throughout the year, though spring and fall are the wettest seasons. Sunshine is common during all seasons, with 2,650 hours, or 60.3% of the possible total, of bright sunshine per year.
Summers in Austin are very hot, with average July and August highs frequently reaching the high-90s (34–36 °C) or above. Highs reach on 123 days per year, of which 29 days reach ; all years in the 1991-2020 period recorded at least 1 day of the latter. The average daytime high is or warmer between March 1 and November 21, rising to or warmer between April 14 and October 24, and reaching or warmer between May 30 and September 18. The highest ever recorded temperature was occurring on September 5, 2000, and August 28, 2011. An uncommon characteristic of Austin's climate is its highly variable humidity, which fluctuates frequently depending on the shifting patterns of air flow and wind direction. It is common for a lengthy series of warm, dry, low-humidity days to be occasionally interrupted by very warm and humid days, and vice versa. Humidity rises with winds from the east or southeast, when the air drifts inland from the Gulf of Mexico, but decreases significantly with winds from the west or southwest, bringing air flowing from Chihuahuan Desert areas of West Texas or northern Mexico.
Winters in Austin are mild, although occasional short-lived bursts of cold weather known as "Blue Northers" can occur. January is the coolest month with an average daytime high of . The overnight low drops to or below freezing 12 times per year, and sinks below during 76 evenings per year, mostly between mid-December and mid-February. The average first and last dates for a freeze are December 1 and February 15, giving Austin an average growing season of 288 days, and the coldest temperature of the year is normally about under the 1991-2020 climate normals, putting Austin in USDA zone 9a.
Conversely, winter months also produce warm days on a regular basis. On average, 10 days in January reach or exceed and 1 day reaches ; during the 1991-2020 period, all Januarys had at least 1 day with a high of or more, and most (60%) had at least 1 day with a high of or more. The lowest ever recorded temperature in the city was on January 31, 1949. Roughly every two years Austin experiences an ice storm that freezes roads over and cripples travel in the city for 24 to 48 hours. When Austin received of ice on January 24, 2014, there were 278 vehicular collisions. Similarly, snowfall is rare in Austin. A snow event of on February 4, 2011, caused more than 300 car crashes. The most recent major snow event occurred February 14–15, 2021, when of snow fell at Austin's Camp Mabry, the largest two-day snowfall since records began being kept in 1948.
Typical of Central Texas, severe weather in Austin is a threat that can strike during any season. However, it is most common during the spring. According to most classifications, Austin lies within the extreme southern periphery of Tornado Alley, although many sources place Austin outside of Tornado Alley altogether. Consequently, tornadoes strike Austin less frequently than areas farther to the north. However, severe weather and/or supercell thunderstorms can occur multiple times per year, bringing damaging winds, lightning, heavy rain, and occasional flash flooding to the city. The deadliest storm to ever strike city limits was the twin tornadoes storm of May 4, 1922, while the deadliest tornado outbreak to ever strike the metro area was the Central Texas tornado outbreak of May 27, 1997.
Natural disasters
2011 drought
From October 2010 through September 2011, both major reporting stations in Austin, Camp Mabry and Bergstrom Int'l, had the least rainfall of a water year on record, receiving less than a third of normal precipitation. This was a result of La Niña conditions in the eastern Pacific Ocean where water was significantly cooler than normal. David Brown, a regional official with the National Oceanic and Atmospheric Administration, explained that "these kinds of droughts will have effects that are even more extreme in the future, given a warming and drying regional climate." The drought, coupled with exceedingly high temperatures throughout the summer of 2011, caused many wildfires throughout Texas, including notably the Bastrop County Complex Fire in neighboring Bastrop, Texas.
2018 flooding and water crisis
In the fall of 2018, Austin and surrounding areas received heavy rainfall and flash flooding following Hurricane Sergio. The Lower Colorado River Authority opened four floodgates of the Mansfield Dam after Lake Travis was recorded at 146% full at . From October 22 to October 29, 2018, the City of Austin issued a mandatory citywide boil-water advisory after the Highland Lakes, home to the city's main water supply, became overwhelmed by unprecedented amounts of silt, dirt, and debris that had washed in from the Llano River. Austin Water, the city's water utility, has the capacity to process up to 300 million gallons of water per day; however, the elevated level of turbidity reduced output to only 105 million gallons per day. Since Austin residents consumed an average of 120 million gallons of water per day, the infrastructure was not able to keep up with demand.
2021 winter storm
In February 2021, Winter Storm Uri dropped prolific amounts of snow across Texas and Oklahoma, including Austin. The Austin area received a total of of snowfall between February 14 and 15, with snow cover persisting until February 20.
This marked the longest time the area had had more than of snow, with the previous longest time being three days in January 1985.
Lack of winterization in natural gas power plants, which supply a large amount of power to the Texas grid, and increased energy demand caused ERCOT and Austin Energy to enact rolling blackouts in order to avoid total grid collapse between February 15 and February 18. Initial rolling blackouts were to last for a maximum of 40 minutes, however lack of energy production caused many blackouts to last for much longer, at the peak of the blackouts an estimated 40% of Austin Energy homes were without power.
Starting on February 15, Austin Water received reports of pipe breaks, hourly water demand increased from 150 million gallons per day (MGD) on February 15 to a peak hourly demand of 260 MGD on February 16. On the morning of February 17 demand increased to 330 MGD, the resulting drop of water pressure caused the Austin area to enter into a boil-water advisory which would last until water pressure was restored on February 23.
2023 winter storm
Beginning January 30, 2023 the City of Austin experienced a winter freeze which left 170,000 Austin Energy customers without electricity or heat for several days. The slow pace of repairs and lack of public information from City officials frustrated many residents. A week after the freeze and when Austin City Council members were proposing to evaluate his employment, City Manager Spencer Cronk finally apologized. On Thursday February 16, 2023, Cronk was fired by the Austin City Council for the city's response to the winter storm. Former City Manager Jesus Garcia was named Interim City Manager
Demographics
In 2020, there were 961,855 people, up from the 2000 United States census tabulation where there were people, households, and families residing in the city. In 2000, the population density was . There were dwelling units at an average density of . There were households, out of which 26.8% had children under the age of 18 living with them, 38.1% were married couples living together, 10.8% had a female householder with no husband present, and 46.7% were non-families. 32.8% of all households were made up of individuals, and 4.6% had someone living alone who was 65 years of age or older. The average household size was 2.40 and the average family size was 3.14.
In the city, 22.5% of the population was under the age of 18, 16.6% was from 18 to 24, 37.1% from 25 to 44, 17.1% from 45 to 64, and 6.7% were 65 years of age or older. The median age was 30 years. For every 100 females, there were 105.8 males.
The median income for a household in the city was , and the median income for a family was $. Males had a median income of $ compared to $ for females. The per capita income for the city was $. About 9.1% of families and 14.4% of the population were below the poverty line, including 16.5% of those under age 18 and 8.7% of those age 65 or over. The median house price was $ in 2009, and it has increased every year since 2004. The median value of a house which the owner occupies was $318,400 in 2019—higher than the average American home value of $240,500.
Race and ethnicity
According to the 2010 United States census, the racial composition of Austin was 68.3% White (48.7% non-Hispanic whites), 35.1% Hispanic or Latino (29.1% Mexican, 0.5% Puerto Rican, 0.4% Cuban, 5.1% Other), 8.1% African American, 6.3% Asian (1.9% Indian, 1.5% Chinese, 1.0% Vietnamese, 0.7% Korean, 0.3% Filipino, 0.2% Japanese, 0.8% Other), 0.9% American Indian, 0.1% Native Hawaiian and Other Pacific Islander, and 3.4% two or more races.
According to the 2020 United States census, the racial composition of Austin was 72.6% White (48.3% non-Hispanic whites), 33.9% Hispanic or Latino, 7.8% African American, 7.6% Asian, 0.7% American Indian, 0.1% Native Hawaiian and Other Pacific Islander, and 3.4% two or more races.
A 2014 University of Texas study stated that Austin was the only U.S. city with a fast growth rate between 2000 and 2010 with a net loss in African Americans. , Austin's African American and non-Hispanic white percentage share of the total population was declining despite the actual numbers of both ethnic groups increasing, as the rapid growth of the Latino or Hispanic and Asian populations has outpaced all other ethnic groups in the city. Austin's non-Hispanic white population first dropped below 50% in 2005.
Sexual orientation and gender identity
According to a survey completed in 2014 by Gallup, it is estimated that 5.3% of residents in the Austin metropolitan area identify as lesbian, gay, bisexual, or transgender. The Austin metropolitan area had the third-highest rate in the nation.
Religion
According to Sperling's BestPlaces, 52.4% of Austin's population are religious. The majority of Austinites identified themselves as Christians, about 25.2% of whom claimed affiliation with the Catholic Church. The city's Catholic population is served by the Roman Catholic Diocese of Austin, headquartered at the Cathedral of Saint Mary. Nationwide, 23% of Americans identified as Catholic in 2016. Other significant Christian groups in Austin include Baptists (8.7%), followed by Methodists (4.3%), Latter-day Saints (1.5%), Episcopalians or Anglicans (1.0%), Lutherans (0.8%), Presbyterians (0.6%), Pentecostals (0.3%), and other Christians such as the Disciples of Christ and Eastern Orthodox Church (7.1%). The second largest religion Austinites identify with is Islam (1.7%); roughly 0.8% of Americans nationwide claimed affiliation with the Islamic faith. The dominant branch of Islam is Sunni Islam. Established in 1977, the largest mosque in Austin is the Islamic Center of Greater Austin. The community is affiliated with the Islamic Society of North America. The same study says that eastern faiths including Buddhism, Sikhism, and Hinduism made up 0.9% of the city's religious population. Several Hindu temples exist in the Austin Metropolitan area with the most notable one being Radha Madhav Dham. Judaism forms less than 0.1% of the religious demographic in Austin. Orthodox, Reform, and Conservative congregations are present in the community. In addition to those religious groups, Austin is also home to an active secular humanist community, hosting nationwide television shows and charity work.
Homelessness
As of 2019, there were 2,255 individuals experiencing homelessness in Travis County. Of those, 1,169 were sheltered and 1,086 were unsheltered. In September 2019, the Austin City Council approved $62.7 million for programs aimed at homelessness, which includes housing displacement prevention, crisis mitigation, and affordable housing; the city council also earmarked $500,000 for crisis services and encampment cleanups.
In June 2019, following a federal court ruling on homelessness sleeping in public, the Austin City Council lifted a 25-year-old ban on camping, sitting, or lying down in public unless doing so causes an obstruction. The resolution also included the approval of a new housing-focused shelter in South Austin. In early October 2019, Texas Governor Greg Abbott sent a letter to Mayor Steve Adler threatening to deploy state resources to combat the camping ban repeal. On October 17, 2019, the City Council revised the camping ordinance, which imposed increased restrictions on sidewalk camping. In November 2019, the State of Texas opened a temporary homeless encampment on a former vehicle storage yard owned by the Texas Department of Transportation.
In May 2021, the camping ban was reinstated after a ballot proposition was approved by 57% of voters. The ban introduces penalties for camping, sitting, or lying down on a public sidewalk or sleeping outdoors in or near Downtown Austin or the area around the University of Texas campus. The ordinance also prohibits solicitation at certain locations.
Economy
The Greater Austin metropolitan statistical area had a gross domestic product (GDP) of $86 billion in 2010. Austin is considered to be a major center for high tech. Thousands of graduates each year from the engineering and computer science programs at the University of Texas at Austin provide a steady source of employees that help to fuel Austin's technology and defense industry sectors. The region's rapid growth has led Forbes to rank the Austin metropolitan area number one among all big cities for jobs for 2012 in their annual survey and WSJ Marketwatch to rank the area number one for growing businesses. As a result of the high concentration of high-tech companies in the region, Austin was strongly affected by the dot-com boom in the late 1990s and subsequent bust. Austin's largest employers include the Austin Independent School District, the City of Austin, Dell, the U.S. Federal Government, NXP Semiconductors, IBM, St. David's Healthcare Partnership, Seton Family of Hospitals, the State of Texas, the Texas State University, and the University of Texas at Austin.
Other high-tech companies with operations in Austin include 3M, Apple, Amazon, AMD, Apartment Ratings, Applied Materials, Arm, Bigcommerce, BioWare, Blizzard Entertainment, Buffalo Technology, Cirrus Logic, Cisco Systems, Dropbox, eBay, Electronic Arts, Flextronics, Facebook, Google, Hewlett-Packard, Hoover's, HomeAway, HostGator, Intel Corporation, National Instruments, Nintendo, Nvidia, Oracle, PayPal, Polycom, Qualcomm, Rackspace, RetailMeNot, Rooster Teeth, Samsung Group, Silicon Labs, Spansion, United Devices, VMware, Xerox, and Zoho Corporation. In 2010, Facebook accepted a grant to build a downtown office that could bring as many as 200 jobs to the city. The proliferation of technology companies has led to the region's nickname, "Silicon Hills", and spurred development that greatly expanded the city.
Tesla, Inc., an electric vehicle and clean energy company has its corporate headquarters in Austin inside Gigafactory Texas, a large vehicle assembly plant which employs over 20,000 people. The company expects to eventually have a staff of 60,000 in the Austin area as production ramps up.
Austin is also emerging as a hub for pharmaceutical and biotechnology companies; the city is home to about 85 of them. In 2004, the city was ranked by the Milken Institute as the No. 12 biotech and life science center in the United States and in 2018, CBRE Group ranked Austin as #3 emerging life sciences cluster. Companies such as Hospira, Pharmaceutical Product Development, and ArthroCare Corporation are located there.
Whole Foods Market, an international grocery store chain specializing in fresh and packaged food products, was founded and is headquartered in Austin.
Other companies based in Austin include NXP Semiconductors, GoodPop, Temple-Inland, Sweet Leaf Tea Company, Keller Williams Realty, National Western Life, GSD&M, Dimensional Fund Advisors, Golfsmith, Forestar Group, EZCorp, Outdoor Voices, Tito's Vodka, Indeed, Speak Social, and YETI.
In 2018, Austin metro-area companies saw a total of $1.33 billion invested. In 2018, Austin's venture capital investments accounted for more than 60 percent of Texas' total investments.
Culture and contemporary life
"Keep Austin Weird" has been a local motto for years, featured on bumper stickers and T-shirts. This motto has not only been used in promoting Austin's eccentricity and diversity, but is also meant to bolster support of local independent businesses. According to the 2010 book Weird City the phrase was begun by a local Austin Community College librarian, Red Wassenich, and his wife, Karen Pavelka, who were concerned about Austin's "rapid descent into commercialism and overdevelopment." The slogan has been interpreted many ways since its inception, but remains an important symbol for many Austinites who wish to voice concerns over rapid growth and development. Austin has a long history of vocal citizen resistance to development projects perceived to degrade the environment, or to threaten the natural and cultural landscapes.
According to the Nielsen Company, adults in Austin read and contribute to blogs more than those in any other U.S. metropolitan area. Austin residents have the highest Internet usage in all of Texas. In 2013, Austin was the most active city on Reddit, having the largest number of views per capita. Austin was selected as the No. 2 Best Big City in "Best Places to Live" by Money magazine in 2006, and No. 3 in 2009, and also the "Greenest City in America" by MSN.
South Congress is a shopping district stretching down South Congress Avenue from Downtown. This area is home to coffee shops, eccentric stores, restaurants, food trucks, trailers, and festivals. It prides itself on "Keeping Austin Weird," especially with development in the surrounding area(s). Many Austinites attribute its enduring popularity to the magnificent and unobstructed view of the Texas State Capitol.
The Rainey Street Historic District is a neighborhood in Downtown Austin formerly consisting of bungalow style homes built in the early 20th century. Since the early 2010s, the former working class residential street has turned into a popular nightlife district. Much of the historic homes have been renovated into hotels, condominiums, bars and restaurants, many of which feature large porches and outdoor yards for patrons. The Rainey Street district is also home to the Emma S. Barrientos Mexican American Cultural Center.
Austin has been part of the UNESCO Creative Cities Network under Media Arts the category.
Old Austin
"Old Austin" is an adage often used by nostalgic natives. The term "Old Austin" refers to a time when the city was smaller and more bohemian with a considerably lower cost of living and better known for its lack of traffic, hipsters, and urban sprawl. It is often employed by longtime residents expressing displeasure at the rapidly changing culture, or when referencing nostalgia of Austin culture.
The growth and popularity of Austin can be seen by the expansive development taking place in its downtown landscape. This growth can have a negative impact on longtime small businesses that cannot keep up with the expenses associated with gentrification and the rising cost of real estate. A former Austin musician, Dale Watson, described his move away from Austin, "I just really feel the city has sold itself. Just because you're going to get $45 million for a company to come to town – if it's not in the best interest of the town, I don't think they should do it. This city was never about money. It was about quality of life." Though much is changing rapidly in Austin, businesses such as Thundercloud Subs are thought by many to maintain classic Austin business cultural sentiments unique to the history of the city; as Diana Burgess stated, "I definitely appreciate that they haven't raised their prices a ton or made things super fancy. I think it speaks to that original Old Austin vibe. A lot of us that grew up here really appreciate that."
Annual cultural events
The O. Henry House Museum hosts the annual O. Henry Pun-Off, a pun contest where the successful contestants exhibit wit akin to that of the author William Sydney Porter.
Other annual events include Eeyore's Birthday Party, Spamarama, Austin Pride Festival & Parade in August, the Austin Reggae Festival in April, Kite Festival, Texas Craft Brewers Festival in September, Art City Austin in April, East Austin Studio Tour in November, and Carnaval Brasileiro in February. Sixth Street features annual festivals such as the Pecan Street Festival and Halloween night. The three-day Austin City Limits Music Festival has been held in Zilker Park every year since 2002. Every year around the end of March and the beginning of April, Austin is home to "Texas Relay Weekend."
Austin's Zilker Park Tree is a Christmas display made of lights strung from the top of a Moonlight tower in Zilker Park. The Zilker Tree is lit in December along with the "Trail of Lights," an Austin Christmas tradition. The Trail of Lights was canceled four times, first starting in 2001 and 2002 due to the September 11 Attacks, and again in 2010 and 2011 due to budget shortfalls, but the trail was turned back on for the 2012 holiday season.
Cuisine and breweries
Austin is perhaps best known for its Texas barbecue and Tex-Mex cuisine. Franklin Barbecue is perhaps Austin's most famous barbecue restaurant; the restaurant has sold out of brisket every day since its establishment. Breakfast tacos and queso are popular food items in the city; Austin is sometimes called the "home of the breakfast taco." Kolaches are a common pastry in Austin bakeries due to the large Czech and German immigrant population in Texas. The Oasis Restaurant is the largest outdoor restaurant in Texas, which promotes itself as the "Sunset Capital of Texas" with its terraced views looking West over Lake Travis. P. Terry's, an Austin-based fast food burger chain, has a loyal following among Austinites. Some other Austin-based chain restaurants include Amy's Ice Creams, Chuy's, DoubleDave's Pizzaworks, and Schlotzky's.
Austin is also home to a large number of food trucks, with 1,256 food trucks operating in 2016. The city of Austin has the second-largest number of food trucks per capita in the United States. Austin's first food hall, "Fareground," features a number of Austin-based food vendors and a bar in the ground level and courtyard of One Congress Plaza.
Austin has a large craft beer scene, with over 50 microbreweries in the metro area. Drinks publication VinePair named Austin as the "top beer destination in the world" in 2019. Notable Austin-area breweries include Jester King Brewery, Live Oak Brewing Company, and Real Ale Brewing Company.
Music
As Austin's official slogan is The Live Music Capital of the World, the city has a vibrant live music scene with more music venues per capita than any other U.S. city. Austin's music revolves around the many nightclubs on 6th Street and an annual film/music/interactive festival known as South by Southwest (SXSW). The concentration of restaurants, bars, and music venues in the city's downtown core is a major contributor to Austin's live music scene, as the ZIP Code encompassing the downtown entertainment district hosts the most bar or alcohol-serving establishments in the U.S.
The longest-running concert music program on American television, Austin City Limits, is recorded at ACL Live at The Moody Theater, located in the bottom floor of the W Hotels in Austin. Austin City Limits and C3 Presents produce the Austin City Limits Music Festival, an annual music and art festival held at Zilker Park in Austin. Other music events include the Urban Music Festival, Fun Fun Fun Fest, Chaos In Tejas and Old Settler's Music Festival. Austin Lyric Opera performs multiple operas each year (including the 2007 opening of Philip Glass's Waiting for the Barbarians, written by University of Texas at Austin alumnus J. M. Coetzee). The Austin Symphony Orchestra performs a range of classical, pop and family performances and is led by music director and conductor Peter Bay. The Austin Baroque Orchestra and La Follia Austin Baroque ensembles both give historically informed performances of Baroque music. The Texas Early Music Project regularly performs music from the Medieval and Renaissance eras, as well as the Baroque.
Film
Austin hosts several film festivals, including the SXSW (South by Southwest) Film Festival and the Austin Film Festival, which hosts international films. A movie theater chain by the name of Alamo Drafthouse Cinema was founded in Austin in 1997; the South Lamar location of which is home to the annual week-long Fantastic Fest film festival. In 2004 the city was first in MovieMaker Magazine's annual top ten cities to live and make movies.
Austin has been the location for a number of motion pictures, partly due to the influence of The University of Texas at Austin Department of Radio-Television-Film. Films produced in Austin include The Texas Chain Saw Massacre (1974), Songwriter (1984), Man of the House, Secondhand Lions, Texas Chainsaw Massacre 2, Nadine, Waking Life, Spy Kids, The Faculty, Dazed and Confused, The Guards Themselves, Wild Texas Wind, Office Space, The Life of David Gale, Miss Congeniality, Doubting Thomas, Slacker, Idiocracy, Death Proof, The New Guy, Hope Floats, The Alamo, Blank Check, The Wendall Baker Story, School of Rock, A Slipping-Down Life, A Scanner Darkly, Saturday Morning Massacre, and most recently, the Coen brothers' True Grit, Grindhouse, Machete, How to Eat Fried Worms, Bandslam and Lazer Team. In order to draw future film projects to the area, the Austin Film Society has converted several airplane hangars from the former Mueller Airport into filmmaking center Austin Studios. Projects that have used facilities at Austin Studios include music videos by The Flaming Lips and feature films such as 25th Hour and Sin City.
Austin also hosted the MTV series, The Real World: Austin in 2005. Season 4 of the AMC show Fear the Walking Dead was filmed in various locations around Austin in 2018. The film review websites Spill.com and Ain't It Cool News are based in Austin. Rooster Teeth Productions, creator of popular web series such as Red vs. Blue and RWBY, is also located in Austin.
Theater
Austin has a strong theater culture, with dozens of itinerant and resident companies producing a variety of work. The Church of the Friendly Ghost is a volunteer-run arts organization supporting creative expression and counter-culture community. The city also has live performance theater venues such as the Zachary Scott Theatre Center, Vortex Repertory Company, Salvage Vanguard Theater, Rude Mechanicals' the Off Center, Austin Playhouse, Scottish Rite Children's Theater, Hyde Park Theatre, the Blue Theater, The Hideout Theatre, and Esther's Follies. The Victory Grill was a renowned venue on the Chitlin' Circuit. Public art and performances in the parks and on bridges are popular. Austin hosts the Fuse Box Festival each April featuring theater artists.
The Paramount Theatre, opened in downtown Austin in 1915, contributes to Austin's theater and film culture, showing classic films throughout the summer and hosting regional premieres for films such as Miss Congeniality. The Zilker Park Summer Musical is a long-running outdoor musical.
The Long Center for the Performing Arts is a 2,300-seat theater built partly with materials reused from the old Lester E. Palmer Auditorium.
Ballet Austin is among the fifteen largest ballet academies in the country. Each year Ballet Austin's 20-member professional company performs ballets from a wide variety of choreographers, including their international award-winning artistic director, Stephen Mills. The city is also home to the Ballet East Dance Company, a modern dance ensemble, and the Tapestry Dance Company which performs a variety of dance genres.
The Austin improvisational theatre scene has several theaters: ColdTowne Theater, The Hideout Theater, The Fallout Theater, and The Institution Theater. Austin also hosts the Out of Bounds Comedy Festival, which draws comedic artists in all disciplines to Austin.
Libraries
The Austin Public Library is operated by the City of Austin and consists of the Central Library on César Chávez Street, the Austin History Center, 20 branches and the Recycled Reads bookstore and upcycling facility. The APL library system also has mobile libraries – bookmobile buses and a human-powered trike and trailer called "unbound: sin fronteras."
The Central Library, which is an anchor to the redevelopment of the former Seaholm Power Plant site and the Shoal Creek Walk, opened on October 28, 2017. The six-story Central Library contains a living rooftop garden, reading porches, an indoor reading room, bicycle parking station, large indoor and outdoor event spaces, a gift shop, an art gallery, café, and a "technology petting zoo" where visitors can play with next-generation gadgets like 3D printers. In 2018, Time magazine named the Austin Central Library on its list of "World's Greatest Places."
Museums and other points of interest
Museums in Austin include the Texas Memorial Museum, the George Washington Carver Museum and Cultural Center, Thinkery, the Blanton Museum of Art (reopened in 2006), the Bob Bullock Texas State History Museum across the street (which opened in 2000), The Contemporary Austin, the Elisabet Ney Museum and the galleries at the Harry Ransom Center. The Texas State Capitol itself is also a major tourist attraction.
The Driskill Hotel, built in 1886, once owned by George W. Littlefield, and located at 6th and Brazos streets, was finished just before the construction of the Capitol building. Sixth Street is a musical hub for the city. The Enchanted Forest, a multi-acre outdoor music, art, and performance art space in South Austin hosts events such as fire-dancing and circus-like-acts. Austin is also home to the Lyndon Baines Johnson Library and Museum, which houses documents and artifacts related to the Johnson administration, including LBJ's limousine and a re-creation of the Oval Office.
Locally produced art is featured at the South Austin Museum of Popular Culture. The Mexic-Arte Museum is a Mexican and Mexican-American art museum founded in 1983. Austin is also home to the O. Henry House Museum, which served as the residence of O. Henry from 1893 to 1895. Farmers' markets are popular attractions, providing a variety of locally grown and often organic foods.
Austin also has many odd statues and landmarks, such as the Stevie Ray Vaughan Memorial, the Willie Nelson statue, the Mangia dinosaur, the Loca Maria lady at Taco Xpress, the Hyde Park Gym's giant flexed arm, and Daniel Johnston's Hi, How are You? Jeremiah the Innocent frog mural.
The Ann W. Richards Congress Avenue Bridge houses the world's largest urban population of Mexican free-tailed bats. Starting in March, up to 1.5 million bats take up residence inside the bridge's expansion and contraction zones as well as in long horizontal grooves running the length of the bridge's underside, an environment ideally suited for raising their young. Every evening around sunset, the bats emerge in search of insects, an exit visible on weather radar. Watching the bat emergence is an event that is popular with locals and tourists, with more than 100,000 viewers per year. The bats migrate to Mexico each winter.
The Austin Zoo, located in unincorporated western Travis County, is a rescue zoo that provides sanctuary to displaced animals from a variety of situations, including those involving neglect.
The HOPE Outdoor Gallery was a public, three-story outdoor street art project located on Baylor Street in the Clarksville neighborhood. The gallery, which consisted of the foundations of a failed multifamily development, was a constantly-evolving canvas of graffiti and murals. Also known as "Castle Hill" or simply "Graffiti Park", the site on Baylor Street was closed to the public in early January 2019 but remained intact, behind a fence and with an armed guard, in mid-March 2019. The gallery will build a new art park at Carson Creek Ranch in Southeast Austin.
Sports
Many Austinites support the athletic programs of the University of Texas at Austin known as the Texas Longhorns. During the 2005–2006 academic term, Longhorns football team was named the NCAA Division I FBS National Football Champion, and Longhorns baseball team won the College World Series. The Texas Longhorns play home games in the state's second-largest sports stadium, Darrell K Royal–Texas Memorial Stadium, seating over 101,000 fans. Baseball games are played at UFCU Disch–Falk Field.
Austin was the most populous city in the United States without a major-league professional sports team, which changed in 2021 with Austin FC's entry to MLS. Minor-league professional sports came to Austin in 1996, when the Austin Ice Bats began playing at the Travis County Expo Center; they were later replaced by the AHL Texas Stars. Austin has hosted a number of other professional teams, including the Austin Spurs of the NBA G League, the Austin Aztex of the United Soccer League, the Austin Outlaws in WFA football, and the Austin Aces in WTT tennis.
Natural features like the bicycle-friendly Texas Hill Country and generally mild climate make Austin the home of several endurance and multi-sport races and communities. The Capitol 10,000 is the largest race in Texas, and approximately fifth largest in the United States. The Austin Marathon has been run in the city every year since 1992. Additionally, the city is home to the largest 5 mile race in Texas, named the Turkey Trot as it is run annually on Thanksgiving. Started in 1991 by Thundercloud Subs, a local sandwich chain (who still sponsors the event), the event has grown to host over 20,000 runners. All proceeds are donated to Caritas of Austin, a local charity.
The Austin-founded American Swimming Association hosts several swim races around town. Austin is also the hometown of several cycling groups and the disgraced cyclist Lance Armstrong. Combining these three disciplines is a growing crop of triathlons, including the Capital of Texas Triathlon held every Memorial Day on and around Lady Bird Lake, Auditorium Shores, and Downtown Austin.
Austin is home to the Circuit of the Americas (COTA), a grade 1 Fédération Internationale de l'Automobile specification motor racing facility which hosts the Formula One United States Grand Prix. The State of Texas has pledged $25 million in public funds annually for 10 years to pay the sanctioning fees for the race. Built at an estimated cost of $250 to $300 million, the circuit opened in 2012 and is located just east of the Austin Bergstrom International Airport. The circuit also hosts the EchoPark Automotive Grand Prix NASCAR race in late March each year.
The summer of 2014 marked the inaugural season for World TeamTennis team Austin Aces, formerly Orange County Breakers of the southern California region. The Austin Aces played their matches at the Cedar Park Center northwest of Austin, and featured former professionals Andy Roddick and Marion Bartoli, as well as current WTA tour player Vera Zvonareva. The team left after the 2015 season.
In 2017, Precourt Sports Ventures announced a plan to move the Columbus Crew SC soccer franchise from Columbus, Ohio to Austin. Precourt negotiated an agreement with the City of Austin to build a $200 million privately funded stadium on public land at 10414 McKalla Place, following initial interest in Butler Shores Metropolitan Park and Roy G. Guerrero Colorado River Park. As part of an arrangement with the league, operational rights of Columbus Crew SC were sold in late 2018, and Austin FC was announced as Major League Soccer's 27th franchise on January 15, 2019, with the expansion team starting play in 2021.
Parks and recreation
The Austin Parks and Recreation Department received the Excellence in Aquatics award in 1999 and the Gold Medal Awards in 2004 from the National Recreation and Park Association.
To strengthen the region's parks system, which spans more than , The Austin Parks Foundation (APF) was established in 1992 to develop and improve parks in and around Austin. APF works to fill the city's park funding gap by leveraging volunteers, philanthropists, park advocates, and strategic collaborations to develop, maintain and enhance Austin's parks, trails and green spaces.
Lady Bird Lake
Lady Bird Lake (formerly Town Lake) is a river-like reservoir on the Colorado River. The lake is a popular recreational area for paddleboards, kayaks, canoes, dragon boats, and rowing shells. Austin's warm climate and the river's calm waters, nearly length and straight courses are especially popular with crew teams and clubs. Other recreational attractions along the shores of the lake include swimming in Deep Eddy Pool, the oldest swimming pool in Texas, and Red Bud Isle, a small island formed by the 1900 collapse of the McDonald Dam that serves as a recreation area with a dog park and access to the lake for canoeing and fishing. The Ann and Roy Butler Hike and Bike Trail forms a complete circuit around the lake. A local nonprofit, The Trail Foundation, is the Trail's private steward and has built amenities and infrastructure including trailheads, lakefront gathering areas, restrooms, exercise equipment, as well as doing Trailwide ecological restoration work on an ongoing basis. The Butler Trail loop was completed in 2014 with the public-private partnership 1-mile Boardwalk project.
Along the shores of Lady Bird Lake is the Zilker Park, which contains large open lawns, sports fields, cross country courses, historical markers, concession stands, and picnic areas. Zilker Park is also home to numerous attractions, including the Zilker Botanical Garden, the Umlauf Sculpture Garden, Zilker Hillside Theater, the Austin Nature & Science Center, and the Zilker Zephyr, a gauge miniature railway carries passengers on a tour around the park. Auditorium Shores, an urban park along the lake, is home to the Palmer Auditorium, the Long Center for the Performing Arts, and an off-leash dog park on the water. Both Zilker Park and Auditorium Shores have a direct view of the Downtown skyline.
Barton Creek Greenbelt
The Barton Creek Greenbelt is a public green belt managed by the City of Austin's Park and Recreation Department. The Greenbelt, which begins at Zilker Park and stretches South/Southwest to the Woods of Westlake subdivision, is characterized by large limestone cliffs, dense foliage, and shallow bodies of water. Popular activities include rock climbing, mountain biking, and hiking. Some well known naturally forming swimming holes along Austin's greenbelt include Twin Falls, Sculpture Falls, Gus Fruh Pool, and Campbell's Hole. During years of heavy rainfall, the water level of the creek rises high enough to allow swimming, cliff diving, kayaking, paddle boarding, and tubing.
Swimming holes
Austin is home to more than 50 public pools and swimming holes. These include Deep Eddy Pool, Texas' oldest human-made swimming pool, and Barton Springs Pool, the nation's largest natural swimming pool in an urban area. Barton Springs Pool is spring-fed while Deep Eddy is well-fed. Both range in temperature from about during the winter to about during the summer. Hippie Hollow Park, a county park situated along Lake Travis, is the only officially sanctioned clothing-optional public park in Texas. Hamilton Pool Preserve is a natural pool that was created when the dome of an underground river collapsed due to massive erosion thousands of years ago. The pool, located about west of Austin, is a popular summer swimming spot for visitors and residents. Hamilton Pool Preserve consists of of protected natural habitat featuring a jade green pool into which a waterfall flows.
Other parks and recreation
In May 2021, voters in the City of Austin reinstated a public camping ban. That includes downtown green spaces as well as trails and greenbelts such as along Barton Creek.
McKinney Falls State Park is a state park administered by the Texas Parks and Wildlife Department, located at the confluence of Onion Creek and Williamson Creek. The park includes several designated hiking trails and campsites with water and electric. The namesake features of the park are the scenic upper and lower falls along Onion Creek. The Emma Long Metropolitan Park is a municipal park along the shores of Lake Austin, originally constructed by the Civilian Conservation Corps. The Lady Bird Johnson Wildflower Center is a botanical garden and arboretum that features more than 800 species of native Texas plants in both garden and natural settings; the Wildflower Center is located southwest of Downtown in Circle C Ranch. Roy G. Guerrero Park is located along the Colorado River in East Riverside and contains miles of wooded trails, a sandy beach along the river, and a disc golf course.
Covert Park, located on the top of Mount Bonnell, is a popular tourist destination overlooking Lake Austin and the Colorado River. The mount provides a vista for viewing the city of Austin, Lake Austin, and the surrounding hills. It was designated a Recorded Texas Historic Landmark in 1969, bearing Marker number 6473, and was listed on the National Register of Historic Places in 2015.
The Austin Country Club is a private golf club located along the shores of the Colorado River, right next to the Pennybacker Bridge. Founded in 1899, the club moved to its third and present site in 1984, which features a challenging layout designed by noted course architect Pete Dye.
Government
City government
Austin is administered by an 11-member city council (10 council members elected by geographic district plus a mayor elected at large). The council is accompanied by a hired city manager under the manager-council system of municipal governance. Council and mayoral elections are non-partisan, with a runoff in case there is no majority winner. A referendum approved by voters on November 6, 2012, changed the council composition from six council members plus a mayor elected at large to the current "10+1" district system. Supporters maintained that the at-large system would increase participation for all areas of the city, especially for those which had lacked representation from City Council.
November 2014 marked the first election under the new system. The Federal government had forced San Antonio and Dallas to abandon at-large systems before 1987; however, the court could not show a racist pattern in Austin and upheld the city's at-large system during a 1984 lawsuit. In five elections between 1973 and 1994 Austin voters rejected single-member districts.
Austin formerly operated its city hall at 128 West 8th Street. Antoine Predock and Cotera Kolar Negrete & Reed Architects designed a new city hall building, which was intended to reflect what The Dallas Morning News referred to as a "crazy-quilt vitality, that embraces everything from country music to environmental protests and high-tech swagger." The new city hall, built from recycled materials, has solar panels in its garage. The city hall, at 301 West Second Street, opened in November 2004. Kirk Watson is the current mayor of Austin, assuming the office for a second non-consecutive term on January 6, 2023.
In the 2012 elections, City Council elections were moved from May to November and City council members were given staggered term limits In 2022 Proposition D moved the term of the Austin Mayor to coincide with Presidential election years, so Kirk Watson would only serve two years unlike his predecessor Steve Adler
Law enforcement in Austin is provided by the Austin Police Department, except for state government buildings, which are patrolled by the Texas Department of Public Safety. The University of Texas Police operate from the University of Texas.
Fire protection within the city limits is provided by the Austin Fire Department, while the surrounding county is divided into twelve geographical areas known as emergency services districts, which are covered by separate regional fire departments. Emergency medical services are provided for the whole county by Austin-Travis County Emergency Medical Services.
Mayor Kirk Watson (D)
In 2003, the city adopted a resolution against the USA PATRIOT Act that reaffirmed constitutionally guaranteed rights.
As of 2018, all six of Austin's state legislative districts are held by Democrats.
Crime
As of 2019, Austin is one of the safest large cities in the United States. In 2019, the FBI named Austin the 11th safest city on a list of 22 American cities with a population above 400,000.
FBI statistics show that overall violent and property crimes dropped in Austin in 2015, but increased in suburban areas of the city. One such southeastern suburb, Del Valle, reported eight homicides within two months in 2016. According to 2016 APD crime statistics, the 78723 census tract had the most violent crime, with 6 murders, 25 rapes, and 81 robberies. The city had 39 homicides in 2016, the most since 1997.
Notable incidents
One of the first American mass school shooting incidents took place in Austin on August 1, 1966, when Charles Whitman shot 43 people, killing 13 from the top of the University of Texas tower. The University of Texas tower shooting led to the formation of the SWAT team of the Austin Police Department.
In 1991, four teenage girls were murdered in a yogurt shop by an unknown assailant(s). A police officer responded to reports of a fire at the I Can't Believe It's Yogurt! store on Anderson Lane and discovered the girls' bodies in a back room. The murders remain unsolved.
In 2010, Andrew Joseph Stack III deliberately crashed his Piper PA-28 Cherokee into Echelon 1, a building in which the Internal Revenue Service, housing 190 employees was a lessee of. The resulting explosion killed 1 and injured 13 IRS employees, partially damaged the building and cost the IRS a total of $38.6 million. (see 2010 Austin suicide attack)
A series of bombings occurred in Austin in March 2018. Over the course of 20 days, five package bombs exploded, killing two people and injuring another five. The suspect, 23-year-old Mark Anthony Conditt of Pflugerville, Texas, blew himself up inside his vehicle after he was pulled over by police on March 21, also injuring a police officer.
In 2020, Austin was the victim of a cyberattack by the Russian group Berserk Bear, possibly related to the U.S. federal government data breach earlier that year.
On April 18, 2021, a shooting occurred at the Arboretum Oaks Apartments near The Arboretum shopping center, in which a former Travis County Sheriff's Office detective killed his ex-wife, his adoptive daughter, and his daughter's boyfriend. The suspect, who was previously charged with child sexual assault, was arrested in Manor after a 20-hour manhunt.
A mass shooting took place in the early morning of June 12, 2021, on Sixth Street, which resulted in 14 people injured and one dead. The man killed was believed to be an innocent bystander who was struck as he was standing outside a bar. A 19-year-old suspect was formally charged and arrested in Killeen nearly two weeks after the shooting.
Other levels of government
Austin is the county seat of Travis County and hosts the Heman Marion Sweatt Travis County Courthouse downtown, as well as other county government offices. The Texas Department of Transportation operates the Austin District Office in Austin. The Texas Department of Criminal Justice (TDCJ) operates the Austin I and Austin II district parole offices in Austin. The United States Postal Service operates several post offices in Austin.
Politics
Former Governor Rick Perry had previously referred to it as a "blueberry in the tomato soup", meaning, Austin had previously been a Democratic city in a Republican state. However, Texas currently has multiple urban cities also voting Democratic and electing Democratic mayors in elections.
After the most recent redistricting, Austin is currently divided between the 10th, 37th and 35th Congressional districts.
Issues
A controversial turning point in the political history of the Austin area was the 2003 Texas redistricting. Before then, Austin had been entirely or almost entirely within the borders of a single congressional district–what was then the 10th District–for over a century. Opponents characterized the resulting district layout as excessively partisan gerrymandering, and the plan was challenged in court by Democratic and minority activists. The Supreme Court of the United States has never struck down a redistricting plan for being excessively partisan. The plan was subsequently upheld by a three-judge federal panel in late 2003, and on June 28, 2006, the matter was largely settled when the Supreme Court, in a 7–2 decision, upheld the entire congressional redistricting plan with the exception of a Hispanic-majority district in southwest Texas. This affected Austin's districting, as U.S. Rep. Lloyd Doggett's district (U.S. Congressional District 25) was found to be insufficiently compact to compensate for the reduced minority influence in the southwest district; it was redrawn so that it took in most of southeastern Travis County and several counties to its south and east.
Environmental movement
The distinguishing political movement of Austin politics has been that of the environmental movement, which spawned the parallel neighborhood movement, then the more recent conservationist movement (as typified by the Hill Country Conservancy), and eventually the current ongoing debate about "sense of place" and preserving the Austin quality of life. Much of the environmental movement has matured into a debate on issues related to saving and creating an Austin "sense of place." In 2012, Austin became just one of a few cities in Texas to ban the sale and use of plastic bags. However, the ban ended in 2018 due to a court ruling that regarded all bag bans in the state to contravene the Texas Solid Waste Disposal Act. In 2016, Austin became the first Gold designee of the SolSmart program, a national program from the U.S. Department of Energy that recognizes local governments for enacting solar-friendly measures at the local level.
Education
According to the 2015–2019 Census estimates, 51.7% of Austin residents ages 25 and over have earned at least a bachelor's degree, compared to the national figure of 32.1%. 19.4% hold a graduate or professional degree, compared to the national figure of 12.4%.
Higher education
Austin is home to the University of Texas at Austin, the flagship institution of the University of Texas System with over 40,000 undergraduate students and 11,000 graduate students.
Other institutions of higher learning in Austin include St. Edward's University, Huston–Tillotson University, Austin Community College, Concordia University, the Seminary of the Southwest, Texas Health and Science University, University of St. Augustine for Health Sciences, Austin Graduate School of Theology, Austin Presbyterian Theological Seminary, Virginia College's Austin Campus, The Art Institute of Austin, Southern Careers Institute of Austin, Austin Conservatory and branch campuses of Case Western Reserve University and Park University.
The University of Texas System and Texas State University System are headquartered in downtown Austin.
Public primary and secondary education
Approximately half of the city by area is served by the Austin Independent School District. This district includes notable schools such as the magnet Liberal Arts and Science Academy High School of Austin, Texas (LASA), which, by test scores, has consistently been within the top thirty high schools in the nation, as well as The Ann Richards School for Young Women Leaders. The remaining portion of Austin is served by adjoining school districts, including Round Rock ISD, Pflugerville ISD, Leander ISD, Manor ISD, Del Valle ISD, Lake Travis ISD, Hays, and Eanes ISD.
Four of the metro's major public school systems, representing 54% of area enrollment, are included in Expansion Management magazine's latest annual education quality ratings of nearly 2,800 school districts nationwide. Two districts—Eanes and Round Rock—are rated "gold medal," the highest of the magazine's cost-performance categories.
Private and alternative education
The Austin metropolitan area is also served by 27 charter school districts and over 100 private schools. Austin has a large network of private and alternative education institutions for children in PreK–12th grade exists. Austin is also home to child developmental institutions.
Media
Austin's main daily newspaper is the Austin American-Statesman. The Austin Chronicle is Austin's alternative weekly, while The Daily Texan is the student newspaper of the University of Texas at Austin. Austin's business newspaper is the weekly Austin Business Journal. The Austin Monitor is an online outlet that specializes in insider reporting on City Hall, Travis County Commissioners Court, AISD, and other related local civics beats. The Monitor is backed by the nonprofit Capital of Texas Media Foundation. Austin also has numerous smaller special interest or sub-regional newspapers such as the Oak Hill Gazette, Westlake Picayune, Hill Country News, Round Rock Leader, NOKOA, and The Villager among others. Texas Monthly, a major regional magazine, is also headquartered in Austin. The Texas Observer, a muckraking biweekly political magazine, has been based in Austin for over five decades. The weekly Community Impact Newspaper published by John Garrett, former publisher of the Austin Business Journal has five regional editions and is delivered to every house and business within certain ZIP codes and all of the news is specific to those ZIP codes. Another statewide publication based in Austin is The Texas Tribune, an on-line publication focused on Texas politics. The Tribune is "user-supported" through donations, a business model similar to public radio. The editor is Evan Smith, former editor of Texas Monthly. Smith co-founded the Texas Tribune, a nonprofit, non-partisan public media organization, with Austin venture capitalist John Thornton and veteran journalist Ross Ramsey.
Commercial radio stations include KASE-FM (country), KVET (sports), KVET-FM (country), KKMJ-FM (adult contemporary), KLBJ (talk), KLBJ-FM (classic rock), KJFK (variety hits), KFMK (contemporary Christian), KOKE-FM (progressive country) and KPEZ (rhythmic contemporary). KUT-FM is the leading public radio station in Texas and produces the majority of its content locally. KOOP (FM) is a volunteer-run radio station with more than 60 locally produced programs. KVRX is the student-run college radio station of the University of Texas at Austin with a focus on local and non-mainstream music and community programming. Other listener-supported stations include KAZI (urban contemporary), and KMFA (classical).
Network television stations (affiliations in parentheses) include KTBC (Fox O&O), KVUE (ABC), KXAN (NBC), KEYE-TV (CBS), KLRU (PBS), KNVA (The CW), KBVO (MyNetworkTV), and KAKW (Univision O&O). KLRU produces several award-winning locally produced programs such as Austin City Limits. Despite Austin's explosive growth, it is only a medium-sized market (currently 38th) because the suburban and rural areas are not much larger than the city proper. Additionally, the proximity of San Antonio truncates the potential market area.
Alex Jones, journalist, radio show host and filmmaker, produces his talk show The Alex Jones Show in Austin which broadcasts nationally on more than 60 AM and FM radio stations in the United States, WWCR Radio shortwave and XM Radio: Channel 166.
Transportation
In 2009, 72.7% of Austin (city) commuters drove alone, with other mode shares being: 10.4% carpool, 6% were remote workers, 5% use transit, 2.3% walk, and 1% bicycle. In 2016, the American Community Survey estimated modal shares for Austin (city) commuters of 73.5% for driving alone, 9.6% for carpooling, 3.6% for riding transit, 2% for walking, and 1.5% for cycling. The city of Austin has a lower than average percentage of households without a car. In 2015, 6.9 percent of Austin households lacked a car, and decreased slightly to 6 percent in 2016. The national average was 8.7 percent in 2016. Austin averaged 1.65 cars per household in 2016, compared to a national average of 1.8.
In mid-2019, TomTom ranked Austin as having the worst traffic congestion in Texas, as well as 19th nationally and 179th globally.
Highways
Central Austin lies between two major north–south freeways: Interstate 35 to the east and the Mopac Expressway (Loop 1) to the west. U.S. Highway 183 runs from northwest to southeast, and State Highway 71 crosses the southern part of the city from east to west, completing a rough "box" around central and north-central Austin. Austin is the largest city in the United States to be served by only one Interstate Highway.
U.S. Highway 290 enters Austin from the east and merges into Interstate 35. Its highway designation continues south on I-35 and then becomes part of Highway 71, continuing to the west. Highway 290 splits from Highway 71 in southwest Austin, in an interchange known as "The Y." Highway 71 continues to Brady, Texas, and Highway 290 continues west to intersect Interstate 10 near Junction. Interstate 35 continues south through San Antonio to Laredo on the Texas-Mexico border. Interstate 35 is the highway link to the Dallas-Fort Worth metroplex in northern Texas. There are two links to Houston, Texas (Highway 290 and State Highway 71/Interstate 10). Highway 183 leads northwest of Austin toward Lampasas.
In the mid-1980s, construction was completed on Loop 360, a scenic highway that curves through the hill country from near the 71/Mopac interchange in the south to near the 183/Mopac interchange in the north. The iconic Pennybacker Bridge, also known as the "360 Bridge," crosses Lake Austin to connect the northern and southern portions of Loop 360.
Tollways
State Highway 130 is a bypass route designed to relieve traffic congestion, starting from Interstate 35 just north of Georgetown and running along a parallel route to the east, where it bypasses Round Rock, Austin, San Marcos and New Braunfels before ending at Interstate 10 east of Seguin, where drivers could drive west to return to Interstate 35 in San Antonio. The first segment was opened in November 2006, which was located east of Austin–Bergstrom International Airport at Austin's southeast corner on State Highway 71. Highway 130 runs concurrently with Highway 45 from Pflugerville on the north until it reaches US 183 well south of Austin, at which point SR 45 continues west. The entire route of State Highway 130 is now complete. The final leg opened on November 1, 2012. The highway is noted for having a maximum speed limit of for the entire route. The section of the toll road between Mustang Ridge and Seguin has a posted speed limit of , the highest posted speed limit in the United States.
State Highway 45 runs east–west from just south of Highway 183 in Cedar Park to 130 inside Pflugerville (just east of Round Rock). A tolled extension of State Highway Loop 1 was also created. A new southeast leg of Highway 45 has recently been completed, running from US 183 and the south end of Segment 5 of TX-130 south of Austin due west to I-35 at the FM 1327/Creedmoor exit between the south end of Austin and Buda. The 183A Toll Road opened in March 2007, providing a tolled alternative to U.S. 183 through the cities of Leander and Cedar Park. Currently under construction is a change to East US 290 from US 183 to the town of Manor. Officially, the tollway will be dubbed Tollway 290 with "Manor Expressway" as nickname.
Despite the overwhelming initial opposition to the toll road concept when it was first announced, all three toll roads have exceeded revenue projections.
Airports
Austin's primary airport is Austin–Bergstrom International Airport (ABIA) (IATA code AUS), located southeast of the city. The airport is on the site of the former Bergstrom Air Force Base, which was closed in 1993 as part of the Base Realignment and Closure process. Until 1999, Robert Mueller Municipal Airport was Austin's main airport until ABIA took that role and the old airport was shut down. Austin Executive Airport, along with several smaller airports outside the city center, serves general aviation traffic.
Intercity transit
Amtrak's Austin station is located in west downtown and is served by the Texas Eagle which runs daily between Chicago and San Antonio, continuing on to Los Angeles several times a week.
Railway segments between Austin and San Antonio have been evaluated for a proposed regional passenger rail project called "Lone Star Rail". However, failure to come to an agreement with the track's current owner, Union Pacific Railroad, ended the project in 2016.
Greyhound Lines operates the current Austin Bus Station at the Eastside Bus Plaza Grupo Senda's Turimex Internacional service operates bus service from Austin to Nuevo Laredo and on to many destinations in Mexico from their station in East Austin. Megabus offers daily service to San Antonio, Dallas/Fort Worth and Houston.
Public transportation
The Capital Metropolitan Transportation Authority (Capital Metro) provides public transportation to the city, primarily with its MetroBus local bus service, the MetroExpress express bus system, as well as a bus rapid transit service, MetroRapid. Capital Metro opened a commuter rail system, Capital MetroRail, in 2010. The system consists of a single line serving downtown Austin, the neighborhoods of East Austin, North Central Austin, and Northwest Austin plus the suburb of Leander.
Since it began operations in 1985, Capital Metro has proposed adding light rail services to its network. Despite support from the City Council, voters rejected light rail proposals in 2000 and 2014. However, in 2020, voters approved Capital Metro's transit expansion plan, Project Connect, by a comfortable margin. The plan proposes 2 new light rail lines, an additional bus rapid transit line (which could be converted to light rail in the future), a second commuter rail line, several new MetroRapid lines, more MetroExpress routes, and a number of other infrastructure, technology and service expansion projects.
Capital Area Rural Transportation System connects Austin with outlying suburbs and surrounding rural areas.
Ride sharing
Austin is served by several ride-sharing companies including Uber and Lyft. On May 9, 2016, Uber and Lyft voluntarily ceased operations in Austin in response to a city ordinance that required ride sharing company drivers to get fingerprint checks, have their vehicles labeled, and not pick up or drop off in certain city lanes. Uber and Lyft resumed service in the summer of 2017. The city was previously served by Fasten until they ceased all operations in the city in March 2018.
Austin is also served by Electric Cab of North America's six-passenger electric cabs that operate on a flexible route from the Kramer MetroRail Station to Domain Northside and from the Downtown MetroRail station and MetroRapid stops to locations between the Austin Convention Center and near Sixth and Bowie streets by Whole Foods.
Carsharing service Zipcar operates in Austin and, until 2019, the city was also served by Car2Go which kept its North American headquarters in the city even after pulling out.
Cycling and walking
The city's bike advocacy organization is Bike Austin. BikeTexas, a state-level advocacy organization, also has its main office in Austin.
Bicycles are a popular transportation choice among students, faculty, and staff at the University of Texas. According to a survey done at the University of Texas, 57% of commuters bike to campus.
The City of Austin and Capital Metro jointly own a bike-sharing service, Capital MetroBike, which is available in and around downtown. The service is a franchise of BCycle, a national bike sharing network owned by Trek Bicycle, and is operated by local nonprofit organization Bike Share of Austin. Until 2020 the service was known as Austin BCycle. In 2018, Lime began offering dockless bikes, which do not need to be docked at a designated station.
In 2018, scooter-sharing companies Lime and Bird debuted rentable electric scooters in Austin. The city briefly banned the scooters — which began operations before the city could implement a permitting system — until the city completed development of their "dockless mobility" permitting process on May 1, 2018. Dockless electric scooters and bikes are banned from Austin city parks and the Ann and Roy Butler Trail and Boardwalk. For the 2018 Austin City Limits Music Festival, the city of Austin offered a designated parking area for dockless bikes and scooters.
Notable people
International relations
Austin has two types of relationships with other cities, sister and friendship.
Sister cities
Austin's sister cities are:
Adelaide, Australia (1983)
Angers, Pays de la Loire, France (2011)
Antalya, Antalya Province, Turkey (2009)
Gwangmyeong, Gyeonggi-do, South Korea (2001)
Hackney, London, England, United Kingdom (2014)
Koblenz, Rhineland-Palatinate, Germany (1991)
Lima, Peru (1981)
Maseru, Lesotho (1978)
Ōita, Ōita, Japan (1990)
Orlu, South East, Nigeria (2000)
Pune, Maharashtra, India (2018)
Saltillo, Coahuila, Mexico (1968)
Taichung, Taiwan (1986)
Xishuangbanna, Yunnan, China (1997)
The cities of Belo Horizonte, Brazil and Elche, Spain were formerly sister cities, but upon a vote of the Austin City Council in 1991, their status was de-activated.
Friendship cities
Covenants between two city leaders:
Siem Reap, Cambodia (2011)
Tehuacán, Mexico (2019)
Villefranche-sur-Mer, France (2010)
See also
List of companies based in Austin, Texas
List of people from Austin, Texas
National Register of Historic Places listings in Travis County, Texas
Music in Austin
Neighborhoods in Austin
Notes
References
Further reading
Wright, Lawrence. "The Astonishing Transformation of Austin, Texas". The New Yorker, February 6, 2023.
External links
AustinTexas.gov - official city website
Austin Chamber of Commerce
Historic photographs from the Austin History Center, hosted by the Portal to Texas History
Cities in Texas
Cities in Hays County, Texas
Cities in Travis County, Texas
Cities in Williamson County, Texas
County seats in Texas
Cities in Greater Austin
Planned communities in the United States
Populated places established in 1835
1839 establishments in the Republic of Texas
Academic enclaves
Capitals of former nations
State capitals in the United States
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Auschwitz concentration camp (, ; also or ) was a complex of over 40 concentration and extermination camps operated by Nazi Germany in occupied Poland (in a portion annexed into Germany in 1939) during World War II and the Holocaust. It consisted of Auschwitz I, the main camp (Stammlager) in Oświęcim; Auschwitz II-Birkenau, a concentration and extermination camp with gas chambers; Auschwitz III-Monowitz, a labour camp for the chemical conglomerate IG Farben; and dozens of subcamps. The camps became a major site of the Nazis' Final Solution to the Jewish question.
After Germany initiated World War II by invading Poland in September 1939, the Schutzstaffel (SS) converted Auschwitz I, an army barracks, into a prisoner-of-war camp. The initial transport of political detainees to Auschwitz consisted almost solely of Poles (for whom the camp was initially established). For the first two years, the majority of inmates were Polish. In May 1940, German criminals brought to the camp as functionaries established the camp's reputation for sadism. Prisoners were beaten, tortured, and executed for the most trivial of reasons. The first gassings—of Soviet and Polish prisoners—took place in block 11 of Auschwitz I around August 1941.
Construction of Auschwitz II began the following month, and from 1942 until late 1944 freight trains delivered Jews from all over German-occupied Europe to its gas chambers. Of the 1.3 million people sent to Auschwitz, 1.1 million were murdered. The number of victims includes 960,000 Jews (865,000 of whom were gassed on arrival), 74,000 non-Jewish Poles, 21,000 Romani, 15,000 Soviet prisoners of war, and up to 15,000 others. Those not gassed were murdered via starvation, exhaustion, disease, individual executions, or beatings. Others were killed during medical experiments.
At least 802 prisoners tried to escape, 144 successfully, and on 7 October 1944, two Sonderkommando units, consisting of prisoners who operated the gas chambers, launched an unsuccessful uprising. 789 Schutzstaffel personnel (no more than 15 percent) ever stood trial after the Holocaust ended; several were executed, including camp commandant Rudolf Höss. The Allies' failure to act on early reports of mass murder by bombing the camp or its railways remains controversial.
As the Soviet Red Army approached Auschwitz in January 1945, toward the end of the war, the SS sent most of the camp's population west on a death march to camps inside Germany and Austria. Soviet troops entered the camp on 27 January 1945, a day commemorated since 2005 as International Holocaust Remembrance Day. In the decades after the war, survivors such as Primo Levi, Viktor Frankl, and Elie Wiesel wrote memoirs of their experiences, and the camp became a dominant symbol of the Holocaust. In 1947, Poland founded the Auschwitz-Birkenau State Museum on the site of Auschwitz I and II, and in 1979 it was named a World Heritage Site by UNESCO.
Background
The ideology of Nazism combined elements of "racial hygiene", eugenics, antisemitism, pan-Germanism, and territorial expansionism, Richard J. Evans writes. Adolf Hitler and his Nazi Party became obsessed by the "Jewish question". Both during and immediately after the Nazi seizure of power in Germany in 1933, acts of violence against German Jews became ubiquitous, and legislation was passed excluding them from certain professions, including the civil service and the law.
Harassment and economic pressure encouraged Jews to leave Germany; their businesses were denied access to markets, forbidden from advertising in newspapers, and deprived of government contracts. On 15 September 1935, the Reichstag passed the Nuremberg Laws. One, the Reich Citizenship Law, defined as citizens those of "German or related blood who demonstrate by their behaviour that they are willing and suitable to serve the German People and Reich faithfully", and the Law for the Protection of German Blood and German Honor prohibited marriage and extramarital relations between those with "German or related blood" and Jews.
When Germany invaded Poland in September 1939, triggering World War II, Hitler ordered that the Polish leadership and intelligentsia be destroyed. The area around Auschwitz was annexed to the German Reich, as part of first Gau Silesia and from 1941 Gau Upper Silesia. The camp at Auschwitz was established in April 1940, at first as a quarantine camp for Polish political prisoners. On 22 June 1941, in an attempt to obtain new territory, Hitler invaded the Soviet Union. The first gassing at Auschwitz—of a group of Soviet prisoners of war—took place around August 1941. By the end of that year, during what most historians regard as the first phase of the Holocaust, 500,000–800,000 Soviet Jews had been murdered in mass shootings by a combination of German Einsatzgruppen, ordinary German soldiers, and local collaborators. At the Wannsee Conference in Berlin on 20 January 1942, Reinhard Heydrich outlined the Final Solution to the Jewish Question to senior Nazis, and from early 1942 freight trains delivered Jews from all over occupied Europe to German extermination camps in Poland: Auschwitz, Bełżec, Chełmno, Majdanek, Sobibór, and Treblinka. Most prisoners were gassed on arrival.
Camps
Auschwitz I
Growth
A former World War I camp for transient workers and later a Polish army barracks, Auschwitz I was the main camp (Stammlager) and administrative headquarters of the camp complex. Fifty km southwest of Kraków, the site was first suggested in February 1940 as a quarantine camp for Polish prisoners by Arpad Wigand, the inspector of the Sicherheitspolizei (security police) and deputy of Erich von dem Bach-Zelewski, the Higher SS and Police Leader for Silesia. Richard Glücks, head of the Concentration Camps Inspectorate, sent Walter Eisfeld, former commandant of the Sachsenhausen concentration camp in Oranienburg, Germany, to inspect it. Around 1,000 m long and 400 m wide, Auschwitz consisted at the time of 22 brick buildings, eight of them two-story. A second story was added to the others in 1943 and eight new blocks were built.
Reichsführer-SS Heinrich Himmler, head of the SS, approved the site in April 1940 on the recommendation of SS-Obersturmbannführer Rudolf Höss of the camps inspectorate. Höss oversaw the development of the camp and served as its first commandant. The first 30 prisoners arrived on 20 May 1940 from the Sachsenhausen camp. German "career criminals" (Berufsverbrecher), the men were known as "greens" (Grünen) after the green triangles on their prison clothing. Brought to the camp as functionaries, this group did much to establish the sadism of early camp life, which was directed particularly at Polish inmates, until the political prisoners took over their roles. Bruno Brodniewicz, the first prisoner (who was given serial number 1), became Lagerälteste (camp elder). The others were given positions such as kapo and block supervisor.
First mass transport
The first mass transport—of 728 Polish male political prisoners, including Catholic priests and Jews—arrived on 14 June 1940 from Tarnów, Poland. They were given serial numbers 31 to 758. In a letter on 12 July 1940, Höss told Glücks that the local population was "fanatically Polish, ready to undertake any sort of operation against the hated SS men". By the end of 1940, the SS had confiscated land around the camp to create a 40-square-kilometer (15 sq mi) "zone of interest" (Interessengebiet) patrolled by the SS, Gestapo and local police. By March 1941, 10,900 were imprisoned in the camp, most of them Poles.
An inmate's first encounter with Auschwitz, if they were registered and not sent straight to the gas chamber, was at the prisoner reception centre near the gate with the Arbeit macht frei sign, where they were tattooed, shaved, disinfected, and given a striped prison uniform. Built between 1942 and 1944, the center contained a bathhouse, laundry, and 19 gas chambers for delousing clothing. The prisoner reception center of Auschwitz I became the visitor reception center of the Auschwitz-Birkenau State Museum.
Crematorium I, first gassings
Construction of crematorium I began at Auschwitz I at the end of June or beginning of July 1940. Initially intended not for mass murder but for prisoners who had been executed or had otherwise died in the camp, the crematorium was in operation from August 1940 until July 1943, by which time the crematoria at Auschwitz II had taken over. By May 1942 three ovens had been installed in crematorium I, which together could burn 340 bodies in 24 hours.
The first experimental gassing took place around August 1941, when Lagerführer Karl Fritzsch, at the instruction of Rudolf Höss, murdered a group of Soviet prisoners of war by throwing Zyklon B crystals into their basement cell in block 11 of Auschwitz I. A second group of 600 Soviet prisoners of war and around 250 sick Polish prisoners were gassed on 3–5 September. The morgue was later converted to a gas chamber able to hold at least 700–800 people. Zyklon B was dropped into the room through slits in the ceiling.
First mass transport of Jews
Historians have disagreed about the date the all-Jewish transports began arriving in Auschwitz. At the Wannsee Conference in Berlin on 20 January 1942, the Nazi leadership outlined, in euphemistic language, its plans for the Final Solution. According to Franciszek Piper, the Auschwitz commandant Rudolf Höss offered inconsistent accounts after the war, suggesting the extermination began in December 1941, January 1942, or before the establishment of the women's camp in March 1942. In Kommandant in Auschwitz, he wrote: "In the spring of 1942 the first transports of Jews, all earmarked for extermination, arrived from Upper Silesia." On 15 February 1942, according to Danuta Czech, a transport of Jews from Beuthen, Upper Silesia (Bytom, Poland), arrived at Auschwitz I and was sent straight to the gas chamber. In 1998 an eyewitness said the train contained "the women of Beuthen". Saul Friedländer wrote that the Beuthen Jews were from the Organization Schmelt labor camps and had been deemed unfit for work. According to Christopher Browning, transports of Jews unfit for work were sent to the gas chamber at Auschwitz from autumn 1941. The evidence for this and the February 1942 transport was contested in 2015 by Nikolaus Wachsmann.
Around 20 March 1942, according to Danuta Czech, a transport of Polish Jews from Silesia and Zagłębie Dąbrowskie was taken straight from the station to the Auschwitz II gas chamber, which had just come into operation. On 26 and 28 March, two transports of Slovakian Jews were registered as prisoners in the women's camp, where they were kept for slave labour; these were the first transports organized by Adolf Eichmann's department IV B4 (the Jewish office) in the Reich Security Head Office (RSHA). On 30 March the first RHSA transport arrived from France. "Selection", where new arrivals were chosen for work or the gas chamber, began in April 1942 and was conducted regularly from July. Piper writes that this reflected Germany's increasing need for labour. Those selected as unfit for work were gassed without being registered as prisoners.
There is also disagreement about how many were gassed in Auschwitz I. Perry Broad, an SS-Unterscharführer, wrote that "transport after transport vanished in the Auschwitz [I] crematorium." In the view of Filip Müller, one of the Auschwitz I Sonderkommando, tens of thousands of Jews were murdered there from France, Holland, Slovakia, Upper Silesia, and Yugoslavia, and from the Theresienstadt, Ciechanow, and Grodno ghettos. Against this, Jean-Claude Pressac estimated that up to 10,000 people had been murdered in Auschwitz I. The last inmates gassed there, in December 1942, were around 400 members of the Auschwitz II Sonderkommando, who had been forced to dig up and burn the remains of that camp's mass graves, thought to hold over 100,000 corpses.
Auschwitz II–Birkenau
Construction
After visiting Auschwitz I in March 1941, it appears that Himmler ordered that the camp be expanded, although Peter Hayes notes that, on 10 January 1941, the Polish underground told the Polish government-in-exile in London: "the Auschwitz concentration camp ...can accommodate approximately 7,000 prisoners at present, and is to be rebuilt to hold approximately 30,000." Construction of Auschwitz II-Birkenau—called a Kriegsgefangenenlager (prisoner-of-war camp) on blueprints—began in October 1941 in Brzezinka, about three kilometers from Auschwitz I. The initial plan was that Auschwitz II would consist of four sectors (Bauabschnitte I–IV), each consisting of six subcamps (BIIa–BIIf) with their own gates and fences. The first two sectors were completed (sector BI was initially a quarantine camp), but the construction of BIII began in 1943 and stopped in April 1944, and the plan for BIV was abandoned.
SS-Sturmbannführer Karl Bischoff, an architect, was the chief of construction. Based on an initial budget of RM 8.9 million, his plans called for each barracks to hold 550 prisoners, but he later changed this to 744 per barracks, which meant the camp could hold 125,000, rather than 97,000. There were 174 barracks, each measuring , divided into 62 bays of . The bays were divided into "roosts", initially for three inmates and later for four. With personal space of to sleep and place whatever belongings they had, inmates were deprived, Robert-Jan van Pelt wrote, "of the minimum space needed to exist".
The prisoners were forced to live in the barracks as they were building them; in addition to working, they faced long roll calls at night. As a result, most prisoners in BIb (the men's camp) in the early months died of hypothermia, starvation or exhaustion within a few weeks. Some 10,000 Soviet prisoners of war arrived at Auschwitz I between 7 and 25 October 1941, but by 1 March 1942 only 945 were still registered; they were transferred to Auschwitz II, where most of them had died by May.
Crematoria II–V
The first gas chamber at Auschwitz II was operational by March 1942. On or around 20 March, a transport of Polish Jews sent by the Gestapo from Silesia and Zagłębie Dąbrowskie was taken straight from the Oświęcim freight station to the Auschwitz II gas chamber, then buried in a nearby meadow. The gas chamber was located in what prisoners called the "little red house" (known as bunker 1 by the SS), a brick cottage that had been turned into a gassing facility; the windows had been bricked up and its four rooms converted into two insulated rooms, the doors of which said "Zur Desinfektion" ("to disinfection"). A second brick cottage, the "little white house" or bunker 2, was converted and operational by June 1942. When Himmler visited the camp on 17 and 18 July 1942, he was given a demonstration of a selection of Dutch Jews, a mass-murder in a gas chamber in bunker 2, and a tour of the building site of Auschwitz III, the new IG Farben plant being constructed at Monowitz. Use of bunkers I and 2 stopped in spring 1943 when the new crematoria were built, although bunker 2 became operational again in May 1944 for the murder of the Hungarian Jews. Bunker I was demolished in 1943 and bunker 2 in November 1944.
Plans for crematoria II and III show that both had an oven room on the ground floor, and an underground dressing room and gas chamber . The dressing rooms had wooden benches along the walls and numbered pegs for clothing. Victims would be led from these rooms to a five-yard-long narrow corridor, which in turn led to a space from which the gas chamber door opened. The chambers were white inside, and nozzles were fixed to the ceiling to resemble showerheads. The daily capacity of the crematoria (how many bodies could be burned in a 24-hour period) was 340 corpses in crematorium I; 1,440 each in crematoria II and III; and 768 each in IV and V. By June 1943 all four crematoria were operational, but crematorium I was not used after July 1943. This made the total daily capacity 4,416, although by loading three to five corpses at a time, the Sonderkommando were able to burn some 8,000 bodies a day. This maximum capacity was rarely needed; the average between 1942 and 1944 was 1,000 bodies burned every day.
Auschwitz III–Monowitz
After examining several sites for a new plant to manufacture Buna-N, a type of synthetic rubber essential to the war effort, the German chemical conglomerate IG Farben chose a site near the towns of Dwory and Monowice (Monowitz in German), about east of Auschwitz I. Tax exemptions were available to corporations prepared to develop industries in the frontier regions under the Eastern Fiscal Assistance Law, passed in December 1940. In addition to its proximity to the concentration camp, a source of cheap labour, the site had good railway connections and access to raw materials. In February 1941, Himmler ordered that the Jewish population of Oświęcim be expelled to make way for skilled laborers; that all Poles able to work remain in the town and work on building the factory; and that Auschwitz prisoners be used in the construction work.
Auschwitz inmates began working at the plant, known as Buna Werke and IG-Auschwitz, in April 1941, demolishing houses in Monowitz to make way for it. By May, because of a shortage of trucks, several hundred of them were rising at 3 am to walk there twice a day from Auschwitz I. Because a long line of exhausted inmates walking through the town of Oświęcim might harm German-Polish relations, the inmates were told to shave daily, make sure they were clean, and sing as they walked. From late July they were taken to the factory by train on freight wagons. Given the difficulty of moving them, including during the winter, IG Farben decided to build a camp at the plant. The first inmates moved there on 30 October 1942. Known as KL Auschwitz III–Aussenlager (Auschwitz III subcamp), and later as the Monowitz concentration camp, it was the first concentration camp to be financed and built by private industry.
Measuring , the camp was larger than Auschwitz I. By the end of 1944, it housed 60 barracks measuring , each with a day room and a sleeping room containing 56 three-tiered wooden bunks. IG Farben paid the SS three or four Reichsmark for nine- to eleven-hour shifts from each worker. In 1943–1944, about 35,000 inmates worked at the plant; 23,000 (32 a day on average) were killed through malnutrition, disease, and the workload. Within three to four months at the camp, Peter Hayes writes, the inmates were "reduced to walking skeletons". Deaths and transfers to the gas chambers at Auschwitz II reduced the population by nearly a fifth each month. Site managers constantly threatened inmates with the gas chambers, and the smell from the crematoria at Auschwitz I and II hung heavy over the camp.
Although the factory had been expected to begin production in 1943, shortages of labour and raw materials meant start-up was postponed repeatedly. The Allies bombed the plant in 1944 on 20 August, 13 September, 18 December, and 26 December. On 19 January 1945, the SS ordered that the site be evacuated, sending 9,000 inmates, most of them Jews, on a death march to another Auschwitz subcamp at Gliwice. From Gliwice, prisoners were taken by rail in open freight wagons to the Buchenwald and Mauthausen concentration camps. The 800 inmates who had been left behind in the Monowitz hospital were liberated along with the rest of the camp on 27 January 1945 by the 1st Ukrainian Front of the Red Army.
Subcamps
Several other German industrial enterprises, such as Krupp and Siemens-Schuckert, built factories with their own subcamps. There were around 28 camps near industrial plants, each camp holding hundreds or thousands of prisoners. Designated as Aussenlager (external camp), Nebenlager (extension camp), Arbeitslager (labor camp), or Aussenkommando (external work detail), camps were built at Blechhammer, Jawiszowice, Jaworzno, Lagisze, Mysłowice, Trzebinia, and as far afield as the Protectorate of Bohemia and Moravia in Czechoslovakia. Industries with satellite camps included coal mines, foundries and other metal works, and chemical plants. Prisoners were also made to work in forestry and farming. For example, Wirtschaftshof Budy, in the Polish village of Budy near Brzeszcze, was a farming subcamp where prisoners worked 12-hour days in the fields, tending animals, and making compost by mixing human ashes from the crematoria with sod and manure. Incidents of sabotage to decrease production took place in several subcamps, including Charlottengrube, Gleiwitz II, and Rajsko. Living conditions in some of the camps were so poor that they were regarded as punishment subcamps.
Life in the camps
SS garrison
Rudolf Höss, born in Baden-Baden in 1900, was named the first commandant of Auschwitz when Heinrich Himmler ordered on 27 April 1940 that the camp be established. Living with his wife and children in a two-story stucco house near the commandant's and administration building, he served as commandant until 11 November 1943, with Josef Kramer as his deputy. Succeeded as commandant by Arthur Liebehenschel, Höss joined the SS Business and Administration Head Office in Oranienburg as director of Amt DI, a post that made him deputy of the camps inspectorate.
Richard Baer became commandant of Auschwitz I on 11 May 1944 and Fritz Hartjenstein of Auschwitz II from 22 November 1943, followed by Josef Kramer from 15 May 1944 until the camp's liquidation in January 1945. Heinrich Schwarz was commandant of Auschwitz III from the point at which it became an autonomous camp in November 1943 until its liquidation. Höss returned to Auschwitz between 8 May and 29 July 1944 as the local SS garrison commander (Standortältester) to oversee the arrival of Hungary's Jews, which made him the superior officer of all the commandants of the Auschwitz camps.
According to Aleksander Lasik, about 6,335 people (6,161 of them men) worked for the SS at Auschwitz over the course of the camp's existence; 4.2 percent were officers, 26.1 percent non-commissioned officers, and 69.7 percent rank and file. In March 1941, there were 700 SS guards; in June 1942, 2,000; and in August 1944, 3,342. At its peak in January 1945, 4,480 SS men and 71 SS women worked in Auschwitz; the higher number is probably attributable to the logistics of evacuating the camp. Female guards were known as SS supervisors (SS-Aufseherinnen).
Most of the staff were from Germany or Austria, but as the war progressed, increasing numbers of Volksdeutsche from other countries, including Czechoslovakia, Poland, Yugoslavia, and the Baltic states, joined the SS at Auschwitz. Not all were ethnically German. Guards were also recruited from Hungary, Romania, and Slovakia. Camp guards, around three quarters of the SS personnel, were members of the SS-Totenkopfverbände (death's head units). Other SS staff worked in the medical or political departments, or in the economic administration, which was responsible for clothing and other supplies, including the property of dead prisoners. The SS viewed Auschwitz as a comfortable posting; being there meant they had avoided the front and had access to the victims' property.
Functionaries and Sonderkommando
Certain prisoners, at first non-Jewish Germans but later Jews and non-Jewish Poles, were assigned positions of authority as Funktionshäftlinge (functionaries), which gave them access to better housing and food. The Lagerprominenz (camp elite) included Blockschreiber (barracks clerk), Kapo (overseer), Stubendienst (barracks orderly), and Kommandierte (trusties). Wielding tremendous power over other prisoners, the functionaries developed a reputation as sadists. Very few were prosecuted after the war, because of the difficulty of determining which atrocities had been performed by order of the SS.
Although the SS oversaw the murders at each gas chamber, the forced labor portion of the work was done by prisoners known from 1942 as the Sonderkommando (special squad). These were mostly Jews but they included groups such as Soviet POWs. In 1940–1941 when there was one gas chamber, there were 20 such prisoners, in late 1943 there were 400, and by 1944 during the Holocaust in Hungary the number had risen to 874. The Sonderkommando removed goods and corpses from the incoming trains, guided victims to the dressing rooms and gas chambers, removed their bodies afterwards, and took their jewelry, hair, dental work, and any precious metals from their teeth, all of which was sent to Germany. Once the bodies were stripped of anything valuable, the Sonderkommando burned them in the crematoria.
Because they were witnesses to the mass murder, the Sonderkommando lived separately from the other prisoners, although this rule was not applied to the non-Jews among them. Their quality of life was further improved by their access to the property of new arrivals, which they traded within the camp, including with the SS. Nevertheless, their life expectancy was short; they were regularly murdered and replaced. About 100 survived to the camp's liquidation. They were forced on a death march and by train to the camp at Mauthausen, where three days later they were asked to step forward during roll call. No one did, and because the SS did not have their records, several of them survived.
Tattoos and triangles
Uniquely at Auschwitz, prisoners were tattooed with a serial number, on their left breast for Soviet prisoners of war and on the left arm for civilians. Categories of prisoner were distinguishable by triangular pieces of cloth (German: Winkel) sewn onto on their jackets below their prisoner number. Political prisoners (Schutzhäftlinge or Sch), mostly Poles, had a red triangle, while criminals (Berufsverbrecher or BV) were mostly German and wore green. Asocial prisoners (Asoziale or Aso), which included vagrants, prostitutes and the Roma, wore black. Purple was for Jehovah's Witnesses (Internationale Bibelforscher-Vereinigung or IBV)'s and pink for gay men, who were mostly German. An estimated 5,000–15,000 gay men prosecuted under German Penal Code Section 175 (proscribing sexual acts between men) were detained in concentration camps, of whom an unknown number were sent to Auschwitz. Jews wore a yellow badge, the shape of the Star of David, overlaid by a second triangle if they also belonged to a second category. The nationality of the inmate was indicated by a letter stitched onto the cloth. A racial hierarchy existed, with German prisoners at the top. Next were non-Jewish prisoners from other countries. Jewish prisoners were at the bottom.
Transports
Deportees were brought to Auschwitz crammed in wretched conditions into goods or cattle wagons, arriving near a railway station or at one of several dedicated trackside ramps, including one next to Auschwitz I. The Altejudenrampe (old Jewish ramp), part of the Oświęcim freight railway station, was used from 1942 to 1944 for Jewish transports. Located between Auschwitz I and Auschwitz II, arriving at this ramp meant a 2.5 km journey to Auschwitz II and the gas chambers. Most deportees were forced to walk, accompanied by SS men and a car with a Red Cross symbol that carried the Zyklon B, as well as an SS doctor in case officers were poisoned by mistake. Inmates arriving at night, or who were too weak to walk, were taken by truck. Work on a new railway line and ramp (right) between sectors BI and BII in Auschwitz II, was completed in May 1944 for the arrival of Hungarian Jews between May and early July 1944. The rails led directly to the area around the gas chambers.
Life for the inmates
The day began at 4:30 am for the men (an hour later in winter), and earlier for the women, when the block supervisor sounded a gong and started beating inmates with sticks to make them wash and use the latrines quickly. There were few latrines and there was a lack of clean water. Each washhouse had to service thousands of prisoners. In sectors BIa and BIb in Auschwitz II, two buildings containing latrines and washrooms were installed in 1943. These contained troughs for washing and 90 faucets; the toilet facilities were "sewage channels" covered by concrete with 58 holes for seating. There were three barracks with washing facilities or toilets to serve 16 residential barracks in BIIa, and six washrooms/latrines for 32 barracks in BIIb, BIIc, BIId, and BIIe. Primo Levi described a 1944 Auschwitz III washroom:
Prisoners received half a litre of coffee substitute or a herbal tea in the morning, but no food. A second gong heralded roll call, when inmates lined up outside in rows of ten to be counted. No matter the weather, they had to wait for the SS to arrive for the count; how long they stood there depended on the officers' mood, and whether there had been escapes or other events attracting punishment. Guards might force the prisoners to squat for an hour with their hands above their heads or hand out beatings or detention for infractions such as having a missing button or an improperly cleaned food bowl. The inmates were counted and re-counted.
After roll call, to the sound of "Arbeitskommandos formieren" ("form work details"), prisoners walked to their place of work, five abreast, to begin a working day that was normally 11 hours long—longer in summer and shorter in winter. A prison orchestra, such as the Women's Orchestra of Auschwitz, was forced to play cheerful music as the workers left the camp. Kapos were responsible for the prisoners' behaviour while they worked, as was an SS escort. Much of the work took place outdoors at construction sites, gravel pits, and lumber yards. No rest periods were allowed. One prisoner was assigned to the latrines to measure the time the workers took to empty their bladders and bowels.
Lunch was three-quarters of a litre of watery soup at midday, reportedly foul-tasting, with meat in the soup four times a week and vegetables (mostly potatoes and rutabaga) three times. The evening meal was 300 grams of bread, often moldy, part of which the inmates were expected to keep for breakfast the next day, with a tablespoon of cheese or marmalade, or 25 grams of margarine or sausage. Prisoners engaged in hard labour were given extra rations.
A second roll call took place at seven in the evening, in the course of which prisoners might be hanged or flogged. If a prisoner was missing, the others had to remain standing until the absentee was found or the reason for the absence discovered, even if it took hours. On 6 July 1940, roll call lasted 19 hours because a Polish prisoner, Tadeusz Wiejowski, had escaped; following an escape in 1941, a group of prisoners was picked out from the escapee's barracks and sent to block 11 to be starved to death. After roll call, prisoners retired to their blocks for the night and received their bread rations. Then they had some free time to use the washrooms and receive their mail, unless they were Jews: Jews were not allowed to receive mail. Curfew ("nighttime quiet") was marked by a gong at nine o'clock. Inmates slept in long rows of brick or wooden bunks, or on the floor, lying in and on their clothes and shoes to prevent them from being stolen. The wooden bunks had blankets and paper mattresses filled with wood shavings; in the brick barracks, inmates lay on straw. According to Miklós Nyiszli:
Sunday was not a workday, but prisoners had to clean the barracks and take their weekly shower, and were allowed to write (in German) to their families, although the SS censored the mail. Inmates who did not speak German would trade bread for help. Observant Jews tried to keep track of the Hebrew calendar and Jewish holidays, including Shabbat, and the weekly Torah portion. No watches, calendars, or clocks were permitted in the camp. Only two Jewish calendars made in Auschwitz survived to the end of the war. Prisoners kept track of the days in other ways, such as obtaining information from newcomers.
Women's camp
About 30 percent of the registered inmates were female. The first mass transport of women, 999 non-Jewish German women from the Ravensbrück concentration camp, arrived on 26 March 1942. Classified as criminal, asocial and political, they were brought to Auschwitz as founder functionaries of the women's camp. Rudolf Höss wrote of them: "It was easy to predict that these beasts would mistreat the women over whom they exercised power ... Spiritual suffering was completely alien to them." They were given serial numbers 1–999. The women's guard from Ravensbrück, Johanna Langefeld, became the first Auschwitz women's camp Lagerführerin. A second mass transport of women, 999 Jews from Poprad, Slovakia, arrived on the same day. According to Danuta Czech, this was the first registered transport sent to Auschwitz by the Reich Security Head Office (RSHA) office IV B4, known as the Jewish Office, led by SS Obersturmbannführer Adolf Eichmann. (Office IV was the Gestapo.) A third transport of 798 Jewish women from Bratislava, Slovakia, followed on 28 March.
Women were at first held in blocks 1–10 of Auschwitz I, but from 6 August 1942, 13,000 inmates were transferred to a new women's camp (Frauenkonzentrationslager or FKL) in Auschwitz II. This consisted at first of 15 brick and 15 wooden barracks in sector (Bauabschnitt) BIa; it was later extended into BIb, and by October 1943 it held 32,066 women. In 1943–1944, about 11,000 women were also housed in the Gypsy family camp, as were several thousand in the Theresienstadt family camp.
Conditions in the women's camp were so poor that when a group of male prisoners arrived to set up an infirmary in October 1942, their first task, according to researchers from the Auschwitz Museum, was to distinguish the corpses from the women who were still alive. Gisella Perl, a Romanian-Jewish gynecologist and inmate of the women's camp, wrote in 1948:
Langefeld was succeeded as Lagerführerin in October 1942 by SS Oberaufseherin Maria Mandl, who developed a reputation for cruelty. Höss hired men to oversee the female supervisors, first SS Obersturmführer Paul Müller, then SS Hauptsturmführer Franz Hössler. Mandl and Hössler were executed after the war. Sterilisation experiments were carried out in barracks 30 by a German gynecologist, Carl Clauberg, and another German doctor, Horst Schumann.
Medical experiments, block 10
German doctors performed a variety of experiments on prisoners at Auschwitz. SS doctors tested the efficacy of X-rays as a sterilization device by administering large doses to female prisoners. Carl Clauberg injected chemicals into women's uteruses in an effort to glue them shut. Prisoners were infected with spotted fever for vaccination research and exposed to toxic substances to study the effects. In one experiment, Bayer—then part of IG Farben—paid RM 150 each for 150 female inmates from Auschwitz (the camp had asked for RM 200 per woman), who were transferred to a Bayer facility to test an anesthetic. A Bayer employee wrote to Rudolf Höss: "The transport of 150 women arrived in good condition. However, we were unable to obtain conclusive results because they died during the experiments. We would kindly request that you send us another group of women to the same number and at the same price." The Bayer research was led at Auschwitz by Helmuth Vetter of Bayer/IG Farben, who was also an Auschwitz physician and SS captain, and by Auschwitz physicians Friedrich Entress and Eduard Wirths.
The most infamous doctor at Auschwitz was Josef Mengele, the "Angel of Death", who worked in Auschwitz II from 30 May 1943, at first in the gypsy family camp. Interested in performing research on identical twins, dwarfs, and those with hereditary disease, Mengele set up a kindergarten in barracks 29 and 31 for children he was experimenting on, and for all Romani children under six, where they were given better food rations. From May 1944, he would select twins and dwarfs from among the new arrivals during "selection", reportedly calling for twins with "Zwillinge heraus!" ("twins step forward!"). He and other doctors (the latter prisoners) would measure the twins' body parts, photograph them, and subject them to dental, sight and hearing tests, x-rays, blood tests, surgery, and blood transfusions between them. Then he would have them killed and dissected. Kurt Heissmeyer, another German doctor and SS officer, took 20 Polish Jewish children from Auschwitz to use in pseudoscientific experiments at the Neuengamme concentration camp near Hamburg, where he injected them with the tuberculosis bacilli to test a cure for tuberculosis. In April 1945, the children were murdered by hanging to conceal the project.
A Jewish skeleton collection was obtained from among a pool of 115 Jewish inmates, chosen for their perceived stereotypical racial characteristics. Rudolf Brandt and Wolfram Sievers, general manager of the Ahnenerbe (a Nazi research institute), delivered the skeletons to the collection of the Anatomy Institute at the Reichsuniversität Straßburg in Alsace-Lorraine. The collection was sanctioned by Heinrich Himmler and under the direction of August Hirt. Ultimately 87 of the inmates were shipped to Natzweiler-Struthof and murdered in August 1943. Brandt and Sievers were executed in 1948 after being convicted during the Doctors' trial, part of the Subsequent Nuremberg trials.
Punishment, block 11
Prisoners could be beaten and killed by guards and kapos for the slightest infraction of the rules. Polish historian Irena Strzelecka writes that kapos were given nicknames that reflected their sadism: "Bloody", "Iron", "The Strangler", "The Boxer". Based on the 275 extant reports of punishment in the Auschwitz archives, Strzelecka lists common infractions: returning a second time for food at mealtimes, removing one’s gold teeth to buy bread, breaking into the pigsty to steal the pigs' food, putting one’s hands into one’s pockets.
Flogging during rollcall was common. A flogging table called "the goat" immobilised prisoners' feet in a box, while they stretched themselves across the table. Prisoners had to count out the lashes—"25 mit besten Dank habe ich erhalten" ("25 received with many thanks")— and if they got the figure wrong, the flogging resumed from the beginning. Punishment by "the post" involved tying prisoners' hands behind their backs with chains attached to hooks, then raising the chains so the prisoners were left dangling by the wrists. If their shoulders were too damaged afterwards to work, they might be sent to the gas chamber. Prisoners were subjected to the post for helping a prisoner who had been beaten, and for picking up a cigarette butt. To extract information from inmates, guards would force their heads onto the stove, and hold them there, burning their faces and eyes.
Known as block 13 until 1941, block 11 of Auschwitz I was the prison within the prison, reserved for inmates suspected of resistance activities. Cell 22 in block 11 was a windowless standing cell (Stehbunker). Split into four sections, each section measured less than and held four prisoners, who entered it through a hatch near the floor. There was a 5 cm x 5 cm vent for air, covered by a perforated sheet. Strzelecka writes that prisoners might have to spend several nights in cell 22; Wiesław Kielar spent four weeks in it for breaking a pipe. Several rooms in block 11 were deemed the Polizei-Ersatz-Gefängnis Myslowitz in Auschwitz (Auschwitz branch of the police station at Mysłowice). There were also Sonderbehandlung cases ("special treatment") for Poles and others regarded as dangerous to Nazi Germany.
Death wall
The courtyard between blocks 10 and 11, known as the "death wall", served as an execution area, including for Poles in the General Government area who had been sentenced to death by a criminal court. The first executions, by shooting inmates in the back of the head, took place at the death wall on 11 November 1941, Poland's National Independence Day. The 151 accused were led to the wall one at a time, stripped naked and with their hands tied behind their backs. Danuta Czech noted that a "clandestine Catholic mass" was said the following Sunday on the second floor of Block 4 in Auschwitz I, in a narrow space between bunks.
An estimated 4,500 Polish political prisoners were executed at the death wall, including members of the camp resistance. An additional 10,000 Poles were brought to the camp to be executed without being registered. About 1,000 Soviet prisoners of war died by execution, although this is a rough estimate. A Polish government-in-exile report stated that 11,274 prisoners and 6,314 prisoners of war had been executed. Rudolf Höss wrote that "execution orders arrived in an unbroken stream". According to SS officer Perry Broad, "[s]ome of these walking skeletons had spent months in the stinking cells, where not even animals would be kept, and they could barely manage to stand straight. And yet, at that last moment, many of them shouted 'Long live Poland', or 'Long live freedom'." The dead included Colonel Jan Karcz and Major Edward Gött-Getyński, executed on 25 January 1943 with 51 others suspected of resistance activities. Józef Noji, the Polish long-distance runner, was executed on 15 February that year. In October 1944, 200 Sonderkommando were executed for their part in the Sonderkommando revolt.
Family camps
Gypsy family camp
A separate camp for the Roma, the Zigeunerfamilienlager ("Gypsy family camp"), was set up in the BIIe sector of Auschwitz II-Birkenau in February 1943. For unknown reasons, they were not subject to selection and families were allowed to stay together. The first transport of German Roma arrived on 26 February that year. There had been a small number of Romani inmates before that; two Czech Romani prisoners, Ignatz and Frank Denhel, tried to escape in December 1942, the latter successfully, and a Polish Romani woman, Stefania Ciuron, arrived on 12 February 1943 and escaped in April. Josef Mengele, the Holocaust's most infamous physician, worked in the gypsy family camp from 30 May 1943 when he began his work in Auschwitz.
The Auschwitz registry (Hauptbücher) shows that 20,946 Roma were registered prisoners, and another 3,000 are thought to have entered unregistered. On 22 March 1943, one transport of 1,700 Polish Sinti and Roma was gassed on arrival because of illness, as was a second group of 1,035 on 25 May 1943. The SS tried to liquidate the camp on 16 May 1944, but the Roma fought them, armed with knives and iron pipes, and the SS retreated. Shortly after this, the SS removed nearly 2,908 from the family camp to work, and on 2 August 1944 gassed the other 2,897. Ten thousand remain unaccounted for.
Theresienstadt family camp
The SS deported around 18,000 Jews to Auschwitz from the Theresienstadt ghetto in Terezin, Czechoslovakia, beginning on 8 September 1943 with a transport of 2,293 male and 2,713 female prisoners. Placed in sector BIIb as a "family camp", they were allowed to keep their belongings, wear their own clothes, and write letters to family; they did not have their hair shaved and were not subjected to selection. Correspondence between Adolf Eichmann's office and the International Red Cross suggests that the Germans set up the camp to cast doubt on reports, in time for a planned Red Cross visit to Auschwitz, that mass murder was taking place there. The women and girls were placed in odd-numbered barracks and the men and boys in even-numbered. An infirmary was set up in barracks 30 and 32, and barracks 31 became a school and kindergarten. The somewhat better living conditions were nevertheless inadequate; 1,000 members of the family camp were dead within six months. Two other groups of 2,491 and 2,473 Jews arrived from Theresienstadt in the family camp on 16 and 20 December 1943.
On 8 March 1944, 3,791 of the prisoners (men, women and children) were sent to the gas chambers; the men were taken to crematorium III and the women later to crematorium II. Some of the groups were reported to have sung Hatikvah and the Czech national anthem on the way. Before they were murdered, they had been asked to write postcards to relatives, postdated to 25–27 March. Several twins were held back for medical experiments. The Czechoslovak government-in-exile initiated diplomatic manoeuvers to save the remaining Czech Jews after its representative in Bern received the Vrba-Wetzler report, written by two escaped prisoners, Rudolf Vrba and Alfred Wetzler, which warned that the remaining family-camp inmates would be gassed soon. The BBC also became aware of the report; its German service broadcast news of the family-camp murders during its women's programme on 16 June 1944, warning: "All those responsible for such massacres from top downwards will be called to account." The Red Cross visited Theresienstadt in June 1944 and were persuaded by the SS that no one was being deported from there. The following month, about 2,000 women from the family camp were selected to be moved to other camps and 80 boys were moved to the men's camp; the remaining 7,000 were gassed between 10 and 12 July.
Selection and extermination process
Gas chambers
The first gassings at Auschwitz took place in September 3, 1941, when around 850 inmates—Soviet prisoners of war and sick Polish inmates—were killed with Zyklon B in the basement of block 11 in Auschwitz I. The building proved unsuitable, so gassings were conducted instead in crematorium I, also in Auschwitz I, which operated until December 1942. There, more than 700 victims could be killed at once. Tens of thousands were killed in crematorium I. To keep the victims calm, they were told they were to undergo disinfection and de-lousing; they were ordered to undress outside, then were locked in the building and gassed. After its decommissioning as a gas chamber, the building was converted to a storage facility and later served as an SS air raid shelter. The gas chamber and crematorium were reconstructed after the war. Dwork and van Pelt write that a chimney was recreated; four openings in the roof were installed to show where the Zyklon B had entered; and two of the three furnaces were rebuilt with the original components.
In early 1942, mass exterminations were moved to two provisional gas chambers (the "red house" and "white house", known as bunkers 1 and 2) in Auschwitz II, while the larger crematoria (II, III, IV, and V) were under construction. Bunker 2 was temporarily reactivated from May to November 1944, when large numbers of Hungarian Jews were gassed. In summer 1944 the combined capacity of the crematoria and outdoor incineration pits was 20,000 bodies per day. A planned sixth facility—crematorium VI—was never built.
From 1942, Jews were being transported to Auschwitz from all over German-occupied Europe by rail, arriving in daily convoys. The gas chambers worked to their fullest capacity from May to July 1944, during the Holocaust in Hungary. A rail spur leading to crematoria II and III in Auschwitz II was completed that May, and a new ramp was built between sectors BI and BII to deliver the victims closer to the gas chambers (images top right). On 29 April the first 1,800 Jews from Hungary arrived at the camp. From 14 May until early July 1944, 437,000 Hungarian Jews, half the pre-war population, were deported to Auschwitz, at a rate of 12,000 a day for a considerable part of that period. The crematoria had to be overhauled. Crematoria II and III were given new elevators leading from the stoves to the gas chambers, new grates were fitted, and several of the dressing rooms and gas chambers were painted. Cremation pits were dug behind crematorium V. The incoming volume was so great that the Sonderkommando resorted to burning corpses in open-air pits as well as in the crematoria.
Selection
According to Polish historian Franciszek Piper, of the 1,095,000 Jews deported to Auschwitz, around 205,000 were registered in the camp and given serial numbers; 25,000 were sent to other camps; and 865,000 were murdered soon after arrival. Adding non-Jewish victims gives a figure of 900,000 who were murdered without being registered.
During "selection" on arrival, those deemed able to work were sent to the right and admitted into the camp (registered), and the rest were sent to the left to be gassed. The group selected to die included almost all children, women with small children, the elderly, and others who appeared on brief and superficial inspection by an SS doctor not to be fit for work. Practically any fault—scars, bandages, boils and emaciation—might provide reason enough to be deemed unfit. Children might be made to walk toward a stick held at a certain height; those who could walk under it were selected for the gas. Inmates unable to walk or who arrived at night were taken to the crematoria on trucks; otherwise, the new arrivals were marched there. Their belongings were seized and sorted by inmates in the "Kanada" warehouses, an area of the camp in sector BIIg that housed 30 barracks used as storage facilities for plundered goods; it derived its name from the inmates' view of Canada as a land of plenty.
Inside the crematoria
The crematoria consisted of a dressing room, gas chamber, and furnace room. In crematoria II and III, the dressing room and gas chamber were underground; in IV and V, they were on the ground floor. The dressing room had numbered hooks on the wall to hang clothes. In crematorium II, there was also a dissection room (Sezierraum). SS officers told the victims they had to take a shower and undergo delousing. The victims undressed in the dressing room and walked into the gas chamber; signs said "Bade" (bath) or "Desinfektionsraum" (disinfection room). A former prisoner testified that the language of the signs changed depending on who was being killed. Some inmates were given soap and a towel. A gas chamber could hold up to 2,000; one former prisoner said it was around 3,000.
The Zyklon B was delivered to the crematoria by a special SS bureau known as the Hygiene Institute. After the doors were shut, SS men dumped in the Zyklon B pellets through vents in the roof or holes in the side of the chamber. The victims were usually dead within 10 minutes; Rudolf Höss testified that it took up to 20 minutes. Leib Langfus, a member of the Sonderkommando, buried his diary (written in Yiddish) near crematorium III in Auschwitz II. It was found in 1952, signed "A.Y.R.A":
Use of corpses
Sonderkommando wearing gas masks dragged the bodies from the chamber. They removed glasses and artificial limbs and shaved off the women's hair; women's hair was removed before they entered the gas chamber at Bełżec, Sobibór, and Treblinka, but at Auschwitz it was done after death. By 6 February 1943, the Reich Economic Ministry had received 3,000 kg of women's hair from Auschwitz and Majdanek. The hair was first cleaned in a solution of sal ammoniac, dried on the brick floor of the crematoria, combed, and placed in paper bags. The hair was shipped to various companies, including one manufacturing plant in Bremen-Bluementhal, where workers found tiny coins with Greek letters on some of the braids, possibly from some of the 50,000 Greek Jews deported to Auschwitz in 1943. When they liberated the camp in January 1945, the Red Army found 7,000 kg of human hair in bags ready to ship.
Just before cremation, jewelry was removed, along with dental work and teeth containing precious metals. Gold was removed from the teeth of dead prisoners from 23 September 1940 onwards by order of Heinrich Himmler. The work was carried out by members of the Sonderkommando who were dentists; anyone overlooking dental work might themselves be cremated alive. The gold was sent to the SS Health Service and used by dentists to treat the SS and their families; 50 kg had been collected by 8 October 1942. By early 1944, 10–12 kg of gold was being extracted monthly from victims' teeth.
The corpses were burned in the nearby incinerators, and the ashes were buried, thrown in the Vistula river, or used as fertilizer. Any bits of bone that had not burned properly were ground down in wooden mortars.
Death toll
At least 1.3 million people were sent to Auschwitz between 1940 and 1945, and at least 1.1 million died. Overall 400,207 prisoners were registered in the camp: 268,657 male and 131,560 female. A study in the late 1980s by Polish historian Franciszek Piper, published by Yad Vashem in 1991, used timetables of train arrivals combined with deportation records to calculate that, of the 1.3 million sent to the camp, 1,082,000 had died there, a figure (rounded up to 1.1 million) that Piper regarded as a minimum. That figure came to be widely accepted.
The Germans tried to conceal how many they had murdered. In July 1942, according to Rudolf Höss's post-war memoir, Höss received an order from Heinrich Himmler, via Adolf Eichmann's office and SS commander Paul Blobel, that "[a]ll mass graves were to be opened and the corpses burned. In addition, the ashes were to be disposed of in such a way that it would be impossible at some future time to calculate the number of corpses burned."
Earlier estimates of the death toll were higher than Piper's. Following the camp's liberation, the Soviet government issued a statement, on 8 May 1945, that four million people had been murdered on the site, a figure based on the capacity of the crematoria. Höss told prosecutors at Nuremberg that at least 2,500,000 people had been gassed there, and that another 500,000 had died of starvation and disease. He testified that the figure of over two million had come from Eichmann. In his memoirs, written in custody, Höss wrote that Eichmann had given the figure of 2.5 million to Höss's superior officer Richard Glücks, based on records that had been destroyed. Höss regarded this figure as "far too high. Even Auschwitz had limits to its destructive possibilities," he wrote.
Around one in six Jews murdered in the Holocaust died in Auschwitz. By nation, the greatest number of Auschwitz's Jewish victims originated from Hungary, accounting for 430,000 deaths, followed by Poland (300,000), France (69,000), Netherlands (60,000), Greece (55,000), Protectorate of Bohemia and Moravia (46,000), Slovakia (27,000), Belgium (25,000), Germany and Austria (23,000), Yugoslavia (10,000), Italy (7,500), Norway (690), and others (34,000). Timothy Snyder writes that fewer than one percent of the million Soviet Jews murdered in the Holocaust were murdered in Auschwitz. Of the at least 387 Jehovah's Witnesses who were imprisoned at Auschwitz, 132 died in the camp.
Resistance, escapes, and liberation
Camp resistance, flow of information
Information about Auschwitz became available to the Allies as a result of reports by Captain Witold Pilecki of the Polish Home Army who, as "Tomasz Serafiński" (serial number 4859), allowed himself to be arrested in Warsaw and taken to Auschwitz. He was imprisoned there from 22 September 1940 until his escape on 27 April 1943. Michael Fleming writes that Pilecki was instructed to sustain morale, organize food, clothing and resistance, prepare to take over the camp if possible, and smuggle information out to the Polish military. Pilecki called his resistance movement Związek Organizacji Wojskowej (ZOW, "Union of Military Organization").
The resistance sent out the first oral message about Auschwitz with Aleksander Wielkopolski, a Polish engineer who was released in October 1940. The following month the Polish underground in Warsaw prepared a report on the basis of that information, The camp in Auschwitz, part of which was published in London in May 1941 in a booklet, The German Occupation of Poland, by the Polish Ministry of Foreign Affairs. The report said of the Jews in the camp that "scarcely any of them came out alive". According to Fleming, the booklet was "widely circulated amongst British officials". The Polish Fortnightly Review based a story on it, writing that "three crematorium furnaces were insufficient to cope with the bodies being cremated", as did The Scotsman on 8 January 1942, the only British news organization to do so.
On 24 December 1941, the resistance groups representing the various prisoner factions met in block 45 and agreed to cooperate. Fleming writes that it has not been possible to track Pilecki's early intelligence from the camp. Pilecki compiled two reports after he escaped in April 1943; the second, Raport W, detailed his life in Auschwitz I and estimated that 1.5 million people, mostly Jews, had been murdered. On 1 July 1942, the Polish Fortnightly Review published a report describing Birkenau, writing that "prisoners call this supplementary camp 'Paradisal', presumably because there is only one road, leading to Paradise". Reporting that inmates were being killed "through excessive work, torture and medical means", it noted the gassing of the Soviet prisoners of war and Polish inmates in Auschwitz I in September 1941, the first gassing in the camp. It said: "It is estimated that the Oswiecim camp can accommodate fifteen thousand prisoners, but as they die on a mass scale there is always room for new arrivals."
The Polish government-in-exile in London first reported the gassing of prisoners in Auschwitz on 21 July 1942, and reported the gassing of Soviet POWs and Jews on 4 September 1942. In 1943, the Kampfgruppe Auschwitz (Combat Group Auschwitz) was organized within the camp with the aim of sending out information about what was happening. The Sonderkommando buried notes in the ground, hoping they would be found by the camp's liberators. The group also smuggled out photographs; the Sonderkommando photographs, of events around the gas chambers in Auschwitz II, were smuggled out of the camp in September 1944 in a toothpaste tube.
According to Fleming, the British press responded, in 1943 and the first half of 1944, either by not publishing reports about Auschwitz or by burying them on the inside pages. The exception was the Polish Jewish Observer, a City and East London Observer supplement edited by Joel Cang, a former Warsaw correspondent for the Manchester Guardian. The British reticence stemmed from a Foreign Office concern that the public might pressure the government to respond or provide refuge for the Jews, and that British actions on behalf of the Jews might affect its relationships in the Middle East. There was similar reticence in the United States, and indeed within the Polish government-in-exile and the Polish resistance. According to Fleming, the scholarship suggests that the Polish resistance distributed information about the Holocaust in Auschwitz without challenging the Allies' reluctance to highlight it.
Escapes, Auschwitz Protocols
From the first escape on 6 July 1940 of Tadeusz Wiejowski, at least 802 prisoners (757 men and 45 women) tried to escape from the camp, according to Polish historian Henryk Świebocki. He writes that most escapes were attempted from work sites outside the camp's perimeter fence. Of the 802 escapes, 144 were successful, 327 were caught, and the fate of 331 is unknown.
Four Polish prisoners— (serial number 8502), Kazimierz Piechowski (no. 918), (no. 6438), and Józef Lempart (no. 3419)—escaped successfully on 20 June 1942. After breaking into a warehouse, three of them dressed as SS officers and stole rifles and an SS staff car, which they drove out of the camp with the fourth handcuffed as a prisoner. They wrote later to Rudolf Höss apologizing for the loss of the vehicle. On 21 July 1944, Polish inmate Jerzy Bielecki dressed in an SS uniform and, using a faked pass, managed to cross the camp's gate with his Jewish girlfriend, Cyla Cybulska, pretending that she was wanted for questioning. Both survived the war. For having saved her, Bielecki was recognized by Yad Vashem as Righteous Among the Nations.
Jerzy Tabeau (no. 27273, registered as Jerzy Wesołowski) and Roman Cieliczko (no. 27089), both Polish prisoners, escaped on 19 November 1943; Tabeau made contact with the Polish underground and, between December 1943 and early 1944, wrote what became known as the Polish Major's report about the situation in the camp. On 27 April 1944, Rudolf Vrba (no. 44070) and Alfréd Wetzler (no. 29162) escaped to Slovakia, carrying detailed information to the Slovak Jewish Council about the gas chambers. The distribution of the Vrba-Wetzler report, and publication of parts of it in June 1944, helped to halt the deportation of Hungarian Jews to Auschwitz. On 27 May 1944, Arnost Rosin (no. 29858) and Czesław Mordowicz (no. 84216) also escaped to Slovakia; the Rosin-Mordowicz report was added to the Vrba-Wetzler and Tabeau reports to become what is known as the Auschwitz Protocols. The reports were first published in their entirety in November 1944 by the United States War Refugee Board as The Extermination Camps of Auschwitz (Oświęcim) and Birkenau in Upper Silesia.
Bombing proposal
In January 1941, the Commander-in-Chief of the Polish Army and prime minister-in-exile, Władysław Sikorski, arranged for a report to be forwarded to Air Marshal Richard Pierse, head of RAF Bomber Command. Written by Auschwitz prisoners in or around December 1940, the report described the camp's atrocious living conditions and asked the Polish government-in-exile to bomb it:
Pierse replied that it was not technically feasible to bomb the camp without harming the prisoners. In May 1944 Slovak rabbi Michael Dov Weissmandl suggested that the Allies bomb the rails leading to the camp. Historian David Wyman published an essay in Commentary in 1978 entitled "Why Auschwitz Was Never Bombed", arguing that the United States Army Air Forces could and should have attacked Auschwitz. In his book The Abandonment of the Jews: America and the Holocaust 1941–1945 (1984), Wyman argued that, since the IG Farben plant at Auschwitz III had been bombed three times between August and December 1944 by the US Fifteenth Air Force in Italy, it would have been feasible for the other camps or railway lines to be bombed too. Bernard Wasserstein's Britain and the Jews of Europe (1979) and Martin Gilbert's Auschwitz and the Allies (1981) raised similar questions about British inaction. Since the 1990s, other historians have argued that Allied bombing accuracy was not sufficient for Wyman's proposed attack, and that counterfactual history is an inherently problematic endeavor.
Sonderkommando revolt
The Sonderkommando who worked in the crematoria were witnesses to the mass murder and were therefore regularly murdered themselves. On 7 October 1944, following an announcement that 300 of them were to be sent to a nearby town to clear away rubble—"transfers" were a common ruse for the murder of prisoners—the group, mostly Jews from Greece and Hungary, staged an uprising. They attacked the SS with stones and hammers, killing three of them, and set crematorium IV on fire with rags soaked in oil that they had hidden. Hearing the commotion, the Sonderkommando at crematorium II believed that a camp uprising had begun and threw their Oberkapo into a furnace. After escaping through a fence using wirecutters, they managed to reach Rajsko, where they hid in the granary of an Auschwitz satellite camp, but the SS pursued and killed them by setting the granary on fire.
By the time the rebellion at crematorium IV had been suppressed, 212 members of the Sonderkommando were still alive and 451 had been killed. The dead included Zalmen Gradowski, who kept notes of his time in Auschwitz and buried them near crematorium III; after the war, another Sonderkommando member showed the prosecutors where to dig. The notes were published in several formats, including in 2017 as From the Heart of Hell.
Evacuation and death marches
The last mass transports to arrive in Auschwitz were 60,000–70,000 Jews from the Łódź Ghetto, some 2,000 from Theresienstadt, and 8,000 from Slovakia. The last selection took place on 30 October 1944. On 1 or 2 November 1944, Heinrich Himmler ordered the SS to halt the mass murder by gas. On 25 November, he ordered that Auschwitz's gas chambers and crematoria be destroyed. The Sonderkommando and other prisoners began the job of dismantling the buildings and cleaning up the site. On 18 January 1945, Engelbert Marketsch, a German criminal transferred from Mauthausen, became the last prisoner to be assigned a serial number in Auschwitz, number 202499.
According to Polish historian Andrzej Strzelecki, the evacuation of the camp was one of its "most tragic chapters". Himmler ordered the evacuation of all camps in January 1945, telling camp commanders: "The Führer holds you personally responsible for ... making sure that not a single prisoner from the concentration camps falls alive into the hands of the enemy." The plundered goods from the "Kanada" barracks, together with building supplies, were transported to the German interior. Between 1 December 1944 and 15 January 1945, over one million items of clothing were packed to be shipped out of Auschwitz; 95,000 such parcels were sent to concentration camps in Germany.
Beginning on 17 January, some 58,000 Auschwitz detainees (about two-thirds Jews)—over 20,000 from Auschwitz I and II and over 30,000 from the subcamps—were evacuated under guard, at first heading west on foot, then by open-topped freight trains, to concentration camps in Germany and Austria: Bergen-Belsen, Buchenwald, Dachau, Flossenburg, Gross-Rosen, Mauthausen, Dora-Mittelbau, Ravensbruck, and Sachsenhausen. Fewer than 9,000 remained in the camps, deemed too sick to move. During the marches, the SS shot or otherwise dispatched anyone unable to continue; "execution details" followed the marchers, killing prisoners who lagged behind. Peter Longerich estimated that a quarter of the detainees were thus killed. By December 1944 some 15,000 Jewish prisoners had made it from Auschwitz to Bergen-Belsen, where they were liberated by the British on 15 April 1945.
On 20 January, crematoria II and III were blown up, and on 23 January the "Kanada" warehouses were set on fire; they apparently burned for five days. Crematorium IV had been partly demolished after the Sonderkommando revolt in October, and the rest of it was destroyed later. On 26 January, one day ahead of the Red Army's arrival, crematorium V was blown up.
Liberation
The first in the camp complex to be liberated was Auschwitz III, the IG Farben camp at Monowitz; a soldier from the 100th Infantry Division of the Red Army entered the camp around 9 am on Saturday, 27 January 1945. The 60th Army of the 1st Ukrainian Front (also part of the Red Army) arrived in Auschwitz I and II around 3 pm. They found 7,000 prisoners alive in the three main camps, 500 in the other subcamps, and over 600 corpses. Items found included 837,000 women's garments, 370,000 men's suits, 44,000 pairs of shoes, and 7,000 kg of human hair, estimated by the Soviet war crimes commission to have come from 140,000 people. Some of the hair was examined by the Forensic Science Institute in Kraków, where it was found to contain traces of hydrogen cyanide, the main ingredient of Zyklon B. Primo Levi described seeing the first four soldiers on horseback approach Auschwitz III, where he had been in the sick bay. They threw "strangely embarrassed glances at the sprawling bodies, at the battered huts and at us few still alive ...":
Georgii Elisavetskii, a Soviet soldier who entered one of the barracks, said in 1980 that he could hear other soldiers telling the inmates: "You are free, comrades!" But they did not respond, so he tried in Russian, Polish, German, Ukrainian. Then he used some Yiddish: "They think that I am provoking them. They begin to hide. And only when I said to them: 'Do not be afraid, I am a colonel of Soviet Army and a Jew. We have come to liberate you' ... Finally, as if the barrier collapsed ... they rushed toward us shouting, fell on their knees, kissed the flaps of our overcoats, and threw their arms around our legs."
The Soviet military medical service and Polish Red Cross (PCK) set up field hospitals that looked after 4,500 prisoners suffering from the effects of starvation (mostly diarrhea) and tuberculosis. Local volunteers helped until the Red Cross team arrived from Kraków in early February. In Auschwitz II, the layers of excrement on the barracks floors had to be scraped off with shovels. Water was obtained from snow and from fire-fighting wells. Before more help arrived, 2,200 patients there were looked after by a few doctors and 12 PCK nurses. All the patients were later moved to the brick buildings in Auschwitz I, where several blocks became a hospital, with medical personnel working 18-hour shifts.
The liberation of Auschwitz received little press attention at the time; the Red Army was focusing on its advance toward Germany and liberating the camp had not been one of its key aims. Boris Polevoi reported on the liberation in Pravda on 2 February 1945 but made no mention of Jews; inmates were described collectively as "victims of Fascism". It was when the Western Allies arrived in Buchenwald, Bergen-Belsen, and Dachau in April 1945 that the liberation of the camps received extensive coverage.
After the war
Trials of war criminals
Only 789 Auschwitz staff, up to 15 percent, ever stood trial; most of the cases were pursued in Poland and the Federal Republic of Germany. According to Aleksander Lasik, female SS officers were treated more harshly than male; of the 17 women sentenced, four received the death penalty and the others longer prison terms than the men. He writes that this may have been because there were only 200 women overseers, and therefore they were more visible and memorable to the inmates.
Camp commandant Rudolf Höss was arrested by the British on 11 March 1946 near Flensburg, northern Germany, where he had been working as a farmer under the pseudonym Franz Lang. He was imprisoned in Heide, then transferred to Minden for interrogation, part of the British occupation zone. From there he was taken to Nuremberg to testify for the defense in the trial of SS-Obergruppenführer Ernst Kaltenbrunner. Höss was straightforward about his own role in the mass murder and said he had followed the orders of Heinrich Himmler. Extradited to Poland on 25 May 1946, he wrote his memoirs in custody, first published in Polish in 1951 then in German in 1958 as Kommandant in Auschwitz. His trial before the Supreme National Tribunal in Warsaw opened on 11 March 1947; he was sentenced to death on 2 April and hanged in Auschwitz I on 16 April, near crematorium I.
On 25 November 1947, the Auschwitz trial began in Kraków, when Poland's Supreme National Tribunal brought to court 40 former Auschwitz staff, including commandant Arthur Liebehenschel, women's camp leader Maria Mandel, and camp leader Hans Aumeier. The trials ended on 22 December 1947, with 23 death sentences, seven life sentences, and nine prison sentences ranging from three to 15 years. Hans Münch, an SS doctor who had several former prisoners testify on his behalf, was the only person to be acquitted.
Other former staff were hanged for war crimes in the Dachau Trials and the Belsen Trial, including camp leaders Josef Kramer, Franz Hössler, and Vinzenz Schöttl; doctor Friedrich Entress; and guards Irma Grese and Elisabeth Volkenrath. Bruno Tesch and Karl Weinbacher, the owner and chief executive officer of the firm Tesch & Stabenow, one of the suppliers of Zyklon B, were arrested by the British after the war and executed for knowingly supplying the chemical for use on humans. The 180-day Frankfurt Auschwitz trials, held in West Germany from 20 December 1963 to 20 August 1965, tried 22 defendants, including two dentists, a doctor, two camp adjudants and the camp's pharmacist. The 700-page indictment, presenting the testimony of 254 witnesses, was accompanied by a 300-page report about the camp, Nationalsozialistische Konzentrationslager, written by historians from the Institut für Zeitgeschichte in Germany, including Martin Broszat and Helmut Krausnick. The report became the basis of their book, Anatomy of the SS State (1968), the first comprehensive study of the camp and the SS. The court convicted 19 of the defendants, giving six of them life sentences and the others between three and ten years. East Germany also held trials against several former staff members of Auschwitz. One of the defendants they tried was Horst Fischer. Fischer, one of the highest-ranking SS physicians in the camp, had personally selected at least 75,000 men, women, and children to be gassed. He was arrested in 1965. The following year, he was convicted of crimes against humanity, sentenced to death, and executed by guillotine. Fischer was the highest-ranking SS physician from Auschwitz to ever be tried by a German court.
Legacy
In the decades since its liberation, Auschwitz has become a primary symbol of the Holocaust. Seweryna Szmaglewska's 1945 autobiograpy Dymy nad Birkenau (Smoke over Birkenau) has been credited with spreading knowledge about the camp to the general public. Historian Timothy D. Snyder attributes this to the camp's high death toll and "unusual combination of an industrial camp complex and a killing facility", which left behind far more witnesses than single-purpose killing facilities such as Chełmno or Treblinka. In 2005 the United Nations General Assembly designated 27 January, the date of the camp's liberation, as International Holocaust Remembrance Day. Helmut Schmidt visited the site in November 1977, the first West German chancellor to do so, followed by his successor, Helmut Kohl, in November 1989. In a statement on the 50th anniversary of the liberation, Kohl said that "[t]he darkest and most awful chapter in German history was written at Auschwitz." In January 2020, world leaders gathered at Yad Vashem in Jerusalem to commemorate the 75th anniversary. It was the city's largest-ever political gathering, with over 45 heads of state and world leaders, including royalty. At Auschwitz itself, Reuven Rivlin and Andrzej Duda, the presidents of Israel and Poland, laid wreaths.
Notable memoirists of the camp include Primo Levi, Elie Wiesel, and Tadeusz Borowski. Levi's If This is a Man, first published in Italy in 1947 as Se questo è un uomo, became a classic of Holocaust literature, an "imperishable masterpiece". Wiesel wrote about his imprisonment at Auschwitz in Night (1960) and other works, and became a prominent spokesman against ethnic violence; in 1986, he was awarded the Nobel Peace Prize. Camp survivor Simone Veil was elected President of the European Parliament, serving from 1979 to 1982. Two Auschwitz victims—Maximilian Kolbe, a priest who volunteered to die by starvation in place of a stranger, and Edith Stein, a Jewish convert to Catholicism—were named saints of the Catholic Church.
In 2017, a Körber Foundation survey found that 40 percent of 14-year-olds in Germany did not know what Auschwitz was. The following year a survey organized by the Claims Conference, United States Holocaust Memorial Museum and others found that 41 percent of 1,350 American adults surveyed, and 66 percent of millennials, did not know what Auschwitz was, while 22 percent said they had never heard of the Holocaust. A CNN-ComRes poll in 2018 found a similar situation in Europe.
Auschwitz-Birkenau State Museum
On 2 July 1947, the Polish government passed a law establishing a state memorial to remember "the martyrdom of the Polish nation and other nations in Oswiecim". The museum established its exhibits at Auschwitz I; after the war, the barracks in Auschwitz II-Birkenau had been mostly dismantled and moved to Warsaw to be used on building sites. Dwork and van Pelt write that, in addition, Auschwitz I played a more central role in the persecution of the Polish people, in opposition to the importance of Auschwitz II to the Jews, including Polish Jews. An exhibition opened in Auschwitz I in 1955, displaying prisoner mug shots; hair, suitcases, and shoes taken from murdered prisoners; canisters of Zyklon B pellets; and other objects related to the killings. UNESCO added the camp to its list of World Heritage Sites in 1979. All the museum's directors were, until 1990, former Auschwitz prisoners. Visitors to the site have increased from 492,500 in 2001, to over one million in 2009, to two million in 2016.
There have been protracted disputes over the perceived Christianization of the site. Pope John Paul II celebrated mass over the train tracks leading to Auschwitz II-Birkenau on 7 June 1979 and called the camp "the Golgotha of our age", referring to the crucifixion of Jesus. More controversy followed when Carmelite nuns founded a convent in 1984 in a former theater outside the camp's perimeter, near block 11 of Auschwitz I, after which a local priest and some survivors erected a large cross—one that had been used during the pope's mass—behind block 11 to commemorate 152 Polish inmates shot by the Germans in 1941. After a long dispute, Pope John Paul II intervened and the nuns moved the convent elsewhere in 1993. The cross remained, triggering the "War of the Crosses", as more crosses were erected to commemorate Christian victims, despite international objections. The Polish government and Catholic Church eventually agreed to remove all but the original.
On 4 September 2003, despite a protest from the museum, three Israeli Air Force F-15 Eagles performed a fly-over of Auschwitz II-Birkenau during a ceremony at the camp below. All three pilots were descendants of Holocaust survivors, including the man who led the flight, Major-General Amir Eshel. On 27 January 2015, some 300 Auschwitz survivors gathered with world leaders under a giant tent at the entrance to Auschwitz II to commemorate the 70th anniversary of the camp's liberation.
Museum curators consider visitors who pick up items from the ground to be thieves, and local police will charge them as such; the maximum penalty is a 10-year prison sentence. In 2017 two British youths from the Perse School were fined in Poland after picking up buttons and shards of decorative glass in 2015 from the "Kanada" area of Auschwitz II, where camp victims' personal effects were stored. The Arbeit Macht Frei sign over the main camp's gate was stolen in December 2009 by a Swedish former neo-Nazi and two Polish men. The sign was later recovered.
In 2018 the Polish government passed an amendment to its Act on the Institute of National Remembrance, making it a criminal offence to violate the "good name" of Poland by accusing it of crimes committed by Germany in the Holocaust, which would include referring to Auschwitz and other camps as "Polish death camps". Staff at the museum were accused by nationalist media in Poland of focusing too much on the fate of the Jews in Auschwitz at the expense of ethnic Poles. The brother of the museum's director, Piotr Cywiński, wrote that Cywiński had experienced "50 days of incessant hatred". After discussions with Israel's prime minister, amid international concern that the new law would stifle research, the Polish government adjusted the amendment so that anyone accusing Poland of complicity would be guilty only of a civil offence.
See also
Auschwitz Album
Auschwitz-Birkenau Foundation
Höcker Album
List of Nazi concentration camps
List of victims and survivors of Auschwitz
"Polish death camp" controversy
Censorship in Auschwitz
Sources
Notes
Citations
Works cited
]
}
Further reading
Borowski, Tadeusz (1992) [1976]. This Way for the Gas, Ladies and Gentlemen. Trans. from the Polish by Barbara Vedder. East Rutherford: Penguin Books.
Pilecki, Witold (2012). The Auschwitz Volunteer: Beyond Bravery. Trans. from the Polish by Jarek Garlinski. Los Angeles: Aquila Polonica.
Trial of the Major War Criminals before the International Military Tribunal . Nuremberg, 14 November 1945 – 1 October 1946.
External links
Google Earth
Auschwitz-Birkenau State Museum.
"Auschwitz". United States Holocaust Memorial Museum.
"The Auschwitz Album". Yad Vashem.
Auschwitz-Birkenau photographs by Bill Hunt.
1940 establishments in Germany
Bayer
German extermination camps in Poland
IG Farben
Nazi concentration camps in Poland
Nazi war crimes in Poland
Registered museums in Poland
The Holocaust
Tourism in Eastern Europe
World Heritage Sites in Poland
World War II sites in Poland
World War II sites of Nazi Germany
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Archery is the sport, practice, or skill of using a bow to shoot arrows. The word comes from the Latin arcus, meaning bow. Historically, archery has been used for hunting and combat. In modern times, it is mainly a competitive sport and recreational activity. A person who practices archery is typically called an archer, bowman, or toxophilite.
History
Origins and ancient archery
The oldest known evidence of the bow and arrow comes from South African sites such as Sibudu Cave, where the remains of bone and stone arrowheads have been found dating approximately 72,000 to 60,000 years ago.
Based on indirect evidence, the bow also seems to have appeared or reappeared later in Eurasia, near the transition from the Upper Paleolithic to the Mesolithic. The earliest definite remains of bow and arrow from Europe are possible fragments from Germany found at Mannheim-Vogelstang dated 17,500 to 18,000 years ago, and at Stellmoor dated 11,000 years ago. Azilian points found in Grotte du Bichon, Switzerland, alongside the remains of both a bear and a hunter, with flint fragments found in the bear's third vertebra, suggest the use of arrows at 13,500 years ago. Other signs of its use in Europe come from the in the north of Hamburg, Germany and dates from the late Paleolithic, about 10,000–9000 BC. The arrows were made of pine and consisted of a main shaft and a fore shaft with a flint point. There are no definite earlier bows; previous pointed shafts are known, but may have been launched by spear-throwers rather than bows. The oldest bows known so far comes from the Holmegård swamp in Denmark.
At the site of Nataruk in Turkana County, Kenya, obsidian bladelets found embedded in a skull and within the thoracic cavity of another skeleton, suggest the use of stone-tipped arrows as weapons about 10,000 years ago.
Bows eventually replaced the spear-thrower as the predominant means for launching shafted projectiles, on every continent except Australasia, though spear-throwers persisted alongside the bow in parts of the Americas, notably Mexico and among the Inuit.
Bows and arrows have been present in Egyptian and neighbouring Nubian culture since its respective predynastic and Pre-Kerma origins. In the Levant, artifacts that could be arrow-shaft straighteners are known from the Natufian culture, (c. 10,800–8,300 BC) onwards. The Khiamian and PPN A shouldered Khiam-points may well be arrowheads.
Classical civilizations, notably the Assyrians, Greeks, Armenians, Persians, Parthians, Romans, Indians, Koreans, Chinese, and Japanese fielded large numbers of archers in their armies. Akkadians were the first to use composite bows in war according to the victory stele of Naram-Sin of Akkad. Egyptians referred to Nubia as "Ta-Seti," or "The Land of the Bow," since the Nubians were known to be expert archers, and by the 16th Century BC Egyptians were using the composite bow in warfare. The Bronze Age Aegean Cultures were able to deploy a number of state-owned specialized bow makers for warfare and hunting purposes already from the 15th century BC. The Welsh longbow proved its worth for the first time in Continental warfare at the Battle of Crécy. In the Americas archery was widespread at European contact.
Archery was highly developed in Asia. The Sanskrit term for archery, dhanurvidya, came to refer to martial arts in general. In East Asia, Goguryeo, one of the Three Kingdoms of Korea was well known for its regiments of exceptionally skilled archers.
Medieval archery
The medieval shortbow was technically identical with the classical era bows, having a range of approximately . It was the primary ranged weapon of the battlefield through the early medieval period. Around the tenth century the crossbow was introduced in Europe. Crossbows generally had a longer range, greater accuracy and more penetration than the shortbow, but suffered from a much slower rate of fire. Crossbows were used in the early Crusades, with models having a range of and being able to penetrate armour or kill a horse.
During the late medieval period the English army famously relied on massed archers armed with the longbow. The French army relied more on the crossbow. Like their predecessors archers were more likely to be peasants or yeomen than men-at-arms. The longbow had a range of up to . However its lack of accuracy at long ranges made it a mass weapon rather than an individual one. Significant victories attributable to the longbow, such as the Battle of Crecy and Battle of Agincourt resulted in the English longbow becoming part of military lore.
Mounted archery
Tribesmen of Central Asia (after the domestication of the horse) and American Plains Indians (after gaining access to horses by Europeans) became extremely adept at archery on horseback. Lightly armoured, but highly mobile archers were excellently suited to warfare in the Central Asian steppes, and they formed a large part of armies that repeatedly conquered large areas of Eurasia. Shorter bows are more suited to use on horseback, and the composite bow enabled mounted archers to use powerful weapons. Seljuk Turks used mounted archers against the European First Crusade, especially at the Battle of Dorylaeum (1097). Their tactic was to shoot at the enemy infantry, and use their superior mobility to prevent the enemy from closing with them. Empires throughout the Eurasian landmass often strongly associated their respective "barbarian" counterparts with the usage of the bow and arrow, to the point where powerful states like the Han dynasty referred to their neighbours, the Xiong-nu, as "Those Who Draw the Bow". For example, Xiong-nu mounted bowmen made them more than a match for the Han military, and their threat was at least partially responsible for Chinese expansion into the Ordos region, to create a stronger, more powerful buffer zone against them. It is possible that "barbarian" peoples were responsible for introducing archery or certain types of bows to their "civilized" counterpartsthe Xiong-nu and the Han being one example. Similarly, short bows seem to have been introduced to Japan by northeast Asian groups.
Decline of archery
The development of firearms rendered the bow and arrow obsolete in warfare, although efforts were sometimes made to preserve archery practice. In England and Wales, for example, the government tried to enforce practice with the longbow until the end of the 16th century. This was because it was recognized that the bow had been instrumental to military success during the Hundred Years' War. Despite the high social status, ongoing utility, and widespread pleasure of archery in Armenia, China, Egypt, England and Wales, the Americas, India, Japan, Korea, Turkey and elsewhere, almost every culture that gained access to even early firearms used them widely, to the neglect of archery. Early firearms were inferior in rate-of-fire, and were very sensitive to wet weather. However, they had longer effective range and were tactically superior in the common situation of soldiers shooting at each other from behind obstructions. They also required significantly less training to use properly, in particular penetrating steel armor without any need to develop special musculature. Armies equipped with guns could thus provide superior firepower, and highly trained archers became obsolete on the battlefield. However, the bow and arrow is still an effective weapon, and archers have seen military action in the 21st century. Traditional archery remains in use for sport, and for hunting in many areas.
18th century revival as a sport
Early recreational archery societies included the Finsbury Archers and the Ancient Society of Kilwinning Archers. The latter's annual Papingo event was first recorded in 1483. (In this event, archers shoot vertically from the base of an abbey tower to dislodge a wood pigeon placed approximately above.) The Royal Company of Archers was formed in 1676 and is one of the oldest sporting bodies in the world. Archery remained a small and scattered pastime, however, until the late 18th century when it experienced a fashionable revival among the aristocracy. Sir Ashton Lever, an antiquarian and collector, formed the Toxophilite Society in London in 1781, with the patronage of George, the Prince of Wales.
Archery societies were set up across the country, each with its own strict entry criteria and outlandish costumes. Recreational archery soon became extravagant social and ceremonial events for the nobility, complete with flags, music and 21-gun salutes for the competitors. The clubs were "the drawing rooms of the great country houses placed outside" and thus came to play an important role in the social networks of the local upper class. As well as its emphasis on display and status, the sport was notable for its popularity with females. Young women could not only compete in the contests but retain and show off their sexuality while doing so. Thus, archery came to act as a forum for introductions, flirtation and romance. It was often consciously styled in the manner of a Medieval tournament with titles and laurel wreaths being presented as a reward to the victor. General meetings were held from 1789, in which local lodges convened together to standardise the rules and ceremonies. Archery was also co-opted as a distinctively British tradition, dating back to the lore of Robin Hood and it served as a patriotic form of entertainment at a time of political tension in Europe. The societies were also elitist, and the new middle class bourgeoisie were excluded from the clubs due to their lack of social status.
After the Napoleonic Wars, the sport became increasingly popular among all classes, and it was framed as a nostalgic reimagining of the preindustrial rural Britain. Particularly influential was Sir Walter Scott's 1819 novel, Ivanhoe that depicted the heroic character Lockseley winning an archery tournament.
A modern sport
The 1840s saw the second attempts at turning the recreation into a modern sport. The first Grand National Archery Society meeting was held in York in 1844 and over the next decade the extravagant and festive practices of the past were gradually whittled away and the rules were standardized as the 'York Round' - a series of shoots at , , and . Horace A. Ford helped to improve archery standards and pioneered new archery techniques. He won the Grand National 11 times in a row and published a highly influential guide to the sport in 1856.
Towards the end of the 19th century, the sport experienced declining participation as alternative sports such as croquet and tennis became more popular among the middle class. By 1889, just 50 archery clubs were left in Britain, but it was still included as a sport at the 1900 Paris Olympics.
The National Archery Association of the United States was organized in 1879, in part by Maurice Thompson (the author of the seminal text “The Witchery of Archery”) and his brother Will Thompson. Maurice was president in its inaugural year and Will was president in 1882, 1903, and 1904. The 1910 President was Frank E Canfield. Today it is known as USA Archery and is recognized by United States Olympic & Paralympic Committee.
In the United States, primitive archery was revived in the early 20th century. The last of the Yahi Indian tribe, a native known as Ishi, came out of hiding in California in 1911. His doctor, Saxton Pope, learned many of Ishi's traditional archery skills, and popularized them.
From the 1920s, professional engineers took an interest in archery, previously the exclusive field of traditional craft experts. They led the commercial development of new forms of bow including the modern recurve and compound bow. These modern forms are now dominant in modern Western archery; traditional bows are in a minority. Archery returned to the Olympics in 1972. In the 1980s, the skills of traditional archery were revived by American enthusiasts, and combined with the new scientific understanding. Much of this expertise is available in the Traditional Bowyer's Bibles (see Further reading). Modern game archery owes much of its success to Fred Bear, an American bow hunter and bow manufacturer.
In 2021, five people were killed and three injured by an archer in Norway in the Kongsberg attack.
Mythology
Deities and heroes in several mythologies are described as archers, including the Greek Artemis and Apollo, the Roman Diana and Cupid, the Germanic Agilaz, continuing in legends like those of Wilhelm Tell, Palnetoke, or Robin Hood. Armenian Hayk and Babylonian Marduk, Indian Karna (also known as Radheya/son of Radha), Abhimanyu, Eklavya, Arjuna, Bhishma, Drona, Rama, and Shiva were known for their shooting skills. The famous archery competition of hitting the eye of a rotating fish while watching its reflection in the water bowl was one of the many archery skills depicted in the Mahabharata.
Persian Arash was a famous archer. Earlier Greek representations of Heracles normally depict him as an archer. Archery, and the bow, play an important part in the epic poem the Odyssey, when Odysseus returns home in disguise and then bests the suitors in an archery competition after hinting at his identity by stringing and drawing his great bow that only he can draw, a similar motif is present in the Turkic Iranian heroic archeheroic poem Alpamysh.
The () were worshipped on the Greek island of Delos as attendants of Artemis, presiding over aspects of archery; (), represented distancing, (), trajectory, and (), aim.
Yi the archer and his apprentice Feng Meng appear in several early Chinese myths, and the historical character of Zhou Tong features in many fictional forms. Jumong, the first Taewang of the Goguryeo kingdom of the Three Kingdoms of Korea, is claimed by legend to have been a near-godlike archer. Archery features in the story of Oguz Khagan. Similarly, archery and the bow feature heavily into historical Korean identity.
In West African Yoruba belief, Osoosi is one of several deities of the hunt who are identified with bow and arrow iconography and other insignia associated with archery.
Equipment
Types of bows
While there is great variety in the construction details of bows (both historical and modern), all bows consist of a string attached to elastic limbs that store mechanical energy imparted by the user drawing the string. Bows may be broadly split into two categories: those drawn by pulling the string directly and those that use a mechanism to pull the string.
Directly drawn bows may be further divided based upon differences in the method of limb construction, notable examples being self bows, laminated bows and composite bows. Bows can also be classified by the bow shape of the limbs when unstrung; in contrast to traditional European straight bows, a recurve bow and some types of longbow have tips that curve away from the archer when the bow is unstrung. The cross-section of the limb also varies; the classic longbow is a tall bow with narrow limbs that are D-shaped in cross section, and the flatbow has flat wide limbs that are approximately rectangular in cross-section. Cable-backed bows use cords as the back of the bow; the draw weight of the bow can be adjusted by changing the tension of the cable. They were widespread among Inuit who lacked easy access to good bow wood. One variety of cable-backed bow is the Penobscot bow or Wabenaki bow, invented by Frank Loring (Chief Big Thunder) about 1900. It consists of a small bow attached by cables on the back of a larger main bow.
In different cultures, the arrows are released from either the left or right side of the bow, and this affects the hand grip and position of the bow. In Arab archery, Turkish archery, and Japanese archery. The arrows are released from the right hand side of the bow, and this affects construction of the bow. In western archery, the arrow is usually released from the left hand side of the bow for a right-handed archer.
Compound bows are designed to reduce the force required to hold the string at full draw, hence allowing the archer more time to aim with less muscular stress. Most compound designs use cams or elliptical wheels on the ends of the limbs to achieve this. A typical let-off is anywhere from 65% to 80%. For example, a bow with 80% let-off only requires to hold at full draw. Up to 99% let-off is possible. The compound bow was invented by Holless Wilbur Allen in the 1960s (a US patent was filed in 1966 and granted in 1969) and it has become the most widely used type of bow for all forms of archery in North America.
Mechanically drawn bows typically have a stock or other mounting, such as the crossbow. Crossbows typically have shorter draw lengths compared to compound bows. Because of this, heavier draw weights are required to achieve the same energy transfer to the arrow. These mechanically drawn bows also have devices to hold the tension when the bow is fully drawn. They are not limited by the strength of a single archer and larger varieties have been used as siege engines.
Types of arrows and fletchings
The most common form of arrow consists of a shaft, with an arrowhead at the front end, and fletchings and a nock at the other end. Arrows across time and history have normally been carried in a container known as a quiver, which can take many different forms. Shafts of arrows are typically composed of solid wood, bamboo, fiberglass, aluminium alloy, carbon fiber, or composite materials. Wooden arrows are prone to warping. Fiberglass arrows are brittle, but can be produced to uniform specifications easily. Aluminium shafts were a very popular high-performance choice in the latter half of the 20th century, due to their straightness, lighter weight, and subsequently higher speed and flatter trajectories. Carbon fiber arrows became popular in the 1990s because they are very light, flying even faster and flatter than aluminium arrows. Today, the most popular arrows at tournaments and Olympic events are made of composite materials.
The arrowhead is the primary functional component of the arrow. Some arrows may simply use a sharpened tip of the solid shaft, but separate arrowheads are far more common, usually made from metal, stone, or other hard materials. The most commonly used forms are target points, field points, and broadheads, although there are also other types, such as bodkin, judo, and blunt heads.
Fletching is traditionally made from bird feathers, but solid plastic vanes and thin sheet-like spin vanes are used. They are attached near the nock (rear) end of the arrow with thin double sided tape, glue, or, traditionally, sinew. The most common configuration in all cultures is three fletches, though as many as six have been used. Two makes the arrow unstable in flight. When the arrow is three-fletched, the fletches are equally spaced around the shaft, with one placed such that it is perpendicular to the bow when nocked on the string, though variations are seen with modern equipment, especially when using the modern spin vanes. This fletch is called the "index fletch" or "cock feather" (also known as "the odd vane out" or "the nocking vane"), and the others are sometimes called the "hen feathers". Commonly, the cock feather is of a different color. However, if archers are using fletching made of feather or similar material, they may use same color vanes, as different dyes can give varying stiffness to vanes, resulting in less precision. When an arrow is four-fletched, two opposing fletches are often cock feathers, and occasionally the fletches are not evenly spaced.
The fletching may be either parabolic cut (short feathers in a smooth parabolic curve) or shield cut (generally shaped like half of a narrow shield), and is often attached at an angle, known as helical fletching, to introduce a stabilizing spin to the arrow while in flight. Whether helical or straight fletched, when natural fletching (bird feathers) is used it is critical that all feathers come from the same side of the bird. Oversized fletchings can be used to accentuate drag and thus limit the range of the arrow significantly; these arrows are called flu-flus. Misplacement of fletchings can change the arrow's flight path dramatically.
Bowstring
Dacron and other modern materials offer high strength for their weight and are used on most modern bows. Linen and other traditional materials are still used on traditional bows. Several modern methods of making a bowstring exist, such as the 'endless loop' and 'Flemish twist'. Almost any fiber can be made into a bowstring. The author of Arab Archery suggests the hide of a young, emaciated camel. Njál's saga describes the refusal of a wife, Hallgerður, to cut her hair to make an emergency bowstring for her husband, Gunnar Hámundarson, who is then killed.
Protective equipment
Most modern archers wear a bracer (also known as an arm-guard) to protect the inside of the bow arm from being hit by the string and prevent clothing from catching the bowstring. The bracer does not brace the arm; the word comes from the armoury term "brassard", meaning an armoured sleeve or badge. The Navajo people have developed highly ornamented bracers as non-functional items of adornment. Some archers (nearly all female archers) wear protection on their chests, called chestguards or plastrons. The myth of the Amazons was that they had one breast removed to solve this problem. Roger Ascham mentions one archer, presumably with an unusual shooting style, who wore a leather guard for his face.
The drawing digits are normally protected by a leather tab, glove, or thumb ring. A simple tab of leather is commonly used, as is a skeleton glove. Medieval Europeans probably used a complete leather glove.
Eurasiatic archers who used the thumb or Mongolian draw protected their thumbs, usually with leather according to the author of Arab Archery, but also with special rings of various hard materials. Many surviving Turkish and Chinese examples are works of considerable art. Some are so highly ornamented that the users could not have used them to loose an arrow. Possibly these were items of personal adornment, and hence value, remaining extant whilst leather had virtually no intrinsic value and would also deteriorate with time. In traditional Japanese archery a special glove is used that has a ridge to assist in drawing the string.
Release aids
A release aid is a mechanical device designed to give a crisp and precise loose of arrows from a compound bow. In the most commonly used, the string is released by a finger-operated trigger mechanism, held in the archer's hand or attached to their wrist. In another type, known as a back-tension release, the string is automatically released when drawn to a pre-determined tension.
Stabilizers
Stabilizers are mounted at various points on the bow. Common with competitive archery equipment are special brackets that allow multiple stabilizers to be mounted at various angles to fine tune the bow's balance.
Stabilizers aid in aiming by improving the balance of the bow. Sights, quivers, rests, and design of the riser (the central, non-bending part of the bow) make one side of the bow heavier. One purpose of stabilizers are to offset these forces. A reflex riser design will cause the top limb to lean towards the shooter. In this case a heavier front stabilizer is desired to offset this action. A deflex riser design has the opposite effect and a lighter front stabilizer may be used.
Stabilizers can reduce noise and vibration. These energies are absorbed by viscoelastic polymers, gels, powders, and other materials used to build stabilizers.
Stabilizers improve the forgiveness and accuracy by increasing the moment of inertia of the bow to resist movement during the shooting process. Lightweight carbon stabilizers with weighted ends are desirable because they improve the moment of inertia while minimizing the weight added.
Shooting technique and form
The standard convention on teaching archery is to hold the bow depending upon eye dominance. (One exception is in modern kyūdō where all archers are trained to hold the bow in the left hand.) Therefore, if one is right-eye dominant, they would hold the bow in the left hand and draw the string with the right hand. However, not everyone agrees with this line of thought. A smoother, and more fluid release of the string will produce the most consistently repeatable shots, and therefore may provide greater accuracy of the arrow flight. Some believe that the hand with the greatest dexterity should therefore be the hand that draws and releases the string. Either eye can be used for aiming, and the less dominant eye can be trained over time to become more effective for use. To assist with this, an eye patch can be temporarily worn over the dominant eye.
The hand that holds the bow is referred to as the bow hand and its arm the bow arm. The opposite hand is called the drawing hand or string hand. Terms such as bow shoulder or string elbow follow the same convention.
If shooting according to eye dominance, right-eye-dominant archers shooting conventionally hold the bow with their left hand. If shooting according to hand dexterity, the archer draws the string with the hand that possesses the greatest dexterity, regardless of eye dominance.
Modern form
To shoot an arrow, an archer first assumes the correct stance. The body should be at or nearly perpendicular to the target and the shooting line, with the feet placed shoulder-width apart. As an archer progresses from beginner to a more advanced level other stances such as the "open stance" or the "closed stance" may be used, although many choose to stick with a "neutral stance". Each archer has a particular preference, but mostly this term indicates that the leg furthest from the shooting line is a half to a whole foot-length from the other foot, on the ground.
To load, the bow is pointed toward the ground, tipped slightly clockwise of vertical (for a right handed shooter) and the shaft of the arrow is placed on the arrow rest or shelf. The back of the arrow is attached to the bowstring with the nock (a small locking groove located at the proximal end of the arrow). This step is called "nocking the arrow". Typical arrows with three vanes should be oriented such that a single vane, the "cock feather", is pointing away from the bow, to improve the clearance of the arrow as it passes the arrow rest.
A compound bow is fitted with a special type of arrow rest, known as a launcher, and the arrow is usually loaded with the cock feather/vane pointed either up, or down, depending upon the type of launcher being used.
The bowstring and arrow are held with three fingers, or with a mechanical arrow release. Most commonly, for finger shooters, the index finger is placed above the arrow and the next two fingers below, although several other techniques have their adherents around the world, involving three fingers below the arrow, or an arrow pinching technique. Instinctive shooting is a technique eschewing sights and is often preferred by traditional archers (shooters of longbows and recurves). In either the split finger or three finger under case, the string is usually placed in the first or second joint, or else on the pads of the fingers. When using a mechanical release aid, the release is hooked onto the D-loop.
Another type of string hold, used on traditional bows, is the type favoured by the Mongol warriors, known as the "thumb release", style. This involves using the thumb to draw the string, with the fingers curling around the thumb to add some support. To release the string, the fingers are opened out and the thumb relaxes to allow the string to slide off the thumb. When using this type of release, the arrow should rest on the same side of the bow as the drawing hand i.e. Left hand draw = arrow on left side of bow.
The archer then raises the bow and draws the string, with varying alignments for vertical versus slightly canted bow positions. This is often one fluid motion for shooters of recurves and longbows, which tend to vary from archer to archer. Compound shooters often experience a slight jerk during the drawback, at around the last , where the draw weight is at its maximum—before relaxing into a comfortable stable full draw position. The archer draws the string hand towards the face, where it should rest lightly at a fixed anchor point. This point is consistent from shot to shot, and is usually at the corner of the mouth, on the chin, to the cheek, or to the ear, depending on preferred shooting style. The archer holds the bow arm outwards, toward the target. The elbow of this arm should be rotated so that the inner elbow is perpendicular to the ground, though archers with hyper extendable elbows tend to angle the inner elbow toward the ground, as exemplified by the Korean archer Jang Yong-Ho. This keeps the forearm out of the way of the bowstring.
In modern form, the archer stands erect, forming a "T". The archer's lower trapezius muscles are used to pull the arrow to the anchor point. Some modern recurve bows are equipped with a mechanical device, called a clicker, which produces a clicking sound when the archer reaches the correct draw length. , traditional English Longbow shooters step "into the bow", exerting force with both the bow arm and the string hand arm simultaneously, especially when using bows having draw weights from to over . Heavily stacked traditional bows (recurves, long bows, and the like) are released immediately upon reaching full draw at maximum weight, whereas compound bows reach their maximum weight around the last , dropping holding weight significantly at full draw. Compound bows are often held at full draw for a short time to achieve maximum accuracy.
The arrow is typically released by relaxing the fingers of the drawing hand (see bow draw), or triggering the mechanical release aid. Usually the release aims to keep the drawing arm rigid, the bow hand relaxed, and the arrow is moved back using the back muscles, as opposed to using just arm motions. An archer should also pay attention to the recoil or follow through of his or her body, as it may indicate problems with form (technique) that affect accuracy.
Aiming methods
There are two main forms of aiming in archery: using a mechanical or fixed sight, or barebow.
Mechanical sights can be affixed to the bow to aid in aiming. They can be as simple as a pin, or may use optics with magnification. Modern compound bows usually also have a peep sight (rear sight) built into the string, which aids in a consistent anchor point, but this is not allowed for other bow types under World Archery. Modern compound bows automatically limit the draw length to give a consistent arrow velocity, while traditional bows allow great variation in draw length. Some bows use mechanical methods to make the draw length consistent. Barebow archers often use a sight picture, which includes the target, the bow, the hand, the arrow shaft and the arrow tip, as seen at the same time by the archer. With a fixed "anchor point" (where the string is brought to, or close to, the face), and a fully extended bow arm, successive shots taken with the sight picture in the same position fall on the same point. This lets the archer adjust aim with successive shots to achieve accuracy.
Modern archery equipment usually includes sights. Instinctive aiming is used by many archers who use traditional bows. The two most common forms of a non-mechanical release are split-finger and three-under. Split-finger aiming requires the archer to place the index finger above the nocked arrow, while the middle and ring fingers are both placed below. Three-under aiming places the index, middle, and ring fingers under the nocked arrow. This technique allows the archer to better look down the arrow since the back of the arrow is closer to the dominant eye, and is commonly called "gun barreling" (referring to common aiming techniques used with firearms).
When using short bows or shooting from horseback, it is difficult to use the sight picture. The archer may look at the target, but without including the weapon in the field of accurate view. Aiming then involves hand-eye coordination—which includes proprioception and motor-muscle memory, similar to that used when throwing a ball. With sufficient practice, such archers can normally achieve good practical accuracy for hunting or for war. Aiming without a sight picture may allow more rapid shooting, not however increasing accuracy.
Instinctive shooting
Instinctive shooting is a style of shooting that includes the barebow aiming method that relies heavily upon the subconscious mind, proprioception, and motor/muscle memory to make aiming adjustments; the term used to refer to a general category of archers who did not use a mechanical or fixed sight. In other words, it is shooting "by feel."
Gap shooting
Gap shooting is an aiming method used by instinctive shooters. It involves consciously focusing on the tip of the arrow while maintaining awareness of the target. The archer must adjust the arrow's trajectory by gauging the distance between the arrow tip and the target, ensuring accurate shots.
Physics
When a projectile is thrown by hand, the speed of the projectile is determined by the kinetic energy imparted by the thrower's muscles performing work. However, the energy must be imparted over a limited distance (determined by arm length) and therefore (because the projectile is accelerating) over a limited time, so the limiting factor is not work but rather power, which determines how much energy can be added in the limited time available. Power generated by muscles, however, is limited by force–velocity relationship, and even at the optimal contraction speed for power production, total work by the muscle is less than half of what it would be if the muscle contracted over the same distance at slow speeds, resulting in less than 1/4 the projectile launch velocity possible without the limitations of the force–velocity relationship.
When a bow is used, the muscles are able to perform work much more slowly, resulting in greater force and greater work done. This work is stored in the bow as elastic potential energy, and when the bowstring is released, this stored energy is imparted to the arrow much more quickly than can be delivered by the muscles, resulting in much higher velocity and, hence, greater distance. This same process is employed by frogs, which use elastic tendons to increase jumping distance. In archery, some energy dissipates through elastic hysteresis, reducing the overall amount released when the bow is shot. Of the remaining energy, some is dampened both by the limbs of the bow and the bowstring. Depending on the arrow's elasticity, some of the energy is also absorbed by compressing the arrow, primarily because the release of the bowstring is rarely in line with the arrow shaft, causing it to flex out to one side. This is because the bowstring accelerates faster than the archer's fingers can open, and consequently some sideways motion is imparted to the string, and hence arrow nock, as the power and speed of the bow pulls the string off the opening fingers.
Even with a release aid mechanism some of this effect is usually experienced, since the string always accelerates faster than the retaining part of the mechanism. This makes the arrow oscillate in flight—its center flexing to one side and then the other repeatedly, gradually reducing as the arrow's flight proceeds. This is clearly visible in high-speed photography of arrows at discharge. A direct effect of these energy transfers can clearly be seen when dry firing. Dry firing refers to releasing the bowstring without a nocked arrow. Because there is no arrow to receive the stored potential energy, almost all the energy stays in the bow. Some have suggested that dry firing may cause physical damage to the bow, such as cracks and fractures—and because most bows are not specifically made to handle the high amounts of energy dry firing produces, should never be done.
Modern arrows are made to a specified 'spine', or stiffness rating, to maintain matched flexing and hence accuracy of aim. This flexing can be a desirable feature, since, when the spine of the shaft is matched to the acceleration of the bow(string), the arrow bends or flexes around the bow and any arrow-rest, and consequently the arrow, and fletchings, have an un-impeded flight. This feature is known as the archer's paradox. It maintains accuracy, for if part of the arrow struck a glancing blow on discharge, some inconsistency would be present, and the excellent accuracy of modern equipment would not be achieved.
The accurate flight of an arrow depends on its fletchings. The arrow's manufacturer (a "fletcher") can arrange fletching to cause the arrow to rotate along its axis. This improves accuracy by evening pressure buildups that would otherwise cause the arrow to "plane" on the air in a random direction after shooting. Even with a carefully made arrow, the slightest imperfection or air movement causes some unbalanced turbulence in air flow. Consequently, rotation creates an equalization of such turbulence, which, overall, maintains the intended direction of flight i.e. accuracy. This rotation is not to be confused with the rapid gyroscopic rotation of a rifle bullet. Fletching that is not arranged to induce rotation still improves accuracy by causing a restoring drag any time the arrow tilts from its intended direction of travel.
The innovative aspect of the invention of the bow and arrow was the amount of power delivered to an extremely small area by the arrow. The huge ratio of length vs. cross sectional area, coupled with velocity, made the arrow more powerful than any other hand held weapon until firearms were invented. Arrows can spread or concentrate force, depending on the application. Practice arrows, for instance, have a blunt tip that spreads the force over a wider area to reduce the risk of injury or limit penetration. Arrows designed to pierce armor in the Middle Ages used a very narrow and sharp tip ("bodkinhead") to concentrate the force. Arrows used for hunting used a narrow tip ("broadhead") that widens further, to facilitate both penetration and a large wound.
Hunting
Using archery to take game animals is known as "bow hunting". Bow hunting differs markedly from hunting with firearms, as distance between hunter and prey must be much shorter to ensure a humane kill. The skills and practices of bow hunting therefore emphasize very close approach to the prey, whether by still hunting, stalking, or waiting in a blind or tree stand. In many countries, including much of the United States, bow hunting for large and small game is legal. Bow hunters generally enjoy longer seasons than are allowed with other forms of hunting such as black powder, shotgun, or rifle. Usually, compound bows are used for large game hunting due to the relatively short time it takes to master them as opposed to the longbow or recurve bow. These compound bows may feature fiber optic sights, stabilizers, and other accessories designed to increase accuracy at longer distances. Using a bow and arrow to take fish is known as "bow fishing".
Modern competitive archery
Competitive archery involves shooting arrows at a target for accuracy from a set distance or distances. This is the most popular form of competitive archery worldwide and is called target archery. A form particularly popular in Europe and America is field archery, shot at targets generally set at various distances in a wooded setting. Competitive archery in the United States is governed by USA Archery and National Field Archery Association (NFAA), which also certifies instructors.
Para-archery is an adaptation of archery for athletes with a disability, governed by the World Archery Federation (WA), and is one of the sports in the Summer Paralympic Games. There are also several other lesser-known and historical forms of archery, as well as archery novelty games and flight archery, where the aim is to shoot the greatest distance.
See also
Arash
Arab archery
Archery Association of India
3D archery
Bow draw
Bowfishing
Bowhunting
Clout archery
Field archery
Gungdo
Kyūdō
Kyūjutsu
Modern competitive archery
Mounted archery
Run archery
Sagittarii
Target archery
Turkish archery
List of archery terms
List of notable archers
Crossbow
References
Further reading
Enea Bianchi, “Philosophies of Archery”, , in Popular Inquiry, vol.2, 2021, 22-37.
Ford, Horace (1887) The Theory and Practice of Archery London: Longmans, Green
Elmer, Robert P. (Robert Potter) (1917) American Archery; a Vade Mecum of the Art of Shooting with the Long Bow Columbus, OH: National Archery Association of the United States
Hansard, George Agar (1841) The Book of Archery: being the complete history and practice of the art, ancient and modern ... London: H. G. Bohn
Hargrove, Ely (1792) Anecdotes of Archery; from the earliest ages to the year 1791. Including an account of the most famous archers of ancient and modern times; with some curious particulars in the life of Robert Fitz-Ooth Earl of Huntington, vulgarly called Robin Hood .... York: printed for E. Hargrove, bookseller, Knaresbro' (later editions: York, 1845 and facsimile reprint, London: Tabard Press, 1970)
Heath, E. G. & Chiara, Vilma (1977) Brazilian Indian Archery: a preliminary ethno-toxological study of the archery of the Brazilian Indians. Manchester: Simon Archery Foundation
Johnes, Martin. Archery, romance and elite culture in England and Wales, c.1780–1840, 89, 193–208.
Klopsteg, Paul (1963) A Chapter in the Evolution of Archery in America Washington, DC: Smithsonian Institution
Lake, Fred & Wright, Hal (1974) A Bibliography of Archery: an indexed catalogue of 5,000 articles, books, films, manuscripts, periodicals and theses on the use of the bow for hunting, war, and recreation, from the earliest times to the present day. Manchester: Simon Archery Foundation
Morse, Edward (1922) Additional notes on arrow release Salem, Massachusetts: Peabody Museum
Pope, Saxton (1925) Hunting with the Bow and Arrow New York: G. P. Putnam's Sons
Pope, Saxton (1918) Yahi Archery Berkeley: University of California Press
Thompson, Maurice (1878) The Witchery of Archery: a Complete Manual of Archery New York: Scribner & Sons
FITA-Style Archery Targets Bow and Arrow Targets
The Traditional Bowyer's Bible. [Azle, TX]: Bois d'Arc Press; New York, N.Y.: Distributed by Lyons & Burford
The Traditional Bowyer's Bible; Volume 1. 1992.
The Traditional Bowyer's Bible; Volume 2. 1992.
The Traditional Bowyer's Bible; Volume 3. 1994. ;
The Traditional Bowyer's Bible; Volume 4. The Lyons Press, 2008.
External links
Sportsue at Archery Topic
Paralympic archery at IPC web site
USA Archery is the National Governing Body
Competition
Hunting methods
Precision sports
Summer Olympic sports
Warfare of the Middle Ages
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Hugo Alvar Henrik Aalto (; 3 February 1898 – 11 May 1976) was a Finnish architect and designer. His work includes architecture, furniture, textiles and glassware, as well as sculptures and paintings. He never regarded himself as an artist, seeing painting and sculpture as "branches of the tree whose trunk is architecture." Aalto's early career ran in parallel with the rapid economic growth and industrialization of Finland during the first half of the 20th century. Many of his clients were industrialists, among them the Ahlström-Gullichsen family, who became his patrons. The span of his career, from the 1920s to the 1970s, is reflected in the styles of his work, ranging from Nordic Classicism of the early work, to a rational International Style Modernism during the 1930s to a more organic modernist style from the 1940s onwards.
His architectural work, throughout his entire career, is characterized by a concern for design as Gesamtkunstwerk—a total work of art in which he, together with his first wife Aino Aalto, would design not only the building but the interior surfaces, furniture, lamps, and glassware as well. His furniture designs are considered Scandinavian Modern, an aesthetic reflected in their elegant simplification and concern for materials, especially wood, but also in Aalto's technical innovations, which led him to receiving patents for various manufacturing processes, such as those used to produce bent wood. As a designer he is celebrated as a forerunner of midcentury modernism in design; his invention of bent plywood furniture had a profound impact on the aesthetics of Charles and Ray Eames and George Nelson. The Alvar Aalto Museum, designed by Aalto himself, is located in what is regarded as his home city, Jyväskylä.
The entry for him on the Museum of Modern Art website notes his "remarkable synthesis of romantic and pragmatic ideas," adding
His work reflects a deep desire to humanize architecture through an unorthodox handling of form and materials that was both rational and intuitive. Influenced by the so-called International Style modernism (or functionalism, as it was called in Finland) and his acquaintance with leading modernists in Europe, including Swedish architect Erik Gunnar Asplund and many of the artists and architects associated with the Bauhaus, Aalto created designs that had a profound impact on the trajectory of modernism before and after World War II.
Biography
Life
Hugo Alvar Henrik Aalto was born in Kuortane, Finland. His father, Johan Henrik Aalto, was a Finnish-speaking land-surveyor and his mother, Selma Matilda "Selly" (née Hackstedt) was a Swedish-speaking postmistress. When Aalto was 5 years old, the family moved to Alajärvi, and from there to Jyväskylä in Central Finland.
He studied at the Jyväskylä Lyceum school, where he completed his basic education in 1916, and took drawing lessons from local artist Jonas Heiska. In 1916, he then enrolled to study architecture at the Helsinki University of Technology. His studies were interrupted by the Finnish Civil War, in which he fought. He fought on the side of the White Army and fought at the Battle of Länkipohja and the Battle of Tampere.
He built his first piece of architecture while a student; a house for his parents at Alajärvi. Later, he continued his education, graduating in 1921. In the summer of 1922 he began military service, finishing at Hamina reserve officer training school, and was promoted to reserve second lieutenant in June 1923.
In 1920, while a student, Aalto made his first trip abroad, travelling via Stockholm to Gothenburg, where he briefly found work with architect Arvid Bjerke. In 1922, he accomplished his first independent piece at the Industrial Exposition in Tampere. In 1923, he returned to Jyväskylä, where he opened an architectural office under the name 'Alvar Aalto, Architect and Monumental Artist'. At that time he wrote articles for the Jyväskylä newspaper Sisä-Suomi under the pseudonym Remus. During this time, he designed a number of small single-family houses in Jyväskylä, and the office's workload steadily increased.
On 6 October 1924, Aalto married architect Aino Marsio. Their honeymoon in Italy was Aalto's first trip there, though Aino had previously made a study trip there. The latter trip together sealed an intellectual bond with the culture of the Mediterranean region that remained important to Aalto for life.
On their return they continued with several local projects, notably the Jyväskylä Worker's Club, which incorporated a number of motifs which they had studied during their trip, most notably the decorations of the Festival hall modelled on the Rucellai Sepulchre in Florence by Leon Battista Alberti. After winning the architecture competition for the Southwest Finland Agricultural Cooperative building in 1927, the Aaltos moved their office to Turku. They had made contact with the city's most progressive architect, Erik Bryggman before moving. They began collaborating with him, most notably on the Turku Fair of 1928–29. Aalto's biographer, Göran Schildt, claimed that Bryggman was the only architect with whom Aalto cooperated as an equal. With an increasing quantity of work in the Finnish capital, the Aaltos' office moved again in 1933 to Helsinki.
The Aaltos designed and built a joint house-office (1935–36) for themselves in Munkkiniemi, Helsinki, but later (1954–56) had a purpose-built office erected in the same neighbourhood – now the former is a "home museum" and the latter the premises of the Alvar Aalto Academy. In 1926, the young Aaltos designed and had built for themselves a summer cottage in Alajärvi, Villa Flora.
Aino and Alvar had two children, a daughter, Johanna "Hanni" (married surname Alanen; born 1925), and a son, Hamilkar Aalto (born 1928). Aino Aalto died of cancer in 1949.
In 1952, Aalto married architect Elissa Mäkiniemi (died 1994). In 1952, he designed and built a summer cottage, the so-called Experimental House, for himself and his second wife, now Elissa Aalto, in Muuratsalo in Central Finland. Alvar Aalto died on 11 May 1976, in Helsinki, and is buried in the Hietaniemi cemetery in Helsinki. Elissa Aalto became the director of the practice, running the office from 1976−1994. In 1978, the Museum of Finnish Architecture in Helsinki arranged a major exhibition of Aalto's works.
Architecture career
Early career: classicism
Although he is sometimes regarded as among the first and most influential architects of Nordic modernism, closer examination reveals that Aalto (while a pioneer in Finland) closely followed and had personal contacts with other pioneers in Sweden, in particular Gunnar Asplund and Sven Markelius. What they and many others of that generation in the Nordic countries shared was a classical education and an approach to classical architecture that historians now call Nordic Classicism. It was a style that had been a reaction to the previous dominant style of National Romanticism before moving, in the late 1920s, towards Modernism.
Upon returning to Jyväskylä in 1923 to establish his own architect's office, Aalto designed several single-family homes designed in the style of Nordic Classicism. For example, the manor-like house for his mother's cousin Terho Manner in Töysa (1923), a summer villa for the Jyväskylä chief constable (also from 1923) and the Alatalo farmhouse in Tarvaala (1924). During this period he completed his first public buildings, the Jyväskylä Workers' Club in 1925, the Jyväskylä Defence Corps Building in 1926 and the Seinäjoki Civil Guard House building in 1924–29. He entered several architectural competitions for prestigious state public buildings, in Finland and abroad. This included two competitions for the Finnish Parliament building in 1923 and 1924, the extension to the University of Helsinki in 1931, and the building to house the League of Nations in Geneva, Switzerland, in 1926–27.
Aalto's first church design to be completed, Muurame church, illustrates his transition from Nordic Classicism to Functionalism.
This was the period when Aalto was most prolific in his writings, with articles for professional journals and newspapers. Among his most well-known essays from this period are "Urban culture" (1924), "Temple baths on Jyväskylä ridge" (1925), "Abbé Coignard's sermon" (1925), and "From doorstep to living room" (1926).
Early career: functionalism
The shift in Aalto's design approach from classicism to modernism is epitomised by the Viipuri Library in Vyborg (1927–35), which went through a transformation from an originally classical competition entry proposal to the completed high-modernist building. His humanistic approach is in full evidence in the library: the interior displays natural materials, warm colours, and undulating lines. Due to problems related to financing, compounded by a change of site, the Viipuri Library project lasted eight years. During that time, Aalto designed the Standard Apartment Building (1928–29) in Turku, the Turun Sanomat Building (1929–30), and the Paimio Sanatorium (1929–32), which he designed in collaboration with his first wife Aino Aalto. A number of factors contributed to Aalto's shift towards modernism: his increased familiarity with international trends, facilitated by his travels throughout Europe; the opportunity to experiment with concrete prefabrication in the Standard Apartment Building; the cutting-edge Le Corbusier-inspired formal language of the Turun Sanomat Building; and Aalto's application of both in the Paimio Sanatorium and in the ongoing design for the library. Although the Turun Sanomat Building and Paimio Sanatorium are comparatively pure modernist works, they carried the seeds of his questioning of such an orthodox modernist approach and a move to a more daring, synthetic attitude. It has been pointed out that the planning principle for Paimio Sanatorium – the splayed wings – was indebted to the Zonnestraal Sanatorium (1925–31) by Jan Duiker, which Aalto visited while it was under construction. While these early Functionalist bear hallmarks of influences from Le Corbusier, Walter Gropius, and other key modernist figures of central Europe, Aalto nevertheless started to show his individuality in a departure from such norms with the introduction of organic references.
Through Sven Markelius, Aalto became a member of the Congres Internationaux d'Architecture Moderne (CIAM), attending the second congress in Frankfurt in 1929 and the fourth congress in Athens in 1933, where he established a close friendship with László Moholy-Nagy, Sigfried Giedion, and Philip Morton Shand. It was during this time that he closely followed the work of the main force driving the new modernism, Le Corbusier, visiting him in his Paris office several times in the following years.
It was not until the completion of the Paimio Sanatorium (1932) and Viipuri Library (1935) that Aalto first achieved world attention in architecture. His reputation grew in the US following the invitation to hold a retrospective exhibition of his works at MOMA in New York in 1938. (This was his first visit to the States.) The exhibition, which later went on a 12-city tour of the country, was a landmark: Aalto was the second-ever architect – after Le Corbusier – to have a solo exhibition at the museum. His reputation grew in the US following the critical reception of his design for the Finnish Pavilion at the 1939 New York World's Fair, described by Frank Lloyd Wright as a "work of genius". It could be said that Aalto's international reputation was sealed with his inclusion in the second edition of Sigfried Giedion's influential book on Modernist architecture, Space, Time, and Architecture: The growth of a new tradition (1949), in which Aalto received more attention than any other Modernist architect, including Le Corbusier. In his analysis of Aalto, Giedion gave primacy to qualities that depart from direct functionality, such as mood, atmosphere, intensity of life, and even national characteristics, declaring that "Finland is with Aalto wherever he goes."
Mid career: experimentation
During the 1930s Alvar spent some time experimenting with laminated wood, sculpture and abstract relief, characterized by irregular curved forms. Utilizing this knowledge, he was able to solve technical problems concerning the flexibility of wood while at the same time working out spatial issues in his designs. Aalto's early experiments with wood and his move away from a purist modernism would be tested in built form with the commission to design Villa Mairea (1939) in Noormarkku, the luxury home of young industrialist couple Harry and Maire Gullichsen. It was Maire Gullichsen who acted as the main client, and she worked closely not only with Alvar but also with Aino Aalto on the design, encouraging them to be more daring in their work. The building forms a U-shape around a central inner 'garden' whose central feature is a kidney-shaped swimming pool. Adjacent to the pool is a sauna executed in a rustic style, alluding to both Finnish and Japanese precedents. The design of the house is a synthesis of numerous stylistic influences, from traditional Finnish vernacular to purist modernism, as well as influences from English and Japanese architecture. While the house is clearly intended for a wealthy family, Aalto nevertheless argued that it was also an experiment that would prove useful in the design of mass housing.
His increased fame led to offers and commissions outside Finland. In 1941, he accepted an invitation as a visiting professor to the Massachusetts Institute of Technology in the US. During the Second World War, he returned to Finland to direct the Reconstruction Office. After the war, he returned to MIT, where he designed the student dormitory Baker House, completed in 1949. The dormitory flanked the Charles River, and its undulating form provided maximum view and ventilation for each resident. This was the first building of Aalto's redbrick period. Originally used in Baker House to signify the Ivy League university tradition, Aalto went on to use it in a number of key buildings after his return to Finland, most notably in several of the buildings in the new Helsinki University of Technology campus (starting in 1950), Säynätsalo Town Hall (1952), Helsinki Pensions Institute (1954), Helsinki House of Culture (1958), as well as in his own summer house, the Experimental House in Muuratsalo (1957).
In the 1950s Aalto immersed himself in sculpting, exploring wood, bronze, marble, and mixed media. Among the notable works from this period is his 1960 memorial to the Battle of Suomussalmi. Located on the battlefield, it consists of a leaning bronze pillar on a pedestal.
Mature career: monumentalism
Foremost among Aalto's work from the early 1960s until his death in 1976 were his projects in Helsinki, in particular the huge town plan for the void in the centre of Helsinki adjacent to Töölö Bay and the vast railway yards, an area marked on the edges by significant buildings such as the National Museum and the main railway station, both by Eliel Saarinen. In his town plan, Aalto proposed a line of separate marble-clad buildings fronting the bay, which would house various cultural institutions, including a concert hall, opera, museum of architecture, and headquarters for the Finnish Academy. The scheme also extended into the Kamppi district with a series of tall office blocks. Aalto first presented his vision in 1961, but it went through various modifications during the early '60s. Only two fragments of the overall plan were realized: the Finlandia Hall concert hall (1976) fronting on Töölö Bay and an office building in the Kamppi district for the Helsinki Electricity Company (1975). Aalto also employed the Miesian formal language of geometric grids used in those buildings for other sites in Helsinki, including the Enso-Gutzeit headquarters building (1962), the Academic Bookstore (1962), and the SYP Bank building (1969).
Following Aalto's death in 1976, his office continued to operate under the direction of his widow Elissa, who oversaw the completion of works already designed (to some extent), among them the Jyväskylä City Theatre and Essen opera house. Since the death of Elissa Aalto, the office has continued to operate as the Alvar Aalto Academy, giving advice on the restoration of Aalto buildings and organizing the practice's vast archives.
Furniture career
Although Aalto was famous for his architecture, his furniture designs were admired and are still popular today. He studied with the architect-designer Josef Hoffmann at the Wiener Werkstätte(engl.: "Vienna Workshop") and worked, for a time, under Eliel Saarinen. He also drew inspiration from Gebrüder Thonet. During the late 1920s and 1930s, he worked closely with Aino Aalto on his furniture designs, a focus due in part to his decision to design many of the individual furniture pieces and lamps for the Paimio Sanatorium. Of particular significance was the Aaltos' experimentation in bent plywood chairs, most notably the so-called Paimio chair, designed for tuberculosis patients, and the Model 60 stacking stool. The Aaltos, together with visual arts promoter Maire Gullichsen and art historian Nils-Gustav Hahl, founded the Artek company in 1935, ostensibly to sell Aalto products but which also imported pieces by other designers. Aalto became the first furniture designer to use the cantilever principle in chair designs using wood.
Awards
Aalto's awards included the Prince Eugen Medal in 1954, the Royal Gold Medal for Architecture from the Royal Institute of British Architects in 1957 and the Gold Medal from the American Institute of Architects in 1963. He was elected a Foreign Honorary Member of the American Academy of Arts and Sciences in 1957. He also was a member of the Academy of Finland, and was its president from 1963 to 1968. From 1925 to 1956 he was a member of the Congrès International d'Architecture Moderne. In 1960 he received an honorary doctorate at the Norwegian University of Science and Technology (NTNU).
Works
Aalto's career spans the changes in style from (Nordic Classicism) to purist International Style Modernism to a more personal, synthetic, and idiosyncratic Modernism. Aalto's wide field of design activity ranges from large-scale projects such as city planning and architecture to more intimate, human-scale work in interior design, furniture and glassware design, and painting. It has been estimated that during his entire career Aalto designed over 500 individual buildings, approximately 300 of which were built. The vast majority of them are in Finland. He also has a few buildings in France, Germany, Italy, and the US.
Aalto's work with wood was influenced by early Scandinavian architects. His experiments and bold departures from aesthetic norms brought attention to his ability to make wood do things not previously done. His techniques in the way he cut beech wood, for example, and his ability to use plywood as a structural element while at the same time exploiting its aesthetic properties, were at once technically innovative and artistically inspired. Other examples of his boundary-pushing sensibility include the vertical placement of rough-hewn logs at his pavilion at the Lapua expo, a design element that evoked a medieval barricade. At the orchestra platform at Turku and the Paris expo at the World Fair, he used varying sizes and shapes of planks. Also at Paris (and at Villa Mairea), he utilized birch boards in a vertical arrangement. His Vyborg Library, built in what was then Viipuri (it became Vyborg after Soviet annexation in 1944), is acclaimed for its stunning ceiling, with its undulating waves of red-hearted pine (which grows in the region ). In his roofing, he created massive spans (155-foot at the covered stadium at Otaniemi), all without tie rods. In his stairway at Villa Mairea, he evokes the feeling of a natural forest by binding beech wood with withes into columns.
Aalto claimed that his paintings were not made as individual artworks but as part of his process of architectural design, and many of his small-scale "sculptural" experiments with wood led to later larger architectural details and forms. These experiments also led to a number of patents: for example, he invented a new form of laminated bent-plywood furniture in 1932 (which was patented in 1933). His experimental method had been influenced by his meetings with various members of the Bauhaus design school, especially László Moholy-Nagy, whom he first met in 1930. Aalto's furniture was exhibited in London in 1935, to great critical acclaim. To cope with the consumer demand, Aalto, together with his wife Aino, Maire Gullichsen, and Nils-Gustav Hahl founded the company Artek that same year. Aalto glassware (Aino as well as Alvar) is manufactured by Iittala.
Aalto's 'High Stool' and 'Stool E60' (manufactured by Artek) are currently used in Apple Stores across the world to serve as seating for customers. Finished in black lacquer, the stools are used to seat customers at the 'Genius Bar' and also in other areas of the store at times when seating is required for a product workshop or special event. Aalto was also influential in bringing modern art to the attention of the Finnish people, in particular the work of his friends Alexander Milne Calder and Fernand Léger.
Significant buildings
1921–1923: Bell tower of Kauhajärvi Church, Lapua, Finland
1924–1926: Seinäjoki Civil Guard House, Seinäjoki, Finland
1924–1928: Municipal hospital, Alajärvi, Finland
1926–1929: Defence Corps Building, Jyväskylä, Finland
1927–1928: South-West Finland Agricultural Cooperative building, Turku, Finland
1927–1935: Municipal library, Viipuri, Finland (now Vyborg, Russia)
1928–1929, 1930: Turun Sanomat newspaper offices, Turku, Finland
1928–1933: Paimio Sanatorium, Tuberculosis sanatorium and staff housing, Paimio, Finland
1931: Toppila paper mill in Oulu, Finland
1931: Central University Hospital, Zagreb, Croatia (former Yugoslavia)
1932: Villa Tammekann, Tartu, Estonia
1934: Corso theatre, restaurant interior, Zürich, Switzerland
1936–1939: Ahlstrom Sunila Pulp Mill, Housing, and Town Plan, Kotka, Finland
1937–1939: Villa Mairea, Noormarkku, Finland
1939: Finnish Pavilion, at the 1939 New York World's Fair
1945: Sawmill at Varkaus, Finland
1947–1948: Baker House, Massachusetts Institute of Technology, Cambridge, Massachusetts, U.S.
1949–1966: Helsinki University of Technology, Espoo, Finland
1949–1952: Säynätsalo Town Hall, Säynätsalo (now part of Jyväskylä), Finland; 1949 competition, built 1952
1950–1957: National Pension Institution office building, Helsinki, Finland
1951–1971: University of Jyväskylä various buildings and facilities on the university campus, Jyväskylä, Finland
1952–1958: House of Culture, Helsinki, Finland
1953: The Experimental House, Muuratsalo, Finland
1953–1955: Rautatalo office building, Helsinki, Finland
1956–1958: Home for Louis Carré, Bazoches, France
1956–1958: Church of the Three Crosses, Vuoksenniska, Imatra, Finland
1957–1967: city center (library, theatre, City Hall, Lakeuden Risti Church and central administrative buildings), Seinäjoki, Finland
1958: Post and telegraph office, Baghdad, Iraq
1958–1972: KUNSTEN Museum of Modern Art Aalborg, Aalborg, Denmark
1959–1962: Community Centre, Wolfsburg, Germany
1959–1962: Church of the Holy Ghost (Heilig-Geist-Gemeindezentrum), Wolfsburg, Germany
1959–1962: Enso-Gutzeit headquarters, Helsinki, Finland
1961–1975: Lappia Hall performing arts and conference venue, Rovaniemi, Finland; part of the city's 'Aalto Centre'
1962: Aalto-Hochhaus, Bremen, Germany
1964–1965: Kaufmann Conference Center at the Institute of International Education, New York City, U.S.
1965: Rovaniemi library, Rovaniemi, Finland
1962–1971: Finlandia Hall, Helsinki, Finland
1963–1968: Church of St Stephen (Stephanus Kirche), Detmerode, Wolfsburg, Germany
1963–1965: Building for Västmanland-Dala nation, Uppsala, Sweden
1967–1970: Library at the Mount Angel Abbey, St. Benedict, Salem, Oregon, U.S.
1965–1968: Nordic House, Reykjavík, Iceland
1966: Church of the Assumption of Mary, Riola di Vergato, Italy (built 1975–1978)
1973: Alvar Aalto Museum, a.k.a. Taidemuseo, Jyväskylä, Finland
1970–1973: Sähkötalo, Helsinki, Finland
1978 (completed): Ristinkirkko, Lahti, Finland
1959–1988: Essen opera house, Essen, Germany
1986: Rovaniemi city hall, Rovaniemi, Finland
Furniture and glassware
Chairs
1932: Paimio Chair
1933: Model 60 stacking stool
1933: Four-legged Stool E60
1935–36: Armchair 404 (a/k/a/ Zebra Tank Chair)
1939: Armchair 406
Lamps
1954: Floor lamp A805
1959: Floor lamp A810
Vases
1936: Aalto Vase
Quotations
"God created paper for the purpose of drawing architecture on it. Everything else, at least for me, is a misuse of paper." Alvar Aalto, "In lieu of an article", Arkkitehti no. 1-2, 1958.
"We should work for simple, good, undecorated things...things which are in harmony with the human being and organically suited to the little man in the street." Alvar Aalto, speech in London 1957.
"It’s not an art to take and copy everything from tradition or past. It’s necessary to take the material and energy from nature and respond with the work of art, bringing your own psychical energy into it. We are prone to take everything from nature without giving anything in return. That’s not good – it can take a revenge on us.”
Critique of Aalto's architecture
As mentioned above, Aalto's international reputation was sealed with his inclusion in the second edition of Sigfried Giedion's influential book on Modernist architecture, Space, Time and Architecture: The growth of a new tradition (1949), in which Aalto received more attention than any other Modernist architect, including Le Corbusier. In his analysis of Aalto, Giedion gave primacy to qualities that depart from direct functionality, such as mood, atmosphere, intensity of life and even national characteristics, declaring that "Finland is with Aalto wherever he goes."
More recently, however, some architecture critics and historians have questioned Aalto's influence on the historical canon. The Italian Marxist architecture historians Manfredo Tafuri and Francesco Dal Co contend that Aalto's "historical significance has perhaps been rather exaggerated; with Aalto we are outside of the great themes that have made the course of contemporary architecture so dramatic. The qualities of his works have a meaning only as masterful distractions, not subject to reproduction outside the remote reality [sic] in which they have their roots." At the heart of their critique was the perception of Aalto's work as unsuited to the urban context: "Essentially, his architecture is not appropriate to urban typologies."
At the other end of the political spectrum (though similarly concerned with the appropriateness of Aalto's formal language), the American cultural theorist and architectural historian Charles Jencks singled out his Pensions Institute as an example of what he termed the architect's "soft paternalism": "Conceived as a fragmented mass to break up the feeling of bureaucracy, it succeeds all too well in being humane and killing the pensioner with kindness. The forms are familiar – red brick and ribbon-strip windows broken by copper and bronze elements – all carried through with a literal-mindedness that borders on the soporific."
During his lifetime, Aalto faced criticisms from his fellow architects in Finland, most notably Kirmo Mikkola and Juhani Pallasmaa. By the last decade of Aalto's life, his work was seen as unfashionably individualistic at a time when the opposing tendencies of rationalism and constructivism – often championed under left-wing politics – argued for anonymous, aggressively non-aesthetic architecture. Of Aalto's late works, Mikkola wrote, "Aalto has moved to [a] baroque line..."
Memorials
Aalto has been commemorated in a number of ways:
Alvar Aalto is the eponym of the Alvar Aalto Medal, now considered one of world architecture's most prestigious awards.
Aalto was featured in the 50 mk note in the last series of the Finnish markka (before its replacement by the Euro in 2002).
The centenary of Aalto's birth in 1998 was marked in Finland not only by several books and exhibitions, but also by the promotion of specially bottled red and white Aalto Wine and a specially designed cupcake.
In 1976, the year of his death, Aalto was commemorated on a Finnish postage stamp.
Piazza Alvar Aalto, a square named after Aalto, can be found in the Porta Nuova business district of Milan, Italy.
Aalto University, a Finnish university formed by merging Helsinki University of Technology, Helsinki School of Economics and TaiK in 2010, is named after Alvar Aalto.
An Alvar Aallon katu (Alvar Aalto Street) can be found in five different Finnish cities: Helsinki, Jyväskylä, Oulu, Kotka and Seinäjoki.
In 2017, the Alvar Aalto Museum launched Alvar Aalto Cities, that is, a network of cities containing buildings by Alvar Aalto. The objective of the network is to increase awareness of Aalto's work both in Finland and abroad. It is hoped that by combining forces on communications and marketing, the visibility and accessibility of exhibitions, tourist attractions and events will be improved. To date, the network city members are: Aalborg, Alajärvi, Espoo, Eura, Hamina, Helsinki, Imatra, Jyväskylä, Järvenpää, Kotka, Kouvola, Lahti, Oulu, Paimio, Pori, Raseborg, Rovaniemi, Seinäjoki, Turku, Vantaa and Varkaus. It is estimated that in total there would be 40 cities worldwide that would qualify as an Alvar Aalto City.
See also
Architecture of Finland
Aino Aalto
Elissa Aalto
References
Sources
Further reading
Göran Schildt has written and edited many books on Aalto, the most well-known being the three-volume biography, usually referred to as the definitive biography on Aalto.
Other books
Jormakka, Kari; Gargus, Jacqueline; Graf, Douglas The Use and Abuse of Paper. Essays on Alvar Aalto. Datutop 20: Tampere 1999.
Aalto research
The extensive archives of Alvar Aalto are nowadays kept at the Alvar Aalto Museum, Jyväskylä, Finland. Material is also available from the former offices of Aalto, at Tiilimäki 20, Helsinki, nowadays the headquarters of the Alvar Aalto Foundation.
Since 1995 the Alvar Aalto Museum and Aalto Academy has published a journal, Ptah, which is devoted not only to Aalto scholarship but also to architecture generally as well as theory, design and art.
External links
Archives
Alvar Aalto Foundation Custodian of Aalto's architectural drawings and writings.
Institute of International Education, Kaufmann Conference Rooms architectural drawings and papers, 1961–1966.Held by the Department of Drawings & Archives, Avery Architectural & Fine Arts Library, Columbia University.
Resources
Alvar Aalto biography at FinnishDesign.com
Short Biographies: Alvar Aalto
Aalto bibliography – From the official site
Alvar Aalto – Design Dictionary Illustrated article about Alvar Aalto
Alvar Aalto Biography in Spanish about Alvar Aalto
Modern Furniture and the history of Moulded Plywood Role played by Alvar Alto in the use of Moulded plywood for furniture.
Alvar Aalto on Empty Canon
Map of the Alvar Aalto works – Wikiartmap, the art map of the public space
Catalogs
Artek.fi, Aalto furniture; company founded by Aalto.
Alvar Aalto glassware, iittala.com
Between Humanism and Materialism New York Museum of Modern Art exhibit site. Contains an especially useful timeline of his life and career.
Buildings and reviews
Checkonsite.com – Alvar Aalto architecture guide.
"Ahead of the curve" The Guardian – Fiona MacCarthy recalls a shared lunch of smoked reindeer and schnapps in his elegant Helsinki restaurant
Baker House
North Jutland Museum
S. Maria Assunta – Riola BO Italy
1898 births
1976 deaths
People from Kuortane
People from Vaasa Province (Grand Duchy of Finland)
People of the Finnish Civil War (White side)
20th-century Finnish architects
Finnish furniture designers
Finnish industrial designers
Modernist architects
International style architects
Congrès International d'Architecture Moderne members
Modernist architecture in Finland
Recipients of the Royal Gold Medal
Aalto University alumni
Fellows of the American Academy of Arts and Sciences
Members of the Academy of Arts, Berlin
Recipients of the Prince Eugen Medal
Recipients of the Pour le Mérite (civil class)
Burials at Hietaniemi Cemetery
Recipients of the AIA Gold Medal
Honorary Fellows of the American Institute of Architects
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The English language was introduced to the Americas by British colonisation, beginning in the late 16th and early 17th centuries. The language also spread to numerous other parts of the world as a result of British trade and colonisation and the spread of the former British Empire, which, by 1921, included 470–570 million people, about a quarter of the world's population. Note that in England, Wales, Ireland and especially parts of Scotland there are differing varieties of the English language, so the term 'British English' is an oversimplification. Written forms of 'British' and American English as found in newspapers and textbooks vary little in their essential features, with only occasional noticeable differences.
Over the past 400 years, the forms of the language used in the Americas—especially in the United States—and that used in the United Kingdom have diverged in a few minor ways, leading to the versions now often referred to as American English and British English. Differences between the two include pronunciation, grammar, vocabulary (lexis), spelling, punctuation, idioms, and formatting of dates and numbers. However, the differences in written and most spoken grammar structure tend to be much fewer than in other aspects of the language in terms of mutual intelligibility. A few words have completely different meanings in the two versions or are even unknown or not used in one of the versions. One particular contribution towards formalising these differences came from Noah Webster, who wrote the first American dictionary (published 1828) with the intention of showing that people in the United States spoke a different dialect from those spoken in the UK, much like a regional accent.
This divergence between American English and British English has provided opportunities for humorous comment: e.g. in fiction George Bernard Shaw says that the United States and United Kingdom are "two countries divided by a common language"; and Oscar Wilde says that "We have really everything in common with America nowadays, except, of course, the language" (The Canterville Ghost, 1888). Henry Sweet incorrectly predicted in 1877 that within a century American English, Australian English and British English would be mutually unintelligible (A Handbook of Phonetics). Perhaps increased worldwide communication through radio, television, the Internet and globalisation has tended to reduce regional variation. This can lead to some variations becoming extinct (for instance the wireless being progressively superseded by the radio) or the acceptance of wide variations as "perfectly good English" everywhere.
Although spoken American and British English are generally mutually intelligible, there are occasional differences which might cause embarrassment—for example, in American English a rubber is usually interpreted as a condom rather than an eraser;.
Word derivation and compounds
Directional suffix -ward(s): British forwards, towards, rightwards, etc.; American forward, toward, rightward. In both varieties distribution varies somewhat: afterwards, towards, and backwards are not unusual in America; while in the United Kingdom upward and rightward are the more common options, as is forward, which is standard in phrasal verbs such as look forward to. The forms with -s may be used as adverbs (or preposition towards) but rarely as adjectives: in the UK, as in America, one says "an upward motion". The Oxford English Dictionary in 1897 suggested a semantic distinction for adverbs, with -wards having a more definite directional sense than -ward; subsequent authorities such as Fowler have disputed this contention.
American English (AmE) freely adds the suffix -s to day, night, evening, weekend, Monday, etc. to form adverbs denoting repeated or customary action: I used to stay out evenings; the library is closed on Saturdays. This usage has its roots in Old English but many of these constructions are now regarded as American (for example, the OED labels nights "now chiefly N. Amer. colloq." in constructions such as to sleep nights, but to work nights is standard in British English).
In British English (BrE), the agentive -er suffix is commonly attached to football to refer to one who plays the sport (also cricket; often netball; occasionally basketball and volleyball). AmE usually uses football player. Where the sport's name is usable as a verb, the suffixation is standard in both varieties: for example, golfer, bowler (in ten-pin bowling and in lawn bowls), and shooter. AmE appears sometimes to use the form baller as slang for a basketball player, as in the video game NBA Ballers. However, this is derived from slang use of to ball as a verb meaning to play basketball.
English writers everywhere occasionally make new compound words from common phrases; for example, health care is now being replaced by healthcare on both sides of the Atlantic. However, AmE has made certain words in this fashion that are still treated as phrases in BrE.
In compound nouns of the form <verb><noun>, sometimes AmE prefers the bare infinitive where BrE favours the gerund. Examples include (AmE first): jump rope/skipping rope; racecar/racing car; rowboat/rowing boat; sailboat/sailing boat; file cabinet/filing cabinet; dial tone/dialling tone; drainboard/draining board.
Generally AmE has a tendency to drop inflectional suffixes, thus preferring clipped forms: compare cookbook v. cookery book; Smith, age 40 v. Smith, aged 40; skim milk v. skimmed milk; dollhouse v. dolls' house; barber shop v. barber's shop.
Singular attributives in one country may be plural in the other, and vice versa. For example, the UK has a drugs problem, while the United States has a drug problem (although the singular usage is also commonly heard in the UK); Americans read the sports section of a newspaper; the British are more likely to read the sport section. However, BrE maths is singular, like physics, just as AmE math is: both are abbreviations of mathematics.
Some British English words come from French roots, while American English finds its words from other places, e.g. AmE eggplant and zucchini are aubergine and courgette in BrE.
Similarly, American English has occasionally replaced more traditional English words with their Spanish counterparts. This is especially common in regions historically affected by Spanish settlement (such as the American Southwest and Florida) as well as other areas that have since experienced strong Hispanic migration (such as urban centers). Examples of these include grocery markets' preference in the U.S. for Spanish names such as cilantro and manzanilla over coriander and camomile respectively.
Vocabulary
The familiarity of speakers with words and phrases from different regions varies, and the difficulty of discerning an unfamiliar definition also depends on the context and the term. As expressions spread with the globalisation of telecommunication, they are often but not always recognised as foreign to the speaker's dialect, and words from other dialects may carry connotations with regard to register, social status, origin, and intelligence.
Words and phrases with different meanings
Words such as bill and biscuit are used regularly in both AmE and BrE but can mean different things in each form. The word "bill" has several meanings, most of which are shared between AmE and BrE. However, in AmE "bill" often refers to a piece of paper money (as in a "dollar bill") which in BrE is more commonly referred to as a note. In AmE it can also refer to the visor of a cap, though this is by no means common. In AmE a biscuit (from the French "twice baked" as in biscotto) is a soft bready product that is known in BrE as a scone or a specifically hard, sweet biscuit. Meanwhile, a BrE biscuit incorporates both dessert biscuits and AmE cookies (from the Dutch 'little cake').
As chronicled by Winston Churchill, the opposite meanings of the verb to table created a misunderstanding during a meeting of the Allied forces; in BrE to table an item on an agenda means to open it up for discussion whereas in AmE, it means to remove it from discussion, or at times, to suspend or delay discussion; e.g. Let's table that topic for later.
The word "football" in BrE refers to association football, also known in the US as soccer. In AmE, "football" means American football. The standard AmE term "soccer", a contraction of "association (football)", is actually of British origin, derived from the formalisation of different codes of football in the 19th century, and was a fairly unremarkable usage (possibly marked for class) in BrE until later; in Britain it became perceived as an Americanism. In non-American and non-Canadian contexts, particularly in sports news from outside the United States and Canada, American (or US branches of foreign) news agencies and media organisations also use "football" to mean "soccer", especially in direct quotes.
Similarly, the word "hockey" in BrE refers to field hockey and in AmE, "hockey" means ice hockey.
Words with completely different meanings are relatively few; most of the time there are either (1) words with one or more shared meanings and one or more meanings unique to one variety (for example, bathroom and toilet) or (2) words the meanings of which are actually common to both BrE and AmE but that show differences in frequency, connotation or denotation (for example, smart, clever, mad).
Some differences in usage and meaning can cause confusion or embarrassment. For example, the word fanny is a slang word for vulva in BrE but means buttocks in AmE—the AmE phrase fanny pack is bum bag in BrE. In AmE the word pissed means being annoyed or angry whereas in BrE it is a coarse word for being drunk (in both varieties, pissed off means irritated).
Similarly, in AmE the word pants is the common word for the BrE trousers and knickers refers to a variety of half-length trousers (though most AmE users would use the term "shorts" rather than knickers), while the majority of BrE speakers would understand pants to mean underpants and knickers to mean female underpants.
Sometimes the confusion is more subtle. In AmE the word quite used as a qualifier is generally a reinforcement, though it is somewhat uncommon in actual colloquial American use today and carries an air of formality: for example, "I'm quite hungry" is a very polite way to say "I'm very hungry". In BrE quite (which is much more common in conversation) may have this meaning, as in "quite right" or "quite mad", but it more commonly means "somewhat", so that in BrE "I'm quite hungry" can mean "I'm somewhat hungry". This divergence of use can lead to misunderstanding.
Different terms in different dialects
Most speakers of American English are aware of some uniquely British terms. It is generally very easy to guess what some words, such as BrE "driving licence", mean, the AmE equivalent being "driver's license". However, use of many other British words such as naff (slang but commonly used to mean "not very good") are unheard of in American English.
Speakers of BrE usually find it easy to understand most common AmE terms, such as "sidewalk (pavement or footpath)", "gas (gasoline/petrol)", "counterclockwise (anticlockwise)" or "elevator (lift)", thanks in large part to considerable exposure to American popular culture and literature. Terms heard less often, especially when rare or absent in American popular culture, such as "copacetic (very satisfactory)", are unlikely to be understood by most BrE speakers.
Other examples:
In the UK the word whilst is commonly used as a conjunction (as an alternative to while, especially prevalent in some dialects). Whilst tends to appear in non-temporal senses, as when used to point out a contrast. In AmE while is used in both contexts, with whilst being much more uncommon. Other words with the -st ending are also found even in AmE as much as in BrE, despite being old-fashioned or an affectation (e.g., unbeknownst, midst). Historically, the word against falls into this category also, and is standard in both varities.
In the UK generally the use of fall to mean "autumn" is obsolete. Although found often from Elizabethan literature to Victorian literature, the seasonal use of fall remains easily understandable to BrE speakers only because it is so commonly used that way in the U.S.
In the UK the term period for a full stop is not used; in AmE the term full stop is rarely, if ever, used for the punctuation mark and commonly not understood whatsoever. For example, British Prime Minister Tony Blair said, "Terrorism is wrong, full stop", whereas in AmE, the equivalent sentence is "Terrorism is wrong, period." The use of period as an interjection meaning "and nothing else; end of discussion" is beginning to be used in colloquial British English, though sometimes without conscious reference to punctuation.
In the US, the word line is used to refer to a line of people, vehicles, or other objects, while in the UK queue refers to that meaning. In the US, the word queue is most commonly used to refer to the computing sense of a data structure in which objects are added to one end and removed from the other. In the US, the equivalent terms to "queue up" and "wait in queue" are "line up" or "get in line" and "wait in line." The equivalent term to "jumping the queue" is "cutting in line."
Holiday greetings
It is increasingly common for Americans to say "Happy holidays", referring to all, or at least multiple, winter (in the Northern hemisphere) or summer (in the Southern hemisphere) holidays (Christmas, Hanukkah, Kwanzaa, etc.) especially when one's religious observances are not known; the phrase is rarely heard in the UK. In the UK, the phrases "holiday season" and "holiday period" refer to the period in the summer when most people take time off from work, and travel; AmE does not use holiday in this sense, instead using vacation for recreational excursions.
In AmE, the prevailing Christmas greeting is "Merry Christmas", which is the traditional English Christmas greeting, as found in the English Christmas carol "We Wish You a Merry Christmas", and which appears several times in Charles Dickens' A Christmas Carol. In BrE, "Happy Christmas" is a common alternative to "Merry Christmas".
Idiosyncratic differences
Omission of "and" and "on"
Generally in British English, numbers with a value over one hundred have the word "and" inserted before the last two digits. For example, the number 115, when written in words or spoken aloud, would be "One hundred and fifteen", in British English. In American English, numbers are typically said or written in words in the same way, however if the word "and" is omitted ("One hundred fifteen"), this is also considered acceptable (in BrE this would be considered grammatically incorrect).
Likewise, in the US, the word "on" can be left out when referring to events occurring on any particular day of the week. The US possibility "The Cowboys won the game Saturday" would have the equivalent in the UK of "Sheffield United won the match on Saturday."
Figures of speech
Both BrE and AmE use the expression "I couldn't care less", to mean that the speaker does not care at all. Some Americans use "I could care less" to mean the same thing. This variant is frequently derided as sloppy, as the literal meaning of the words is that the speaker does care to some extent.
In both areas, saying, "I don't mind" often means, "I'm not annoyed" (for example, by someone's smoking), while "I don't care" often means, "The matter is trivial or boring". However, in answering a question such as "Tea or coffee?", if either alternative is equally acceptable an American may answer, "I don't care", while a British person may answer, "I don't mind". Either can sound odd, confusing, or rude, to those accustomed to the other variant.
"To be all set in both BrE and AmE can mean "to be prepared or ready", though it appears to be more common in AmE. It can also have an additional meaning in AmE of "to be finished or done", for example, a customer at a restaurant telling a waiter "I'm all set. I'll take the check."
Equivalent idioms
A number of English idioms that have essentially the same meaning show lexical differences between the British and the American version; for instance:
In the US, a "carpet" typically refers to a fitted carpet, rather than a rug.
Social and cultural differences
Lexical items that reflect separate social and cultural development.
Education
Primary and secondary school
The US has a more uniform nationwide system of terms than does the UK, where terminology and structure varies among constituent countries, but the division by grades varies somewhat among the states and even among local school districts. For example, elementary school often includes kindergarten and may include sixth grade, with middle school including only two grades or extending to ninth grade.
In the UK, the US equivalent of a high school is often referred to as a "secondary school" regardless of whether it is state funded or private. US Secondary education also includes middle school or junior high school, a two- or three-year transitional school between elementary school and high school. "Middle school" is sometimes used in the UK as a synonym for the younger junior school, covering the second half of the primary curriculum, current years four to six in some areas. However, in Dorset (South England), it is used to describe the second school in the three-tier system, which is normally from year 5 to year 8. In other regions, such as Evesham and the surrounding area in Worcestershire, the second tier goes from year 6 to year 8, and both starting secondary school in year nine. In Kirklees, West Yorkshire, in the villages of the Dearne Valley there is a three tier system: first schools year reception to year five, middle school (Scissett/Kirkburton Middle School) year 6 to year 8, and high school year 9 to year 13.
A public school has opposite meanings in the two countries. In American English this is a government-owned institution open to all students, supported by public funding. The British English use of the term is in the context of "private" education: to be educated privately with a tutor. In England and Wales the term strictly refers to an ill-defined group of prestigious private independent schools funded by students' fees, although it is often more loosely used to refer to any independent school. Independent schools are also known as "private schools", and the latter is the term used in Scotland and Northern Ireland for all such fee-funded schools. Strictly, the term public school is not used in Scotland and Northern Ireland in the same sense as in England, but nevertheless Gordonstoun, the Scottish private school, is sometimes referred to as a public school, as are some other Scottish private schools. Government-funded schools in Scotland and Northern Ireland are properly referred to as "state schools" but are sometimes confusingly referred to as "public schools" (with the same meaning as in the US), and in the US, where most public schools are administered by local governments, a state school typically refers to a college or university run by one of the U.S. states.
Speakers in both the United States and the United Kingdom use several additional terms for specific types of secondary school. A US prep school or preparatory school is an independent school funded by tuition fees; the same term is used in the UK for a private school for pupils under 13, designed to prepare them for fee-paying public schools. In the US, Catholic schools cover costs through tuition and have affiliations with a religious institution, most often a Catholic church or diocese. In England, where the state-funded education system grew from parish schools organised by the local established church, the Church of England (C of E, or CE), and many schools, especially primary schools (up to age 11) retain a church connection and are known as church schools, CE schools or CE (aided) schools. There are also faith schools associated with the Roman Catholic Church and other major faiths, with a mixture of funding arrangements. In Scotland, Catholic schools are generally operated as government-funded state schools for Catholic communities, particularly in large cities such as Glasgow.
In the US, a magnet school receives government funding and has special admission requirements: in some cases pupils gain admission through superior performance on admission tests, while other magnet schools admit students through a lottery. The UK has city academies, which are independent privately sponsored schools run with public funding and which can select up to 10% of pupils by aptitude. Moreover, in the UK 36 local education authorities retain selection by ability at 11. They maintain grammar schools (state funded secondary schools), which admit pupils according to performance in an examination (known as the 11+) and comprehensive schools that take pupils of all abilities. Grammar schools select the most academically able 10% to 23% of those who sit the exam. Students who fail the exam go to a secondary modern school, sometimes called a "high school", or increasingly an "academy". In areas where there are no grammar schools the comprehensives likewise may term themselves high schools or academies. Nationally only 6% of pupils attend grammar schools, mainly in four distinct counties. Some private schools are called "grammar schools", chiefly those that were grammar schools long before the advent of state education.
University
In the UK a university student is said to "study", to "read" or, informally, simply to "do" a subject. In the recent past the expression 'to read a subject' was more common at the older universities such as Oxford and Cambridge. In the US a student studies or majors in a subject (although a student's major, concentration or, less commonly, emphasis is also used in US colleges or universities to refer to the major subject of study). To major in something refers to the student's principal course of study; to study may refer to any class being taken.
BrE:
AmE:
At university level in BrE, each module is taught or facilitated by a lecturer or tutor; professor is the job-title of a senior academic (in AmE, at some universities, the equivalent of the BrE lecturer is instructor, especially when the teacher has a lesser degree or no university degree, though the usage may become confusing according to whether the subject being taught is considered technical or not; it is also different from adjunct instructor/professor). In AmE each class is generally taught by a professor (although some US tertiary educational institutions follow the BrE usage), while the position of lecturer is occasionally given to individuals hired on a temporary basis to teach one or more classes and who may or may not have a doctoral degree.
The word course in American use typically refers to the study of a restricted topic or individual subject (for example, "a course in Early Medieval England", "a course in integral calculus") over a limited period of time (such as a semester or term) and is equivalent to a module or sometimes unit at a British university. In the UK, a course of study or simply course is likely to refer to the entire programme of study, which may extend over several years and be made up of any number of modules, hence it is also practically synonymous to a degree programme. A few university-specific exceptions exist: for example, at Cambridge the word paper is used to refer to a module, while the whole course of study is called tripos.
A dissertation in AmE refers to the final written product of a doctoral student to fulfil the requirement of that program. In BrE, the same word refers to the final written product of a student in an undergraduate or taught master's programme. A dissertation in the AmE sense would be a thesis in BrE, though dissertation is also used.
Another source of confusion is the different usage of the word college. (See a full international discussion of the various meanings at college.) In the US, it refers to a post-high school institution that grants either associate's or bachelor's degrees, and in the UK, it refers to any post-secondary institution that is not a university (including sixth form college after the name in secondary education for years 12 and 13, the sixth form) where intermediary courses such as A levels or NVQs can be taken and GCSE courses can be retaken. College may sometimes be used in the UK or in Commonwealth countries as part of the name of a secondary or high school (for example, Dubai College). In the case of Oxford, Cambridge, Aberdeen, London, Lancaster, Durham, Kent and York universities, all members are also members of a college which is part of the university, for example, one is a member of King's College, Cambridge and hence of the university.
In both the US and UK college can refer to some division within a university that comprises related academic departments such as the "college of business and economics" though in the UK "faculty" is more often used. Institutions in the US that offer two to four years of post-high school education often have the word college as part of their name, while those offering more advanced degrees are called a university. (There are exceptions: Boston College, Dartmouth College and the College of William & Mary are examples of colleges that offer advanced degrees, while Vincennes University is an unusual example of a "university" that offers only associate degrees in the vast majority of its academic programs.) American students who pursue a bachelor's degree (four years of higher education) or an associate degree (two years of higher education) are college students regardless of whether they attend a college or a university and refer to their educational institutions informally as colleges. A student who pursues a master's degree or a doctorate degree in the arts and sciences is in AmE a graduate student; in BrE a postgraduate student although graduate student is also sometimes used. Students of advanced professional programs are known by their field (business student, law student, medical student). Some universities also have a residential college system, the details of which may vary but generally involve common living and dining spaces as well as college-organised activities. Nonetheless, when it comes to the level of education, AmE generally uses the word college (e.g., going to college) whereas BrE generally uses the word university (e.g., going to university) regardless of the institution's official designation/status in both countries.
In the context of higher education, the word school is used slightly differently in BrE and AmE. In BrE, except for the University of London, the word school is used to refer to an academic department in a university. In AmE, the word school is used to refer to a collection of related academic departments and is headed by a dean. When it refers to a division of a university, school is practically synonymous to a college.
"Professor" has different meanings in BrE and AmE. In BrE it is the highest academic rank, followed by reader, senior lecturer and lecturer. In AmE "professor" refers to academic staff of all ranks, with (full) professor (largely equivalent to the UK meaning) followed by associate professor and assistant professor.
"Tuition" has traditionally had separate meaning in each variation. In BrE it is the educational content transferred from teacher to student at a university. In AmE it is the money (the fees) paid to receive that education (BrE: tuition fees).
General terms
In both the US and the UK, a student takes an exam, but in BrE a student can also be said to sit an exam. When preparing for an exam students revise (BrE)/review (AmE) what they have studied; the BrE idiom to revise for has the equivalent to review for in AmE.
Examinations are supervised by invigilators in the UK and proctors (or (exam) supervisors) in the US (a proctor in the UK is an official responsible for student discipline at the University of Oxford or Cambridge). In the UK a teacher first sets and then administers exam, while in the US, a teacher first writes, makes, prepares, etc. and then gives an exam. With the same basic meaning of the latter idea but with a more formal or official connotation, a teacher in the US may also administer or proctor an exam.
BrE:
AmE:
In BrE, students are awarded marks as credit for requirements (e.g., tests, projects) while in AmE, students are awarded points or "grades" for the same. Similarly, in BrE, a candidate's work is being marked, while in AmE it is said to be graded to determine what mark or grade is given.
There is additionally a difference between American and British usage in the word school. In British usage "school" by itself refers only to primary (elementary) and secondary (high) schools and to sixth forms attached to secondary schools—if one "goes to school", this type of institution is implied. By contrast an American student at a university may be "in/at school", "coming/going to school", etc. US and British law students and medical students both commonly speak in terms of going to "law school" and "med[ical] school", respectively. However, the word school is used in BrE in the context of higher education to describe a division grouping together several related subjects within a university, for example a "School of European Languages" containing departments for each language and also in the term "art school". It is also the name of some of the constituent colleges of the University of London, for example, School of Oriental and African Studies, London School of Economics.
Among high-school and college students in the United States, the words freshman (or the gender-neutral terms first year or sometimes freshie), sophomore, junior and senior refer to the first, second, third, and fourth years respectively. It is important that the context of either high school or college first be established or else it must be stated directly (that is, She is a high-school freshman. He is a college junior.). Many institutes in both countries also use the term first-year as a gender-neutral replacement for freshman, although in the US this is recent usage, formerly referring only to those in the first year as a graduate student. One exception is the University of Virginia; since its founding in 1819 the terms "first-year", "second-year", "third-year", and "fourth-year" have been used to describe undergraduate university students. At the United States service academies, at least those operated by the federal government directly, a different terminology is used, namely "fourth class", "third class", "second class" and "first class" (the order of numbering being the reverse of the number of years in attendance). In the UK first-year university students are sometimes called freshers early in the academic year; however, there are no specific names for those in other years nor for school pupils. Graduate and professional students in the United States are known by their year of study, such as a "second-year medical student" or a "fifth-year doctoral candidate." Law students are often referred to as "1L", "2L", or "3L" rather than "nth-year law students"; similarly, medical students are frequently referred to as "M1", "M2", "M3", or "M4".
While anyone in the US who finishes studying at any educational institution by passing relevant examinations is said to graduate and to be a graduate, in the UK only degree and above level students can graduate. Student itself has a wider meaning in AmE, meaning any person of any age studying any subject at any level (including those not doing so at an educational institution, such as a "piano student" taking private lessons in a home), whereas in BrE it tends to be used for people studying at a post-secondary educational institution and the term pupil is more widely used for a young person at primary or secondary school, though the use of "student" for secondary school pupils in the UK is increasingly used, particularly for "sixth form" (years 12 and 13).
The names of individual institutions can be confusing. There are several high schools with the word "university" in their names in the United States that are not affiliated with any post-secondary institutions and cannot grant degrees, and there is one public high school, Central High School of Philadelphia, that does grant bachelor's degrees to the top ten per cent of graduating seniors. British secondary schools occasionally have the word "college" in their names.
When it comes to the admissions process, applicants are usually asked to solicit letters of reference or reference forms from referees in BrE. In AmE, these are called letters of recommendation or recommendation forms. Consequently, the writers of these letters are known as referees and recommenders, respectively by country. In AmE, the word referee is nearly always understood to refer to an umpire of a sporting match.
In the context of education, for AmE, the word staff mainly refers to school personnel who are neither administrators nor have teaching loads or academic responsibilities; personnel who have academic responsibilities are referred to as members of their institution's faculty. In BrE, the word staff refers to both academic and non-academic school personnel. As mentioned previously, the term faculty in BrE refers more to a collection of related academic departments.
Government and politics
In the UK, political candidates stand for election, while in the US, they run for office. There is virtually no crossover between BrE and AmE in the use of these terms. Also, the document which contains a party's positions/principles is referred to as a party platform in AmE, whereas it is commonly known as a party manifesto in BrE. (In AmE, using the term manifesto may connote that the party is an extremist or radical organisation.) The term general election is used slightly differently in British and American English. In BrE, it refers exclusively to a nationwide parliamentary election and is differentiated from local elections (mayoral and council) and by-elections; whereas in AmE, it refers to a final election for any government position in the US, where the term is differentiated from the term primary (an election that determines a party's candidate for the position in question). Additionally, a by-election in BrE is called a special election in AmE.
In AmE, the term swing state, swing county, swing district is used to denote a jurisdiction/constituency where results are expected to be close but crucial to the overall outcome of the general election. In BrE, the term marginal constituency is more often used for the same and swing is more commonly used to refer to how much one party has gained (or lost) an advantage over another compared to the previous election.
In the UK, the term government only refers to what is commonly known in America as the executive branch or the particular administration.
A local government in the UK is generically referred to as the "council," whereas in the United States, a local government will be generically referred to as the "City" (or county, village, etc., depending on what kind of entity the government serves).
Business and finance
In financial statements, what is referred to in AmE as revenue or sales is known in BrE as turnover. In AmE, having "high turnover" in a business context would generally carry negative implications, though the precise meaning would differ by industry.
A bankrupt firm goes into administration or liquidation in BrE; in AmE it goes bankrupt, or files for Chapter 7 (liquidation) or Chapter 11 (reorganisation). An insolvent individual or partnership goes bankrupt in both BrE and AmE.
If a finance company takes possession of a mortgaged property from a debtor, it is called foreclosure in AmE and repossession in BrE. In some limited scenarios, repossession may be used in AmE, but it is much less commonly compared to foreclosure. One common exception in AmE is for automobiles, which are always said to be repossessed. Indeed, an agent who collects these cars for the bank is colloquially known in AmE as a repo man.
Employment and recruitment
In BrE, the term curriculum vitae (commonly abbreviated to CV) is used to describe the document prepared by applicants containing their credentials required for a job. In AmE, the term résumé is more commonly used, with CV primarily used in academic or research contexts, and is usually more comprehensive than a résumé.
Insurance
AmE distinguishes between coverage as a noun and cover as a verb; an American seeks to buy enough insurance coverage in order to adequately cover a particular risk. BrE uses the word "cover" for both the noun and verb forms.
Transport
AmE speakers refer to transportation and BrE speakers to transport. (Transportation in the UK has traditionally meant the punishment of criminals by deporting them to an overseas penal colony.) In AmE, the word transport is usually used only as a verb, seldom as a noun or adjective except in reference to certain specialised objects, such as a tape transport or a military transport (e.g., a troop transport, a kind of vehicle, not an act of transporting).
Road transport
Differences in terminology are especially obvious in the context of roads. The British term dual carriageway, in American parlance, would be divided highway or perhaps, simply highway. The central reservation on a motorway or dual carriageway in the UK would be the median or center divide on a freeway, expressway, highway or parkway in the US. The one-way lanes that make it possible to enter and leave such roads at an intermediate point without disrupting the flow of traffic are known as slip roads in the UK but in the US, they are typically known as ramps and both further distinguish between on-ramps or on-slips (for entering onto a highway/carriageway) and off-ramps or exit-slips (for leaving a highway/carriageway). When American engineers speak of slip roads, they are referring to a street that runs alongside the main road (separated by a berm) to allow off-the-highway access to the premises that are there; however, the term frontage road is more commonly used, as this term is the equivalent of service road in the UK. However, it is not uncommon for an American to use service road as well instead of frontage road.
In the UK, the term outside lane refers to the higher-speed overtaking lane (passing lane in the US) closest to the centre of the road, while inside lane refers to the lane closer to the edge of the road. In the US, outside lane is used only in the context of a turn, in which case it depends in which direction the road is turning (i.e., if the road bends right, the left lane is the "outside lane", but if the road bends left, it is the right lane). Both also refer to slow and fast lanes (even though all actual traffic speeds may be at or around the legal speed limit).
In the UK drink driving refers to driving after having consumed alcoholic beverages, while in the US, the term is drunk driving. The legal term in the US is driving while intoxicated (DWI) or driving under the influence (of alcohol) (DUI). The equivalent legal phrase in the UK is drunk in charge of a motor vehicle (DIC) or more commonly driving with excess alcohol.
In the UK, a hire car is the US equivalent of a rental car. The term "hired car" can be especially misleading for those in the US, where the term "hire" is generally only applied to the employment of people and the term "rent" is applied to the temporary custody of goods. To an American, "hired car" would imply that the car has been brought into the employment of an organisation as if it were a person, which would sound nonsensical.
In the UK, a saloon is a vehicle that is equivalent to the American sedan. This is particularly confusing to Americans, because in the US the term saloon is used in only one context: describing an old bar (UK pub) in the American West (a Western saloon). Coupé is used by both to refer to a two-door car, but is usually pronounced with two syllables in the UK (coo-pay) and one syllable in the US (coop).
In the UK, van may refer to a lorry (UK) of any size, whereas in the US, van is only understood to be a very small, boxy truck (US) (such as a moving van) or a long passenger automobile with several rows of seats (such as a minivan). A large, long vehicle used for cargo transport would nearly always be called a truck in the US, though alternate terms such as eighteen-wheeler may be occasionally heard (regardless of the actual number of tires on the truck).
In the UK, a silencer is the equivalent to the US muffler. In the US, the word silencer has only one meaning: an attachment on the barrel of a gun designed to stop the distinctive crack of a gunshot.
Specific auto parts and transport terms have different names in the two dialects, for example:
Rail transport
There are also differences in terminology in the context of rail transport. The best known is railway in the UK and railroad in North America, but there are several others. A railway station in the UK is a railroad station in the US, while train station is used in both; trains have drivers (often called engine drivers) in the UK, while in America trains are driven by engineers; trains have guards in the UK and conductors in the US, though the latter is also common in the UK; a place where two tracks meet is called a set of points in the UK and a switch in the US; and a place where a road crosses a railway line at ground level is called a level crossing in the UK and a grade crossing or railroad crossing in America. In the UK, the term sleeper is used for the devices that bear the weight of the rails and are known as ties or crossties in the United States. In a rail context, sleeper (more often, sleeper car) would be understood in the US as a rail car with sleeping quarters for its passengers. The British term platform in the sense "The train is at Platform 1" would be known in the US by the term track, and used in the phrase "The train is on Track 1". The British term brake van or guard's van is a caboose in the US. The American English phrase "All aboard" when boarding a train is rarely used in the UK, and when the train reaches its final stop, in the UK the phrase used by rail personnel is "All change" while in the US it is "All out", though such announcements are uncommon in both regions.
For sub-surface rail networks, while underground is commonly used in the UK, only the London Underground actually carries this name: the UK's only other such system, the smaller Glasgow Subway, was in fact the first to be called "subway". Nevertheless, both subway and metro are now more common in the US, varying by city: in Washington D.C., for example, metro is used, while in New York City subway is preferred. Another variation is the T in Boston.
Television
Traditionally, a show on British television would have referred to a light-entertainment program (BrE programme) with one or more performers and a participative audience, whereas in American television, the term is used for any type of program. British English traditionally referred to other types of program by their type, such as drama, serial etc., but the term show has now taken on the generalised American meaning. In American television the episodes of a program first broadcast in a particular year constitute a season, while the entire run of the program—which may span several seasons—is called a series. In British television, on the other hand, the word series may apply to the episodes of a program in one particular year, for example, "The 1998 series of Grange Hill, as well as to the entire run. However, the entire run may occasionally be referred to as a "show".
The term telecast, meaning television broadcast and uncommon even in the US, is not used in British English. A television program would be broadcast, aired or shown in both the UK and US.
Telecommunications
A long-distance call is a "trunk call" in British English, but is a "toll call" in American English, though neither term is well known among younger Americans. The distinction is a result of historical differences in the way local service was billed; the Bell System traditionally flat-rated local calls in all but a few markets, subsidising local service by charging higher rates, or tolls, for intercity calls, allowing local calls to appear to be free. British Telecom (and the British Post Office before it) charged for all calls, local and long distance, so labelling one class of call as "toll" would have been meaningless.
Similarly, a toll-free number in America is a freephone number in the UK. The term "freefone" is a BT trademark.
Rivers
In British English, the name of a river is usually placed after the word (River Thames) however there are a small number of exceptions such as Wick River. In American English, the name is placed before the word (Hudson River).
Grammar
Subject-verb agreement
In American English (AmE), collective nouns are almost always singular in construction: the committee was unable to agree. However, when a speaker wishes to emphasize that the individuals are acting separately, a plural pronoun may be employed with a singular or plural verb: the team takes their seats, rather than the team takes its seats. Such a sentence would most likely be recast as the team members take their seats. Despite exceptions such as usage in The New York Times, the names of sports teams are usually treated as plurals even if the form of the name is singular.
In British English (BrE), collective nouns can take either singular (formal agreement) or plural (notional agreement) verb forms, according to whether the emphasis is on the body as a whole or on the individual members respectively; compare a committee was appointed with the committee were unable to agree. The term the Government always takes a plural verb in British civil service convention, perhaps to emphasise the principle of cabinet collective responsibility. Compare also the following lines of Elvis Costello's song "Oliver's Army": Oliver's Army is here to stay / Oliver's Army are on their way . Some of these nouns, for example staff, actually combine with plural verbs most of the time.
The difference occurs for all nouns of multitude, both general terms such as team and company and proper nouns (for example where a place name is used to refer to a sports team). For instance,
Proper nouns that are plural in form take a plural verb in both AmE and BrE; for example, The Beatles are a well-known band; The Diamondbacks are the champions, with one major exception: in American English, the United States is almost universally used with a singular verb. Although the construction the United States are was more common early in the history of the country, as the singular federal government exercised more authority and a singular national identity developed (especially following the American Civil War), it became standard to treat the United States as a singular noun.
Style
Use of that and which in restrictive and non-restrictive relative clauses
Generally, a non-restrictive relative clause (also called non-defining or supplementary) is one containing information that is supplementary, i.e. does not change the meaning of the rest of the sentence, while a restrictive relative clause (also called defining or integrated) contains information essential to the meaning of the sentence, effectively limiting the modified noun phrase to a subset that is defined by the relative clause.
An example of a restrictive clause is "The dog that bit the man was brown."
An example of a non-restrictive clause is "The dog, which bit the man, was brown."
In the former, "that bit the man" identifies which dog the statement is about.
In the latter, "which bit the man" provides supplementary information about a known dog.
A non-restrictive relative clause is typically set off by commas, whereas a restrictive relative clause is not, but this is not a rule that is universally observed. In speech, this is also reflected in the intonation.
Writers commonly use which to introduce a non-restrictive clause, and that to introduce a restrictive clause. That is rarely used to introduce a non-restrictive relative clause in prose. Which and that are both commonly used to introduce a restrictive clause; a study in 1977 reported that about 75 per cent of occurrences of which were in restrictive clauses.
H. W. Fowler, in A Dictionary of Modern English Usage of 1926, followed others in suggesting that it would be preferable to use which as the non-restrictive (what he calls "non-defining") pronoun and that as the restrictive (what he calls defining) pronoun, but he also stated that this rule was observed neither by most writers nor by the best writers.
He implied that his suggested usage was more common in American English.
Fowler notes that his recommended usage presents problems, in particular that that must be the first word of the clause, which means, for instance, that which cannot be replaced by that when it immediately follows a preposition (e.g. "the basic unit from which matter is constructed") – though this would not prevent a stranded preposition (e.g. "the basic unit that matter is constructed from).
Style guides by American prescriptivists, such as Bryan Garner, typically insist, for stylistic reasons, that that be used for restrictive relative clauses and which be used for non-restrictive clauses, referring to the use of which in restrictive clauses as a "mistake". According to the 2015 edition of Fowler's Dictionary of Modern English Usage, "In AmE which is 'not generally used in restrictive clauses, and that fact is then interpreted as the absolute rule that only that may introduce a restrictive clause', whereas in BrE 'either that or which may be used in restrictive clauses', but many British people 'believe that that is obligatory.
Subjunctive
The subjunctive mood is more common in colloquial American English than in colloquial British English.
Writing
Spelling
Before the early 18th century English spelling was not standardised. Different standards became noticeable after the publishing of influential dictionaries. For the most part current BrE spellings follow those of Samuel Johnson's Dictionary of the English Language (1755), while AmE spellings follow those of Noah Webster's An American Dictionary of the English Language (1828). In the United Kingdom, the influences of those who preferred the French spellings of certain words proved decisive. In many cases AmE spelling deviated from mainstream British spelling; on the other hand it has also often retained older forms. Many of the now characteristic AmE spellings were popularised, although often not created, by Noah Webster. Webster chose already-existing alternative spellings "on such grounds as simplicity, analogy or etymology". Webster did attempt to introduce some reformed spellings, as did the Simplified Spelling Board in the early 20th century, but most were not adopted. Later spelling changes in the UK had little effect on present-day US spelling, and vice versa.
Punctuation
Full stops and periods in abbreviations
There have been some trends of transatlantic difference in use of periods in some abbreviations. These are discussed at Abbreviation § Periods (full stops) and spaces. Unit symbols such as kg and Hz are never punctuated.
Parentheses/brackets
In British English, "( )" marks are often referred to as brackets, whereas "[ ]" are called square brackets and "{ }" are called curly brackets. In formal British English and in American English "( )" marks are parentheses (singular: parenthesis), "[ ]" are called brackets or square brackets, and "{ }" can be called either curly brackets or braces. Despite the different names, these marks are used in the same way in both varieties.
Quoting
British and American English differ in the preferred quotation mark style, including the placement of commas and periods. In American English, " and ' are called quotation marks, whereas in British English, " and ' are referred to as either inverted commas or speech marks. Additionally, in American English direct speech typically uses the double quote mark ( " ), whereas in British English it is common to use the inverted comma ( ' ).
Commas in headlines
American newspapers commonly use a comma as a shorthand for "and" in headlines. For example, The Washington Post had the headline "A TRUE CONSERVATIVE: For McCain, Bush Has Both Praise, Advice."
Numerical expressions
There are many differences in the writing and speaking of English numerals, most of which are matters of style, with the notable exception of different definitions for billion.
The two countries have different conventions for floor numbering. The UK uses a mixture of the metric system and Imperial units, where in the US, United States customary units are dominant in everyday life with a few fields using the metric system.
Monetary amounts
Monetary amounts in the range of one to two major currency units are often spoken differently. In AmE one may say a dollar fifty or a pound eighty, whereas in BrE these amounts would be expressed one dollar fifty and one pound eighty. For amounts over a dollar an American will generally either drop denominations or give both dollars and cents, as in two-twenty or two dollars and twenty cents for $2.20. An American would not say two dollars twenty. On the other hand, in BrE, two-twenty or two pounds twenty would be most common.
It is more common to hear a British-English speaker say one thousand two hundred dollars than a thousand and two hundred dollars, although the latter construct is common in AmE. In British English, the "and" comes after the hundreds (one thousand, two hundred and thirty dollars). The term twelve hundred dollars, popular in AmE, is frequently used in BrE but only for exact multiples of 100 up to 1,900. Speakers of BrE very rarely hear amounts over 1,900 expressed in hundreds, for example, twenty-three hundred. In AmE it would not be unusual to refer to a high, uneven figure such as 2,307 as twenty-three hundred and seven.
In BrE, particularly in television or radio advertisements, integers can be pronounced individually in the expression of amounts. For example, on sale for £399 might be expressed on sale for three nine nine, though the full three hundred and ninety-nine pounds is at least as common. An American advertiser would almost always say on sale for three ninety-nine, with context distinguishing $399 from $3.99. In British English the latter pronunciation implies a value in pounds and pence, so three ninety-nine would be understood as £3.99.
In spoken BrE the word pound is sometimes colloquially used for the plural as well. For example, three pound forty and twenty pound a week are both heard in British English. Some other currencies do not change in the plural; yen and rand being examples. This is in addition to normal adjectival use, as in a twenty-pound-a-week pay-rise (US raise). The euro most often takes a regular plural -s in practice despite the EU dictum that it should remain invariable in formal contexts; the invariable usage is more common in Ireland, where it is the official currency.
In BrE the use of p instead of pence is common in spoken usage. Each of the following has equal legitimacy: 3 pounds 12 p; 3 pounds and 12 p; 3 pounds 12 pence; 3 pounds and 12 pence; as well as just 8 p or 8 pence. In everyday usage the amount is simply read as figures (£3.50 = three pounds fifty) as in AmE.
AmE uses words such as nickel, dime, and quarter for small coins. In BrE the usual usage is a 10-pence piece or a 10p piece or simply a 10p, for any coin below £1, pound coin and two-pound coin. BrE did have specific words for a number of coins before decimalisation. Formal coin names such as half crown (2/6) and florin (2/-), as well as slang or familiar names such as bob (1/-) and tanner (6d) for pre-decimalisation coins are still familiar to older BrE speakers but they are not used for modern coins. In older terms like two-bob bit (2/-) and thrupenny bit (3d), the word bit had common usage before decimalisation similar to that of piece today.
In order to make explicit the amount in words on a check (BrE cheque), Americans write three and (using this solidus construction or with a horizontal division line): they do not need to write the word dollars as it is usually already printed on the check. On a cheque UK residents would write three pounds and 24 pence, three pounds ‒ 24, or three pounds ‒ 24p since the currency unit is not preprinted. To make unauthorised amendment difficult, it is useful to have an expression terminator even when a whole number of dollars/pounds is in use: thus, Americans would write three and or three and on a three-dollar check (so that it cannot easily be changed to, for example, three million), and UK residents would write three pounds only.
Dates
Dates are usually written differently in the short (numerical) form. Christmas Day 2000, for example, is 25/12/00 or 25.12.00 in the UK and 12/25/00 in the US, although the formats 25/12/2000, 25.12.2000, and 12/25/2000 now have more currency than they had before Y2K. Occasionally other formats are encountered, such as the ISO 8601 2000-12-25, popular among programmers, scientists and others seeking to avoid ambiguity, and to make alphanumerical order coincide with chronological order. The difference in short-form date order can lead to misunderstanding, especially when using software or equipment that uses the foreign format. For example, 06/04/05 could mean either June 4, 2005 (if read as US format), 6 April 2005 (if seen as in UK format) or even 5 April 2006 if taken to be an older ISO 8601-style format where 2-digit years were allowed.
When using the name of the month rather than the number to write a date in the UK, the recent standard style is for the day to precede the month, e. g., 21 April. Month preceding date is almost invariably the style in the US, and was common in the UK until the late twentieth century. British usage normally changes the day from an integer to an ordinal, i.e., 21st instead of 21. In speech, "of" and "the" are used in the UK, as in "the 21st of April". In written language, the words "the" and "of" may be and are usually dropped, i.e., 21st April. The US would say this as "April 21st", and this form is still common in the UK. One of the few exceptions in American English is saying "the Fourth of July" as a shorthand for the United States Independence Day. In the US military the British forms are used, but the day is read cardinally, while among some speakers of New England and Southern American English varieties and who come from those regions but live elsewhere, those forms are common, even in formal contexts.
Phrases such as the following are common in the UK but are generally unknown in the US: "A week today", "a week tomorrow", "a week (on) Tuesday" and "Tuesday week"; these all refer to a day which is more than a week into the future. "A fortnight Friday" and "Friday fortnight" refer to a day two weeks after the coming Friday). "A week on Tuesday" and "a fortnight on Friday" could refer either to a day in the past ("it's a week on Tuesday, you need to get another one") or in the future ("see you a week on Tuesday"), depending on context. In the US the standard construction is "a week from today", "a week from tomorrow", etc. BrE speakers may also say "Thursday last" or "Thursday gone" where AmE would prefer "last Thursday". "I'll see you (on) Thursday coming" or "let's meet this coming Thursday" in BrE refer to a meeting later this week, while "not until Thursday next" would refer to next week. In BrE there is also common use of the term 'Thursday after next' or 'week after next' meaning 2 weeks in the future and 'Thursday before last' and 'week before last' meaning 2 weeks in the past, but not when referring to times more than 2 weeks been or gone or when using the terms tomorrow today or yesterday then in BrE you would say '5 weeks on Tuesday' or '2 weeks yesterday'.
Time
The 24-hour clock (18:00, 18.00 or 1800) is considered normal in the UK and Europe in many applications including air, rail and bus timetables; it is largely unused in the US outside military, police, aviation and medical applications. As a result, many Americans refer to the 24-hour clock as military time. Some British English style guides recommend the full stop (.) when telling time, compared to American English which uses colons (:) (i.e., 11:15 PM/pm/p.m. or 23:15 for AmE and 11.15 pm or 23.15 for BrE). Usually in the military (and sometimes in the police, aviation and medical) applications on both sides of the Atlantic 0800 and 1800 are read as (oh/zero) eight hundred and eighteen hundred hours respectively. Even in the UK, hundred follows twenty, twenty-one, twenty-two and twenty-three when reading 2000, 2100, 2200 and 2300 according to those applications.
Fifteen minutes after the hour is called quarter past in British usage and a quarter after or, less commonly, a quarter past in American usage. Fifteen minutes before the hour is usually called quarter to in British usage and a quarter of, a quarter to or a quarter 'til in American usage; the form a quarter to is associated with parts of the Northern United States, while a quarter 'til or till is found chiefly in the Appalachian region. Thirty minutes after the hour is commonly called half past in both BrE and AmE; half after used to be more common in the US. In informal British speech, the preposition is sometimes omitted, so that 5:30 may be referred to as half five; this construction is entirely foreign to US speakers, who would possibly interpret half five as 4:30 (halfway to 5:00) rather than 5:30. The AmE formations top of the hour and bottom of the hour are not used in BrE. Forms such as eleven forty are common in both varieties. To be simple and direct in telling time, no terms relating to fifteen or thirty minutes before/after the hour are used; rather the time is told exactly as for example nine fifteen, ten forty-five.
Sports percentages
In sports statistics, certain percentages such as those for winning or win–loss records and saves in field or ice hockey and association football are almost always expressed as a decimal proportion to three places in AmE and are usually read aloud as if they are whole numbers, e.g. (0).500 or five hundred, hence the phrase "games/matches over five hundred", whereas in BrE they are also expressed but as true percentages instead, after multiplying the decimal by 100%, that is, 50% or "fifty per cent" and "games/matches over 50% or 50 per cent". However, "games/matches over 50% or 50 percent" is also found in AmE, albeit sporadically, e.g., hitting percentages in volleyball.
The American practice of expressing so-called percentages in sports statistics as decimals originated with baseball's batting averages, developed by English-born statistician and historian Henry Chadwick.
See also
American and British English grammatical differences
American and British English pronunciation differences
American and British English spelling differences
British and American keyboards
List of dialects of the English language
Lists of words having different meanings in American and British English
Explanatory notes
Citations
General and cited sources
Algeo, John (2006). British or American English?. Cambridge: Cambridge University Press. .
Hargraves, Orin (2003). Mighty Fine Words and Smashing Expressions. Oxford: Oxford University Press. .
McArthur, Tom (2002). The Oxford Guide to World English. Oxford: Oxford University Press. .
Murphy, Lynne (2018). The Prodigal Tongue: The Love-Hate Relationship Between British and American English. London. Oneworld Publications. .
Peters, Pam (2004). The Cambridge Guide to English Usage. Cambridge: Cambridge University Press. .
Trudgill, Peter and Jean Hannah (2002). International English: A Guide to the Varieties of Standard English, 4th ed. London: Arnold. .
Further reading
External links
Word substitution list, by the Ubuntu English (United Kingdom) Translators team
Linguistics Issues List of American, Canadian and British spelling differences
Map of US English dialects
The Septic's Companion: A British Slang Dictionary
British English vs. American English Slang Compared
British English-American English Vocabulary Quiz
Language comparison between countries
Comparison of forms of English
Internationalization and localization
United Kingdom–United States relations
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The Antarctic Circumpolar Current (ACC) is an ocean current that flows clockwise (as seen from the South Pole) from west to east around Antarctica. An alternative name for the ACC is the West Wind Drift. The ACC is the dominant circulation feature of the Southern Ocean and has a mean transport estimated at 100–150 Sverdrups (Sv, million m3/s), or possibly even higher, making it the largest ocean current. The current is circumpolar due to the lack of any landmass connecting with Antarctica and this keeps warm ocean waters away from Antarctica, enabling that continent to maintain its huge ice sheet.
Associated with the Circumpolar Current is the Antarctic Convergence, where the cold Antarctic waters meet the warmer waters of the subantarctic, creating a zone of upwelling nutrients. These nurture high levels of phytoplankton with associated copepods and krill, and resultant food chains supporting fish, whales, seals, penguins, albatrosses, and a wealth of other species.
The ACC has been known to sailors for centuries; it greatly speeds up any travel from west to east, but makes sailing extremely difficult from east to west, although this is mostly due to the prevailing westerly winds. Jack London's story "Make Westing" and the circumstances preceding the mutiny on the Bounty poignantly illustrate the difficulty it caused for mariners seeking to round Cape Horn westbound on the clipper ship route from New York to California. The eastbound clipper route, which is the fastest sailing route around the world, follows the ACC around three continental capes – Cape Agulhas (Africa), South East Cape (Australia), and Cape Horn (South America).
The current creates the Ross and Weddell gyres.
Structure
The ACC connects the Atlantic, Pacific, and Indian Oceans, and serves as a principal pathway of exchange among them. The current is strongly constrained by landform and bathymetric features. To trace it starting arbitrarily at South America, it flows through the Drake Passage between South America and the Antarctic Peninsula and then is split by the Scotia Arc to the east, with a shallow warm branch flowing to the north in the Falkland Current and a deeper branch passing through the Arc more to the east before also turning to the north. Passing through the Indian Ocean, the current first retroflects the Agulhas Current to form the Agulhas Return Current before it is split by the Kerguelen Plateau, and then moving northward again. Deflection is also seen as it passes over the mid-ocean ridge in the Southeast Pacific.
Fronts
The current is accompanied by three fronts: the Subantarctic front (SAF), the Polar front (PF), and the Southern ACC front (SACC). Furthermore, the waters of the Southern Ocean are separated from the warmer and saltier subtropical waters by the subtropical front (STF).
The northern boundary of the ACC is defined by the northern edge of the SAF, this being the most northerly water to pass through Drake Passage and therefore be circumpolar. Much of the ACC transport is carried in this front, which is defined as the latitude at which a subsurface salinity minimum or a thick layer of unstratified Subantarctic mode water first appears, allowed by temperature dominating density stratification. Still further south lies the PF, which is marked by a transition to very cold, relatively fresh, Antarctic Surface Water at the surface. Here a temperature minimum is allowed by salinity dominating density stratification, due to the lower temperatures. Farther south still is the SACC, which is determined as the southernmost extent of Circumpolar Deep Water (temperature of about 2 °C at 400 m). This water mass flows along the shelfbreak of the western Antarctic Peninsula and thus marks the most southerly water flowing through Drake Passage and therefore circumpolar. The bulk of the transport is carried in the middle two fronts.
The total transport of the ACC at Drake Passage is estimated to be around 135 Sv, or about 135 times the transport of all the world's rivers combined. There is a relatively small addition of flow in the Indian Ocean, with the transport south of Tasmania reaching around 147 Sv, at which point the current is probably the largest on the planet.
Dynamics
The circumpolar current is driven by the strong westerly winds in the latitudes of the Southern Ocean.
In latitudes where there are continents, winds blowing on light surface water can simply pile up light water against these continents. But in the Southern Ocean, the momentum imparted to the surface waters cannot be offset in this way. There are different theories on how the Circumpolar Current balances the momentum imparted by the winds. The increasing eastward momentum imparted by the winds causes water parcels to drift outward from the axis of the Earth's rotation (in other words, northward) as a result of the Coriolis force. This northward Ekman transport is balanced by a southward, pressure-driven flow below the depths of the major ridge systems. Some theories connect these flows directly, implying that there is significant upwelling of dense deep waters within the Southern Ocean, transformation of these waters into light surface waters, and a transformation of waters in the opposite direction to the north. Such theories link the magnitude of the Circumpolar Current with the global thermohaline circulation, particularly the properties of the North Atlantic.
Alternatively, ocean eddies, the oceanic equivalent of atmospheric storms, or the large-scale meanders of the Circumpolar Current may directly transport momentum downward in the water column. This is because such flows can produce a net southward flow in the troughs and a net northward flow over the ridges without requiring any transformation of density. In practice both the thermohaline and the eddy/meander mechanisms are likely to be important.
The current flows at a rate of about over the Macquarie Ridge south of New Zealand. The ACC varies with time. Evidence of this is the Antarctic Circumpolar Wave, a periodic oscillation that affects the climate of much of the southern hemisphere. There is also the Antarctic oscillation, which involves changes in the location and strength of Antarctic winds. Trends in the Antarctic Oscillation have been hypothesized to account for an increase in the transport of the Circumpolar Current over the past two decades.
Formation
Published estimates of the onset of the Antarctic Circumpolar Current vary, but it is commonly considered to have started at the Eocene/Oligocene boundary. The isolation of Antarctica and formation of the ACC occurred with the openings of the Tasmanian Passage and the Drake Passage. The Tasmanian Seaway separates East Antarctica and Australia, and is reported to have opened to water circulation 33.5 Ma. The timing of the opening of the Drake Passage, between South America and the Antarctic Peninsula, is more disputed; tectonic and sediment evidence show that it could have been open as early as pre-34 Ma, estimates of the opening of the Drake passage are between 20 and 40 Ma. The isolation of Antarctica by the current is credited by many researchers with causing the glaciation of Antarctica and global cooling in the Eocene epoch. Oceanic models have shown that the opening of these two passages limited polar heat convergence and caused a cooling of sea surface temperatures by several degrees; other models have shown that CO2 levels also played a significant role in the glaciation of Antarctica.
Phytoplankton
Antarctic sea ice cycles seasonally, in February–March the amount of sea ice is lowest, and in August–September the sea ice is at its greatest extent. Ice levels have been monitored by satellite since 1973. Upwelling of deep water under the sea ice brings substantial amounts of nutrients. As the ice melts, the melt water provides stability and the critical depth is well below the mixing depth, which allows for a positive net primary production. As the sea ice recedes epontic algae dominate the first phase of the bloom, and a strong bloom dominate by diatoms follows the ice melt south.
Another phytoplankton bloom occurs more to the north near the Antarctic convergence, here nutrients are present from thermohaline circulation. Phytoplankton blooms are dominated by diatoms and grazed by copepods in the open ocean, and by krill closer to the continent. Diatom production continues through the summer, and populations of krill are sustained, bringing large numbers of cetaceans, cephalopods, seals, birds, and fish to the area.
Phytoplankton blooms are believed to be limited by irradiance in the austral (southern hemisphere) spring, and by biologically available iron in the summer. Much of the biology in the area occurs along the major fronts of the current, the Subtropical, Subantarctic, and the Antarctic Polar fronts, these are areas associated with well defined temperature changes. Size and distribution of phytoplankton are also related to fronts. Microphytoplankton (>20 μm) are found at fronts and at sea ice boundaries, while nanophytoplankton (<20 μm) are found between fronts.
Studies of phytoplankton stocks in the southern sea have shown that the Antarctic Circumpolar Current is dominated by diatoms, while the Weddell Sea has abundant coccolithophorids and silicoflagellates. Surveys of the SW Indian Ocean have shown phytoplankton group variation based on their location relative to the Polar Front, with diatoms dominating South of the front, and dinoflagellates and flagellates in higher populations North of the front.
Some research has been conducted on Antarctic phytoplankton as a carbon sink. Areas of open water left from ice melt are good areas for phytoplankton blooms. The phytoplankton takes carbon from the atmosphere during photosynthesis. As the blooms die and sink, the carbon can be stored in sediments for thousands of years. This natural carbon sink is estimated to remove 3.5 million tonnes from the ocean each year. 3.5 million tonnes of carbon taken from the ocean and atmosphere is equivalent to 12.8 million tonnes of carbon dioxide.
Studies
An expedition in May 2008 by 19 scientists studied the geology and biology of eight Macquarie Ridge sea mounts, as well as the Antarctic Circumpolar Current to investigate the effects of climate change of the Southern Ocean. The circumpolar current merges the waters of the Atlantic, Indian, and Pacific Oceans and carries up to 150 times the volume of water flowing in all of the world's rivers. The study found that any damage on the cold-water corals nourished by the current will have a long-lasting effect. After studying the circumpolar current it is clear that it strongly influences regional and global climate as well as underwater biodiversity. The subject has been characterized recently as "the spectral peak of the global extra-tropical circulation at ≈ 10^4 kilometers".
The current helps preserve wooden shipwrecks by preventing wood-boring "ship worms" from reaching targets such as Ernest Shackleton's ship, the Endurance.
References
Notes
Sources
Currents of the Southern Ocean
Geography of the Southern Ocean
Climate of Chile
Subantarctic
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Aeschylus (, ; ; c. 525/524 – c. 456/455 BC) was an ancient Greek tragedian often described as the father of tragedy. Academic knowledge of the genre begins with his work, and understanding of earlier Greek tragedy is largely based on inferences made from reading his surviving plays. According to Aristotle, he expanded the number of characters in the theatre and allowed conflict among them. Formerly, characters interacted only with the chorus.
Only seven of Aeschylus's estimated 70 to 90 plays have survived. There is a long-standing debate regarding the authorship of one of them, Prometheus Bound, with some scholars arguing that it may be the work of his son Euphorion. Fragments from other plays have survived in quotations, and more continue to be discovered on Egyptian papyri. These fragments often give further insights into Aeschylus' work. He was likely the first dramatist to present plays as a trilogy. His Oresteia is the only extant ancient example. At least one of his plays was influenced by the Persians' second invasion of Greece (480–479 BC). This work, The Persians, is one of very few classical Greek tragedies concerned with contemporary events, and the only one extant. The significance of the war with Persia was so great to Aeschylus and the Greeks that his epitaph commemorates his participation in the Greek victory at Marathon while making no mention of his success as a playwright.
Life
Aeschylus was born around 525 in Eleusis, a small town about northwest of Athens, in the fertile valleys of western Attica. Some scholars argue that the date of Aeschylus's birth may be based on counting back 40 years from his first victory in the Great Dionysia. His family was wealthy and well established. His father, Euphorion, was said to be a member of the Eupatridae, the ancient nobility of Attica, but this might be a fiction invented by the ancients to account for the grandeur of Aeschylus' plays.
As a youth, Aeschylus worked at a vineyard until, according to the 2nd-century AD geographer Pausanias, the god Dionysus visited him in his sleep and commanded him to turn his attention to the nascent art of tragedy. As soon as he woke, he began to write a tragedy, and his first performance took place in 499 BC, when he was 26 years old. He won his first victory at the City Dionysia in 484 BC.
In 510 BC, when Aeschylus was 15 years old, Cleomenes I expelled the sons of Peisistratus from Athens, and Cleisthenes came to power. Cleisthenes' reforms included a system of registration that emphasized the importance of the deme over family tradition. In the last decade of the 6th century, Aeschylus and his family were living in the deme of Eleusis.
The Persian Wars played a large role in Aeschylus' life and career. In 490 BC, he and his brother Cynegeirus fought to defend Athens against the invading army of Darius I of Persia at the Battle of Marathon. The Athenians emerged triumphant, and the victory was celebrated across the city-states of Greece. Cynegeirus was killed while trying to prevent a Persian ship retreating from the shore, for which his countrymen extolled him as a hero.
In 480 BC, Aeschylus was called into military service again, together with his younger brother Ameinias, against Xerxes I's invading forces at the Battle of Salamis. Aeschylus also fought at the Battle of Plataea in 479 BC. Ion of Chios was a witness for Aeschylus' war record and his contribution in Salamis. Salamis holds a prominent place in The Persians, his oldest surviving play, which was performed in 472 BC and won first prize at the Dionysia.
Aeschylus was one of many Greeks who were initiated into the Eleusinian Mysteries, an ancient cult of Demeter based in his home town of Eleusis. According to Aristotle, Aeschylus was accused of asebeia (impiety) for revealing some of the cult's secrets on stage.
Other sources claim that an angry mob tried to kill Aeschylus on the spot but he fled the scene. Heracleides of Pontus asserts that the audience tried to stone Aeschylus. Aeschylus took refuge at the altar in the orchestra of the Theater of Dionysus. He pleaded ignorance at his trial. He was acquitted, with the jury sympathetic to the military service of him and his brothers during the Persian Wars. According to the 2nd-century AD author Aelian, Aeschylus' younger brother Ameinias helped to acquit Aeschylus by showing the jury the stump of the hand he had lost at Salamis, where he was voted bravest warrior. The truth is that the award for bravery at Salamis went not to Aeschylus' brother but to Ameinias of Pallene.
Aeschylus travelled to Sicily once or twice in the 470s BC, having been invited by Hiero I, tyrant of Syracuse, a major Greek city on the eastern side of the island. He produced The Women of Aetna during one of these trips (in honor of the city founded by Hieron), and restaged his Persians. By 473 BC, after the death of Phrynichus, one of his chief rivals, Aeschylus was the yearly favorite in the Dionysia, winning first prize in nearly every competition. In 472 BC, Aeschylus staged the production that included the Persians, with Pericles serving as choregos.
Personal life
Aeschylus married and had two sons, Euphorion and Euaeon, both of whom became tragic poets. Euphorion won first prize in 431 BC in competition against both Sophocles and Euripides. A nephew of Aeschylus, Philocles (his sister's son), was also a tragic poet, and won first prize in the competition against Sophocles' Oedipus Rex. Aeschylus had at least two brothers, Cynegeirus and Ameinias.
Death
In 458 BC, Aeschylus returned to Sicily for the last time, visiting the city of Gela, where he died in 456 or 455 BC. Valerius Maximus wrote that he was killed outside the city by a tortoise dropped by an eagle which had mistaken his head for a rock suitable for shattering the shell, and killed him. Pliny, in his Naturalis Historiæ, adds that Aeschylus had been staying outdoors to avoid a prophecy that he would be killed by a falling object, but this story may be legendary and due to a misunderstanding of the iconography on Aeschylus' tomb. Aeschylus' work was so respected by the Athenians that after his death his tragedies were the only ones allowed to be restaged in subsequent competitions. His sons Euphorion and Euæon and his nephew Philocles also became playwrights.
The inscription on Aeschylus' gravestone makes no mention of his theatrical renown, commemorating only his military achievements:
According to Castoriadis, the inscription on his grave signifies the primary importance of "belonging to the City" (polis), of the solidarity that existed within the collective body of citizen-soldiers.
Works
The seeds of Greek drama were sown in religious festivals for the gods, chiefly Dionysus, the god of wine. During Aeschylus' lifetime, dramatic competitions became part of the City Dionysia, held in spring. The festival opened with a procession which was followed by a competition of boys singing dithyrambs, and all culminated in a pair of dramatic competitions. The first competition Aeschylus would have participated in involved three playwrights each presenting three tragedies and one satyr play. Such format is called a continuous tragic tetralogy. It allowed Aeschylus to explore the human and theological and cosmic dimensions of a mythic sequence, developing it in successive phases. A second competition involving five comedic playwrights followed, and the winners of both competitions were chosen by a panel of judges.
Aeschylus entered many of these competitions, and various ancient sources attribute between seventy and ninety plays to him. Only seven tragedies attributed to him have survived intact: The Persians, Seven Against Thebes, The Suppliants, the trilogy known as The Oresteia (the three tragedies Agamemnon, The Libation Bearers and The Eumenides), and Prometheus Bound (whose authorship is disputed). With the exception of this last play – the success of which is uncertain – all of Aeschylus's extant tragedies are known to have won first prize at the City Dionysia.
The Alexandrian Life of Aeschylus claims that he won the first prize at the City Dionysia thirteen times. This compares favorably with Sophocles' reported eighteen victories (with a substantially larger catalogue, an estimated 120 plays), and dwarfs the five victories of Euripides, who is thought to have written roughly 90 plays.
Trilogies
One hallmark of Aeschylean dramaturgy appears to have been his tendency to write connected trilogies in which each play serves as a chapter in a continuous dramatic narrative. The Oresteia is the only extant example of this type of connected trilogy, but there is evidence that Aeschylus often wrote such trilogies. The satyr plays that followed his tragic trilogies also drew from myth.
The satyr play Proteus, which followed the Oresteia, treated the story of Menelaus' detour in Egypt on his way home from the Trojan War. It is assumed, based on the evidence provided by a catalogue of Aeschylean play titles, scholia, and play fragments recorded by later authors, that three other extant plays of his were components of connected trilogies: Seven Against Thebes was the final play in an Oedipus trilogy, and The Suppliants and Prometheus Bound were each the first play in a Danaid trilogy and Prometheus trilogy, respectively. Scholars have also suggested several completely lost trilogies, based on known play titles. A number of these treated myths about the Trojan War. One, collectively called the Achilleis, comprised Myrmidons, Nereids and Phrygians (alternately, The Ransoming of Hector).
Another trilogy apparently recounted the entrance of the Trojan ally Memnon into the war, and his death at the hands of Achilles (Memnon and The Weighing of Souls being two components of the trilogy). The Award of the Arms, The Phrygian Women, and The Salaminian Women suggest a trilogy about the madness and subsequent suicide of the Greek hero Ajax. Aeschylus seems to have written about Odysseus' return to Ithaca after the war (including his killing of his wife Penelope's suitors and its consequences) in a trilogy consisting of The Soul-raisers, Penelope, and The Bone-gatherers. Other suggested trilogies touched on the myth of Jason and the Argonauts (Argô, Lemnian Women, Hypsipylê), the life of Perseus (The Net-draggers, Polydektês, Phorkides), the birth and exploits of Dionysus (Semele, Bacchae, Pentheus), and the aftermath of the war portrayed in Seven Against Thebes (Eleusinians, Argives (or Argive Women), Sons of the Seven).
Surviving plays
The Persians (472 BC)
The Persians (Persai) is the earliest of Aeschylus' extant plays. It was performed in 472 BC. It was based on Aeschylus' own experiences, specifically the Battle of Salamis. It is unique among surviving Greek tragedies in that it describes a recent historical event. The Persians focuses on the popular Greek theme of hubris and blames Persia's loss on the pride of its king.
It opens with the arrival of a messenger in Susa, the Persian capital, bearing news of the catastrophic Persian defeat at Salamis, to Atossa, the mother of the Persian King Xerxes. Atossa then travels to the tomb of Darius, her husband, where his ghost appears, to explain the cause of the defeat. It is, he says, the result of Xerxes' hubris in building a bridge across the Hellespont, an action which angered the gods. Xerxes appears at the end of the play, not realizing the cause of his defeat, and the play closes to lamentations by Xerxes and the chorus.
Seven Against Thebes (467 BC)
Seven against Thebes (Hepta epi Thebas) was performed in 467 BC. It has the contrasting theme of the interference of the gods in human affairs. Another theme, with which Aeschylus' would continually involve himself, makes its first known appearance in this play, namely that the polis was a key development of human civilization.
The play tells the story of Eteocles and Polynices, the sons of the shamed king of Thebes, Oedipus. Eteocles and Polynices agree to share and alternate the throne of the city. After the first year, Eteocles refuses to step down. Polynices therefore undertakes war. The pair kill each other in single combat, and the original ending of the play consisted of lamentations for the dead brothers. But a new ending was added to the play some fifty years later: Antigone and Ismene mourn their dead brothers, a messenger enters announcing an edict prohibiting the burial of Polynices, and Antigone declares her intention to defy this edict. The play was the third in a connected Oedipus trilogy. The first two plays were Laius and Oedipus. The concluding satyr play was The Sphinx.
The Suppliants (463 BC)
Aeschylus continued his emphasis on the polis with The Suppliants (Hiketides) in 463 BC. The play gives tribute to the democratic undercurrents which were running through Athens and preceding the establishment of a democratic government in 461. The Danaids (50 daughters of Danaus, founder of Argos) flee a forced marriage to their cousins in Egypt. They turn to King Pelasgus of Argos for protection, but Pelasgus refuses until the people of Argos weigh in on the decision (a distinctly democratic move on the part of the king). The people decide that the Danaids deserve protection and are allowed within the walls of Argos despite Egyptian protests.
A Danaid trilogy had long been assumed because of The Suppliants''' cliffhanger ending. This was confirmed by the 1952 publication of Oxyrhynchus Papyrus 2256 fr. 3. The constituent plays are generally agreed to be The Suppliants and The Egyptians and The Danaids. A plausible reconstruction of the trilogy's last two-thirds runs thus: In The Egyptians, the Argive-Egyptian war threatened in the first play has transpired. King Pelasgus was killed during the war, and Danaus rules Argos. Danaus negotiates a settlement with Aegyptus, a condition of which requires his 50 daughters to marry the 50 sons of Aegyptus. Danaus secretly informs his daughters of an oracle which predicts that one of his sons-in-law would kill him. He orders the Danaids to murder their husbands therefore on their wedding night. His daughters agree. The Danaids would open the day after the wedding.
It is revealed that 49 of the 50 Danaids killed their husbands. Hypermnestra did not kill her husband, Lynceus, and helped him escape. Danaus is angered by his daughter's disobedience and orders her imprisonment and possibly execution. In the trilogy's climax and dénouement, Lynceus reveals himself to Danaus and kills him, thus fulfilling the oracle. He and Hypermnestra will establish a ruling dynasty in Argos. The other 49 Danaids are absolved of their murders, and married off to unspecified Argive men. The satyr play following this trilogy was titled Amymone, after one of the Danaids.
The Oresteia (458 BC)
Besides a few missing lines, the Oresteia of 458 BC is the only complete trilogy of Greek plays by any playwright still extant (of Proteus, the satyr play which followed, only fragments are known). Agamemnon and The Libation Bearers (Choephoroi) and The Eumenides together tell the violent story of the family of Agamemnon, king of Argos.
Agamemnon
Aeschylus begins in Greece, describing the return of King Agamemnon from his victory in the Trojan War, from the perspective of the townspeople (the Chorus) and his wife, Clytemnestra. Dark foreshadowings build to the death of the king at the hands of his wife, who was angry that their daughter Iphigenia was killed so that the gods would restore the winds and allow the Greek fleet to sail to Troy. Clytemnestra was also unhappy that Agamemnon kept the Trojan prophetess Cassandra as his concubine. Cassandra foretells the murder of Agamemnon and of herself to the assembled townsfolk, who are horrified. She then enters the palace knowing that she cannot avoid her fate. The ending of the play includes a prediction of the return of Orestes, son of Agamemnon, who will seek to avenge his father.
The Libation BearersThe Libation Bearers opens with Orestes' arrival at Agamemnon's tomb, from exile in Phocis. Electra meets Orestes there. They plan revenge against Clytemnestra and her lover, Aegisthus. Clytemnestra's account of a nightmare in which she gives birth to a snake is recounted by the chorus. This leads her to order her daughter, Electra, to pour libations on Agamemnon's tomb (with the assistance of libation bearers) in hope of making amends. Orestes enters the palace pretending to bear news of his own death. Clytemnestra calls in Aegisthus to learn the news. Orestes kills them both. Orestes is then beset by the Furies, who avenge the murders of kin in Greek mythology.
The Eumenides
The third play addresses the question of Orestes' guilt. The Furies drive Orestes from Argos and into the wilderness. He makes his way to the temple of Apollo and begs Apollo to drive the Furies away. Apollo had encouraged Orestes to kill Clytemnestra, so he bears some of the guilt for the murder. Apollo sends Orestes to the temple of Athena with Hermes as a guide.
The Furies track him down, and Athena steps in and declares that a trial is necessary. Apollo argues Orestes' case, and after the judges (including Athena) deliver a tie vote, Athena announces that Orestes is acquitted. She renames the Furies The Eumenides (The Good-spirited, or Kindly Ones), and extols the importance of reason in the development of laws. As in The Suppliants, the ideals of a democratic Athens are praised.
Prometheus Bound (date disputed)Prometheus Bound is attributed to Aeschylus by ancient authorities. Since the late 19th century, however, scholars have increasingly doubted this ascription, largely on stylistic grounds. Its production date is also in dispute, with theories ranging from the 480s BC to as late as the 410s.
The play consists mostly of static dialogue. The Titan Prometheus is bound to a rock throughout, which is his punishment from the Olympian Zeus for providing fire to humans. The god Hephaestus and the Titan Oceanus and the chorus of Oceanids all express sympathy for Prometheus' plight. Prometheus is met by Io, a fellow victim of Zeus' cruelty. He prophesies her future travels, revealing that one of her descendants will free Prometheus. The play closes with Zeus sending Prometheus into the abyss because Prometheus will not tell him of a potential marriage which could prove Zeus' downfall.Prometheus Bound seems to have been the first play in a trilogy, the Prometheia. In the second play, Prometheus Unbound, Heracles frees Prometheus from his chains and kills the eagle that had been sent daily to eat Prometheus' perpetually regenerating liver, then believed the source of feeling. We learn that Zeus has released the other Titans which he imprisoned at the conclusion of the Titanomachy, perhaps foreshadowing his eventual reconciliation with Prometheus.
In the trilogy's conclusion, Prometheus the Fire-Bringer, it seems that the Titan finally warns Zeus not to sleep with the sea nymph Thetis, for she is fated to beget a son greater than the father. Not wishing to be overthrown, Zeus marries Thetis off to the mortal Peleus. The product of that union is Achilles, Greek hero of the Trojan War. After reconciling with Prometheus, Zeus probably inaugurates a festival in his honor at Athens.
Lost plays
Of Aeschylus' other plays, only titles and assorted fragments are known. There are enough fragments (along with comments made by later authors and scholiasts) to produce rough synopses for some plays.
Myrmidons
This play was based on books 9 and 16 of the Iliad. Achilles sits in silent indignation over his humiliation at Agamemnon's hands for most of the play. Envoys from the Greek army attempt to reconcile Achilles to Agamemnon, but he yields only to Patroclus, who then battles the Trojans in Achilles' armour. The bravery and death of Patroclus are reported in a messenger's speech, which is followed by mourning.
Nereids
This play was based on books 18 and 19 and 22 of the Iliad. It follows the Daughters of Nereus, the sea god, who lament Patroclus' death. A messenger tells how Achilles (perhaps reconciled to Agamemnon and the Greeks) slew Hector.
Phrygians, or Hector's Ransom
After a brief discussion with Hermes, Achilles sits in silent mourning over Patroclus. Hermes then brings in King Priam of Troy, who wins over Achilles and ransoms his son's body in a spectacular coup de théâtre. A scale is brought on stage and Hector's body is placed in one scale and gold in the other. The dynamic dancing of the chorus of Trojans when they enter with Priam is reported by Aristophanes.
Niobe
The children of Niobe, the heroine, have been slain by Apollo and Artemis because Niobe had gloated that she had more children than their mother, Leto. Niobe sits in silent mourning on stage during most of the play. In the Republic, Plato quotes the line "God plants a fault in mortals when he wills to destroy a house utterly."
These are the remaining 71 plays ascribed to Aeschylus which are known:AlcmeneAmymoneThe Archer-WomenThe Argivian WomenThe Argo, also titled The RowersAtalantaAthamasAttendants of the Bridal ChamberAward of the ArmsThe BacchaeThe BassaraeThe Bone-GatherersThe CabeiroiCallistoThe Carians, also titled EuropaCercyonChildren of HerculesCirceThe Cretan WomenCycnusThe DanaidsDaughters of HeliosDaughters of PhorcysThe DescendantsThe EdoniansThe EgyptiansThe EscortsGlaucus of PontusGlaucus of PotniaeHypsipyleIphigeniaIxionLaiusThe Lemnian WomenThe LionLycurgusMemnonThe Men of EleusisThe MessengersThe MyrmidonsThe MysiansNemeaThe Net-DraggersThe Nurses of DionysusOrethyiaPalamedesPenelopePentheusPerrhaibidesPhiloctetesPhineusThe Phrygian WomenPolydectesThe PriestessesPrometheus the Fire-BearerPrometheus the Fire-KindlerPrometheus UnboundProteusSemele, also titled The Water-BearersSisyphus the RunawaySisyphus the Stone-RollerThe Spectators, also titled Athletes of the Isthmian GamesThe SphinxThe Spirit-RaisersTelephusThe Thracian WomenWeighing of SoulsWomen of Aetna (two versions)Women of SalamisXantriaeThe YouthsInfluence
Influence on Greek drama and culture
The theatre was just beginning to evolve when Aeschylus started writing for it. Earlier playwrights such as Thespis had already expanded the cast to include an actor who was able to interact with the chorus. Aeschylus added a second actor, allowing for greater dramatic variety, while the chorus played a less important role. He is sometimes credited with introducing skenographia, or scene-decoration, though Aristotle gives this distinction to Sophocles. Aeschylus is also said to have made the costumes more elaborate and dramatic, and made his actors wear platform boots (cothurni) to make them more visible to the audience. According to a later account of Aeschylus' life, the chorus of Furies in the first performance of the Eumenides were so frightening when they entered that children fainted and patriarchs urinated and pregnant women went into labour.
Aeschylus wrote his plays in verse. No violence is performed onstage. The plays have a remoteness from daily life in Athens, relating stories about the gods, or being set, like The Persians, far away. Aeschylus' work has a strong moral and religious emphasis. The Oresteia trilogy concentrated on humans' position in the cosmos relative to the gods and divine law and divine punishment.
Aeschylus' popularity is evident in the praise that the comic playwright Aristophanes gives him in The Frogs, produced some 50 years after Aeschylus' death. Aeschylus appears as a character in the play and claims, at line 1022, that his Seven against Thebes "made everyone watching it to love being warlike". He claims, at lines 1026–7, that with The Persians he "taught the Athenians to desire always to defeat their enemies." Aeschylus goes on to say, at lines 1039ff., that his plays inspired the Athenians to be brave and virtuous.
Influence outside Greek culture
Aeschylus' works were influential beyond his own time. Hugh Lloyd-Jones draws attention to Richard Wagner's reverence of Aeschylus. Michael Ewans argues in his Wagner and Aeschylus. The Ring and the Oresteia (London: Faber. 1982) that the influence was so great as to merit a direct character by character comparison between Wagner's Ring and Aeschylus's Oresteia. But a critic of that book, while not denying that Wagner read and respected Aeschylus, has described the arguments as unreasonable and forced.
J.T. Sheppard argues in the second half of his Aeschylus and Sophocles: Their Work and Influence that Aeschylus and Sophocles have played a major part in the formation of dramatic literature from the Renaissance to the present, specifically in French and Elizabethan drama. He also claims that their influence went beyond just drama and applies to literature in general, citing Milton and the Romantics.
Eugene O'Neill's Mourning Becomes Electra (1931), a trilogy of three plays set in America after the Civil War, is modeled after the Oresteia. Before writing his acclaimed trilogy, O'Neill had been developing a play about Aeschylus, and he noted that Aeschylus "so changed the system of the tragic stage that he has more claim than anyone else to be regarded as the founder (Father) of Tragedy."
During his presidential campaign in 1968, Senator Robert F. Kennedy quoted the Edith Hamilton translation of Aeschylus on the night of the assassination of Martin Luther King Jr. Kennedy was notified of King's murder before a campaign stop in Indianapolis, Indiana, and was warned not to attend the event due to fears of rioting from the mostly African-American crowd. Kennedy insisted on attending and delivered an impromptu speech that delivered news of King's death. Acknowledging the audience's emotions, Kennedy referred to his own grief at the murder of Martin Luther King and, quoting a passage from the play Agamemnon (in translation), said: "My favorite poet was Aeschylus. And he once wrote: 'Even in our sleep, pain which cannot forget falls drop by drop upon the heart, until in our own despair, against our will, comes wisdom through the awful grace of God.' What we need in the United States is not division; what we need in the United States is not hatred; what we need in the United States is not violence and lawlessness; but is love and wisdom, and compassion toward one another, and a feeling of justice toward those who still suffer within our country, whether they be white or whether they be black ... Let us dedicate ourselves to what the Greeks wrote so many years ago: to tame the savageness of man and make gentle the life of this world." The quotation from Aeschylus was later inscribed on a memorial at the gravesite of Robert Kennedy following his own assassination.
Editions
Ulrich von Wilamowitz-Moellendorff, Aeschyli Tragoediae. Editio maior, Berlin 1914.
Gilbert Murray, Aeschyli Septem Quae Supersunt Tragoediae. Editio Altera, Oxford 1955.
Denys Page, Aeschyli Septem Quae Supersunt Tragoediae, Oxford 1972.
Martin L. West, Aeschyli Tragoediae cum incerti poetae Prometheo, 2nd ed., Stuttgart/Leipzig 1998.
The first translation of the seven plays into English was by Robert Potter in 1779, using blank verse for the iambic trimeters and rhymed verse for the choruses, a convention adopted by most translators for the next century.
Anna Swanwick produced a verse translation in English of all seven surviving plays as The Dramas of Aeschylus in 1886 full text
Stefan Radt (ed.), Tragicorum Graecorum Fragmenta. Vol. III: Aeschylus (Göttingen, Vandenhoeck & Ruprecht, 2009) (Tragicorum Graecorum Fragmenta, 3).
Alan H. Sommerstein (ed.), Aeschylus, Volume II, Oresteia: Agamemnon. Libation-bearers. Eumenides. 146 (Cambridge, Massachusetts/London: Loeb Classical Library, 2009); Volume III, Fragments. 505 (Cambridge, Massachusetts/London: Loeb Classical Library, 2008).
See also
2876 Aeschylus, an asteroid named for him
Ancient Greek literature
Ancient Greek mythology
Ancient Greek religion
Battle of Marathon
Classical Greece
Dionysia
Music of ancient Greece
Theatre of ancient Greece
"Live by the sword, die by the sword"
Notes
Citations
References
Bierl, A. Die Orestie des Aischylos auf der modernen Bühne: Theoretische Konzeptionen und ihre szenische Realizierung (Stuttgart: Metzler, 1997)
Cairns, D., V. Liapis, Dionysalexandros: Essays on Aeschylus and His Fellow Tragedians in Honour of Alexander F. Garvie (Swansea: The Classical Press of Wales, 2006)
Deforge, B. Une vie avec Eschyle. Vérité des mythes (Paris, Les Belles Lettres, 2010)
Lefkowitz, Mary (1981). The Lives of the Greek Poets. University of North Carolina Press
— (2002). Greek Drama and Dramatists. London: Routledge Press.
Summers, David (2007). Vision, Reflection, and Desire in Western Painting. University of North Carolina Press
Thomson, George (1973) Aeschylus and Athens: A Study in the Social Origin of Drama. London: Lawrence and Wishart (4th edition)
Vellacott, Philip, (1961). Prometheus Bound and Other Plays: Prometheus Bound, Seven Against Thebes, and The Persians. New York: Penguin Classics.
Zeitlin, Froma (1982). Under the sign of the shield: semiotics and Aeschylus' Seven against Thebes. Lanham, Md.: Lexington Books, 2nd ed. 2009 (Greek studies: interdisciplinary approaches)
Zetlin, Froma (1996). "The dynamics of misogyny: myth and mythmaking in Aeschylus's Oresteia", in Froma Zeitlin, Playing the Other: Gender and Society in Classical Greek Literature. Chicago: University of Chicago Press. pp. 87–119.
Zeitlin, Froma (1996). "The politics of Eros in the Danaid trilogy of Aeschylus", in Froma Zeitlin, Playing the Other: Gender and Society in Classical Greek Literature''. Chicago: University of Chicago Press. pp. 123–171.
External links
Selected Poems of Aeschylus
Aeschylus-related materials at the Perseus Digital Library
Complete syntax diagrams at Alpheios
Online English Translations of Aeschylus
Photo of a fragment of The Net-pullers
"Aeschylus, I: Persians" from the Loeb Classical Library, Harvard University Press
"Aeschylus, II: The Oresteia" from the Loeb Classical Library, Harvard University Press
"Aeschylus, III: Fragments" from the Loeb Classical Library, Harvard University Press
5th-century BC Greek people
5th-century BC writers
520s BC births
450s BC deaths
Year of birth uncertain
Year of death uncertain
Tragic poets
Ancient Greeks accused of sacrilege
Greek people of the Greco-Persian Wars
Battle of Marathon
Accidental deaths in Italy
Deaths due to animal attacks
Bird attacks
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Augustine of Hippo ( , ; ; 13 November 354 – 28 August 430), also known as Saint Augustine, was a theologian and philosopher of Berber origin and the bishop of Hippo Regius in Numidia, Roman North Africa. His writings influenced the development of Western philosophy and Western Christianity, and he is viewed as one of the most important Church Fathers of the Latin Church in the Patristic Period. His many important works include The City of God, On Christian Doctrine, and Confessions.
According to his contemporary, Jerome, Augustine "established anew the ancient Faith". In his youth he was drawn to the Manichaean faith, and later to the Hellenistic philosophy of Neoplatonism. After his conversion to Christianity and baptism in 386, Augustine developed his own approach to philosophy and theology, accommodating a variety of methods and perspectives. Believing the grace of Christ was indispensable to human freedom, he helped formulate the doctrine of original sin and made significant contributions to the development of just war theory. When the Western Roman Empire began to disintegrate, Augustine imagined the Church as a spiritual City of God, distinct from the material Earthly City. The segment of the Church that adhered to the concept of the Trinity as defined by the Council of Nicaea and the Council of Constantinople closely identified with Augustine's On the Trinity.
Augustine is recognized as a saint in the Catholic Church, the Eastern Orthodox Church, the Lutheran Churches and the Anglican Communion. He is also a preeminent Catholic Doctor of the Church and the patron of the Augustinians. His memorial is celebrated on 28 August, the day of his death. Augustine is the patron saint of brewers, printers, theologians, and a number of cities and dioceses. His thoughts profoundly influenced the medieval worldview. Many Protestants, especially Calvinists and Lutherans, consider him one of the theological fathers of the Protestant Reformation due to his teachings on salvation and divine grace. Protestant Reformers generally, and Martin Luther in particular, held Augustine in preeminence among early Church Fathers. From 1505 to 1521, Luther was a member of the Order of the Augustinian Eremites.
In the East, his teachings are more disputed, and were notably attacked by John Romanides, but other theologians and figures of the Eastern Orthodox Church have shown significant approbation of his writings, chiefly Georges Florovsky. The most controversial doctrine associated with him, the filioque, was rejected by the Eastern Orthodox Church. Other disputed teachings include his views on original sin, the doctrine of grace, and predestination. Though considered to be mistaken on some points, he is still considered a saint and has influenced some Eastern Church Fathers, most notably Gregory Palamas. In the Greek and Russian Orthodox Churches, his feast day is celebrated on 15 June. The historian Diarmaid MacCulloch has written: "Augustine's impact on Western Christian thought can hardly be overstated; only his beloved example, Paul of Tarsus, has been more influential, and Westerners have generally seen Paul through Augustine's eyes."
Life
Background
Augustine of Hippo, also known as Saint Augustine or Saint Austin, is known by various cognomens throughout the many denominations of the Christian world, including Blessed Augustine and the Doctor of Grace ().
Hippo Regius, where Augustine was the bishop, was in modern-day Annaba, Algeria.
Childhood and education
Augustine was born in 354 in the municipium of Thagaste (now Souk Ahras, Algeria) in the Roman province of Numidia. His mother, Monica or Monnica, was a devout Christian; his father Patricius was a pagan who converted to Christianity on his deathbed. He had a brother named Navigius and a sister whose name is lost but is conventionally remembered as Perpetua.
Scholars generally agree that Augustine and his family were Berbers, an ethnic group indigenous to North Africa, but were heavily Romanized, speaking only Latin at home as a matter of pride and dignity. In his writings, Augustine leaves some information as to the consciousness of his African heritage, at least geographically and perhaps ethnically. For example, he refers to Apuleius as "the most notorious of us Africans," to Ponticianus as "a country man of ours, insofar as being African," and to Faustus of Mileve as "an African Gentleman".
Augustine's family name, Aurelius, suggests his father's ancestors were freedmen of the gens Aurelia given full Roman citizenship by the Edict of Caracalla in 212. Augustine's family had been Roman, from a legal standpoint, for at least a century when he was born. It is assumed that his mother, Monica, was of Berber origin, on the basis of her name, but as his family were honestiores, an upper class of citizens known as honorable men, Augustine's first language was likely Latin.
At the age of 11, Augustine was sent to school at Madaurus (now M'Daourouch), a small Numidian city about south of Thagaste. There he became familiar with Latin literature, as well as pagan beliefs and practices. His first insight into the nature of sin occurred when he and a number of friends stole fruit they did not want from a neighborhood garden. He tells this story in his autobiography, Confessions. He remembers he stole the fruit, not because he was hungry, but because "it was not permitted." His very nature, he says, was flawed. "It was foul, and I loved it. I loved my own error—not that for which I erred, but the error itself." From this incident he concluded the human person is naturally inclined to sin, and in need of the grace of Christ.
At the age of 17, through the generosity of his fellow citizen Romanianus, Augustine went to Carthage to continue his education in rhetoric, though it was above the financial means of his family. In spite of the good warnings of his mother, as a youth Augustine lived a hedonistic lifestyle for a time, associating with young men who boasted of their sexual exploits. The need to gain their acceptance encouraged inexperienced boys like Augustine to seek or make up stories about sexual experiences. Despite multiple claims to the contrary, it has been suggested that Augustine's actual sexual experiences were likely with members of the opposite sex only.
It was while he was a student in Carthage that he read Cicero's dialogue Hortensius (now lost), which he described as leaving a lasting impression, enkindling in his heart the love of wisdom and a great thirst for truth. It started his interest in philosophy. Although raised Christian, Augustine became a Manichaean, much to his mother's chagrin.
At about the age of 17, Augustine began a relationship with a young woman in Carthage. Though his mother wanted him to marry a person of his class, the woman remained his lover. He was warned by his mother to avoid fornication (sex outside marriage), but Augustine persisted in the relationship for over fifteen years, and the woman gave birth to his son Adeodatus (372–388), which means "Gift from God", who was viewed as extremely intelligent by his contemporaries. In 385, Augustine ended his relationship with his lover in order to prepare to marry a teenaged heiress. By the time he was able to marry her, however, he had decided to become a Christian priest and the marriage did not happen.
Augustine was, from the beginning, a brilliant student, with an eager intellectual curiosity, but he never mastered Greek – his first Greek teacher was a brutal man who constantly beat his students, and Augustine rebelled and refused to study. By the time he realized he needed to know Greek, it was too late; and although he acquired a smattering of the language, he was never eloquent with it. He did however, become a master of Latin.
Move to Carthage, Rome, and Milan
Augustine taught grammar at Thagaste during 373 and 374. The following year he moved to Carthage to conduct a school of rhetoric and remained there for the next nine years. Disturbed by unruly students in Carthage, he moved to establish a school in Rome, where he believed the best and brightest rhetoricians practiced, in 383. However, Augustine was disappointed with the apathetic reception. It was the custom for students to pay their fees to the professor on the last day of the term, and many students attended faithfully all term, and then did not pay.
Manichaean friends introduced him to the prefect of the City of Rome, Symmachus, who had been asked by the imperial court at Milan to provide a rhetoric professor. Augustine won the job and headed north to take his position in Milan in late 384. Thirty years old, he had won the most visible academic position in the Latin world at a time when such posts gave ready access to political careers.
Although Augustine spent ten years as a Manichaean, he was never an initiate or "elect", but an "auditor", the lowest level in this religion's hierarchy. While still at Carthage a disappointing meeting with the Manichaean bishop, Faustus of Mileve, a key exponent of Manichaean theology, started Augustine's scepticism of Manichaeanism. In Rome, he reportedly turned away from Manichaeanism, embracing the scepticism of the New Academy movement. Because of his education, Augustine had great rhetorical prowess and was very knowledgeable of the philosophies behind many faiths. At Milan, his mother's religiosity, Augustine's own studies in Neoplatonism, and his friend Simplicianus all urged him towards Christianity. This was shortly after the Roman emperor Theodosius I declared Christianity to be the only legitimate religion for the Roman Empire on 27 February 380 by the Edict of Thessalonica and then issued a decree of death for all Manichaean monks in 382. Initially Augustine was not strongly influenced by Christianity and its ideologies, but after coming in contact with Ambrose of Milan, Augustine reevaluated himself and was forever changed.
Augustine arrived in Milan and visited Ambrose, having heard of his reputation as an orator. Like Augustine, Ambrose was a master of rhetoric, but older and more experienced. Soon, their relationship grew, as Augustine wrote, "And I began to love him, of course, not at the first as a teacher of the truth, for I had entirely despaired of finding that in thy Church—but as a friendly man." Augustine was very much influenced by Ambrose, even more than by his own mother and others he admired. In his Confessions, Augustine states, "That man of God received me as a father would, and welcomed my coming as a good bishop should." Ambrose adopted Augustine as a spiritual son after the death of Augustine's father.
Augustine's mother had followed him to Milan and arranged a respectable marriage for him. Although Augustine acquiesced, he had to dismiss his concubine and grieved for having forsaken his lover. He wrote, "My mistress being torn from my side as an impediment to my marriage, my heart, which clave to her, was racked, and wounded, and bleeding." Augustine confessed he had not been a lover of wedlock so much as a slave of lust, so he procured another concubine since he had to wait two years until his fiancée came of age. However, his emotional wound was not healed. It was during this period that he uttered his famously insincere prayer, "Grant me chastity and continence, but not yet."
There is evidence Augustine may have considered this former relationship to be equivalent to marriage. In his Confessions, he admitted the experience eventually produced a decreased sensitivity to pain. Augustine eventually broke off his engagement to his eleven-year-old fiancée, but never renewed his relationship with either of his concubines. Alypius of Thagaste steered Augustine away from marriage, saying they could not live a life together in the love of wisdom if he married. Augustine looked back years later on the life at Cassiciacum, a villa outside of Milan where he gathered with his followers, and described it as Christianae vitae otium – the leisure of Christian life.
Conversion to Christianity and priesthood
In late August of 386, at the age of 31, having heard of Ponticianus's and his friends' first reading of the life of Anthony of the Desert, Augustine converted to Christianity. As Augustine later told it, his conversion was prompted by hearing a child's voice say "take up and read" (). Resorting to the sortes biblicae, he opened a book of St. Paul's writings (codex apostoli, 8.12.29) at random and read Romans 13: 13–14: "Not in rioting and drunkenness, not in chambering and wantonness, not in strife and envying, but put on the Lord Jesus Christ, and make no provision for the flesh to fulfill the lusts thereof."
He later wrote an account of his conversion in his Confessions (), which has since become a classic of Christian theology and a key text in the history of autobiography. This work is an outpouring of thanksgiving and penitence. Although it is written as an account of his life, the Confessions also talks about the nature of time, causality, free will, and other important philosophical topics. The following is taken from that work:
Ambrose baptized Augustine and his son Adeodatus, in Milan on Easter Vigil, 24–25 April 387. A year later, in 388, Augustine completed his apology On the Holiness of the Catholic Church. That year, also, Adeodatus and Augustine returned home to Africa. Augustine's mother Monica died at Ostia, Italy, as they prepared to embark for Africa. Upon their arrival, they began a life of aristocratic leisure at Augustine's family's property. Soon after, Adeodatus, too, died. Augustine then sold his patrimony and gave the money to the poor. He only kept the family house, which he converted into a monastic foundation for himself and a group of friends. Furthermore, while he was known for his major contributions regarding Christian rhetoric, another major contribution was his preaching style.
After converting to Christianity, Augustine turned against his profession as a rhetoric professor in order to devote more time to preaching. In 391 Augustine was ordained a priest in Hippo Regius (now Annaba), in Algeria. He was especially interested in discovering how his previous rhetorical training in Italian schools would help the Christian Church achieve its objective of discovering and teaching the different scriptures in the Bible. He became a famous preacher (more than 350 preserved sermons are believed to be authentic), and was noted for combating the Manichaean religion, to which he had formerly adhered. He preached around 6,000 to 10,000 sermons when he was alive; however, there are only around 500 sermons that are accessible today. When Augustine preached his sermons, they were recorded by stenographers. Some of his sermons would last over one hour and he would preach multiple times throughout a given week. When talking to his audience, he would stand on an elevated platform; however, he would walk towards the audience during his sermons. When he was preaching, he used a variety of rhetorical devices that included analogies, word pictures, similes, metaphors, repetition, and antithesis when trying to explain more about the Bible. In addition, he used questions and rhymes when talking about the differences between people's life on Earth and Heaven as seen in one of his sermons that was preached in 412 AD. Augustine believed that the preachers' ultimate goal is to ensure the salvation of their audience.
In 395, he was made coadjutor Bishop of Hippo and became full Bishop shortly thereafter, hence the name "Augustine of Hippo"; and he gave his property to the church of Thagaste. He remained in that position until his death in 430. Bishops were the only individuals allowed to preach when he was alive and he scheduled time to preach after being ordained despite a busy schedule made up of preparing sermons and preaching at other churches besides his own. When serving as the Bishop of Hippo, his goal was to minister to individuals in his congregation and he would choose the passages that the church planned to read every week. As bishop, he believed that it was his job to interpret the work of the Bible. He wrote his autobiographical Confessions in 397–398. His work The City of God was written to console his fellow Christians shortly after the Visigoths had sacked Rome in 410. Augustine worked tirelessly to convince the people of Hippo to convert to Christianity. Though he had left his monastery, he continued to lead a monastic life in the episcopal residence.
Much of Augustine's later life was recorded by his friend Possidius, bishop of Calama (present-day Guelma, Algeria), in his Sancti Augustini Vita. During this latter part of Augustine's life, he helped lead a large community of Christians against different political and religious factors which had major influence on his writings. Possidius admired Augustine as a man of powerful intellect and a stirring orator who took every opportunity to defend Christianity against its detractors. Possidius also described Augustine's personal traits in detail, drawing a portrait of a man who ate sparingly, worked tirelessly, despised gossip, shunned the temptations of the flesh, and exercised prudence in the financial stewardship of his see.
Death and sainthood
Shortly before Augustine's death, the Vandals, a Germanic tribe that had converted to Arianism, invaded Roman Africa. The Vandals besieged Hippo in the spring of 430, when Augustine entered his final illness. According to Possidius, one of the few miracles attributed to Augustine, the healing of an ill man, took place during the siege. Augustine has been cited to have excommunicated himself upon the approach of his death in an act of public penance and solidarity with sinners. Spending his final days in prayer and repentance, he requested the penitential Psalms of David be hung on his walls so he could read them and upon which led him to "[weep] freely and constantly" according to Posiddius' biography. He directed the library of the church in Hippo and all the books therein should be carefully preserved. He died on 28 August 430. Shortly after his death, the Vandals lifted the siege of Hippo, but they returned soon after and burned the city. They destroyed all but Augustine's cathedral and library, which they left untouched.
Augustine was canonized by popular acclaim, and later recognized as a Doctor of the Church in 1298 by Pope Boniface VIII. His feast day is 28 August, the day on which he died. He is considered the patron saint of brewers, printers, theologians, and a number of cities and dioceses. He is invoked against sore eyes.
Augustine is remembered in the Church of England's calendar of saints with a lesser festival on 28 August.
Relics
According to Bede's True Martyrology, Augustine's body was later translated or moved to Cagliari, Sardinia, by the Catholic bishops expelled from North Africa by Huneric. Around 720, his remains were transported again by Peter, bishop of Pavia and uncle of the Lombard king Liutprand, to the church of San Pietro in Ciel d'Oro in Pavia, in order to save them from frequent coastal raids by Saracens. In January 1327, Pope John XXII issued the papal bull Veneranda Santorum Patrum, in which he appointed the Augustinians guardians of the tomb of Augustine (called Arca), which was remade in 1362 and elaborately carved with bas-reliefs of scenes from Augustine's life, created by Giovanni di Balduccio.
In October 1695, some workmen in the Church of San Pietro in Ciel d'Oro in Pavia discovered a marble box containing human bones (including part of a skull). A dispute arose between the Augustinian hermits (Order of Saint Augustine) and the regular canons (Canons Regular of Saint Augustine) as to whether these were the bones of Augustine. The hermits did not believe so; the canons affirmed they were. Eventually Pope Benedict XIII (1724–1730) directed the Bishop of Pavia, Monsignor Pertusati, to make a determination. The bishop declared that, in his opinion, the bones were those of Augustine.
The Augustinians were expelled from Pavia in 1785, Augustine's ark and relics were brought to Pavia Cathedral in 1799. San Pietro fell into disrepair, but was finally restored in the 1870s, under the urging of Agostino Gaetano Riboldi, and reconsecrated in 1896 when the relics of Augustine and the shrine were once again reinstalled.
In 1842, a portion of Augustine's right arm (cubitus) was secured from Pavia and returned to Annaba. It now rests in the Saint Augustin Basilica within a glass tube inserted into the arm of a life-size marble statue of the saint.
Views and thought
Augustine's large contribution of writings covered diverse fields including theology, philosophy and sociology. Along with John Chrysostom, Augustine was among the most prolific scholars of the early church by quantity.
Theology
Christian anthropology
Augustine was one of the first Christian ancient Latin authors with a very clear vision of theological anthropology. He saw the human being as a perfect unity of soul and body. In his late treatise On Care to Be Had for the Dead, section 5 (420) he exhorted respect for the body on the grounds it belonged to the very nature of the human person. Augustine's favourite figure to describe body-soul unity is marriage: caro tua, coniunx tua – your body is your wife.
Initially, the two elements were in perfect harmony. After the fall of humanity they are now experiencing dramatic combat between one another. They are two categorically different things. The body is a three-dimensional object composed of the four elements, whereas the soul has no spatial dimensions. Soul is a kind of substance, participating in reason, fit for ruling the body.
Augustine was not preoccupied, as Plato and Descartes were, in detailed efforts to explain the metaphysics of the soul-body union. It sufficed for him to admit they are metaphysically distinct: to be a human is to be a composite of soul and body, with the soul superior to the body. The latter statement is grounded in his hierarchical classification of things into those that merely exist, those that exist and live, and those that exist, live, and have intelligence or reason.
Like other Church Fathers such as Athenagoras, Tertullian, Clement of Alexandria and Basil of Caesarea, Augustine "vigorously condemned the practice of induced abortion", and although he disapproved of an abortion during any stage of pregnancy, he made a distinction between early and later abortions. He acknowledged the distinction between "formed" and "unformed" fetuses mentioned in the Septuagint translation of Exodus 21:22–23, which incorrectly translates the word "harm" (from the original Hebrew text) as "form" in the Koine Greek of the Septuagint. His view was based on the Aristotelian distinction "between the fetus before and after its supposed 'vivification. Therefore, he did not classify as murder the abortion of an "unformed" fetus since he thought it could not be known with certainty the fetus had received a soul.
Augustine held that "the timing of the infusion of the soul was a mystery known to God alone". However, he considered procreation as "one of the goods of marriage; abortion figured as a means, along with drugs which cause sterility, of frustrating this good. It lay along a continuum which included infanticide as an instance of 'lustful cruelty' or 'cruel lust.' Augustine called the use of means to avoid the birth of a child an 'evil work:' a reference to either abortion or contraception or both."
Creation
In City of God, Augustine rejected both the contemporary ideas of ages (such as those of certain Greeks and Egyptians) that differed from the Church's sacred writings. In The Literal Interpretation of Genesis, Augustine argued that God had created everything in the universe simultaneously and not over a period of six days. He argued the six-day structure of creation presented in the Book of Genesis represents a logical framework, rather than the passage of time in a physical way – it would bear a spiritual, rather than physical, meaning, which is no less literal. One reason for this interpretation is the passage in Sirach 18:1, creavit omnia simul ("He created all things at once"), which Augustine took as proof that the days of Genesis 1 had to be taken non-literalistically. As an additional support for describing the six days of creation as a heuristic device, Augustine thought the actual event of creation would be incomprehensible by humans and therefore needed to be translated.
Augustine also does not envision original sin as causing structural changes in the universe, and even suggests that the bodies of Adam and Eve were already created mortal before the Fall.
Ecclesiology
Augustine developed his doctrine of the Church principally in reaction to the Donatist sect. He taught there is one Church, but within this Church there are two realities, namely, the visible aspect (the institutional hierarchy, the Catholic sacraments, and the laity) and the invisible (the souls of those in the Church, who are either dead, sinful members or elect predestined for Heaven). The former is the institutional body established by Christ on earth which proclaims salvation and administers the sacraments, while the latter is the invisible body of the elect, made up of genuine believers from all ages, and who are known only to God. The Church, which is visible and societal, will be made up of "wheat" and "tares", that is, good and wicked people (as per Mat. 13:30), until the end of time. This concept countered the Donatist claim that only those in a state of grace were the "true" or "pure" church on earth, and that priests and bishops who were not in a state of grace had no authority or ability to confect the sacraments.
Augustine's ecclesiology was more fully developed in City of God. There he conceives of the church as a heavenly city or kingdom, ruled by love, which will ultimately triumph over all earthly empires which are self-indulgent and ruled by pride. Augustine followed Cyprian in teaching that bishops and priests of the Church are the successors of the Apostles, and their authority in the Church is God-given.
The concept of Church invisible was advocated by Augustine as part of his refutation of the Donatist sect, though he, as other Church Fathers before him, saw the invisible Church and visible Church as one and the same thing, unlike the later Protestant reformers who did not identify the Catholic Church as the true church. He was strongly influenced by the Platonist belief that true reality is invisible and that, if the visible reflects the invisible, it does so only partially and imperfectly (see Theory of Forms). Others question whether Augustine really held to some form of an "invisible true Church" concept.
Eschatology
Augustine originally believed in premillennialism, namely that Christ would establish a literal 1,000-year kingdom prior to the general resurrection, but later rejected the belief, viewing it as carnal. During the medieval period, the Catholic Church built its system of eschatology on Augustinian amillennialism, where Christ rules the earth spiritually through his triumphant church.
During the Reformation, theologians such as John Calvin accepted amillennialism. Augustine taught that the eternal fate of the soul is determined at death, and that purgatorial fires of the intermediate state purify only those who died in communion with the Church. His teaching provided fuel for later theology.
Mariology
Although Augustine did not develop an independent Mariology, his statements on Mary surpass in number and depth those of other early writers. Even before the Council of Ephesus, he defended the Ever-Virgin Mary as the Mother of God, believing her to be "full of grace" (following earlier Latin writers such as Jerome) on account of her sexual integrity and innocence. Likewise, he affirmed that the Virgin Mary "conceived as virgin, gave birth as virgin and stayed virgin forever".
Natural knowledge and biblical interpretation
Augustine took the view that, if a literal interpretation contradicts science and humans' God-given reason, the biblical text should be interpreted metaphorically. While each passage of Scripture has a literal sense, this "literal sense" does not always mean the Scriptures are mere history; at times they are rather an extended metaphor.
Original sin
Augustine taught that the sin of Adam and Eve was either an act of foolishness (insipientia) followed by pride and disobedience to God or that pride came first. The first couple disobeyed God, who had told them not to eat of the Tree of the knowledge of good and evil (Gen 2:17). The tree was a symbol of the order of creation. Self-centeredness made Adam and Eve eat of it, thus failing to acknowledge and respect the world as it was created by God, with its hierarchy of beings and values.
They would not have fallen into pride and lack of wisdom if Satan had not sown into their senses "the root of evil" (radix Mali). Their nature was wounded by concupiscence or libido, which affected human intelligence and will, as well as affections and desires, including sexual desire. In terms of metaphysics, concupiscence is not a state of being but a bad quality, the privation of good or a wound.
Augustine's understanding of the consequences of original sin and the necessity of redeeming grace was developed in the struggle against Pelagius and his Pelagian disciples, Caelestius and Julian of Eclanum, who had been inspired by Rufinus of Syria, a disciple of Theodore of Mopsuestia. They refused to agree original sin wounded human will and mind, insisting human nature was given the power to act, to speak, and to think when God created it. Human nature cannot lose its moral capacity for doing good, but a person is free to act or not act in a righteous way. Pelagius gave an example of eyes: they have capacity for seeing, but a person can make either good or bad use of it.
Pelagians insisted human affections and desires were not touched by the fall either. Immorality, e.g. fornication, is exclusively a matter of will, i.e. a person does not use natural desires in a proper way. In opposition, Augustine pointed out the apparent disobedience of the flesh to the spirit, and explained it as one of the results of original sin, punishment of Adam and Eve's disobedience to God.
Augustine had served as a "Hearer" for the Manichaeans for about nine years, who taught that the original sin was carnal knowledge. But his struggle to understand the cause of evil in the world started before that, at the age of nineteen. By malum (evil) he understood most of all concupiscence, which he interpreted as a vice dominating people and causing in men and women moral disorder. Agostino Trapè insists Augustine's personal experience cannot be credited for his doctrine about concupiscence. He considers Augustine's marital experience to be quite normal, and even exemplary, aside from the absence of Christian wedding rites. As J. Brachtendorf showed, Augustine used Ciceronian Stoic concept of passions, to interpret Paul's doctrine of universal sin and redemption.
The view that not only human soul but also senses were influenced by the fall of Adam and Eve was prevalent in Augustine's time among the Fathers of the Church. It is clear the reason for Augustine's distancing from the affairs of the flesh was different from that of Plotinus, a Neoplatonist who taught that only through disdain for fleshly desire could one reach the ultimate state of mankind. Augustine taught the redemption, i.e. transformation and purification, of the body in the resurrection.
Some authors perceive Augustine's doctrine as directed against human sexuality and attribute his insistence on continence and devotion to God as coming from Augustine's need to reject his own highly sensual nature as described in the Confessions. Augustine taught that human sexuality has been wounded, together with the whole of human nature, and requires redemption of Christ. That healing is a process realized in conjugal acts. The virtue of continence is achieved thanks to the grace of the sacrament of Christian marriage, which becomes therefore a remedium concupiscentiae – remedy of concupiscence. The redemption of human sexuality will be, however, fully accomplished only in the resurrection of the body.
The sin of Adam is inherited by all human beings. Already in his pre-Pelagian writings, Augustine taught that Original Sin is transmitted to his descendants by concupiscence, which he regarded as the passion of both soul and body, making humanity a massa damnata (mass of perdition, condemned crowd) and much enfeebling, though not destroying, the freedom of the will. Although earlier Christian authors taught the elements of physical death, moral weakness, and a sin propensity within original sin, Augustine was the first to add the concept of inherited guilt (reatus) from Adam whereby an infant was eternally damned at birth.
Although Augustine's anti-Pelagian defense of original sin was confirmed at numerous councils, i.e. Carthage (418), Ephesus (431), Orange (529), Trent (1546) and by popes, i.e. Pope Innocent I (401–417) and Pope Zosimus (417–418), his inherited guilt eternally damning infants was omitted by these councils and popes. Anselm of Canterbury established in his Cur Deus Homo the definition that was followed by the great 13th-century Schoolmen, namely that Original Sin is the "privation of the righteousness which every man ought to possess," thus separating it from concupiscence, with which some of Augustine's disciples had identified it, as later did Luther and Calvin. In 1567, Pope Pius V condemned the identification of Original Sin with concupiscence.
Predestination
Augustine taught that God orders all things while preserving human freedom. Prior to 396, he believed predestination was based on God's foreknowledge of whether individuals would believe in Christ, that God's grace was "a reward for human assent". Later, in response to Pelagius, Augustine said that the sin of pride consists in assuming "we are the ones who choose God or that God chooses us (in his foreknowledge) because of something worthy in us", and argued that God's grace causes the individual act of faith.
Scholars are divided over whether Augustine's teaching implies double predestination, or the belief God chooses some people for damnation as well as some for salvation. Catholic scholars tend to deny he held such a view while some Protestants and secular scholars have held that Augustine did believe in double predestination. About 412, Augustine became the first Christian to understand predestination as a divine unilateral pre-determination of individuals' eternal destinies independently of human choice, although his prior Manichaean sect did teach this concept. Some Protestant theologians, such as Justo L. González and Bengt Hägglund, interpret Augustine's teaching that grace is irresistible, results in conversion, and leads to perseverance.
In On Rebuke and Grace (De correptione et gratia), Augustine wrote: "And what is written, that He wills all men to be saved, while yet all men are not saved, may be understood in many ways, some of which I have mentioned in other writings of mine; but here I will say one thing: He wills all men to be saved, is so said that all the predestinated may be understood by it, because every kind of men is among them."
Speaking of the twins Jacob and Esau, Augustine wrote in his book On the Gift of Perseverance, "[I]t ought to be a most certain fact that the former is of the predestinated, the latter is not."
Sacramental theology
Also in reaction to the Donatists, Augustine developed a distinction between the "regularity" and "validity" of the sacraments. Regular sacraments are performed by clergy of the Catholic Church, while sacraments performed by schismatics are considered irregular. Nevertheless, the validity of the sacraments does not depend upon the holiness of the priests who perform them (ex opere operato); therefore, irregular sacraments are still accepted as valid provided they are done in the name of Christ and in the manner prescribed by the Church. On this point, Augustine departs from the earlier teaching of Cyprian, who taught that converts from schismatic movements must be re-baptised. Augustine taught that sacraments administered outside the Catholic Church, though true sacraments, avail nothing. However, he also stated that baptism, while it does not confer any grace when done outside the Church, does confer grace as soon as one is received into the Catholic Church.
Augustine is said to have held an understanding of the real presence of Christ in the Eucharist, saying that Christ's statement, "This is my body" referred to the bread he carried in his hands, and that Christians must have faith the bread and wine are in fact the body and blood of Christ, despite what they see with their eyes. For instance, he stated that "He [Jesus] walked here in the same flesh, and gave us the same flesh to be eaten unto salvation. But no one eats that flesh unless first he adores it; and thus it is discovered how such a footstool of the Lord's feet is adored; and not only do we not sin by adoring, we do sin by not adoring."
John Riggs argued that Augustine held that Christ is really present in the elements of the Eucharist, but not in a bodily manner, because his body remains in Heaven.
Augustine, in his work On Christian Doctrine, referred to the Eucharist as a "figure" and a "sign".
Against the Pelagians, Augustine strongly stressed the importance of infant baptism. About the question whether baptism is an absolute necessity for salvation, however, Augustine appears to have refined his beliefs during his lifetime, causing some confusion among later theologians about his position. He said in one of his sermons that only the baptized are saved. This belief was shared by many early Christians. However, a passage from his City of God, concerning the Apocalypse, may indicate Augustine did believe in an exception for children born to Christian parents.
Philosophy
Astrology
Augustine's contemporaries often believed astrology to be an exact and genuine science. Its practitioners were regarded as true men of learning and called mathematici. Astrology played a prominent part in Manichaean doctrine, and Augustine himself was attracted by their books in his youth, being particularly fascinated by those who claimed to foretell the future. Later, as a bishop, he warned that one should avoid astrologers who combine science and horoscopes. (Augustine's term "mathematici", meaning "astrologers", is sometimes mistranslated as "mathematicians".) According to Augustine, they were not genuine students of Hipparchus or Eratosthenes but "common swindlers".
Epistemology
Epistemological concerns shaped Augustine's intellectual development. His early dialogues Contra academicos (386) and De Magistro (389), both written shortly after his conversion to Christianity, reflect his engagement with sceptical arguments and show the development of his doctrine of divine illumination. The doctrine of illumination claims God plays an active and regular part in human perception and understanding by illuminating the mind so human beings can recognize intelligible realities God presents (as opposed to God designing the human mind to be reliable consistently, as in, for example, Descartes's idea of clear and distinct perceptions). According to Augustine, illumination is obtainable to all rational minds and is different from other forms of sense perception. It is meant to be an explanation of the conditions required for the mind to have a connection with intelligible entities.
Augustine also posed the problem of other minds throughout different works, most famously perhaps in On the Trinity (VIII.6.9), and developed what has come to be a standard solution: the argument from analogy to other minds. In contrast to Plato and other earlier philosophers, Augustine recognized the centrality of testimony to human knowledge, and argued that what others tell us can provide knowledge even if we do not have independent reasons to believe their testimonial reports.
Just war
Augustine asserted Christians should be pacifists as a personal, philosophical stance. However, peacefulness in the face of a grave wrong that could only be stopped by violence would be a sin. Defence of one's self or others could be a necessity, especially when authorized by a legitimate authority. While not breaking down the conditions necessary for war to be just, Augustine coined the phrase in his work The City of God. In essence, the pursuit of peace must include the option of fighting for its long-term preservation. Such a war could not be pre-emptive, but defensive, to restore peace. Thomas Aquinas, centuries later, used the authority of Augustine's arguments in an attempt to define the conditions under which a war could be just.
Free will
Included in Augustine's earlier theodicy is the claim God created humans and angels as rational beings possessing free will. Free will was not intended for sin, meaning it is not equally predisposed to both good and evil. A will defiled by sin is not considered as "free" as it once was because it is bound by material things, which could be lost or be difficult to part with, resulting in unhappiness. Sin impairs free will, while grace restores it. Only a will that was once free can be subjected to sin's corruption. After 412, Augustine changed his theology, teaching that humanity had no free will to believe in Christ but only a free will to sin: "I in fact strove on behalf of the free choice of the human 'will,' but God's grace conquered" (Retract. 2.1).
The early Christians opposed the deterministic views (e.g., fate) of Stoics, Gnostics, and Manichaeans prevalent in the first four centuries. Christians championed the concept of a relational God who interacts with humans rather than a Stoic or Gnostic God who unilaterally foreordained every event (yet Stoics still claimed to teach free will). Patristics scholar Ken Wilson argues that every early Christian author with extant writings who wrote on the topic prior to Augustine of Hippo (412) advanced human free choice rather than a deterministic God. According to Wilson, Augustine taught traditional free choice until 412, when he reverted to his earlier Manichaean and Stoic deterministic training when battling the Pelagians. Only a few Christians accepted Augustine's view of free will until the Protestant Reformation when both Luther and Calvin embraced Augustine's deterministic teachings wholeheartedly.
The Catholic Church considers Augustine's teaching to be consistent with free will. He often said that anyone can be saved if they wish. While God knows who will and will not be saved, with no possibility for the latter to be saved in their lives, this knowledge represents God's perfect knowledge of how humans will freely choose their destinies.
Sociology, morals and ethics
Natural law
Augustine was among the earliest to examine the legitimacy of the laws of man, and attempt to define the boundaries of what laws and rights occur naturally, instead of being arbitrarily imposed by mortals. All who have wisdom and conscience, he concludes, are able to use reason to recognize the lex naturalis, natural law. Mortal law should not attempt to force people to do what is right or avoid what is wrong, but simply to remain just. Therefore "an unjust law is no law at all". People are not obligated to obey laws that are unjust, those that their conscience and reason tell them violate natural law and rights.
Slavery
Augustine led many clergy under his authority at Hippo to free their slaves as "pious and holy" act. He boldly wrote a letter urging the emperor to set up a new law against slave traders and was very much concerned about the sale of children. Christian emperors of his time for 25 years had permitted the sale of children, not because they approved of the practice, but as a way of preventing infanticide when parents were unable to care for a child. Augustine noted that the tenant farmers in particular were driven to hire out or to sell their children as a means of survival.
In his book, The City of God, he presents the development of slavery as a product of sin and as contrary to God's divine plan. He wrote that God "did not intend that this rational creature, who was made in his image, should have dominion over anything but the irrational creation – not man over man, but man over the beasts". Thus he wrote that righteous men in primitive times were made shepherds of cattle, not kings over men. "The condition of slavery is the result of sin", he declared. In The City of God, Augustine wrote he felt the existence of slavery was a punishment for the existence of sin, even if an individual enslaved person committed no sin meriting punishment. He wrote: "Slavery is, however, penal, and is appointed by that law which enjoins the preservation of the natural order and forbids its disturbance." Augustine believed slavery did more harm to the slave owner than the enslaved person himself: "the lowly position does as much good to the servant as the proud position does harm to the master." Augustine proposes as a solution to sin a type of cognitive reimagining of one's situation, where slaves "may themselves make their slavery in some sort free, by serving not in crafty fear, but in faithful love," until the end of the world eradicated slavery for good: "until all unrighteousness pass away, and all principality and every human power be brought to nothing, and God be all in all."
Jews
Against certain Christian movements, some of which rejected the use of Hebrew Scripture, Augustine countered that God had chosen the Jews as a special people, and he considered the scattering of Jewish people by the Roman Empire to be a fulfilment of prophecy. He rejected homicidal attitudes, quoting part of the same prophecy, namely "Slay them not, lest they should at last forget Thy law" (Psalm 59:11). Augustine, who believed Jewish people would be converted to Christianity at "the end of time", argued God had allowed them to survive their dispersion as a warning to Christians; as such, he argued, they should be permitted to dwell in Christian lands. The sentiment sometimes attributed to Augustine that Christians should let the Jews "survive but not thrive" (it is repeated by author James Carroll in his book Constantine's Sword, for example) is apocryphal and is not found in any of his writings.
Sexuality
For Augustine, the evil of sexual immorality was not in the sexual act itself, but in the emotions that typically accompany it. In On Christian Doctrine Augustine contrasts love, which is enjoyment on account of God, and lust, which is not on account of God. Augustine claims that, following the Fall, sexual lust (concupiscentia) has become necessary for copulation (as required to stimulate male erection), sexual lust is an evil result of the Fall, and therefore, evil must inevitably accompany sexual intercourse (On marriage and concupiscence 1.19). Therefore, following the Fall, even marital sex carried out merely to procreate inevitably perpetuates evil (On marriage and concupiscence 1.27; A Treatise against Two Letters of the Pelagians 2.27). For Augustine, proper love exercises a denial of selfish pleasure and the subjugation of corporeal desire to God. The only way to avoid evil caused by sexual intercourse is to take the "better" way (Confessions 8.2) and abstain from marriage (On marriage and concupiscence 1.31). Sex within marriage is not, however, for Augustine a sin, although necessarily producing the evil of sexual lust. Based on the same logic, Augustine also declared the pious virgins raped during the sack of Rome to be innocent because they did not intend to sin nor enjoy the act.
Before the Fall, Augustine believed sex was a passionless affair, "just like many a laborious work accomplished by the compliant operation of our other limbs, without any lascivious heat", that the seed "might be sown without any shameful lust, the genital members simply obeying the inclination of the will". After the Fall, by contrast, the penis cannot be controlled by mere will, subject instead to both unwanted impotence and involuntary erections: "Sometimes the urge arises unwanted; sometimes, on the other hand, it forsakes the eager lover, and desire grows cold in the body while burning in the mind... It arouses the mind, but it does not follow through what it has begun and arouse the body also" (City of God 14.16).
Augustine censured those who try to prevent the creation of offspring when engaging in sexual relations, saying that though they may be nominally married they are not really, but are using that designation as a cloak for turpitude. When they allow their unwanted children to die of exposure, they unmask their sin. Sometimes they use drugs to produce sterility, or other means to try to destroy the fetus before they are born. Their marriage is not wedlock but debauchery.
Augustine believed Adam and Eve had both already chosen in their hearts to disobey God's command not to eat of the Tree of Knowledge before Eve took the fruit, ate it, and gave it to Adam. Accordingly, Augustine did not believe Adam was any less guilty of sin. Augustine praises women and their role in society and in the Church. In his Tractates on the Gospel of John, Augustine, commenting on the Samaritan woman from John 4:1–42, uses the woman as a figure of the Church in agreement with the New Testament teaching that the Church is the bride of Christ. "Husbands, love your wives, as Christ loved the church and gave himself up for her."
Pedagogy
Augustine is considered an influential figure in the history of education. A work early in Augustine's writings is De Magistro (On the Teacher), which contains insights into education. His ideas changed as he found better directions or better ways of expressing his ideas. In the last years of his life, Augustine wrote his Retractationes (Retractations), reviewing his writings and improving specific texts. Henry Chadwick believes an accurate translation of "retractationes" may be "reconsiderations". Reconsiderations can be seen as an overarching theme of the way Augustine learned. Augustine's understanding of the search for understanding, meaning, and truth as a restless journey leaves room for doubt, development, and change.
Augustine was a strong advocate of critical thinking skills. Because written works were limited during this time, spoken communication of knowledge was very important. His emphasis on the importance of community as a means of learning distinguishes his pedagogy from some others. Augustine believed dialectic is the best means for learning and that this method should serve as a model for learning encounters between teachers and students. Augustine's dialogue writings model the need for lively interactive dialogue among learners.
He recommended adapting educational practices to fit the students' educational backgrounds:
the student who has been well-educated by knowledgeable teachers;
the student who has had no education; and
the student who has had a poor education, but believes himself to be well-educated.
If a student has been well educated in a wide variety of subjects, the teacher must be careful not to repeat what they have already learned, but to challenge the student with material they do not yet know thoroughly. With the student who has had no education, the teacher must be patient, willing to repeat things until the student understands, and sympathetic. Perhaps the most difficult student, however, is the one with an inferior education who believes he understands something when he does not. Augustine stressed the importance of showing this type of student the difference between "having words and having understanding" and of helping the student to remain humble with his acquisition of knowledge.
Under the influence of Bede, Alcuin, and Rabanus Maurus, De catechizandis rudibus came to exercise an important role in the education of clergy at the monastic schools, especially from the eighth century onwards.
Augustine believed students should be given an opportunity to apply learned theories to practical experience. Yet another of Augustine's major contributions to education is his study on the styles of teaching. He claimed there are two basic styles a teacher uses when speaking to the students. The mixed style includes complex and sometimes showy language to help students see the beautiful artistry of the subject they are studying. The grand style is not quite as elegant as the mixed style, but is exciting and heartfelt, with the purpose of igniting the same passion in the students' hearts. Augustine balanced his teaching philosophy with the traditional Bible-based practice of strict discipline.
Augustine knew Latin and Ancient Greek. He had a long correspondence with St Jerome regarding the textual differences existing between the Hebrew Bible and the Greek Septuagint, concluding that the original Greek manuscripts resulted closely similar to the other Hebrew ones, and also that even the differences in the two original versions of the Holy Scripture could enlight its spiritual meaning so as to have been unitarily inspired by God.
Coercion
Augustine of Hippo had to deal with issues of violence and coercion throughout his entire career due largely to the Donatist-Catholic conflict. He is one of the very few authors in Antiquity who ever truly theoretically examined the ideas of religious freedom and coercion. Augustine handled the infliction of punishment and the exercise of power over law-breakers by analyzing these issues in ways similar to modern debates on penal reform.
His teaching on coercion has "embarrassed his modern defenders and vexed his modern detractors," because it is seen as making him appear "to generations of religious liberals as le prince et patriarche de persecuteurs." Yet Brown asserts that, at the same time, Augustine becomes "an eloquent advocate of the ideal of corrective punishment" and reformation of the wrongdoer. Russell says Augustine's theory of coercion "was not crafted from dogma, but in response to a unique historical situation" and is, therefore, context-dependent, while others see it as inconsistent with his other teachings.
The context
During the Great Persecution, "When Roman soldiers came calling, some of the [Catholic] officials handed over the sacred books, vessels, and other church goods rather than risk legal penalties" over a few objects. Maureen Tilley says this was a problem by 305, that became a schism by 311, because many of the North African Christians had a long established tradition of a "physicalist approach to religion." The sacred scriptures were not simply books to them, but were the Word of God in physical form, therefore they saw handing over the Bible, and handing over a person to be martyred, as "two sides of the same coin." Those who cooperated with the authorities became known as traditores. The term originally meant one who hands over a physical object, but it came to mean "traitor".
According to Tilley, after the persecution ended, those who had apostatized wanted to return to their positions in the church. The North African Christians, (the rigorists who became known as Donatists), refused to accept them. Catholics were more tolerant and wanted to wipe the slate clean. For the next 75 years, both parties existed, often directly alongside each other, with a double line of bishops for the same cities. Competition for the loyalty of the people included multiple new churches and violence. No one is exactly sure when the Circumcellions and the Donatists allied, but for decades, they fomented protests and street violence, accosted travellers and attacked random Catholics without warning, often doing serious and unprovoked bodily harm such as beating people with clubs, cutting off their hands and feet, and gouging out eyes.
Augustine became coadjutor Bishop of Hippo in 395, and since he believed that conversion must be voluntary, his appeals to the Donatists were verbal. For several years, he used popular propaganda, debate, personal appeal, General Councils, appeals to the emperor and political pressure to bring the Donatists back into union with the Catholics, but all attempts failed. The harsh realities Augustine faced can be found in his Letter 28 written to bishop Novatus around 416. Donatists had attacked, cut out the tongue and cut off the hands of a Bishop Rogatus who had recently converted to Catholicism. An unnamed count of Africa had sent his agent with Rogatus, and he too had been attacked; the count was "inclined to pursue the matter." Russell says Augustine demonstrates a "hands on" involvement with the details of his bishopric, but at one point in the letter, he confesses he does not know what to do. "All the issues that plague him are there: stubborn Donatists, Circumcellion violence, the vacillating role of secular officials, the imperative to persuade, and his own trepidations." The empire responded to the civil unrest with the law and its enforcement, and thereafter, Augustine changed his mind about using verbal arguments alone. Instead, he came to support the state's use of coercion. Augustine did not believe the empire's enforcement would "make the Donatists more virtuous" but he did believe it would make them "less vicious."
The theology
The primary 'proof text' of what Augustine thought concerning coercion is from Letter 93, written in 408, as a reply to bishop Vincentius, of Cartenna (Mauretania, North Africa). This letter shows that both practical and biblical reasons led Augustine to defend the legitimacy of coercion. He confesses that he changed his mind because of "the ineffectiveness of dialogue and the proven efficacy of laws." He had been worried about false conversions if force was used, but "now," he says, "it seems imperial persecution is working." Many Donatists had converted. "Fear had made them reflect, and made them docile." Augustine continued to assert that coercion could not directly convert someone, but concluded it could make a person ready to be reasoned with.
According to Mar Marcos, Augustine made use of several biblical examples to legitimize coercion, but the primary analogy in Letter 93 and in Letter 185, is the parable of the Great Feast in Luke 14.15–24 and its statement compel them to come in. Russell says, Augustine uses the Latin term cogo, instead of the compello of the Vulgate, since to Augustine, cogo meant to "gather together" or "collect" and was not simply "compel by physical force."
In 1970, Robert Markus argued that, for Augustine, a degree of external pressure being brought for the purpose of reform was compatible with the exercise of free will. Russell asserts that Confessions 13 is crucial to understanding Augustine's thought on coercion; using Peter Brown's explanation of Augustine's view of salvation, he explains that Augustine's past, his own sufferings and "conversion through God's pressures," along with his biblical hermeneutics, is what led him to see the value in suffering for discerning truth. According to Russell, Augustine saw coercion as one among many conversion strategies for forming "a pathway to the inner person."
In Augustine's view, there is such a thing as just and unjust persecution. Augustine explains that when the purpose of persecution is to lovingly correct and instruct, then it becomes discipline and is just. He said the church would discipline its people out of a loving desire to heal them, and that, "once compelled to come in, heretics would gradually give their voluntary assent to the truth of Christian orthodoxy." Frederick H. Russell describes this as "a pastoral strategy in which the church did the persecuting with the dutiful assistance of Roman authorities," adding that it is "a precariously balanced blend of external discipline and inward nurturance."
Augustine placed limits on the use of coercion, recommending fines, imprisonment, banishment, and moderate floggings, preferring beatings with rods which was a common practice in the ecclesial courts. He opposed severity, maiming, and the execution of heretics. While these limits were mostly ignored by Roman authorities, Michael Lamb says that in doing this, "Augustine appropriates republican principles from his Roman predecessors..." and maintains his commitment to liberty, legitimate authority, and the rule of law as a constraint on arbitrary power. He continues to advocate holding authority accountable to prevent domination but affirms the state's right to act.
Herbert A. Deane, on the other hand, says there is a fundamental inconsistency between Augustine's political thought and "his final position of approval of the use of political and legal weapons to punish religious dissidence" and others have seconded this view. Brown asserts that Augustine's thinking on coercion is more of an attitude than a doctrine, since it is "not in a state of rest," but is instead marked by "a painful and protracted attempt to embrace and resolve tensions."
According to Russell, it is possible to see how Augustine himself had evolved from his earlier Confessions to this teaching on coercion and the latter's strong patriarchal nature: "Intellectually, the burden has shifted imperceptibly from discovering the truth to disseminating the truth." The bishops had become the church's elite with their own rationale for acting as "stewards of the truth." Russell points out that Augustine's views are limited to time and place and his own community, but later, others took what he said and applied it outside those parameters in ways Augustine never imagined or intended.
Works
Augustine was one of the most prolific Latin authors in terms of surviving works, and the list of his works consists of more than one hundred separate titles. They include apologetic works against the heresies of the Arians, Donatists, Manichaeans and Pelagians; texts on Christian doctrine, notably (On Christian Doctrine); exegetical works such as commentaries on Genesis, the Psalms and Paul's Letter to the Romans; many sermons and letters; and the Retractationes, a review of his earlier works which he wrote near the end of his life.
Apart from those, Augustine is probably best known for his Confessions, which is a personal account of his earlier life, and for De civitate Dei (The City of God, consisting of 22 books), which he wrote to restore the confidence of his fellow Christians, which was badly shaken by the sack of Rome by the Visigoths in 410. His On the Trinity, in which he developed what has become known as the 'psychological analogy' of the Trinity, is also considered to be among his masterpieces, and arguably of more doctrinal importance than the Confessions or the City of God. He also wrote On Free Choice of the Will (De libero arbitrio), addressing why God gives humans free will that can be used for evil.
Legacy
In both his philosophical and theological reasoning, Augustine was greatly influenced by Stoicism, Platonism and Neoplatonism, particularly by the work of Plotinus, author of the Enneads, probably through the mediation of Porphyry and Victorinus (as Pierre Hadot has argued). Some Neoplatonic concepts are still visible in Augustine's early writings. His early and influential writing on the human will, a central topic in ethics, would become a focus for later philosophers such as Schopenhauer, Kierkegaard, and Nietzsche. He was also influenced by the works of Virgil (known for his teaching on language), and Cicero (known for his teaching on argument).
In philosophy
Philosopher Bertrand Russell was impressed by Augustine's meditation on the nature of time in the Confessions, comparing it favourably to Kant's version of the view that time is subjective. Catholic theologians generally subscribe to Augustine's belief that God exists outside of time in the "eternal present"; that time only exists within the created universe because only in space is time discernible through motion and change. His meditations on the nature of time are closely linked to his consideration of the human ability of memory. Frances Yates in her 1966 study The Art of Memory argues that a brief passage of the Confessions, 10.8.12, in which Augustine writes of walking up a flight of stairs and entering the vast fields of memory clearly indicates that the ancient Romans were aware of how to use explicit spatial and architectural metaphors as a mnemonic technique for organizing large amounts of information.
Augustine's philosophical method, especially demonstrated in his Confessions, had a continuing influence on Continental philosophy throughout the 20th century. His descriptive approach to intentionality, memory, and language as these phenomena are experienced within consciousness and time anticipated and inspired the insights of modern phenomenology and hermeneutics. Edmund Husserl writes: "The analysis of time-consciousness is an age-old crux of descriptive psychology and theory of knowledge. The first thinker to be deeply sensitive to the immense difficulties to be found here was Augustine, who laboured almost to despair over this problem."
Martin Heidegger refers to Augustine's descriptive philosophy at several junctures in his influential work Being and Time. Hannah Arendt began her philosophical writing with a dissertation on Augustine's concept of love, Der Liebesbegriff bei Augustin (1929): "The young Arendt attempted to show that the philosophical basis for vita socialis in Augustine can be understood as residing in neighbourly love, grounded in his understanding of the common origin of humanity."
Jean Bethke Elshtain in Augustine and the Limits of Politics tried to associate Augustine with Arendt in their concept of evil: "Augustine did not see evil as glamorously demonic but rather as absence of good, something which paradoxically is really nothing. Arendt ... envisioned even the extreme evil which produced the Holocaust as merely banal [in Eichmann in Jerusalem]." Augustine's philosophical legacy continues to influence contemporary critical theory through the contributions and inheritors of these 20th-century figures. Seen from a historical perspective, there are three main perspectives on the political thought of Augustine: first, political Augustinianism; second, Augustinian political theology; and third, Augustinian political theory.
In theology
Thomas Aquinas was influenced heavily by Augustine. On the topic of original sin, Aquinas proposed a more optimistic view of man than that of Augustine in that his conception leaves to the reason, will, and passions of fallen man their natural powers even after the Fall, without "supernatural gifts". While in his pre-Pelagian writings Augustine taught that Adam's guilt as transmitted to his descendants much enfeebles, though does not destroy, the freedom of their will, Protestant reformers Martin Luther and John Calvin affirmed that Original Sin completely destroyed liberty (see total depravity).
According to Leo Ruickbie, Augustine's arguments against magic, differentiating it from a miracle, were crucial in the early Church's fight against paganism and became a central thesis in the later denunciation of witches and witchcraft. According to Professor Deepak Lal, Augustine's vision of the heavenly city has influenced the secular projects and traditions of the Enlightenment, Marxism, Freudianism and eco-fundamentalism. Post-Marxist philosophers Antonio Negri and Michael Hardt rely heavily on Augustine's thoughts, particularly The City of God, in their book of political philosophy Empire.
Augustine has influenced many modern-day theologians and authors such as John Piper. Hannah Arendt, an influential 20th-century political theorist, wrote her doctoral dissertation in philosophy on Augustine, and continued to rely on his thought throughout her career. Ludwig Wittgenstein extensively quotes Augustine in Philosophical Investigations for his approach to language, both admiringly, and as a sparring partner to develop his own ideas, including an extensive opening passage from the Confessions. Contemporary linguists have argued that Augustine has significantly influenced the thought of Ferdinand de Saussure, who did not 'invent' the modern discipline of semiotics, but rather built upon Aristotelian and Neoplatonic knowledge from the Middle Ages, via an Augustinian connection: "as for the constitution of Saussurian semiotic theory, the importance of the Augustinian thought contribution (correlated to the Stoic one) has also been recognized. Saussure did not do anything but reform an ancient theory in Europe, according to the modern conceptual exigencies."
In his autobiographical book Milestones, Pope Benedict XVI claims Augustine as one of the deepest influences in his thought.
Oratorio, music
Marc-Antoine Charpentier, Motet "Pour St Augustin mourant", H.419, for 2 voices and contino (1687), and "Pour St Augustin", H.307, for 2 voices and continuo (1670s).
Much of Augustine's conversion is dramatized in the oratorio La conversione di Sant'Agostino (1750) composed by Johann Adolph Hasse. The libretto for this oratorio, written by Duchess Maria Antonia of Bavaria, draws upon the influence of Metastasio (the finished libretto having been edited by him) and is based on an earlier five-act play Idea perfectae conversionis dive Augustinus written by the Jesuit priest Franz Neumayr. In the libretto Augustine's mother Monica is presented as a prominent character that is worried that Augustine might not convert to Christianity. As Dr. Andrea Palent says: Throughout the oratorio Augustine shows his willingness to turn to God, but the burden of the act of conversion weighs heavily on him. This is displayed by Hasse through extended recitative passages.
In popular art
In his poem "Confessional", Frank Bidart compares the relationship between Augustine and his mother, Saint Monica, to the relationship between the poem's speaker and his mother.
In the 2010 TV miniseries Restless Heart: The Confessions of Saint Augustine, Augustine is played by Matteo Urzia (aged 15), Alessandro Preziosi (aged 25) and Franco Nero (aged 76).
English pop/rock musician, singer and songwriter Sting wrote a song related to Saint Augustine entitled "Saint Augustine in Hell" which was part of his fourth solo studio album Ten Summoner's Tales released in March 1993.
See also
Cogito, ergo sum
Rule of Saint Augustine
References
Notes
Citations
Cited sources
Further reading
Green, Bradley G. Colin Gunton and the Failure of Augustine: The Theology of Colin Gunton in the Light of Augustine , James Clarke and Co. (2012),
Miles, Margaret R. (2012). Augustine and the Fundamentalist's Daughter , Lutterworth Press, .
.
Règle de St. Augustin pour les religieuses de son ordre; et Constitutions de la Congrégation des Religieuses du Verbe-Incarné et du Saint-Sacrament (Lyon: Chez Pierre Guillimin, 1662), pp. 28–29. Cf. later edition published at Lyon (Chez Briday, Libraire,1962), pp. 22–24. English edition, (New York: Schwartz, Kirwin, and Fauss, 1893), pp. 33–35.
External links
General
"Complete Works of Saint Augustine (in English)" from Augustinus.it
"Complete Works of Saint Augustine (in French)" from Abbey Saint Benoît de Port-Valais
"Complete Works of Saint Augustine (in Spanish)" from Mercaba, Catholic leaders' website
"Works by Saint Augustine" from CCEL.org
Works by Augustine at Perseus Digital Library
"St. Augustine, Bishop and Confessor, Doctor of the Church", Butler's Lives of the Saints
Augustine of Hippo edited by James J. O'Donnell – texts, translations, introductions, commentaries, etc.
Augustine's Theory of Knowledge
"Saint Augustine of Hippo" at the Christian Iconography website
"The Life of St. Austin, or Augustine, Doctor" from the Caxton translation of the Golden Legend
David Lindsay: Saint Augustine – Doctor Gratiae
St. Augustine – A Male Chauvinist? , Fr. Edmund Hill, OP. Talk given to the Robert Hugh Benson Graduate Society at Fisher House, Cambridge, on 22 November 1994.
St. Augustine Timeline – Church History Timelines
Giovanni Domenico Giulio: Nachtgedanken des heiligen Augustinus. Trier 1843
Bibliography
Augustine of Hippo at EarlyChurch.org.uk – extensive bibliography and on-line articles
Bibliography on St. Augustine – Started by T.J. van Bavel O.S.A., continued at the Augustinian historical Institute in Louvain, Belgium
Works by Augustine
St. Augustine at the Christian Classics Ethereal Library
Augustine against Secundinus in English.
Aurelius Augustinus at "IntraText Digital Library" – texts in several languages, with concordance and frequency list
Augustinus.it – Latin, Spanish and Italian texts
Sanctus Augustinus at Documenta Catholica Omnia – Latin
City of God, Confessions, Enchiridion, Doctrine audio books
Digitized manuscript created in France between 1275 and 1325 with extract of Augustine of Hippo works at SOMNI
Expositio Psalmorum beati Augustini – digitized codex created between 1150 and 1175, also known as "Enarrationes in Psalmos. 1–83", at SOMNI
Aurelii Agustini Hipponae episcopi super loannem librum – digitized codex created in 1481; his sermons about John's Gospel at SOMNI
Sententiae ex omnibus operibus Divi Augustini decerptae – digitized codex created in 1539; at Library of the Hungarian Academy of Sciences
Lewis E 19 In epistolam Johannis ad Parthos (Sermons on the first epistle of Saint John) at OPenn
Lewis E 21 De sermone domini in monte habito (On the sermon on the mount) and other treatises; De superbia (On pride) and other treatises; Expositio dominice orationis (Exposition on the lord's prayer) at OPenn
Lewis E 22 Enarrationes in psalmos (Expositions on the psalms); Initials (ABC); Prayer at OPenn
Lewis E 23 Sermons at OPenn
Lewis E 213 Rule of Saint Augustine; Sermon on Matthew 25:6 at OPenn
Lehigh Codex 3 Bifolium from De civitate Dei, Book 22 at OPenn
Biography and criticism
Order of St Augustine
Blessed Augustine of Hippo: His Place in the Orthodox Church
Augustine's World: An Introduction to His Speculative Philosophy by Donald Burt, OSA, member of the Augustinian Order, Villanova University
Tabula in librum Sancti Augustini De civitate Dei by Robert Kilwardby, digitized manuscript of 1464 at SOMNI
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Avionics (a blend of aviation and electronics) are the electronic systems used on aircraft. Avionic systems include communications, navigation, the display and management of multiple systems, and the hundreds of systems that are fitted to aircraft to perform individual functions. These can be as simple as a searchlight for a police helicopter or as complicated as the tactical system for an airborne early warning platform.
History
The term "avionics" was coined in 1949 by Philip J. Klass, senior editor at Aviation Week & Space Technology magazine as a portmanteau of "aviation electronics".
Radio communication was first used in aircraft just prior to World War I. The first airborne radios were in zeppelins, but the military sparked development of light radio sets that could be carried by heavier-than-air craft, so that aerial reconnaissance biplanes could report their observations immediately in case they were shot down. The first experimental radio transmission from an airplane was conducted by the U.S. Navy in August 1910. The first aircraft radios transmitted by radiotelegraphy, so they required two-seat aircraft with a second crewman to tap on a telegraph key to spell out messages by Morse code. During World War I, AM voice two way radio sets were made possible in 1917 by the development of the triode vacuum tube, which were simple enough that the pilot in a single seat aircraft could use it while flying.
Radar, the central technology used today in aircraft navigation and air traffic control, was developed by several nations, mainly in secret, as an air defense system in the 1930s during the runup to World War II. Many modern avionics have their origins in World War II wartime developments. For example, autopilot systems that are commonplace today began as specialized systems to help bomber planes fly steadily enough to hit precision targets from high altitudes. Britain's 1940 decision to share its radar technology with its U.S. ally, particularly the magnetron vacuum tube, in the famous Tizard Mission, significantly shortened the war. Modern avionics is a substantial portion of military aircraft spending. Aircraft like the F-15E and the now retired F-14 have roughly 20 percent of their budget spent on avionics. Most modern helicopters now have budget splits of 60/40 in favour of avionics.
The civilian market has also seen a growth in cost of avionics. Flight control systems (fly-by-wire) and new navigation needs brought on by tighter airspaces, have pushed up development costs. The major change has been the recent boom in consumer flying. As more people begin to use planes as their primary method of transportation, more elaborate methods of controlling aircraft safely in these high restrictive airspaces have been invented.
Modern avionics
Avionics plays a heavy role in modernization initiatives like the Federal Aviation Administration's (FAA) Next Generation Air Transportation System project in the United States and the Single European Sky ATM Research (SESAR) initiative in Europe. The Joint Planning and Development Office put forth a roadmap for avionics in six areas:
Published Routes and Procedures – Improved navigation and routing
Negotiated Trajectories – Adding data communications to create preferred routes dynamically
Delegated Separation – Enhanced situational awareness in the air and on the ground
LowVisibility/CeilingApproach/Departure – Allowing operations with weather constraints with less ground infrastructure
Surface Operations – To increase safety in approach and departure
ATM Efficiencies – Improving the air traffic management (ATM) process
Market
The Aircraft Electronics Association reports $1.73 billion avionics sales for the first three quarters of 2017 in business and general aviation, a 4.1% yearly improvement: 73.5% came from North America, forward-fit represented 42.3% while 57.7% were retrofits as the U.S. deadline of January 1, 2020 for mandatory ADS-B out approach.
Aircraft avionics
The cockpit of an aircraft is a typical location for avionic equipment, including control, monitoring, communication, navigation, weather, and anti-collision systems. The majority of aircraft power their avionics using 14- or 28‑volt DC electrical systems; however, larger, more sophisticated aircraft (such as airliners or military combat aircraft) have AC systems operating at 115 volts 400 Hz, AC. There are several major vendors of flight avionics, including The Boeing Company, Panasonic Avionics Corporation, Honeywell (which now owns Bendix/King), Universal Avionics Systems Corporation, Rockwell Collins (now Collins Aerospace), Thales Group, GE Aviation Systems, Garmin, Raytheon, Parker Hannifin, UTC Aerospace Systems (now Collins Aerospace), Selex ES (now Leonardo S.p.A.), Shadin Avionics, and Avidyne Corporation.
International standards for avionics equipment are prepared by the Airlines Electronic Engineering Committee (AEEC) and published by ARINC.
Communications
Communications connect the flight deck to the ground and the flight deck to the passengers. On‑board communications are provided by public-address systems and aircraft intercoms.
The VHF aviation communication system works on the airband of 118.000 MHz to 136.975 MHz. Each channel is spaced from the adjacent ones by 8.33 kHz in Europe, 25 kHz elsewhere. VHF is also used for line of sight communication such as aircraft-to-aircraft and aircraft-to-ATC. Amplitude modulation (AM) is used, and the conversation is performed in simplex mode. Aircraft communication can also take place using HF (especially for trans-oceanic flights) or satellite communication.
Navigation
Air navigation is the determination of position and direction on or above the surface of the Earth. Avionics can use satellite navigation systems (such as GPS and WAAS), inertial navigation system (INS), ground-based radio navigation systems (such as VOR or LORAN), or any combination thereof. Some navigation systems such as GPS calculate the position automatically and display it to the flight crew on moving map displays. Older ground-based Navigation systems such as VOR or LORAN requires a pilot or navigator to plot the intersection of signals on a paper map to determine an aircraft's location; modern systems calculate the position automatically and display it to the flight crew on moving map displays.
Monitoring
The first hints of glass cockpits emerged in the 1970s when flight-worthy cathode ray tube (CRT) screens began to replace electromechanical displays, gauges and instruments. A "glass" cockpit refers to the use of computer monitors instead of gauges and other analog displays. Aircraft were getting progressively more displays, dials and information dashboards that eventually competed for space and pilot attention. In the 1970s, the average aircraft had more than 100 cockpit instruments and controls.
Glass cockpits started to come into being with the Gulfstream G‑IV private jet in 1985. One of the key challenges in glass cockpits is to balance how much control is automated and how much the pilot should do manually. Generally they try to automate flight operations while keeping the pilot constantly informed.
Aircraft flight-control system
Aircraft have means of automatically controlling flight. Autopilot was first invented by Lawrence Sperry during World War I to fly bomber planes steady enough to hit accurate targets from 25,000 feet. When it was first adopted by the U.S. military, a Honeywell engineer sat in the back seat with bolt cutters to disconnect the autopilot in case of emergency. Nowadays most commercial planes are equipped with aircraft flight control systems in order to reduce pilot error and workload at landing or takeoff.
The first simple commercial auto-pilots were used to control heading and altitude and had limited authority on things like thrust and flight control surfaces. In helicopters, auto-stabilization was used in a similar way. The first systems were electromechanical. The advent of fly-by-wire and electro-actuated flight surfaces (rather than the traditional hydraulic) has increased safety. As with displays and instruments, critical devices that were electro-mechanical had a finite life. With safety critical systems, the software is very strictly tested.
Fuel Systems
Fuel Quantity Indication System (FQIS) monitors the amount of fuel aboard. Using various sensors, such as capacitance tubes, temperature sensors, densitometers & level sensors, the FQIS computer calculates the mass of fuel remaining on board.
Fuel Control and Monitoring System (FCMS) reports fuel remaining on board in a similar manner, but, by controlling pumps & valves, also manages fuel transfers around various tanks.
Refuelling control to upload to a certain total mass of fuel and distribute it automatically.
Transfers during flight to the tanks that feed the engines. E.G. from fuselage to wing tanks
Centre of gravity control transfers from the tail (trim) tanks forward to the wings as fuel is expended
Maintaining fuel in the wing tips (to help stop the wings bending due to lift in flight) & transferring to the main tanks after landing
Controlling fuel jettison during an emergency to reduce the aircraft weight.
Collision-avoidance systems
To supplement air traffic control, most large transport aircraft and many smaller ones use a traffic alert and collision avoidance system (TCAS), which can detect the location of nearby aircraft, and provide instructions for avoiding a midair collision. Smaller aircraft may use simpler traffic alerting systems such as TPAS, which are passive (they do not actively interrogate the transponders of other aircraft) and do not provide advisories for conflict resolution.
To help avoid controlled flight into terrain (CFIT), aircraft use systems such as ground-proximity warning systems (GPWS), which use radar altimeters as a key element. One of the major weaknesses of GPWS is the lack of "look-ahead" information, because it only provides altitude above terrain "look-down". In order to overcome this weakness, modern aircraft use a terrain awareness warning system (TAWS).
Flight recorders
Commercial aircraft cockpit data recorders, commonly known as "black boxes", store flight information and audio from the cockpit. They are often recovered from an aircraft after a crash to determine control settings and other parameters during the incident.
Weather systems
Weather systems such as weather radar (typically Arinc 708 on commercial aircraft) and lightning detectors are important for aircraft flying at night or in instrument meteorological conditions, where it is not possible for pilots to see the weather ahead. Heavy precipitation (as sensed by radar) or severe turbulence (as sensed by lightning activity) are both indications of strong convective activity and severe turbulence, and weather systems allow pilots to deviate around these areas.
Lightning detectors like the Stormscope or Strikefinder have become inexpensive enough that they are practical for light aircraft. In addition to radar and lightning detection, observations and extended radar pictures (such as NEXRAD) are now available through satellite data connections, allowing pilots to see weather conditions far beyond the range of their own in-flight systems. Modern displays allow weather information to be integrated with moving maps, terrain, and traffic onto a single screen, greatly simplifying navigation.
Modern weather systems also include wind shear and turbulence detection and terrain and traffic warning systems. In‑plane weather avionics are especially popular in Africa, India, and other countries where air-travel is a growing market, but ground support is not as well developed.
Aircraft management systems
There has been a progression towards centralized control of the multiple complex systems fitted to aircraft, including engine monitoring and management. Health and usage monitoring systems (HUMS) are integrated with aircraft management computers to give maintainers early warnings of parts that will need replacement.
The integrated modular avionics concept proposes an integrated architecture with application software portable across an assembly of common hardware modules. It has been used in fourth generation jet fighters and the latest generation of airliners.
Mission or tactical avionics
Military aircraft have been designed either to deliver a weapon or to be the eyes and ears of other weapon systems. The vast array of sensors available to the military is used for whatever tactical means required. As with aircraft management, the bigger sensor platforms (like the E‑3D, JSTARS, ASTOR, Nimrod MRA4, Merlin HM Mk 1) have mission-management computers.
Police and EMS aircraft also carry sophisticated tactical sensors.
Military communications
While aircraft communications provide the backbone for safe flight, the tactical systems are designed to withstand the rigors of the battle field. UHF, VHF Tactical (30–88 MHz) and SatCom systems combined with ECCM methods, and cryptography secure the communications. Data links such as Link 11, 16, 22 and BOWMAN, JTRS and even TETRA provide the means of transmitting data (such as images, targeting information etc.).
Radar
Airborne radar was one of the first tactical sensors. The benefit of altitude providing range has meant a significant focus on airborne radar technologies. Radars include airborne early warning (AEW), anti-submarine warfare (ASW), and even weather radar (Arinc 708) and ground tracking/proximity radar.
The military uses radar in fast jets to help pilots fly at low levels. While the civil market has had weather radar for a while, there are strict rules about using it to navigate the aircraft.
Sonar
Dipping sonar fitted to a range of military helicopters allows the helicopter to protect shipping assets from submarines or surface threats. Maritime support aircraft can drop active and passive sonar devices (sonobuoys) and these are also used to determine the location of enemy submarines.
Electro-optics
Electro-optic systems include devices such as the head-up display (HUD), forward looking infrared (FLIR), infrared search and track and other passive infrared devices (Passive infrared sensor). These are all used to provide imagery and information to the flight crew. This imagery is used for everything from search and rescue to navigational aids and target acquisition.
ESM/DAS
Electronic support measures and defensive aids systems are used extensively to gather information about threats or possible threats. They can be used to launch devices (in some cases automatically) to counter direct threats against the aircraft. They are also used to determine the state of a threat and identify it.
Aircraft networks
The avionics systems in military, commercial and advanced models of civilian aircraft are interconnected using an avionics databus. Common avionics databus protocols, with their primary application, include:
Aircraft Data Network (ADN): Ethernet derivative for Commercial Aircraft
Avionics Full-Duplex Switched Ethernet (AFDX): Specific implementation of ARINC 664 (ADN) for Commercial Aircraft
ARINC 429: Generic Medium-Speed Data Sharing for Private and Commercial Aircraft
ARINC 664: See ADN above
ARINC 629: Commercial Aircraft (Boeing 777)
ARINC 708: Weather Radar for Commercial Aircraft
ARINC 717: Flight Data Recorder for Commercial Aircraft
ARINC 825: CAN bus for commercial aircraft (for example Boeing 787 and Airbus A350)
Commercial Standard Digital Bus
IEEE 1394b: Military Aircraft
MIL-STD-1553: Military Aircraft
MIL-STD-1760: Military Aircraft
TTP – Time-Triggered Protocol: Boeing 787, Airbus A380, Fly-By-Wire Actuation Platforms from Parker Aerospace
See also
Astrionics, similar, for spacecraft
Acronyms and abbreviations in avionics
Avionics software
Emergency locator beacon
Emergency position-indicating radiobeacon station
Integrated modular avionics
Notes
Further reading
Avionics: Development and Implementation by Cary R. Spitzer (Hardcover – December 15, 2006)
Principles of Avionics, 4th Edition by Albert Helfrick, Len Buckwalter, and Avionics Communications Inc. (Paperback – July 1, 2007)
Avionics Training: Systems, Installation, and Troubleshooting by Len Buckwalter (Paperback – June 30, 2005)
Avionics Made Simple, by Mouhamed Abdulla, Ph.D.; Jaroslav V. Svoboda, Ph.D. and Luis Rodrigues, Ph.D. (Coursepack – Dec. 2005 - ).
External links
Avionics in Commercial Aircraft
Aircraft Electronics Association (AEA)
Pilot's Guide to Avionics
The Avionic Systems Standardisation Committee
Space Shuttle Avionics
Aviation Today Avionics magazine
RAES Avionics homepage
Aircraft instruments
Spacecraft components
Electronic engineering
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Alcoholics Anonymous (AA) is a global peer-led mutual aid fellowship begun in the U.S. and dedicated to abstinence-based recovery from alcoholism through their spiritually inclined twelve-step program. Besides stressing anonymity and offering membership to anyone wishing to stop drinking, AA's twelve traditions establish it as free to all, non-professional, non-denominational, apolitical and unaffiliated. In 2020 AA estimated its worldwide membership to be over two million with 75% of those in the U.S. and Canada.
In 1935, the recognized start of AA, Bill Wilson (Bill W.) first commiserated alcoholic-to-alcoholic with Bob Smith (Dr. Bob). Meeting through AA's immediate precursor the Christian revivalist Oxford Group, they and other alcoholics fellowshipped there until forming what became AA. In 1939 the new fellowship, then mostly male and white, published Alcoholics Anonymous: The Story of How More Than One Hundred Men Have Recovered From Alcoholism, also known as the Big Book and as the source of AA’s name.
AA's twelve steps are a suggested and continuing sobriety program of prayer, reflection, admission, better conduct and atonement, all to effect a “spiritual awakening”, after which members should take others through the steps, usually by taking on sponsees. Divining and following the will of an undefined God—"as we understood Him", also designated as a “higher power”—is integral to the steps, but differing practices and beliefs, including those of atheists and other non-theists, are accommodated.
The twelve traditions are guidelines to keep AA focused on altruistically helping others to recover from alcoholism. With AA's traditions membership goes to anyone professing a desire to stop drinking, and that all memberships should be kept anonymous, especially in public media, but no repercussions are prescribed for broken anonymity. Additionally the traditions have AA avoiding hierarchies, dogma, public controversies and other outside entanglements, or using AA for personal gain or public prestige. They also insist that no dues or fees are required, and to be self-supporting, no outside financial aid can be accepted.
A 2020 scientific review found that clinical interventions increasing AA participation via AA Twelve Step Facilitation (AA/TSF) had sustained remission rates 20-60% better than other well-established treatments regardless of demographics. Additionally, 4 of the 5 economic studies in the review found that AA/TSF lowered healthcare costs considerably. Regarding the disease model of alcoholism, an otherwise receptive AA has not endorsed it while many AA members have promoted it towards wider acceptance.
AA has allowed other recovery fellowships such as Narcotics Anonymous and Al-Anon to adopt and adapt the twelve steps and twelve traditions.
History
AA was founded on 10 June 1935 but AA's origins are said to have begun when the renowned psychotherapist Carl Jung inspired Rowland H., an otherwise hopeless drunk, to seek a spiritual solution by sending him to the Oxford Group— a non-denominational, altruistic Christian movement modeled after first-century Christianity. Ebby Thacher got sober in that same Oxford Group and reached out to help his drinking buddy Bill Wilson. Thacher approached Wilson saying that he had "got religion", was sober, and that Wilson could do the same if he set aside objections and instead formed a personal idea of God, "another power" or "higher power". Feeling a "kinship of common suffering", Wilson attended his first group gathering, although he was drunk. Within days, Wilson admitted himself to the Charles B. Towns Hospital after drinking four beers on the way—the last alcohol he ever drank. Under the care of Dr. William Duncan Silkworth (an early benefactor of AA), Wilson's detox included the deliriant belladonna. At the hospital, a despairing Wilson experienced a bright flash of light, which he felt to be God revealing himself.
Following his hospital discharge, Wilson joined the Oxford Group and tried to recruit other alcoholics to the group. These early efforts to help others kept him sober, but were ineffective in getting anyone else to join the group and get sober. Dr. Silkworth suggested that Wilson place less stress on religion (as required by The Oxford Group) and more on the science of treating alcoholism.
Wilson's first success came during a business trip to Akron, Ohio, where he was introduced to Robert Smith, a surgeon and Oxford Group member who was unable to stay sober. After thirty days of working with Wilson, Smith drank his last drink on 10 June 1935, the date marked by AA for its anniversaries.
The first female member, Florence Rankin, joined AA in March 1937, and the first non-Protestant member, a Roman Catholic, joined in 1939. The first Black AA group was established in 1945 in Washington, D.C. by Jim S., an African-American physician from Virginia.
While writing the Big Book in the several years after 1935, Wilson developed the Twelve Steps, which were influenced by the Oxford Group's 6 steps and various readings, including William James's The Varieties of Religious Experience.
The Big Book, the Twelve Steps, and the Twelve Traditions
To share their method, Wilson and other members wrote the initially-titled book, Alcoholics Anonymous: The Story of How More Than One Hundred Men Have Recovered from Alcoholism, from which AA drew its name. Informally known as "The Big Book" (with its first 164 pages virtually unchanged since the 1939 edition), it suggests a twelve-step program in which members admit that they are powerless over alcohol and need help from a "higher power". They seek guidance and strength through prayer and meditation from God or a higher power of their own understanding; take a moral inventory with care to include resentments; list and become ready to remove character defects; list and make amends to those harmed; continue to take a moral inventory, pray, meditate, and try to help other alcoholics recover. The second half of the book, "Personal Stories" (subject to additions, removal, and retitling in subsequent editions), is made of AA members' redemptive autobiographical sketches.
In 1941, interviews on American radio and favorable articles in US magazines, including a piece by Jack Alexander in The Saturday Evening Post, led to increased book sales and membership. By 1946, as the growing fellowship quarreled over structure, purpose, authority, finances and publicity, Wilson began to form and promote what became known as AA's "Twelve Traditions", which are guidelines for an altruistic, unaffiliated, non-coercive, and non-hierarchical structure that limited AA's purpose to only helping alcoholics on a non-professional level while shunning publicity. Eventually, he gained formal adoption and inclusion of the Twelve Traditions in all future editions of the Big Book. At the 1955 conference in St. Louis, Missouri, Wilson relinquished stewardship of AA to the General Service Conference, as AA had grown to millions of members internationally.
In May of 2017, Alcoholics Anonymous World Services Inc. filed a lawsuit in the Supreme Court of the State of New York seeking the return of the original manuscript of the Big Book from its then-owner. AAWS claimed that the manuscript had been given to them as a gift in 1979. This action was criticized by many members of Alcoholics Anonymous since they didn't want their parent organization engaged in lawsuits. Alcoholics Anonymous World Services Inc. asked the court to voluntarily discontinue the action in November of 2017.
Organization and finances
AA says it is "not organized in the formal or political sense", and Wilson, borrowing the phrase from anarchy theorist Peter Kropotkin, called it a "benign anarchy". In Ireland, Shane Butler said that AA "looks like it couldn't survive as there's no leadership or top-level telling local cumanns what to do, but it has worked and proved itself extremely robust". Butler explained that "AA's 'inverted pyramid' style of governance has helped it to avoid many of the pitfalls that political and religious institutions have encountered since it was established here in 1946."
In 2018, AA had 2,087,840 members and 120,300 AA groups worldwide. The Twelve Traditions informally guide how individual AA groups function, and the Twelve Concepts for World Service guide how the organization is structured globally.
A member who accepts a service position or an organizing role is a "trusted servant" with terms rotating and limited, typically lasting three months to two years and determined by group vote and the nature of the position. Each group is a self-governing entity, with AA World Services acting only in an advisory capacity. AA is served entirely by alcoholics, except for seven "nonalcoholic friends of the fellowship" of the 21-member AA Board of Trustees.
AA groups are self-supporting, relying on voluntary contributions from members to cover expenses. The AA General Service Office (GSO) limits contributions to US$5,000 a year. "Below" the group level, AA may hire outside professionals for services that require specialized expertise or full-time responsibilities.
Like individual groups, the GSO is self-supporting. AA receives proceeds from books and literature that constitute more than 50% of the income for its GSO. In keeping with AA's Seventh Tradition, the Central Office is fully self-supporting through the sale of literature and related products, and the voluntary contributions of AA members and groups. It does not accept donations from people or organizations outside of AA.
In keeping with AA's Eighth Tradition, the Central Office employs special workers who are compensated financially for their services, but their services do not include working with alcoholics in need (the "12th Step"). (AA's 12th step is: "Having had a spiritual awakening as the result of these Steps, we tried to carry this message to alcoholics, and to practice these principles in all our affairs.") All 12th Step calls that come to the Central Office are handed to sober AA members who have volunteered to handle these calls. It also maintains service centers, which coordinate activities such as printing literature, responding to public inquiries, and organizing conferences. Other International General Service Offices (Australia, Costa Rica, Russia, etc.) are independent of AA World Services in New York.
Program
AA's program extends beyond abstaining from alcohol. Its goal is to effect enough change in the alcoholic's thinking "to bring about recovery from alcoholism" through "an entire psychic change," or spiritual awakening. A spiritual awakening is meant to be achieved by taking the Twelve Steps, and sobriety is furthered by volunteering for AA and regular AA meeting attendance or contact with AA members. Members are encouraged to find an experienced fellow alcoholic, called a sponsor, to help them understand and follow the AA program. The sponsor should preferably have experienced all twelve of the steps, be the same sex as the sponsored person, and refrain from imposing personal views on the sponsored person. Following the helper therapy principle, sponsors in AA may benefit from their relationship with their charges, as "helping behaviors" correlate with increased abstinence and lower probabilities of binge drinking.
AA shares the view that acceptance of one's inherent limitations is critical to finding one's proper place among other humans and God. Such ideas are described as "Counter-Enlightenment" because they are contrary to the Enlightenment's ideal that humans have the capacity to make their lives and societies a heaven on Earth using their own power and reason. After evaluating AA's literature and observing AA meetings for sixteen months, sociologists David R. Rudy and Arthur L. Greil found that for an AA member to remain sober, a high level of commitment is necessary. This commitment is facilitated by a change in the member's worldview. They argue that to help members stay sober, AA must provide an all-encompassing worldview while creating and sustaining an atmosphere of transcendence in the organization. To be all-encompassing, AA's ideology emphasizes tolerance rather than a narrow religious worldview that may make the organization unpalatable to potential members and thereby limit its effectiveness. AA's emphasis on the spiritual nature of its program, however, is necessary to institutionalize a feeling of transcendence. A tension results from the risk that the necessity of transcendence, if taken too literally, would compromise AA's efforts to maintain a broad appeal. As this tension is an integral part of AA, Rudy and Greil argue that AA is best described as a quasi-religious organization.
Meetings
AA meetings are gatherings where recovery from alcoholism is discussed. One perspective sees them as "quasi-ritualized therapeutic sessions run by and for, alcoholics". There are a variety of meeting types some of which are listed below. At some point during the meeting a basket is passed around for voluntary donations. AA's 7th tradition requires that groups be self-supporting, "declining outside contributions". Weekly meetings are listed in local AA directories in print, online and in apps.
Open vs Closed meetings
"Open" meetings welcome anyone—nonalcoholics can attend as observers. Meetings listed as "closed" welcome those with a self-professed "desire to stop drinking," which cannot be challenged by another member on any grounds.
Speaker meetings
At speaker meetings one or more members come to tell their stories.
Big Book meetings
At Big Book meetings, attendees read from the AA Big Book and discuss it.
Discussion meetings
There are also meetings with or without a topic that allow participants to speak up or "share".
Online vs. offline meetings
Online meetings are digital meetings held on platforms such as Zoom. Offline meetings, also called "face to face", "brick and mortar", or "in-person" meetings, are held in a shared physical real-world location. Some meetings are hybrid meetings, where people can meet in a specified physical location, but people can also join the meeting virtually.
Specialized meetings
AA meetings do not exclude other alcoholics, though some meetings cater to specific demographics such as gender, profession, age, sexual orientation, or culture. Meetings in the United States are held in a variety of languages including Armenian, English, Farsi, Finnish, French, Japanese, Korean, Russian, and Spanish.
Meeting formats
While AA has pamphlets that suggest meeting formats, groups have the autonomy to hold and conduct meetings as they wish "except in matters affecting other groups or AA as a whole". Different cultures affect ritual aspects of meetings, but around the world "many particularities of the AA meeting format can be observed at almost any AA gathering".
Confidentiality
In the Fifth Step, AA members typically reveal their own past misconduct to their sponsors. US courts have not extended the status of privileged communication, such as physician-patient privilege or clergy–penitent privilege, to communications between an AA member and their sponsor.
Spirituality
Some critics have criticized 12-step programs as "a cult that relies on God as the mechanism of action" and as "overly theistic and outdated". Others have cited the necessity of a "higher power" in formal AA as creating dependence on outside factors rather than internal efficacy. A 2010 study found increased attendance at AA meetings was associated with increased spirituality and decreased frequency and intensity of alcohol use. Since the mid-1970s, several 'agnostic' or 'no-prayer' AA groups have begun across the US, Canada, and other parts of the world, which hold meetings that adhere to a tradition allowing alcoholics to freely express their doubts or disbelief that spirituality will help their recovery, and these meetings forgo the use of opening or closing prayers.
Disease concept of alcoholism
More informally than not, AA's membership has helped popularize the disease concept of alcoholism which had appeared in the eighteenth century. Though AA usually avoids the term disease, 1973 conference-approved literature said "we had the disease of alcoholism." Regardless of official positions, since AA's inception, most members have believed alcoholism to be a disease.
AA's Big Book calls alcoholism "an illness which only a spiritual experience will conquer." Ernest Kurtz says this is "The closest the book Alcoholics Anonymous comes to a definition of alcoholism." Somewhat divergently in his introduction to The Big Book, non-member and early benefactor William Silkworth said those unable to moderate their drinking suffer from an allergy. In presenting the doctor's postulate, AA said "The doctor's theory that we have an allergy to alcohol interests us. As laymen, our opinion as to its soundness may, of course, mean little. But as ex-problem drinkers, we can say that his explanation makes good sense. It explains many things for which we cannot otherwise account." AA later acknowledged that "alcoholism is not a true allergy, the experts now inform us." Wilson explained in 1960 why AA had refrained from using the term disease:
Since then medical and scientific communities have defined alcoholism as an "addictive disease" (aka Alcohol Use Disorder, Severe, Moderate, or Mild). The ten criteria are: alcoholism is a Primary Illness not caused by other illnesses nor by personality or character defects; second, an addiction gene is part of its etiology; third, alcoholism has predictable symptoms; fourth, it is progressive, becoming more severe even after long periods of abstinence; fifth, it is chronic and incurable; sixth, alcoholic drinking or other drug use persists in spite of negative consequences and efforts to quit; seventh, brain chemistry and neural functions change so alcohol is perceived as necessary for survival; eighth, it produces physical dependence and life-threatening withdrawal; ninth, it is a terminal illness; tenth, alcoholism can be treated and can be kept in remission.
Canadian and United States demographics
AA's New York General Service Office regularly surveys AA members in North America. Its 2014 survey of over 6,000 members in Canada and the United States concluded that, in North America, AA members who responded to the survey were 62% male and 38% female. The survey found that 89% of AA members were white.
Average member sobriety is slightly under 10 years with 36% sober more than ten years, 13% sober from five to ten years, 24% sober from one to five years, and 27% sober less than one year. Before coming to AA, 63% of members received some type of treatment or counseling, such as medical, psychological, or spiritual. After coming to AA, 59% received outside treatment or counseling. Of those members, 84% said that outside help played an important part in their recovery.
The same survey showed that AA received 32% of its membership from other members, another 32% from treatment facilities, 30% were self-motivated to attend AA, 12% of its membership from court-ordered attendance, and only 1% of AA members decided to join based on information obtained from the Internet. People taking the survey were allowed to select multiple answers for what motivated them to join AA.
Relationship with institutions
Hospitals
Many AA meetings take place in treatment facilities. Carrying the message of AA into hospitals was how the co-founders of AA first remained sober. They discovered great value in working with alcoholics who are still suffering, and that even if the alcoholic they were working with did not stay sober, they did. Bill Wilson wrote, "Practical experience shows that nothing will so much insure immunity from drinking as intensive work with other alcoholics". Bill Wilson visited Towns Hospital in New York City in an attempt to help the alcoholics who were patients there in 1934. At St. Thomas Hospital in Akron, Ohio, Smith worked with still more alcoholics. In 1939, a New York mental institution, Rockland State Hospital, was one of the first institutions to allow AA hospital groups. Service to corrections and treatment facilities used to be combined until the General Service Conference, in 1977, voted to dissolve its Institutions Committee and form two separate committees, one for treatment facilities, and one for correctional facilities.
Prisons
In the United States and Canada, AA meetings are held in hundreds of correctional facilities. The AA General Service Office has published a workbook with detailed recommendations for methods of approaching correctional-facility officials with the intent of developing an in-prison AA program. In addition, AA publishes a variety of pamphlets specifically for the incarcerated alcoholic. Additionally, the AA General Service Office provides a pamphlet with guidelines for members working with incarcerated alcoholics.
United States court rulings
United States courts have ruled that inmates, parolees, and probationers cannot be ordered to attend AA. Though AA itself was not deemed a religion, it was ruled that it contained enough religious components (variously described in Griffin v. Coughlin below as, inter alia, "religion", "religious activity", "religious exercise") to make coerced attendance at AA meetings a violation of the Establishment Clause of the First Amendment of the constitution. In 2007, the Ninth Circuit of the U.S. Court of Appeals stated that a parolee who was ordered to attend AA had standing to sue his parole office.
United States treatment industry
In 1939, High Watch Recovery Center in Kent, Connecticut, was founded by Bill Wilson and Marty Mann. Sister Francis who owned the farm tried to gift the spiritual retreat for alcoholics to Alcoholics Anonymous, however citing the sixth tradition Bill W. turned down the gift but agreed to have a separate non-profit board run the facility composed of AA members. Bill Wilson and Marty Mann served on the High Watch board of directors for many years. High Watch was the first and therefore the oldest 12-step-based treatment center in the world still operating today.
In 1949, the Hazelden treatment center was founded and staffed by AA members, and since then many alcoholic rehabilitation clinics have incorporated AA's precepts into their treatment programs. 32% of AA's membership was introduced to it through a treatment facility.
Effectiveness
There are several ways one can determine whether AA works and numerous ways of measuring if AA is successful, such as looking at abstinence, reduced drinking intensity, reduced alcohol-related consequences, alcohol addiction severity, and healthcare cost.
The effectiveness of AA (compared to other methods and treatments) has been challenged throughout the years, but recent high quality clinical meta-studies using quasi-experiment studies show that AA costs less than other treatments and results in increased abstinence. In longitudinal studies, AA appears to be about as effective as other abstinence-based support groups.
Because of the anonymous and voluntary nature of AA meetings, it has been difficult to perform random trials with them. Environmental and quasi-experiment studies suggest that AA can help alcoholics make positive changes.
In the past, some critics have criticized 12-step programs as pseudoscientific and "a cult that relies on God as the mechanism of action". Until recently, ethical and operational issues had prevented robust randomized controlled trials from being conducted comparing 12-step programs directly to other approaches. More recent studies employing randomized and blinded trials have shown 12-step programs provide similar benefit compared to motivational enhancement therapy (MET) and cognitive behavioral therapy (CBT), and were more effective in producing continuous abstinence and remission compared to these approaches.
Cochrane 2020 review
A 2020 Cochrane review concluded that "compared to other well-established treatments, clinical linkage using well-articulated Twelve-Step Facilitation (TSF) manualized interventions intended to increase Alcoholics Anonymous (AA) participation" are more effective than other established treatments, such as motivational enhancement therapy (MET) and cognitive-behavioral therapy (CBT), as measured by abstinence rates. Manualized TSF probably achieves additional desirable outcomes—such as fewer drinks per drinking day and less severe alcohol-related problems—at equivalent rates as other treatments, although evidence for such a conclusion comes from low to moderate certainty evidence "so should be regarded with caution".
In response to a concern expressed by another addiction researcher that "those more strongly committed to total abstinence after receiving AA/TSF were likely to experience more protracted 'slips' if they did for any reason drink", the Cochrane review authors stated that subjects who did not achieve abstinence did not have worse drinking outcomes overall.
Older studies
A 2006 study by Rudolf H. Moos and Bernice S. Moos saw a 67% success rate 16 years later for the 24.9% of alcoholics who ended up, on their own, undergoing a lot of AA treatment. The study's results may be skewed by self-selection bias.
Project MATCH was a 1990s 8-year, multi-site, $27-million investigation that studied which types of alcoholics respond best to which forms of treatment.
Brandsma 1980 showed that Alcoholics Anonymous is more effective than no treatment whatsoever.
Membership retention
In 2001–2002, the National Institute on Alcohol Abuse and Alcoholism (NIAAA) conducted the National Epidemiological Survey on Alcoholism and Related Conditions (NESARC). Similarly structured to the NLAES, the survey conducted in-person interviews with 43,093 individuals. Respondents were asked if they had ever attended a twelve-step meeting for an alcohol problem in their lifetime (the question was not AA-specific). 1441 (3.4%) of respondents answered the question affirmatively. Answers were further broken down into three categories: disengaged, those who started attending at some point in the past but had ceased attending at some point in the past year (988); continued engagement, those who started attending at some point in the past and continued to attend during the past year (348); and newcomers, those who started attending during the past year (105). In their discussion of the findings, Kaskautas et al. (2008) state that to study disengagement, only the disengaged and continued engagement should be utilized (pg. 270).
The popular press
The Sober Truth
American psychiatrist Lance Dodes, in The Sober Truth, says that research indicates that only five to eight percent of the people who go to one or more AA meetings achieve sobriety.
The 5–8% figure put forward by Dodes is controversial; other doctors say that the book uses "three separate, questionable, calculations that arrive at the 5–8% figure." Addiction specialists state that the book's conclusion that "[12-step] approaches are almost completely ineffective and even harmful in treating substance use disorders" is wrong. One review called Dodes' reasoning against AA success a "pseudostatistical polemic".
Dodes has not, as of March 2020, read the 2020 Cochrane review showing AA efficacy, but opposes the idea that a social network is needed to overcome substance abuse.
The Irrationality of Alcoholics Anonymous
In a 2015 article for The Atlantic, Gabrielle Glaser criticized the dominance of AA in the treatment of addiction in the United States. Her article uses Lance Dodes's figures and a 2006 Cochrane report to state AA had a low success rate, but those figures were subsequently criticized by experts as outdated. The Glaser article incorrectly conflates the efficacy of treatment centers with the efficacy of Alcoholics Anonymous. The Glaser article says that "nothing about the 12-step approach draws on modern science", but a large amount of scientific research has been done with AA, showing that AA increases abstinence rates. The Glaser article criticizes 12-step programs for being "faith-based", but 12-step programs allow for a very wide diversity of spiritual beliefs, and there are a growing number of secular 12-step meetings.
Criticism
Sexual advances ("thirteenth-stepping")
"Thirteenth-stepping" is a pejorative term for AA members approaching new members for dates. A study in the Journal of Addiction Nursing sampled 55 women in AA and found that 35% of these women had experienced a "pass" and 29% had felt seduced at least once in AA settings. This has also happened with new male members who received guidance from older female AA members pursuing sexual company. The authors suggest that both men and women must be prepared for this behavior or find male or female-only groups. Women-only meetings are a very prevalent part of AA culture, and AA has become more welcoming for women. AA's pamphlet on sponsorship suggests that men be sponsored by men and women be sponsored by women.
Alcoholics Anonymous World Services has a safety flier which states that "Unwanted sexual advances and predatory behaviors are in conflict with carrying the A.A. message of recovery."
Criticism of culture
Stanton Peele argued that some AA groups apply the disease model to all problem drinkers, whether or not they are "full-blown" alcoholics. Along with Nancy Shute, Peele has advocated that besides AA, other options should be readily available to those problem drinkers who can manage their drinking with the right treatment. The Big Book says "moderate drinkers" and "a certain type of hard drinker" can stop or moderate their drinking. The Big Book suggests no program for these drinkers, but instead seeks to help drinkers without "power of choice in drink."
In 1983, a review stated that the AA program's focus on admission of having a problem increases deviant stigma and strips members of their previous cultural identity, replacing it with the deviant identity. A 1985 study based on observations of AA meetings warned of detrimental iatrogenic effects of the twelve-step philosophy and concluded that AA uses many methods that are also used by cults. A later review disagreed, stating that AA's program bore little resemblance to religious cult practices. In 2014, Vaillant published a paper making the case that Alcoholics Anonymous is not a cult.
Literature
Alcoholics Anonymous publishes several books, reports, pamphlets, and other media, including a periodical known as the AA Grapevine. Two books are used primarily: Alcoholics Anonymous (the "Big Book") and Twelve Steps and Twelve Traditions, the latter explaining AA's fundamental principles in depth. The full text of each of these two books is available on the AA website at no charge.
575 pages.
192 pages.
AA in media
Film and television
My Name Is Bill W. – dramatized biography of co-founder Bill Wilson.
When Love Is Not Enough: The Lois Wilson Story – a 2010 film about the wife of founder Bill Wilson, and the beginnings of Alcoholics Anonymous and Al-Anon.
Bill W. – a 2011 biographical documentary film that tells the story of Bill Wilson using interviews, recreations, and rare archival material.
A Walk Among the Tombstones (2015), a mystery/suspense film based on Lawrence Block's books featuring Matthew Scudder, a recovering alcoholic detective whose AA membership is a central element of the plot.
When a Man Loves a Woman – a school counselor attends AA meetings in a residential treatment facility.
Clean and Sober – an addict (alcohol, cocaine) visits an AA meeting to get a sponsor.
Days of Wine and Roses – a 1962 film about a married couple struggling with alcoholism. Jack Lemmon's character attends an AA meeting in the film.
Drunks – a 1995 film starring Richard Lewis as an alcoholic who leaves an AA meeting and relapses. The film cuts back and forth between his eventual relapse and the other meeting attendees.
Come Back, Little Sheba – A 1952 film based on a play of the same title about a loveless marriage where the husband played by Burt Lancaster is an alcoholic who gets help from two members of the local AA chapter. A 1977 TV drama was also based on the play.
I'll Cry Tomorrow – A 1955 film about singer Lillian Roth played by Susan Hayward who goes to AA to help her stop drinking. The film was based on Roth's autobiography of the same name detailing her alcoholism and sobriety through AA.
You Kill Me – a 2007 crime-comedy film starring Ben Kingsley as a mob hit man with a drinking problem who is forced to accept a job at a mortuary and go to AA meetings.
Smashed – a 2012 drama film starring Mary Elizabeth Winstead. An elementary school teacher's drinking begins to interfere with her job, so she attempts to get sober in AA.
Don't Worry, He Won't Get Far on Foot – a 2018 biography/comedy/drama by Gus Van Sant, based on the life of cartoonist John Callahan.
Flight — a 2012 film starring Denzel Washington as an alcoholic airline pilot. The movie includes a dramatic representation of a prison AA meeting.
In CBS' Elementary, Jonny Lee Miller plays an adaptation of Sherlock Holmes who is a recovering drug addict. Several episodes are centered around AA meetings and the process of recovery.
Doctor Sleep – Released in 2019, Doctor Sleep is a sequel to The Shining, directed by Mike Flanagan and based on Stephen King's work. Ewan McGregor stars as a man who, after overcoming his own demons through AA, helps others do the same.
See also
Adult Children of Alcoholics
Al-Anon/Alateen
Calix Society
Community reinforcement approach and family training (CRAFT)
Drug addiction recovery groups
Drug rehabilitation
Group psychotherapy
List of twelve-step groups
Long-term effects of alcohol
Recovery approach
Short-term effects of alcohol consumption
Stepping Stones (house), home of Bill W.
Washingtonian movement
Notes
References
Bibliography
External links
A History of Agnostic Groups in AA
Reproduction of the 1938 Original Manuscript of Alcoholics Anonymous
Addiction and substance abuse organizations
Non-profit organizations based in New York City
Organizations established in 1935
Therapeutic community
Twelve-step programs
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In computer graphics, alpha compositing or alpha blending is the process of combining one image with a background to create the appearance of partial or full transparency. It is often useful to render picture elements (pixels) in separate passes or layers and then combine the resulting 2D images into a single, final image called the composite. Compositing is used extensively in film when combining computer-rendered image elements with live footage. Alpha blending is also used in 2D computer graphics to put rasterized foreground elements over a background.
In order to combine the picture elements of the images correctly, it is necessary to keep an associated matte for each element in addition to its color. This matte layer contains the coverage information—the shape of the geometry being drawn—making it possible to distinguish between parts of the image where something was drawn and parts that are empty.
Although the most basic operation of combining two images is to put one over the other, there are many operations, or blend modes, that are used.
History
The concept of an alpha channel was introduced by Alvy Ray Smith and in the late 1970s at the New York Institute of Technology Computer Graphics Lab. Bruce A. Wallace derived the same straight over operator based on a physical reflectance/transmittance model in 1981. A 1984 paper by Thomas Porter and Tom Duff introduced premultiplied alpha using a geometrical approach.
The use of the term alpha is explained by Smith as follows: "We called it that because of the classic linear interpolation formula that uses the Greek letter (alpha) to control the amount of interpolation between, in this case, two images A and B". That is, when compositing image A atop image B, the value of in the formula is taken directly from A's alpha channel.
Description
In a 2D image a color combination is stored for each picture element (pixel), often a combination of red, green and blue (RGB). When alpha compositing is in use, each pixel has an additional numeric value stored in its alpha channel, with a value ranging from 0 to 1. A value of 0 means that the pixel is fully transparent and the color in the pixel beneath will show through. A value of 1 means that the pixel is fully opaque.
With the existence of an alpha channel, it is possible to express compositing image operations using a compositing algebra. For example, given two images A and B, the most common compositing operation is to combine the images so that A appears in the foreground and B appears in the background. This can be expressed as A over B. In addition to over, Porter and Duff defined the compositing operators in, held out by (the phrase refers to holdout matting and is usually abbreviated out), atop, and xor (and the reverse operators rover, rin, rout, and ratop) from a consideration of choices in blending the colors of two pixels when their coverage is, conceptually, overlaid orthogonally:
As an example, the over operator can be accomplished by applying the following formula to each pixel:
Here , and stand for the color components of the pixels in the result, image A and image B respectively, applied to each color channel (red/green/blue) individually, whereas , and are the alpha values of the respective pixels.
The over operator is, in effect, the normal painting operation (see Painter's algorithm). The in and out operators are the alpha compositing equivalent of clipping. The two use only the alpha channel of the second image and ignore the color components. In addition, plus defines additive blending.
Straight versus premultiplied
If an alpha channel is used in an image, there are two common representations that are available: straight (unassociated) alpha and premultiplied (associated) alpha.
With straight alpha, the RGB components represent the color of the object or pixel, disregarding its opacity. This is the method implied by the over operator in the previous section.
With premultiplied alpha, the RGB components represent the emission of the object or pixel, and the alpha represents the occlusion. The over operator then becomes:
Comparison
The most significant advantage of premultiplied alpha is that it allows for correct blending, interpolation, and filtering. Ordinary interpolation without premultiplied alpha leads to RGB information leaking out of fully transparent (A=0) regions, even though this RGB information is ideally invisible. When interpolating or filtering images with abrupt borders between transparent and opaque regions, this can result in borders of colors that were not visible in the original image. Errors also occur in areas of semitransparency because the RGB components are not correctly weighted, giving incorrectly high weighting to the color of the more transparent (lower alpha) pixels.
Premultiplied alpha may also be used to allow regions of regular alpha blending (e.g. smoke) and regions with additive blending mode (e.g. flame and glitter effects) to be encoded within the same image. This is represented by an RGBA triplet that express emission with no occlusion, such as (0.4, 0.3, 0.2, 0.0).
Another advantage of premultiplied alpha is performance; in certain situations, it can reduce the number of multiplication operations (e.g. if the image is used many times during later compositing). The Porter–Duff operations have a simple form only in premultiplied alpha. Some rendering pipelines expose a "straight alpha" API surface, but converts them into premultiplied alpha for performance.
One disadvantage of premultiplied alpha is that it can reduce the available relative precision in the RGB values when using integer or fixed-point representation for the color components. This may cause a noticeable loss of quality if the color information is later brightened or if the alpha channel is removed. In practice, this is not usually noticeable because during typical composition operations, such as OVER, the influence of the low-precision color information in low-alpha areas on the final output image (after composition) is correspondingly reduced. This loss of precision also makes premultiplied images easier to compress using certain compression schemes, as they do not record the color variations hidden inside transparent regions, and can allocate fewer bits to encode low-alpha areas. The same “limitations” of lower quantisation bit depths such as 8 bit per channel are also present in imagery without alpha, and this argument is problematic as a result.
Examples
Assuming that the pixel color is expressed using straight (non-premultiplied) RGBA tuples, a pixel value of (0, 0.7, 0, 0.5) implies a pixel that has 70% of the maximum green intensity and 50% opacity. If the color were fully green, its RGBA would be (0, 1, 0, 0.5). However, if this pixel uses premultiplied alpha, all of the RGB values (0, 0.7, 0) are multiplied, or scaled for occlusion, by the alpha value 0.5, which is appended to yield (0, 0.35, 0, 0.5). In this case, the 0.35 value for the G channel actually indicates 70% green emission intensity (with 50% occlusion). A pure green emission would be encoded as (0, 0.5, 0, 0.5). Knowing whether a file uses straight or premultiplied alpha is essential to correctly process or composite it, as a different calculation is required.
Emission with no occlusion cannot be represented in straight alpha. No conversion is available in this case.
Image formats supporting alpha channels
The most popular image formats that support the alpha channel are PNG and TIFF. GIF supports alpha channels, but is considered to be inefficient when it comes to file size. Support for alpha channels is present in some video codecs, such as Animation and Apple ProRes 4444 of the QuickTime format, or in the Techsmith multi-format codec.
The file format BMP generally does not support this channel; however, in different formats such as 32-bit (888-8) or 16-bit (444-4) it is possible to save the alpha channel, although not all systems or programs are able to read it: it is exploited mainly in some video games or particular applications; specific programs have also been created for the creation of these BMPs.
Gamma correction
The RGB values of typical digital images do not directly correspond to the physical light intensities, but are rather compressed by a gamma correction function:
This transformation better utilizes the limited number of bits in the encoded image by choosing that better matches the non-linear human perception of luminance.
Accordingly, computer programs that deal with such images must decode the RGB values into a linear space (by undoing the gamma-compression), blend the linear light intensities, and re-apply the gamma compression to the result:
When combined with premultiplied alpha, pre-multiplication is done in linear space, prior to gamma compression. This results in the following formula:
Note that the alpha channel may or may not undergo gamma-correction, even when the color channels do.
Other transparency methods
Although used for similar purposes, transparent colors and image masks do not permit the smooth blending of the superimposed image pixels with those of the background (only whole image pixels or whole background pixels allowed).
A similar effect can be achieved with a 1-bit alpha channel, as found in the 16-bit RGBA high color mode of the Truevision TGA image file format and related TARGA and AT-Vista/NU-Vista display adapters' high color graphic mode. This mode devotes 5 bits for every primary RGB color (15-bit RGB) plus a remaining bit as the "alpha channel".
Dithering can be used to simulate partial occlusion where only 1-bit alpha is available.
For some applications, a single alpha channel is not sufficient: a stained-glass window, for instance, requires a separate transparency channel for each RGB channel to model the red, green and blue transparency separately. More alpha channels can be added for accurate spectral color filtration applications.
Some order-independent transparency methods replace the over operator with a commutative approximation.
See also
References
External links
Compositing Digital Images - Thomas Porter and Tom Duff (Original Paper)
Image Compositing Fundamentals
Understand Compositing and Color extensions in SVG 1.2 in 30 minutes!
Alpha Matting and Premultiplication
Computer graphics algorithms
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In computer science, an array is a data structure consisting of a collection of elements (values or variables), of same memory size, each identified by at least one array index or key. An array is stored such that the position of each element can be computed from its index tuple by a mathematical formula. The simplest type of data structure is a linear array, also called one-dimensional array.
For example, an array of ten 32-bit (4-byte) integer variables, with indices 0 through 9, may be stored as ten words at memory addresses 2000, 2004, 2008, ..., 2036, (in hexadecimal: 0x7D0, 0x7D4, 0x7D8, ..., 0x7F4) so that the element with index i has the address 2000 + (i × 4).
The memory address of the first element of an array is called first address, foundation address, or base address.
Because the mathematical concept of a matrix can be represented as a two-dimensional grid, two-dimensional arrays are also sometimes called "matrices". In some cases the term "vector" is used in computing to refer to an array, although tuples rather than vectors are the more mathematically correct equivalent. Tables are often implemented in the form of arrays, especially lookup tables; the word "table" is sometimes used as a synonym of array.
Arrays are among the oldest and most important data structures, and are used by almost every program. They are also used to implement many other data structures, such as lists and strings. They effectively exploit the addressing logic of computers. In most modern computers and many external storage devices, the memory is a one-dimensional array of words, whose indices are their addresses. Processors, especially vector processors, are often optimized for array operations.
Arrays are useful mostly because the element indices can be computed at run time. Among other things, this feature allows a single iterative statement to process arbitrarily many elements of an array. For that reason, the elements of an array data structure are required to have the same size and should use the same data representation. The set of valid index tuples and the addresses of the elements (and hence the element addressing formula) are usually, but not always, fixed while the array is in use.
The term "array" may also refer to an array data type, a kind of data type provided by most high-level programming languages that consists of a collection of values or variables that can be selected by one or more indices computed at run-time. Array types are often implemented by array structures; however, in some languages they may be implemented by hash tables, linked lists, search trees, or other data structures.
The term is also used, especially in the description of algorithms, to mean associative array or "abstract array", a theoretical computer science model (an abstract data type or ADT) intended to capture the essential properties of arrays.
History
The first digital computers used machine-language programming to set up and access array structures for data tables, vector and matrix computations, and for many other purposes. John von Neumann wrote the first array-sorting program (merge sort) in 1945, during the building of the first stored-program computer. Array indexing was originally done by self-modifying code, and later using index registers and indirect addressing. Some mainframes designed in the 1960s, such as the Burroughs B5000 and its successors, used memory segmentation to perform index-bounds checking in hardware.
Assembly languages generally have no special support for arrays, other than what the machine itself provides. The earliest high-level programming languages, including FORTRAN (1957), Lisp (1958), COBOL (1960), and ALGOL 60 (1960), had support for multi-dimensional arrays, and so has C (1972). In C++ (1983), class templates exist for multi-dimensional arrays whose dimension is fixed at runtime as well as for runtime-flexible arrays.
Applications
Arrays are used to implement mathematical vectors and matrices, as well as other kinds of rectangular tables. Many databases, small and large, consist of (or include) one-dimensional arrays whose elements are records.
Arrays are used to implement other data structures, such as lists, heaps, hash tables, deques, queues, stacks, strings, and VLists. Array-based implementations of other data structures are frequently simple and space-efficient (implicit data structures), requiring little space overhead, but may have poor space complexity, particularly when modified, compared to tree-based data structures (compare a sorted array to a search tree).
One or more large arrays are sometimes used to emulate in-program dynamic memory allocation, particularly memory pool allocation. Historically, this has sometimes been the only way to allocate "dynamic memory" portably.
Arrays can be used to determine partial or complete control flow in programs, as a compact alternative to (otherwise repetitive) multiple IF statements. They are known in this context as control tables and are used in conjunction with a purpose built interpreter whose control flow is altered according to values contained in the array. The array may contain subroutine pointers (or relative subroutine numbers that can be acted upon by SWITCH statements) that direct the path of the execution.
Element identifier and addressing formulas
When data objects are stored in an array, individual objects are selected by an index that is usually a non-negative scalar integer. Indexes are also called subscripts. An index maps the array value to a stored object.
There are three ways in which the elements of an array can be indexed:
0 (zero-based indexing) The first element of the array is indexed by subscript of 0.
1 (one-based indexing) The first element of the array is indexed by subscript of 1.
n (n-based indexing) The base index of an array can be freely chosen. Usually programming languages allowing n-based indexing also allow negative index values and other scalar data types like enumerations, or characters may be used as an array index.
Using zero based indexing is the design choice of many influential programming languages, including C, Java and Lisp. This leads to simpler implementation where the subscript refers to an offset from the starting position of an array, so the first element has an offset of zero.
Arrays can have multiple dimensions, thus it is not uncommon to access an array using multiple indices. For example, a two-dimensional array A with three rows and four columns might provide access to the element at the 2nd row and 4th column by the expression A[1][3] in the case of a zero-based indexing system. Thus two indices are used for a two-dimensional array, three for a three-dimensional array, and n for an n-dimensional array.
The number of indices needed to specify an element is called the dimension, dimensionality, or rank of the array.
In standard arrays, each index is restricted to a certain range of consecutive integers (or consecutive values of some enumerated type), and the address of an element is computed by a "linear" formula on the indices.
One-dimensional arrays
A one-dimensional array (or single dimension array) is a type of linear array. Accessing its elements involves a single subscript which can either represent a row or column index.
As an example consider the C declaration int anArrayName[10]; which declares a one-dimensional array of ten integers. Here, the array can store ten elements of type int . This array has indices starting from zero through nine. For example, the expressions anArrayName[0] and anArrayName[9] are the first and last elements respectively.
For a vector with linear addressing, the element with index i is located at the address , where B is a fixed base address and c a fixed constant, sometimes called the address increment or stride.
If the valid element indices begin at 0, the constant B is simply the address of the first element of the array. For this reason, the C programming language specifies that array indices always begin at 0; and many programmers will call that element "zeroth" rather than "first".
However, one can choose the index of the first element by an appropriate choice of the base address B. For example, if the array has five elements, indexed 1 through 5, and the base address B is replaced by , then the indices of those same elements will be 31 to 35. If the numbering does not start at 0, the constant B may not be the address of any element.
Multidimensional arrays
For a multidimensional array, the element with indices i,j would have address B + c · i + d · j, where the coefficients c and d are the row and column address increments, respectively.
More generally, in a k-dimensional array, the address of an element with indices i1, i2, ..., ik is
B + c1 · i1 + c2 · i2 + … + ck · ik.
For example: int a[2][3];
This means that array a has 2 rows and 3 columns, and the array is of integer type. Here we can store 6 elements they will be stored linearly but starting from first row linear then continuing with second row. The above array will be stored as a11, a12, a13, a21, a22, a23.
This formula requires only k multiplications and k additions, for any array that can fit in memory. Moreover, if any coefficient is a fixed power of 2, the multiplication can be replaced by bit shifting.
The coefficients ck must be chosen so that every valid index tuple maps to the address of a distinct element.
If the minimum legal value for every index is 0, then B is the address of the element whose indices are all zero. As in the one-dimensional case, the element indices may be changed by changing the base address B. Thus, if a two-dimensional array has rows and columns indexed from 1 to 10 and 1 to 20, respectively, then replacing B by will cause them to be renumbered from 0 through 9 and 4 through 23, respectively. Taking advantage of this feature, some languages (like FORTRAN 77) specify that array indices begin at 1, as in mathematical tradition while other languages (like Fortran 90, Pascal and Algol) let the user choose the minimum value for each index.
Dope vectors
The addressing formula is completely defined by the dimension d, the base address B, and the increments c1, c2, ..., ck. It is often useful to pack these parameters into a record called the array's descriptor or stride vector or dope vector. The size of each element, and the minimum and maximum values allowed for each index may also be included in the dope vector. The dope vector is a complete handle for the array, and is a convenient way to pass arrays as arguments to procedures. Many useful array slicing operations (such as selecting a sub-array, swapping indices, or reversing the direction of the indices) can be performed very efficiently by manipulating the dope vector.
Compact layouts
Often the coefficients are chosen so that the elements occupy a contiguous area of memory. However, that is not necessary. Even if arrays are always created with contiguous elements, some array slicing operations may create non-contiguous sub-arrays from them.
There are two systematic compact layouts for a two-dimensional array. For example, consider the matrix
In the row-major order layout (adopted by C for statically declared arrays), the elements in each row are stored in consecutive positions and all of the elements of a row have a lower address than any of the elements of a consecutive row:
{| class="wikitable"
|-
| 1 || 2 || 3 || 4 || 5 || 6 || 7 || 8 || 9
|}
In column-major order (traditionally used by Fortran), the elements in each column are consecutive in memory and all of the elements of a column have a lower address than any of the elements of a consecutive column:
{| class="wikitable"
|-
| 1 || 4 || 7 || 2 || 5 || 8 || 3 || 6 || 9
|}
For arrays with three or more indices, "row major order" puts in consecutive positions any two elements whose index tuples differ only by one in the last index. "Column major order" is analogous with respect to the first index.
In systems which use processor cache or virtual memory, scanning an array is much faster if successive elements are stored in consecutive positions in memory, rather than sparsely scattered. This is known as spatial locality, which is a type of locality of reference. Many algorithms that use multidimensional arrays will scan them in a predictable order. A programmer (or a sophisticated compiler) may use this information to choose between row- or column-major layout for each array. For example, when computing the product A·B of two matrices, it would be best to have A stored in row-major order, and B in column-major order.
Resizing
Static arrays have a size that is fixed when they are created and consequently do not allow elements to be inserted or removed. However, by allocating a new array and copying the contents of the old array to it, it is possible to effectively implement a dynamic version of an array; see dynamic array. If this operation is done infrequently, insertions at the end of the array require only amortized constant time.
Some array data structures do not reallocate storage, but do store a count of the number of elements of the array in use, called the count or size. This effectively makes the array a dynamic array with a fixed maximum size or capacity; Pascal strings are examples of this.
Non-linear formulas
More complicated (non-linear) formulas are occasionally used. For a compact two-dimensional triangular array, for instance, the addressing formula is a polynomial of degree 2.
Efficiency
Both store and select take (deterministic worst case) constant time. Arrays take linear (O(n)) space in the number of elements n that they hold.
In an array with element size k and on a machine with a cache line size of B bytes, iterating through an array of n elements requires the minimum of ceiling(nk/B) cache misses, because its elements occupy contiguous memory locations. This is roughly a factor of B/k better than the number of cache misses needed to access n elements at random memory locations. As a consequence, sequential iteration over an array is noticeably faster in practice than iteration over many other data structures, a property called locality of reference (this does not mean however, that using a perfect hash or trivial hash within the same (local) array, will not be even faster - and achievable in constant time). Libraries provide low-level optimized facilities for copying ranges of memory (such as memcpy) which can be used to move contiguous blocks of array elements significantly faster than can be achieved through individual element access. The speedup of such optimized routines varies by array element size, architecture, and implementation.
Memory-wise, arrays are compact data structures with no per-element overhead. There may be a per-array overhead (e.g., to store index bounds) but this is language-dependent. It can also happen that elements stored in an array require less memory than the same elements stored in individual variables, because several array elements can be stored in a single word; such arrays are often called packed arrays. An extreme (but commonly used) case is the bit array, where every bit represents a single element. A single octet can thus hold up to 256 different combinations of up to 8 different conditions, in the most compact form.
Array accesses with statically predictable access patterns are a major source of data parallelism.
Comparison with other data structures
Dynamic arrays or growable arrays are similar to arrays but add the ability to insert and delete elements; adding and deleting at the end is particularly efficient. However, they reserve linear (Θ(n)) additional storage, whereas arrays do not reserve additional storage.
Associative arrays provide a mechanism for array-like functionality without huge storage overheads when the index values are sparse. For example, an array that contains values only at indexes 1 and 2 billion may benefit from using such a structure. Specialized associative arrays with integer keys include Patricia tries, Judy arrays, and van Emde Boas trees.
Balanced trees require O(log n) time for indexed access, but also permit inserting or deleting elements in O(log n) time, whereas growable arrays require linear (Θ(n)) time to insert or delete elements at an arbitrary position.
Linked lists allow constant time removal and insertion in the middle but take linear time for indexed access. Their memory use is typically worse than arrays, but is still linear.
An Iliffe vector is an alternative to a multidimensional array structure. It uses a one-dimensional array of references to arrays of one dimension less. For two dimensions, in particular, this alternative structure would be a vector of pointers to vectors, one for each row(pointer on c or c++). Thus an element in row i and column j of an array A would be accessed by double indexing (A[i][j] in typical notation). This alternative structure allows jagged arrays, where each row may have a different size—or, in general, where the valid range of each index depends on the values of all preceding indices. It also saves one multiplication (by the column address increment) replacing it by a bit shift (to index the vector of row pointers) and one extra memory access (fetching the row address), which may be worthwhile in some architectures.
Dimension
The dimension of an array is the number of indices needed to select an element. Thus, if the array is seen as a function on a set of possible index combinations, it is the dimension of the space of which its domain is a discrete subset. Thus a one-dimensional array is a list of data, a two-dimensional array is a rectangle of data, a three-dimensional array a block of data, etc.
This should not be confused with the dimension of the set of all matrices with a given domain, that is, the number of elements in the array. For example, an array with 5 rows and 4 columns is two-dimensional, but such matrices form a 20-dimensional space. Similarly, a three-dimensional vector can be represented by a one-dimensional array of size three.
See also
Dynamic array
Parallel array
Variable-length array
Bit array
Array slicing
Offset (computer science)
Row- and column-major order
Stride of an array
References
External links
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An automatic number announcement circuit (ANAC) is a component of a central office of a telephone company that provides a service to installation and service technicians to determine the telephone number of a telephone line. The facility has a telephone number that may be called to listen to an automatic announcement that includes the caller's telephone number. The ANAC facility is useful primarily during the installation of landline telephones to quickly identify one of multiple wire pairs in a bundle or at a termination point.
Operation
By connecting a test telephone set, a technician calls the local telephone number of the automatic number announcement service. This call is connected to equipment at the central office that uses automatic equipment to announce the telephone number of the line calling in. The main purpose of this system is to allow telephone company technicians to identify the telephone line they are connected to.
Automatic number announcement systems are based on automatic number identification. They are intended for use by phone company technicians, the ANAC system bypasses customer features, such as unlisted numbers, caller ID blocking, and outgoing call blocking. Installers of multi-line business services where outgoing calls from all lines display the company's main number on call display can use ANAC to identify a specific line in the system, even if CID displays every line as "line one".
Most ANAC systems are provider-specific in each wire center, while others are regional or state-/province- or area-code-wide. No official lists of ANAC numbers are published, as telephone companies guard against abuse that would interfere with availability for installers.
Exchange prefixes for testing
The North American Numbering Plan reserves the exchange (central office) prefixes 958 and 959 for plant testing purposes. Code 959 with three or four additional digits is dedicated for access to office test lines in local exchange carrier and interoffice carrier central offices. The specifications define several test features for line conditions, such as quiet line and busy line, and test tones transmitted to callers. Telephone numbers are assigned for ring back to test the ringer when installing telephone sets, milliwatt tone (a number simply answers with a continuous test tone) and a loop around (which connects a call to another inbound call to the same or another test number).
ANAC services are typically installed in the 958 range, which is intended for communications between central offices. In some area codes, multiple additional prefixes may be reserved for test purposes. Many area codes reserved 999; 320 was also formerly reserved in Bell Canada territory.
Other carrier-specific North American test numbers include 555-XXXX numbers (such as 555-0311 on Rogers Communications in Canada) or vertical service codes, such as *99 on Cablevision/Optimum Voice in the United States.
Telephone numbers
Plant testing telephone numbers are carrier-specific, there is no comprehensive list of telephone numbers for ANAC services. In some communities, test numbers change relatively often. In others, a major incumbent carrier might assign a single number which provides test functions on its network across an entire numbering plan area, throughout an entire province or state, or system-wide.
Some telecommunication carriers maintain toll-free numbers for ANAC facilities. Some national toll-free numbers provide automatic number identification by speaking the telephone number of the caller, but these are not intended for use in identifying the customer's own phone number. They are used for the agent in a call center to confirm the telephone a customer is calling from, so that the customer's account information can be displayed as a "screen pop" for the next available customer service representative.
See also
Plant test number
Ringback number
References
Telephone numbers
Telephony signals
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Amerigo Vespucci (; ; 9 March 1451 – 22 February 1512) was an Italian explorer and navigator from the Republic of Florence, from whose name the term "America" is derived.
Between 1497 and 1504, Vespucci participated in at least two voyages of the Age of Discovery, first on behalf of Spain (14991500) and then for Portugal (15011502). In 1503 and 1505, two booklets were published under his name, containing colourful descriptions of these explorations and other alleged voyages. Both publications were extremely popular and widely read across much of Europe. Although historians still dispute the authorship and veracity of these accounts, at the time they were instrumental in raising awareness of the new discoveries and enhancing the reputation of Vespucci as an explorer and navigator.
Vespucci claimed to have understood, back in 1501 during his Portuguese expedition, that Brazil was part of a fourth continent unknown to Europeans, which he called the "New World". The claim inspired cartographer Martin Waldseemüller to recognize Vespucci's accomplishments in 1507 by applying the Latinized form "America" for the first time to a map showing the New World. Other cartographers followed suit, and by 1532 the name America was permanently affixed to the newly discovered continents.
It is unknown whether Vespucci was ever aware of these honours. In 1505, he was made a subject of Castile by royal decree and in 1508, he was appointed to the newly created position of piloto mayor (master navigator) for Spain's Casa de Contratación (House of Trade) in Seville, a post he held until his death in 1512.
Biography
Vespucci was born on 9 March 1451, in Florence, a wealthy Italian city-state and a center of Renaissance art and learning.
Family and education
Amerigo Vespucci was the third son of Nastagio Vespucci, a Florentine notary for the Money-Changers Guild, and Lisa di Giovanni Mini. The family resided in the District of Santa Lucia d'Ognissanti along with other families of the Vespucci clan. Earlier generations of Vespucci had funded a family chapel in the Ognissanti church, and the nearby Hospital of San Giovanni di Dio was founded by Simone di Piero Vespucci in 1380. Vespucci's immediate family was not especially prosperous but they were politically well-connected. Amerigo's grandfather, also named Amerigo Vespucci, served a total of 36 years as the chancellor of the Florentine government, known as the Signoria; and Nastagio also served in the Signoria and in other guild offices. More importantly, the Vespuccis had good relations with Lorenzo de' Medici, the powerful de facto ruler of Florence.
Amerigo's two older brothers, Antonio and Girolamo, were sent to the University of Pisa for their education; Antonio followed his father to become a notary, while Girolamo entered the Church and joined the Knights Hospitaller in Rhodes. Amerigo's career path seemed less certain; instead of following his brothers to the university, he remained in Florence and was tutored by his uncle, Giorgio Antonio Vespucci, a Dominican friar in the monastery of San Marco. Fortunately for Amerigo, his uncle was one of the most celebrated humanist scholars in Florence at the time and provided him with a broad education in literature, philosophy, rhetoric, and Latin. He was also introduced to geography and astronomy, subjects that played an essential part in his career. Amerigo's later writings demonstrated a familiarity with the work of the classic Greek cosmographers, Ptolemy and Strabo, and the more recent work of Florentine astronomer Paolo dal Pozzo Toscanelli.
Early career
In 1478, Guido Antonio Vespucci led a Florentine diplomatic mission to Paris and invited his younger cousin, Amerigo Vespucci, to join him. Amerigo's role is not clear, but it was likely as an attache or private secretary. Along the way they had business in Bologna, Milan, and Lyon. Their objective in Paris was to obtain French support for Florence's war with Naples. Louis XI was noncommittal and the diplomatic mission returned to Florence in 1481 with little to show for their efforts.
After his return from Paris, Amerigo worked for a time with his father and continued his studies in science. In 1482, when his father died, Amerigo went to work for Lorenzo di Pierfrancesco de' Medici, head of a junior branch of the Medici family. Although Amerigo was twelve years older, they had been schoolmates under the tutelage of Giorgio Antonio Vespucci. Amerigo served first as a household manager and then gradually took on increasing responsibilities, handling various business dealings for the family both at home and abroad. Meanwhile, he continued to show an interest in geography, at one point buying an expensive map made by the master cartographer Gabriel de Vallseca.
Seville
In 1488, Lorenzo di Pierfrancesco became dissatisfied with his Seville business agent, Tomasso Capponi. He dispatched Vespucci to investigate the situation and provide an assessment of a suggested replacement, Florentine merchant Gianotto Berardi. Vespucci's findings have been lost but Capponi returned to Florence around this time and Berardi took over the Medici business in Seville. In addition to managing Medici's trade in Seville, Berardi had his own business in African slavery and ship chandlery.
By 1492 Vespucci had settled permanently in Seville. His motivations for leaving Florence are unclear; he continued to transact some business on behalf of his Medici patrons but more and more he became involved with Berardi's other activities, most notably his support of Christopher Columbus's voyages. Berardi invested half a million maravedis in Columbus's first voyage, and he won a potentially lucrative contract to provision Columbus's large second fleet. However, profits proved to be elusive. In 1495, Berardi signed a contract with the crown to send 12 resupply ships to Hispaniola but then died unexpectedly in December without completing the terms of the contract.
Vespucci was the executor of Berardi's will, collecting debts and paying outstanding obligations for the firm. Afterwards he was left owing 140,000 maravedis. He continued to provision ships bound for the West Indies, but his opportunities were diminishing; Columbus's expeditions were not providing the hoped-for profits, and his patron, Lorenzo di Pierfrancesco Medici, was using other Florentine agents for his business in Seville.
Sometime after he settled in Seville, Vespucci married a Spanish woman, Maria Cerezo. Very little is known about her; Vespucci's will refers to her as the daughter of celebrated military leader Gonzalo Fernández de Córdoba. Historian Fernández-Armesto speculates that she may have been Gonzalo's illegitimate offspring and a connection that would have been very useful to Vespucci. She was an active participant in his business and held power of attorney for Vespucci when he was away.
Voyages and alleged voyages
The evidence for Vespucci's voyages of exploration consists almost entirely of a handful of letters written by him or attributed to him. Historians have differed sharply on the authorship, accuracy and veracity of these documents. Consequently, opinions also vary widely regarding the number of voyages undertaken, their routes, and Vespucci's roles and accomplishments. Starting in the late 1490s Vespucci participated in two voyages to the New World that are relatively well-documented in the historical record. Two others have been alleged but the evidence is more problematical. Traditionally, Vespucci's voyages are referred to as the "first" through "fourth", even by historians who dismiss one or more of the trips.
Alleged voyage of 14971498
A letter, addressed to Florentine official Piero Soderini, dated 1504 and published the following year, purports to be an account by Vespucci of a voyage to the New World, departing from Spain on 10 May 1497, and returning on 15 October 1498. This is perhaps the most controversial of Vespucci's voyages, as this letter is the only known record of its occurrence, and many historians doubt that it took place as described. Some question the authorship and accuracy of the letter and consider it to be a forgery. Others point to the inconsistencies in the narrative of the voyage, particularly the alleged course, starting near Honduras and proceeding northwest for 870 leagues (about )—a course that would have taken them across Mexico to the Pacific Ocean.
Certain earlier historians, including contemporary Bartolomé de las Casas, suspected that Vespucci incorporated observations from a later voyage into a fictitious account of this supposed first one, so as to gain primacy over Columbus and position himself as the first European explorer to encounter the mainland. Others, including scholar Alberto Magnaghi, have suggested that the Solderini letter was not written by Vespucci at all, but rather by an unknown author who had access to the navigator's private letters to Lorenzo de' Medici about his 1499 and 1501 expeditions to the Americas, which make no mention of a 1497 voyage. The Soderini letter is one of two attributed to Vespucci that were edited and widely circulated during his lifetime.
Voyage of 14991500
In 1499, Vespucci joined an expedition licensed by Spain and led by Alonso de Ojeda as fleet commander and Juan de la Cosa as chief navigator. Their intention was to explore the coast of a new landmass found by Columbus on his third voyage and in particular investigate a rich source of pearls that Columbus had reported. Vespucci and his backers financed two of the four ships in the small fleet. His role on the voyage is not clear. Writing later about his experience, Vespucci gave the impression that he had a leadership role, but that is unlikely, due to his inexperience. Instead, he may have served as a commercial representative on behalf of the fleet's investors. Years later, Ojeda recalled that "Morigo Vespuche" was one of his pilots on the expedition.
The vessels left Spain on 18 May 1499 and stopped first in the Canary Islands before reaching South America somewhere near present-day Suriname or French Guiana. From there the fleet split up: Ojeda proceeded northwest toward modern Venezuela with two ships, while the other pair headed south with Vespucci aboard. The only record of the southbound journey comes from Vespucci himself. He assumed they were on the coast of Asia and hoped by heading south they would, according to the Greek geographer Ptolemy, round the unidentified "Cape of Cattigara" and reach the Indian Ocean. They passed two huge rivers (the Amazon and the Para) which poured freshwater out to sea. They continued south for another 40 leagues (about ) before encountering a very strong adverse current which they could not overcome. Forced to turn around, the ships headed north, retracing their course to the original landfall. From there Vespucci continued up the South American coast to the Gulf of Paria and along the shore of what is now Venezuela. At some point they may have rejoined Ojeda but the evidence is unclear. In the late summer, they decided to head north for the Spanish colony at Hispaniola in the West Indies to resupply and repair their ships before heading home. After Hispaniola they made a brief slave raid in the Bahamas, capturing 232 natives, and then returned to Spain.
Voyage of 15011502
In 1501, Manuel I of Portugal commissioned an expedition to investigate a landmass far to the west in the Atlantic Ocean encountered unexpectedly by a wayward Pedro Álvares Cabral on his voyage around Africa to India. That land would eventually become present-day Brazil. The king wanted to know the extent of this new discovery and determine where it lay in relation to the line established by the Treaty of Tordesillas. Any land that lay to the east of the line could be claimed by Portugal. Vespucci's reputation as an explorer and presumed navigator had already reached Portugal, and he was hired by the king to serve as pilot under the command of Gonçalo Coelho.
Coelho's fleet of three ships left Lisbon in May 1501. Before crossing the Atlantic they resupplied at Cape Verde, where they encountered Cabral on his way home from his voyage to India. This was the same expedition that had found Brazil on its outward-bound journey the previous year. Coelho left Cape Verde in June, and from this point Vespucci's account is the only surviving record of their explorations. On 17 August 1501 the expedition reached Brazil at a latitude of about 6° south. Upon landing it encountered a hostile band of natives who killed and ate one of its crewmen. Sailing south along the coast they found friendlier natives and were able to engage in some minor trading. At 23° S they found a bay which they named Rio de Janeiro because it was 1 January 1502. On 13 February 1502, they left the coast to return home. Vespucci estimated their latitude at 32° S but experts now estimate they were closer to 25° S. Their homeward journey is unclear since Vespucci left a confusing record of astronomical observations and distances travelled.
Alleged voyage of 15031504
In 1503, Vespucci may have participated in a second expedition for the Portuguese crown, again exploring the east coast of Brazil. There is evidence that a voyage was led by Coelho at about this time but no independent confirmation that Vespucci took part. The only source for this last voyage is the Soderini letter; but several modern scholars dispute Vespucci's authorship of that letter and it is uncertain whether Vespucci undertook this trip. There are also difficulties with the reported dates and details in the account of this voyage.
Return to Seville
By early 1505, Vespucci was back in Seville. His reputation as an explorer and navigator continued to grow and his recent service in Portugal did not seem to damage his standing with King Ferdinand. On the contrary, the king was likely interested in learning about the possibility of a western passage to India. In February, he was summoned by the king to consult on matters of navigation. During the next few months he received payments from the crown for his services and in April he was declared by royal proclamation a citizen of Castile and León.
From 1505 until his death in 1512, Vespucci remained in service to the Spanish crown. He continued his work as a chandler, supplying ships bound for the Indies. He was also hired to captain a ship as part of a fleet bound for the "spice islands" but the planned voyage never took place. In March 1508, he was named chief pilot for the Casa de Contratación or House of Commerce which served as a central trading house for Spain's overseas possessions. He was paid an annual salary of 50,000 maravedis with an extra 25,000 for expenses. In his new role, Vespucci was responsible for ensuring that ships' pilots were adequately trained and licensed before sailing to the New World. He was also charged with compiling a "model map" based on input from pilots who were obligated to share what they learned after each voyage.
Vespucci wrote his will in April 1511. He left most of his modest estate, including five household slaves, to his wife. His clothes, books, and navigational equipment were left to his nephew Giovanni Vespucci. He requested to be buried in a Franciscan habit in his wife's family tomb. Vespucci died on 22 February 1512.
Upon his death, Vespucci's wife was awarded an annual pension of 10,000 maravedis to be deducted from the salary of the successor chief pilot. His nephew Giovanni was hired into the Casa de Contratación where he spent his subsequent years spying on behalf of the Florentine state.
Naming of America
Vespucci's voyages became widely known in Europe after two accounts attributed to him were published between 1503 and 1505. The Soderini letter (1505) came to the attention of a group of humanist scholars studying geography in Saint-Dié, a small French town in the Duchy of Lorraine. Led by Walter Lud, the academy included Matthias Ringmann and Martin Waldseemüller. In 1506, they obtained a French translation of the Soderini letter as well as a Portuguese maritime map that detailed the coast of lands recently discovered in the western Atlantic. They surmised that this was the "new world" or the "antipodes" hypothesized by classical writers. The Soderini letter gave Vespucci credit for discovery of this new continent and implied that the Portuguese map was based on his explorations.
In April 1507, Ringmann and Waldseemüller published their Introduction to Cosmography with an accompanying world map. The Introduction was written in Latin and included a Latin translation of the Soderini letter. In a preface to the Letter, Ringmann wrote
A thousand copies of the world map were printed with the title Universal Geography According to the Tradition of Ptolemy and the Contributions of Amerigo Vespucci and Others. It was decorated with prominent portraits of Ptolemy and Vespucci and, for the first time, the name America was applied to a map of the New World.
The Introduction and map were a great success and four editions were printed in the first year alone. The map was widely used in universities and was influential among cartographers who admired the craftsmanship that went into its creation. In the following years, other maps were printed that often incorporated the name America. In 1538, Gerardus Mercator used America to name both the North and South continents on his influential map. By this point the name had been securely fixed on the New World.
Many supporters of Columbus felt that Vespucci had stolen an honour that rightfully belonged to Columbus. Most historians now believe that he was unaware of Waldseemüller's map before his death in 1512 and many assert that he was not even the author of the Soderini letter.
Vespucci letters
Knowledge of Vespucci's voyages relies almost entirely on a handful of letters written by him or attributed to him. Two of these letters were published during his lifetime and received widespread attention throughout Europe. Several scholars now believe that Vespucci did not write the two published letters in the form in which they circulated during his lifetime. They suggest that they were fabrications based in part on genuine Vespucci letters.
Mundus Novus (1503) was a letter written to Vespucci's former schoolmate and one-time patron, Lorenzo di Pierfrancesco de' Medici. Originally published in Latin, the letter described his voyage to Brazil in 15011502 serving under the Portuguese flag. The document proved to be extremely popular throughout Europe. Within a year of publication, twelve editions were printed including translations into Italian, French, German, Dutch and other languages. By 1550, at least 50 editions had been issued.
Letter to Soderini (1505) was a letter ostensibly intended for Piero di Tommaso Soderini, the leader of the Florentine Republic. It was written in Italian and published in Florence around 1505. It is more sensational in tone than the other letters and the only one to assert that Vespucci made four voyages of exploration. The authorship and the veracity of the letter have been widely questioned by modern historians. Nevertheless, this document was the original inspiration for naming the American continent in honour of Amerigo Vespucci.
The remaining documents were unpublished manuscripts; handwritten letters uncovered by researchers more than 250 years after Vespucci's death. After years of controversy, the authenticity of the three complete letters was convincingly demonstrated by Alberto Magnaghi in 1924. Most historians now accept them as the work of Vespucci but aspects of the accounts are still disputed.
Letter from Seville (1500) describes a voyage made in 14991500 while in the service of Spain. It was first published in 1745 by Angelo Maria Bandini.
Letter from Cape Verde (1501) was written in Cape Verde at the outset of a voyage undertaken for Portugal in 15011502. It was first published by Count Baldelli Boni in 1807. It describes the first leg of the journey from Lisbon to Cape Verde and provides details about Pedro Cabral's voyage to India which were obtained when the two fleets met by chance while anchored in the harbour at Cape Verde.
Letter from Lisbon (1502) is essentially a continuation of the letter started in Cape Verde. It describes the remainder of a voyage made on behalf of Portugal in 15011502. The letter was first published by Francesco Bartolozzi in 1789.
Ridolfi Fragment (1502) is part of a letter attributed to Vespucci but some of its assertions remain controversial. It was first published in 1937 by Roberto Ridolfi. The letter appears to be an argumentative response to questions or objections raised by the unknown recipient. A reference is made to three voyages made by Vespucci, two on behalf of Spain and one for Portugal.
Historiography
Vespucci has been called "the most enigmatic and controversial figure in early American history". The debate has become known among historians as the "Vespucci question". How many voyages did he make? What was his role on the voyages and what did he learn? The evidence relies almost entirely on a handful of letters attributed to him. Many historians have analysed these documents and have arrived at contradictory conclusions.
In 1515, Sebastian Cabot became one of the first to question Vespucci's accomplishments and express doubts about his 1497 voyage. Later, Bartolomé de las Casas argued that Vespucci was a liar and stole the credit that was due Columbus. By 1600, most regarded Vespucci as an impostor and not worthy of his honours and fame. In 1839, Alexander von Humboldt after careful consideration asserted the 1497 voyage was impossible but accepted the two Portuguese-sponsored voyages. Humboldt also called into question the assertion that Vespucci recognized that he had encountered a new continent. According to Humboldt, Vespucci (and Columbus) died in the belief that they had reached the eastern edge of Asia. Vespucci's reputation was perhaps at its lowest in 1856 when Ralph Waldo Emerson called Vespucci a "thief" and "pickle dealer" from Seville who managed to get "half the world baptized with his dishonest name".
Opinions began to shift somewhat after 1857 when Brazilian historian Francisco Adolfo de Varnhagen wrote that everything in the Soderini letter was true. Other historians followed in support of Vespucci including John Fiske and Henry Harrisse.
In 1924, Alberto Magnaghi published the results of his exhaustive review of Vespucci's writings and relevant cartography. He denied Vespucci's authorship of the 1503 Mundus Novus and the 1505 Letter to Soderini, the only two texts published during his lifetime. He suggested that the Soderini letter was not written by Vespucci, but was cobbled together by unscrupulous Florentine publishers who combined several accounts – some from Vespucci, others from elsewhere. Magnaghi determined that the manuscript letters were authentic and based on them he was the first to propose that only the second and third voyages were true, and the first and fourth voyages (only found in the Soderini letter) were fabrications. While Magnaghi has been one of the chief proponents of a two-voyage narrative, Roberto Levellier was an influential Argentinian historian who endorsed the authenticity of all Vespucci's letters and proposed the most extensive itinerary for his four voyages.
Other modern historians and popular writers have taken varying positions on Vespucci's letters and voyages, espousing two, three, or four voyages and supporting or denying the authenticity of his two printed letters. Most authors believe that the three manuscript letters are authentic while the first voyage as described in the Soderini letter draws the most criticism and disbelief.
A two-voyage thesis was accepted and popularized by Frederick J. Pohl (1944), and rejected by Germán Arciniegas (1955), who posited that all four voyages were truthful. Luciano Formisiano (1992) also rejects the Magnaghi thesis (acknowledging that publishers probably tampered with Vespucci's writings) and declares all four voyages genuine, but differs from Arciniegas in details (particularly the first voyage). Samuel Morison (1974) flatly rejected the first voyage but was noncommittal about the two published letters. Felipe Fernández-Armesto (2007) calls the authenticity question "inconclusive" and hypothesizes that the first voyage was probably another version of the second; the third is unassailable, and the fourth is probably true.
Legacy
Vespucci's historical importance may rest more with his letters (whether or not he wrote them all) than his discoveries. Burckhardt cites the naming of America after him as an example of the immense role of the Italian literature of the time in determining historical memory. Within a few years of the publication of his two letters, the European public became aware of the newly discovered continents of the Americas. According to Vespucci:
Notes
References
Bibliography
External links
Canaday, James A. "The Life of Amerigo Vespucci"
Vespucci, Amerigo. "Account of His First Voyage 1497 (Letter to Pier Soderini, Gonfalonier of the Republic of Florence)". Internet Modern History Sourcebook-Fordham University (U.S.)
Mason, Wyatt, 'I am America. (And So?)' "The New York Times", 12 December 2007.
Martin Waldseemüller, Franz Wieser (Ritter von), Edward Burke (trans), The Cosmographiæ Introductio of Martin Waldseemüller in facsimile: followed by the Four voyages of Amerigo Vespucci, The United States Catholic Historical Society, 1908.
1507 Waldseemüller Map from the US Library of Congress
TOPS Lecture at Library of Congress, Drs. France and Easton
World Digital Library presentation of the 1507 Waldseemüller Map in the Library of Congress. This is the only known surviving copy of the wall map edition of which it is believed 1,000 copies were printed. Four originals of the 1507 globe gore map are in existence in Germany, UK and US.
Online Galleries, History of Science Collections, University of Oklahoma Libraries High resolution images of works by and/or portraits of Amerigo Vespucci in .jpg and .tiff format.
Soderini Letters in Giovanni Battista Ramusio, Primo Volume delle Nauigationi et Viaggi , Venetia, 1550, fol.138–140.
1451 births
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15th-century people from the Republic of Florence
16th-century explorers
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16th-century Italian cartographers
Businesspeople from Florence
Cartographers of North America
Explorers of South America
Infectious disease deaths in Spain
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Italian explorers of South America
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François Auguste René Rodin (12 November 184017 November 1917) was a French sculptor, generally considered the founder of modern sculpture. He was schooled traditionally and took a craftsman-like approach to his work. Rodin possessed a unique ability to model a complex, turbulent, and deeply pocketed surface in clay. He is known for such sculptures as The Thinker, Monument to Balzac, The Kiss, The Burghers of Calais, and The Gates of Hell.
Many of Rodin's most notable sculptures were criticized, as they clashed with predominant figurative sculpture traditions in which works were decorative, formulaic, or highly thematic. Rodin's most original work departed from traditional themes of mythology and allegory. He modeled the human body with naturalism, and his sculptures celebrate individual character and physicality. Although Rodin was sensitive to the controversy surrounding his work, he refused to change his style, and his continued output brought increasing favor from the government and the artistic community.
From the unexpected naturalism of Rodin's first major figure – inspired by his 1875 trip to Italy – to the unconventional memorials whose commissions he later sought, his reputation grew, and Rodin became the preeminent French sculptor of his time. By 1900, he was a world-renowned artist. Wealthy private clients sought Rodin's work after his World's Fair exhibit, and he kept company with a variety of high-profile intellectuals and artists. His student, Camille Claudel, became his associate, lover, and creative rival. Rodin's other students included Antoine Bourdelle, Constantin Brâncuși, and Charles Despiau. He married his lifelong companion, Rose Beuret, in the last year of both their lives. His sculptures suffered a decline in popularity after his death in 1917, but within a few decades his legacy solidified. Rodin remains one of the few sculptors widely known outside the visual arts community.
Biography
Formative years
Rodin was born in 1840 into a working-class family in Paris, the second child of Marie Cheffer and Jean-Baptiste Rodin, who was a police department clerk. He was largely self-educated, and began to draw at age 10. Between ages 14 and 17, he attended the Petite École, a school specializing in art and mathematics where he studied drawing and painting. His drawing teacher Horace Lecoq de Boisbaudran believed in first developing the personality of his students so that they observed with their own eyes and drew from their recollections, and Rodin expressed appreciation for his teacher much later in life. It was at Petite École that he met Jules Dalou and Alphonse Legros.
In 1857, Rodin submitted a clay model of a companion to the École des Beaux-Arts in an attempt to win entrance; he did not succeed, and two further applications were also denied. Entrance requirements were not particularly high at the Grande École, so the rejections were considerable setbacks. Rodin's inability to gain entrance may have been due to the judges' Neoclassical tastes, while Rodin had been schooled in light, 18th-century sculpture. He left the Petite École in 1857 and earned a living as a craftsman and ornamenter for most of the next two decades, producing decorative objects and architectural embellishments.
Rodin's sister Maria, two years his senior, died of peritonitis in a convent in 1862, and Rodin was anguished with guilt because he had introduced her to an unfaithful suitor. He turned away from art and joined the Catholic order of the Congregation of the Blessed Sacrament. Saint Peter Julian Eymard, founder and head of the congregation, recognized Rodin's talent and sensed his lack of suitability for the order, so he encouraged Rodin to continue with his sculpture. Rodin returned to work as a decorator while taking classes with animal sculptor Antoine-Louis Barye. The teacher's attention to detail and his finely rendered musculature of animals in motion significantly influenced Rodin.
In 1864, Rodin began to live with a young seamstress named Rose Beuret (born in June 1844), with whom he stayed for the rest of his life, with varying commitment. The couple had a son named Auguste-Eugène Beuret (1866–1934). That year, Rodin offered his first sculpture for exhibition and entered the studio of Albert-Ernest Carrier-Belleuse, a successful mass producer of objets d'art. Rodin worked as Carrier-Belleuse' chief assistant until 1870, designing roof decorations and staircase and doorway embellishments. With the arrival of the Franco-Prussian War, Rodin was called to serve in the French National Guard, but his service was brief due to his near-sightedness. Decorators' work had dwindled because of the war, yet Rodin needed to support his family, as poverty was a continual difficulty for him until about the age of 30. Carrier-Belleuse soon asked him to join him in Belgium, where they worked on ornamentation for the Brussels Stock Exchange.
Rodin planned to stay in Belgium a few months, but he spent the next six years outside of France. It was a pivotal time in his life. He had acquired skill and experience as a craftsman, but no one had yet seen his art, which sat in his workshop since he could not afford castings. His relationship with Carrier-Belleuse had deteriorated, but he found other employment in Brussels, displaying some works at salons, and his companion Rose soon joined him there. Having saved enough money to travel, Rodin visited Italy for two months in 1875, where he was drawn to the work of Donatello and Michelangelo. Their work had a profound effect on his artistic direction. Rodin said, "It is Michelangelo who has freed me from academic sculpture." Returning to Belgium, he began work on The Age of Bronze, a life-size male figure whose naturalism brought Rodin attention but led to accusations of sculptural cheatingits naturalism and scale was such that critics alleged he had cast the work from a living model. Much of Rodin's later work was explicitly larger or smaller than life, in part to demonstrate the folly of such accusations.
Artistic independence
Rose Beuret and Rodin returned to Paris in 1877, moving into a small flat on the Left Bank. Misfortune surrounded Rodin: his mother, who had wanted to see her son marry, was dead, and his father was blind and senile, cared for by Rodin's sister-in-law, Aunt Thérèse. Rodin's eleven-year-old son Auguste, possibly developmentally delayed, was also in the ever-helpful Thérèse's care. Rodin had essentially abandoned his son for six years, and would have a very limited relationship with him throughout his life. Father and son joined the couple in their flat, with Rose as caretaker. Charges of fakery surrounding The Age of Bronze continued. Rodin increasingly sought soothing female companionship in Paris, and Rose stayed in the background.
Rodin earned his living collaborating with more established sculptors on public commissions, primarily memorials and neo-baroque architectural pieces in the style of Carpeaux. In competitions for commissions he submitted models of Denis Diderot, Jean-Jacques Rousseau, and Lazare Carnot, all to no avail. On his own time, he worked on studies leading to the creation of his next important work, St. John the Baptist Preaching.
In 1880, Carrier-Belleuse – then art director of the Sèvres national porcelain factory – offered Rodin a part-time position as a designer. The offer was in part a gesture of reconciliation, and Rodin accepted. That part of Rodin which appreciated 18th-century tastes was aroused, and he immersed himself in designs for vases and table ornaments that brought the factory renown across Europe.
The artistic community appreciated his work in this vein, and Rodin was invited to Paris Salons by such friends as writer Léon Cladel. During his early appearances at these social events, Rodin seemed shy; in his later years, as his fame grew, he displayed the loquaciousness and temperament for which he is better known. French statesman Leon Gambetta expressed a desire to meet Rodin, and the sculptor impressed him when they met at a salon. Gambetta spoke of Rodin in turn to several government ministers, likely including , the Undersecretary of the Ministry of Fine Arts, whom Rodin eventually met.
Rodin's relationship with Turquet was rewarding. Through Turquet , he won the 1880 commission to create a portal for a planned museum of decorative arts. Rodin dedicated much of the next four decades to his elaborate Gates of Hell, an unfinished portal for a museum that was never built. Many of the portal's figures became sculptures in themselves, including Rodin's most famous, The Thinker and The Kiss. With the museum commission came a free studio, granting Rodin a new level of artistic freedom. Soon, he stopped working at the porcelain factory in 1882; his income came from private commissions.
In 1883, Rodin agreed to supervise a course for sculptor Alfred Boucher in his absence, where he met the 18-year-old Camille Claudel. The two formed a passionate but stormy relationship and influenced each other artistically. Claudel inspired Rodin as a model for many of his figures, and she was a talented sculptor, assisting him on commissions as well as creating her own works. Her Bust of Rodin was displayed to critical acclaim at the 1892 Salon.
Although busy with The Gates of Hell, Rodin won other commissions. He pursued an opportunity to create a historical monument for the town of Calais. For a monument to French author Honoré de Balzac, Rodin was chosen in 1891. His execution of both sculptures clashed with traditional tastes and met with varying degrees of disapproval from the organizations that sponsored the commissions. Still, Rodin was gaining support from diverse sources that propelled him toward fame.
In 1889, the Paris Salon invited Rodin to be a judge on its artistic jury. Though Rodin's career was on the rise, Claudel and Beuret were becoming increasingly impatient with Rodin's "double life". Claudel and Rodin shared an atelier at a small old castle (the Château de l'Islette in the Loire), but Rodin refused to relinquish his ties to Beuret, his loyal companion during the lean years, and mother of his son. During one absence, Rodin wrote to Beuret, "I think of how much you must have loved me to put up with my caprices...I remain, in all tenderness, your Rodin."
Claudel and Rodin parted in 1898. Claudel suffered an alleged nervous breakdown several years later and was confined to an institution for 30 years by her family, until her death in 1943, despite numerous attempts by doctors to explain to her mother and brother that she was sane.
In 1904, Rodin was introduced to the Welsh artist, Gwen John, who modelled for him and became his lover after being introduced by Hilda Flodin. John had a fervent attachment to Rodin and would write to him thousands of times over the next ten years. As their relationship came to a close, despite his genuine feeling for her, Rodin eventually resorted to the use of concièrges and secretaries to keep her at a distance.
Works
In 1864, Rodin submitted his first sculpture for exhibition, The Man with the Broken Nose, to the Paris Salon. The subject was an elderly neighborhood street porter. The unconventional bronze piece was not a traditional bust, but instead the head was "broken off" at the neck, the nose was flattened and crooked, and the back of the head was absent, having fallen off the clay model in an accident. The work emphasized texture and the emotional state of the subject; it illustrated the "unfinishedness" that would characterize many of Rodin's later sculptures. The Salon rejected the piece.
Early figures: the inspiration of Italy
In Brussels, Rodin created his first full-scale work, The Age of Bronze, having returned from Italy. Modeled after a Belgian soldier, the figure drew inspiration from Michelangelo's Dying Slave, which Rodin had observed at the Louvre. Attempting to combine Michelangelo's mastery of the human form with his own sense of human nature, Rodin studied his model from all angles, at rest and in motion; he mounted a ladder for additional perspective, and made clay models, which he studied by candlelight. The result was a life-size, well-proportioned nude figure, posed unconventionally with his right hand atop his head, and his left arm held out at his side, forearm parallel to the body.
In 1877, the work debuted in Brussels and then was shown at the Paris Salon. The statue's apparent lack of a theme was troubling to critics – commemorating neither mythology nor a noble historical event – and it is not clear whether Rodin intended a theme. He first titled the work The Vanquished, in which form the left hand held a spear, but he removed the spear because it obstructed the torso from certain angles. After two more intermediary titles, Rodin settled on The Age of Bronze, suggesting the Bronze Age, and in Rodin's words, "man arising from nature". Later, however, Rodin said that he had had in mind "just a simple piece of sculpture without reference to subject".
Its mastery of form, light, and shadow made the work look so naturalistic that Rodin was accused of surmoulage – having taken a cast from a living model. Rodin vigorously denied the charges, writing to newspapers and having photographs taken of the model to prove how the sculpture differed. He demanded an inquiry and was eventually exonerated by a committee of sculptors. Leaving aside the false charges, the piece polarized critics. It had barely won acceptance for display at the Paris Salon, and criticism likened it to "a statue of a sleepwalker" and called it "an astonishingly accurate copy of a low type". Others rallied to defend the piece and Rodin's integrity. The government minister Turquet admired the piece, and The Age of Bronze was purchased by the state for 2,200 francs – what it had cost Rodin to have it cast in bronze.
A second male nude, St. John the Baptist Preaching, was completed in 1878. Rodin sought to avoid another charge of surmoulage by making the statue larger than life: St. John stands almost . While The Age of Bronze is statically posed, St. John gestures and seems to move toward the viewer. The effect of walking is achieved despite the figure having both feet firmly on the ground – a technical achievement that was lost on most contemporary critics. Rodin chose this contradictory position to, in his words, "display simultaneously...views of an object which in fact can be seen only successively".
Despite the title, St. John the Baptist Preaching did not have an obviously religious theme. The model, an Italian peasant who presented himself at Rodin's studio, possessed an idiosyncratic sense of movement that Rodin felt compelled to capture. Rodin thought of John the Baptist and carried that association into the title of the work. In 1880, Rodin submitted the sculpture to the Paris Salon. Critics were still mostly dismissive of his work, but the piece finished third in the Salon's sculpture category.
Regardless of the immediate receptions of St. John and The Age of Bronze, Rodin had achieved a new degree of fame. Students sought him at his studio, praising his work and scorning the charges of surmoulage. The artistic community knew his name.
The Gates of Hell
A commission to create a portal for Paris' planned Museum of Decorative Arts was awarded to Rodin in 1880. Although the museum was never built, Rodin worked throughout his life on The Gates of Hell, a monumental sculptural group depicting scenes from Dante's Inferno in high relief. Often lacking a clear conception of his major works, Rodin compensated with hard work and a striving for perfection.
He conceived The Gates with the surmoulage controversy still in mind: "...I had made the St. John to refute [the charges of casting from a model], but it only partially succeeded. To prove completely that I could model from life as well as other sculptors, I determined...to make the sculpture on the door of figures smaller than life." Laws of composition gave way to the Gates''' disordered and untamed depiction of Hell. The figures and groups in this, Rodin's meditation on the condition of man, are physically and morally isolated in their torment.The Gates of Hell comprised 186 figures in its final form. Many of Rodin's best-known sculptures started as designs of figures for this composition, such as The Thinker, The Three Shades, and The Kiss, and were only later presented as separate and independent works. Other well-known works derived from The Gates are Ugolino, Fallen Caryatid Carrying her Stone, Fugit Amor, She Who Was Once the Helmet-Maker's Beautiful Wife, The Falling Man, and The Prodigal Son.
The ThinkerThe Thinker (originally titled The Poet, after Dante) was to become one of the best-known sculptures in the world. The original was a high bronze piece created between 1879 and 1889, designed for the Gates' lintel, from which the figure would gaze down upon Hell. While The Thinker most obviously characterizes Dante, aspects of the Biblical Adam, the mythological Prometheus, and Rodin himself have been ascribed to him. Other observers de-emphasize the apparent intellectual theme of The Thinker, stressing the figure's rough physicality and the emotional tension emanating from it.
The Burghers of Calais
The town of Calais had contemplated a historical monument for decades when Rodin learned of the project. He pursued the commission, interested in the medieval motif and patriotic theme. The mayor of Calais was tempted to hire Rodin on the spot upon visiting his studio, and soon the memorial was approved, with Rodin as its architect. It would commemorate the six townspeople of Calais who offered their lives to save their fellow citizens.
During the Hundred Years' War, the army of King Edward III besieged Calais, and Edward ordered that the town's population be killed en masse. He agreed to spare them if six of the principal citizens would come to him prepared to die, bareheaded and barefooted and with ropes around their necks. When they came, he ordered that they be executed, but pardoned them when his queen, Philippa of Hainault, begged him to spare their lives. The Burghers of Calais depicts the men as they are leaving for the king's camp, carrying keys to the town's gates and citadel.
Rodin began the project in 1884, inspired by the chronicles of the siege by Jean Froissart. Though the town envisioned an allegorical, heroic piece centered on Eustache de Saint-Pierre, the eldest of the six men, Rodin conceived the sculpture as a study in the varied and complex emotions under which all six men were laboring. One year into the commission, the Calais committee was not impressed with Rodin's progress. Rodin indicated his willingness to end the project rather than change his design to meet the committee's conservative expectations, but Calais said to continue.
In 1889, The Burghers of Calais was first displayed to general acclaim. It is a bronze sculpture weighing , and its figures are tall. The six men portrayed do not display a united, heroic front; rather, each is isolated from his brothers, individually deliberating and struggling with his expected fate. Rodin soon proposed that the monument's high pedestal be eliminated, wanting to move the sculpture to ground level so that viewers could "penetrate to the heart of the subject". At ground level, the figures' positions lead the viewer around the work, and subtly suggest their common movement forward.
The committee was incensed by the untraditional proposal, but Rodin would not yield. In 1895, Calais succeeded in having Burghers displayed in their preferred form: the work was placed in front of a public garden on a high platform, surrounded by a cast-iron railing. Rodin had wanted it located near the town hall, where it would engage the public. Only after damage during the First World War, subsequent storage, and Rodin's death was the sculpture displayed as he had intended. It is one of Rodin's best-known and most acclaimed works.
Commissions and controversy
Commissioned to create a monument to French writer Victor Hugo in 1889, Rodin dealt extensively with the subject of artist and muse. Like many of Rodin's public commissions, Monument to Victor Hugo was met with resistance because it did not fit conventional expectations. Commenting on Rodin's monument to Victor Hugo, The Times in 1909 expressed that "there is some show of reason in the complaint that [Rodin's] conceptions are sometimes unsuited to his medium, and that in such cases they overstrain his vast technical powers". The 1897 plaster model was not cast in bronze until 1964.
The Société des Gens des Lettres, a Parisian organization of writers, planned a monument to French novelist Honoré de Balzac immediately after his death in 1850. The society commissioned Rodin to create the memorial in 1891, and Rodin spent years developing the concept for his sculpture. Challenged in finding an appropriate representation of Balzac given the author's rotund physique, Rodin produced many studies: portraits, full-length figures in the nude, wearing a frock coat, or in a robe – a replica of which Rodin had requested. The realized sculpture displays Balzac cloaked in the drapery, looking forcefully into the distance with deeply gouged features. Rodin's intent had been to show Balzac at the moment of conceiving a work – to express courage, labor, and struggle.
When Monument to Balzac was exhibited in 1898, the negative reaction was not surprising. The Société rejected the work, and the press ran parodies. Criticizing the work, Morey (1918) reflected, "there may come a time, and doubtless will come a time, when it will not seem outre to represent a great novelist as a huge comic mask crowning a bathrobe, but even at the present day this statue impresses one as slang." A modern critic, indeed, claims that Balzac is one of Rodin's masterpieces.
The monument had its supporters in Rodin's day; a manifesto defending him was signed by Monet, Debussy, and future Premier Georges Clemenceau, among many others. In the BBC series Civilisation, art historian Kenneth Clark praised the monument as "the greatest piece of sculpture of the 19th Century, perhaps, indeed, the greatest since Michelangelo." Rather than try to convince skeptics of the merit of the monument, Rodin repaid the Société his commission and moved the figure to his garden. After this experience, Rodin did not complete another public commission. Only in 1939 was Monument to Balzac cast in bronze and placed on the Boulevard du Montparnasse at the intersection with Boulevard Raspail.
Other works
The popularity of Rodin's most famous sculptures tends to obscure his total creative output. A prolific artist, he created thousands of busts, figures, and sculptural fragments over more than five decades. He painted in oils (especially in his thirties) and in watercolors. The Musée Rodin holds 7,000 of his drawings and prints, in chalk and charcoal, and thirteen vigorous drypoints. He also produced a single lithograph.
Portraiture was an important component of Rodin's oeuvre, helping him to win acceptance and financial independence. His first sculpture was a bust of his father in 1860, and he produced at least 56 portraits between 1877 and his death in 1917. Early subjects included fellow sculptor Jules Dalou (1883) and companion Camille Claudel (1884).
Later, with his reputation established, Rodin made busts of prominent contemporaries such as English politician George Wyndham (1905), Irish playwright George Bernard Shaw (1906), socialist (and former mistress of the Prince of Wales who became King Edward VII) Countess of Warwick (1908), Austrian composer Gustav Mahler (1909), former Argentine president Domingo Faustino Sarmiento and French statesman Georges Clemenceau (1911).
His undated drawing Study of a Woman Nude, Standing, Arms Raised, Hands Crossed Above Head is one of the works seized in 2012 from the collection of Cornelius Gurlitt.
Aesthetic
Rodin was a naturalist, less concerned with monumental expression than with character and emotion. Departing with centuries of tradition, he turned away from the idealism of the Greeks, and the decorative beauty of the Baroque and neo-Baroque movements. His sculpture emphasized the individual and the concreteness of flesh, and suggested emotion through detailed, textured surfaces, and the interplay of light and shadow. To a greater degree than his contemporaries, Rodin believed that an individual's character was revealed by his physical features.
Rodin's talent for surface modeling allowed him to let every part of the body speak for the whole. The male's passion in The Thinker is suggested by the grip of his toes on the rock, the rigidness of his back, and the differentiation of his hands. Speaking of The Thinker, Rodin illuminated his aesthetic: "What makes my Thinker think is that he thinks not only with his brain, with his knitted brow, his distended nostrils and compressed lips, but with every muscle of his arms, back, and legs, with his clenched fist and gripping toes."
Sculptural fragments to Rodin were autonomous works, and he considered them the essence of his artistic statement. His fragments – perhaps lacking arms, legs, or a head – took sculpture further from its traditional role of portraying likenesses, and into a realm where forms existed for their own sake. Notable examples are The Walking Man, Meditation without Arms, and Iris, Messenger of the Gods.
Rodin saw suffering and conflict as hallmarks of modern art. "Nothing, really, is more moving than the maddened beast, dying from unfulfilled desire and asking in vain for grace to quell its passion." Charles Baudelaire echoed those themes and was among Rodin's favorite poets. Rodin enjoyed music, especially the opera composer Gluck, and wrote a book about French cathedrals. He owned a work by the as-yet-unrecognized Van Gogh and admired the forgotten El Greco.
Method
Instead of copying traditional academic postures, Rodin preferred his models to move naturally around his studio (despite their nakedness). The sculptor often made quick sketches in clay that were later fine-tuned, cast in plaster, and cast in bronze or carved from marble. Rodin's focus was on the handling of clay.
George Bernard Shaw sat for a portrait and gave an idea of Rodin's technique: "While he worked, he achieved a number of miracles. At the end of the first fifteen minutes, after having given a simple idea of the human form to the block of clay, he produced by the action of his thumb a bust so living that I would have taken it away with me to relieve the sculptor of any further work."
He described the evolution of his bust over a month, passing through "all the stages of art's evolution": first, a "Byzantine masterpiece", then "Bernini intermingled", then an elegant Houdon. "The hand of Rodin worked not as the hand of a sculptor works, but as the work of Elan Vital. The Hand of God is his own hand."
After he completed his work in clay, he employed highly skilled assistants to re-sculpt his compositions at larger sizes (including any of his large-scale monuments such as The Thinker), to cast the clay compositions into plaster or bronze, and to carve his marbles. Rodin's major innovation was to capitalize on such multi-staged processes of 19th century sculpture and their reliance on plaster casting.
Since clay deteriorates rapidly if not kept wet or fired into a terra-cotta, sculptors used plaster casts as a means of securing the composition they would make from the fugitive material that is clay. This was common practice amongst Rodin's contemporaries, and sculptors would exhibit plaster casts with the hopes that they would be commissioned to have the works made in a more permanent material. Rodin, however, would have multiple plasters made and treat them as the raw material of sculpture, recombining their parts and figures into new compositions, and new names.
As Rodin's practice developed into the 1890s, he became more and more radical in his pursuit of fragmentation, the combination of figures at different scales, and the making of new compositions from his earlier work. A prime example of this is the bold The Walking Man (1899–1900), which was exhibited at his major one-person show in 1900. This is composed of two sculptures from the 1870s that Rodin found in his studio – a broken and damaged torso that had fallen into neglect and the lower extremities of a statuette version of his 1878 St. John the Baptist Preaching he was having re-sculpted at a reduced scale.
Without finessing the join between upper and lower, between torso and legs, Rodin created a work that many sculptors at the time and subsequently have seen as one of his strongest and most singular works. This is despite the fact that the object conveys two different styles, exhibits two different attitudes toward finish, and lacks any attempt to hide the arbitrary fusion of these two components. It was the freedom and creativity with which Rodin used these practices – along with his activation surfaces of sculptures through traces of his own touch and with his more open attitude toward bodily pose, sensual subject matter, and non-naturalistic surface – that marked Rodin's re-making of traditional 19th century sculptural techniques into the prototype for modern sculpture.
Later years (1900–1917)
By 1900, Rodin's artistic reputation was established. Gaining exposure from a pavilion of his artwork set up near the 1900 World's Fair (Exposition Universelle) in Paris, he received requests to make busts of prominent people internationally, while his assistants at the atelier produced duplicates of his works. His income from portrait commissions alone totaled probably 200,000 francs a year. As Rodin's fame grew, he attracted many followers, including the German poet Rainer Maria Rilke, and authors Octave Mirbeau, Joris-Karl Huysmans, and Oscar Wilde.
Rilke stayed with Rodin in 1905 and 1906 and did administrative work for him; he would later write a laudatory monograph on the sculptor. Rodin and Beuret's modest country estate in Meudon, purchased in 1897, was a host to such guests as King Edward, dancer Isadora Duncan, and harpsichordist Wanda Landowska. A British journalist who visited the property noted in 1902 that in its complete isolation, there was "a striking analogy between its situation and the personality of the man who lives in it". Rodin moved to the city in 1908, renting the main floor of the Hôtel Biron, an 18th-century townhouse. He left Beuret in Meudon and began an affair with the American-born Duchesse de Choiseul. From 1910, he mentored the Russian sculptor, Moissey Kogan.
United States
While Rodin was beginning to be accepted in France by the time of The Burghers of Calais, he had not yet conquered the American market. Because of his technique and the frankness of some of his work, he did not have an easy time selling his work to American industrialists. However, he came to know Sarah Tyson Hallowell (1846–1924), a curator from Chicago who visited Paris to arrange exhibitions at the large Interstate Expositions of the 1870s and 1880s. Hallowell was not only a curator but an adviser and a facilitator who was trusted by a number of prominent American collectors to suggest works for their collections, the most prominent of these being the Chicago hotelier Potter Palmer and his wife, Bertha Palmer (1849–1918).
The next opportunity for Rodin in America was the 1893 Chicago World's Fair. Hallowell wanted to help promote Rodin's work and he suggested a solo exhibition, which she wrote him was beaucoup moins beau que l'original but impossible, outside the rules. Instead, she suggested he send a number of works for her loan exhibition of French art from American collections and she told him she would list them as being part of an American collection. Rodin sent Hallowell three works, Cupid and Psyche, Sphinx and Andromeda. All nudes, these works provoked great controversy and were ultimately hidden behind a drape with special permission given for viewers to see them.Bust of Dalou and Burgher of Calais were on display in the official French pavilion at the fair and so between the works that were on display and those that were not, he was noticed. However, the works he gave Hallowell to sell found no takers, but she soon brought the controversial Quaker-born financier Charles Yerkes (1837–1905) into the fold and he purchased two large marbles for his Chicago manse; Yerkes was likely the first American to own a Rodin sculpture.
Other collectors soon followed including the tastemaking Potter Palmers of Chicago and Isabella Stewart Gardner (1840–1924) of Boston, all arranged by Sarah Hallowell. In appreciation for her efforts at unlocking the American market, Rodin eventually presented Hallowell with a bronze, a marble and a terra cotta. When Hallowell moved to Paris in 1893, she and Rodin continued their warm friendship and correspondence, which lasted to the end of the sculptor's life. After Hallowell's death, her niece, the painter Harriet Hallowell, inherited the Rodins and after her death, the American heirs could not manage to match their value in order to export them, so they became the property of the French state.
Great Britain
After the start of the 20th century, Rodin was a regular visitor to Great Britain, where he developed a loyal following by the beginning of the First World War. He first visited England in 1881, where his friend, the artist Alphonse Legros, had introduced him to the poet William Ernest Henley. With his personal connections and enthusiasm for Rodin's art, Henley was most responsible for Rodin's reception in Britain. (Rodin later returned the favor by sculpting a bust of Henley that was used as the frontispiece to Henley's collected works and, after his death, on his monument in London.)
Through Henley, Rodin met Robert Louis Stevenson and Robert Browning, in whom he found further support. Encouraged by the enthusiasm of British artists, students, and high society for his art, Rodin donated a significant selection of his works to the nation in 1914.
After the revitalization of the Société Nationale des Beaux-Arts in 1890, Rodin served as the body's vice-president. In 1903, Rodin was elected president of the International Society of Painters, Sculptors, and Engravers. He replaced its former president, James Abbott McNeill Whistler, upon Whistler's death. His election to the prestigious position was largely due to the efforts of Albert Ludovici, father of English philosopher Anthony Ludovici, who was private secretary to Rodin for several months in 1906, but the two men parted company after Christmas, "to their mutual relief."
During his later creative years, Rodin's work turned increasingly toward the female form, and themes of more overt masculinity and femininity. He concentrated on small dance studies, and produced numerous erotic drawings, sketched in a loose way, without taking his pencil from the paper or his eyes from the model. Rodin met American dancer Isadora Duncan in 1900, attempted to seduce her, and the next year sketched studies of her and her students. In July 1906, Rodin was also enchanted by dancers from the Royal Ballet of Cambodia and produced some of his most famous drawings from the experience.
Fifty-three years into their relationship, Rodin married Rose Beuret. They married on 29 January 1917, and Beuret died two weeks later, on 16 February. Rodin was ill that year; in January, he suffered weakness from influenza, and on 16 November his physician announced that "congestion of the lungs has caused great weakness. The patient's condition is grave." Rodin died the next day, age 77, at his villa in Meudon, Île-de-France, on the outskirts of Paris.
A cast of The Thinker was placed next to his tomb in Meudon; it was Rodin's wish that the figure served as his headstone and epitaph. In 1923, Marcell Tirel, Rodin's secretary, published a book alleging that Rodin's death was largely due to cold, and the fact that he had no heat at Meudon. Rodin requested permission to stay in the Hotel Biron, a museum of his works, but the director of the museum refused to let him stay there.
Legacy
Rodin willed to the French state his studio and the right to make casts from his plasters. Because he encouraged the edition of his sculpted work, Rodin's sculptures are represented in many public and private collections. The Musée Rodin was founded in 1916 and opened in 1919 at the Hôtel Biron, where Rodin had lived, and it holds the largest Rodin collection, with more than 6,000 sculptures and 7,000 works on paper. The French order Légion d'honneur made him a Commander, and he received an honorary doctorate from the University of Oxford.
During his lifetime, Rodin was compared to Michelangelo, and was widely recognized as the greatest artist of the era. In the three decades following his death, his popularity waned with changing aesthetic values. Since the 1950s, Rodin's reputation has re-ascended; he is recognized as the most important sculptor of the modern era, and has been the subject of much scholarly work. The sense of incompletion offered by some of his sculpture, such as The Walking Man, influenced the increasingly abstract sculptural forms of the 20th century.
Rodin restored an ancient role of sculpture – to capture the physical and intellectual force of the human subject – and he freed sculpture from the repetition of traditional patterns, providing the foundation for greater experimentation in the 20th century. His popularity is ascribed to his emotion-laden representations of ordinary men and women – to his ability to find the beauty and pathos in the human animal. His most popular works, such as The Kiss and The Thinker, are widely used outside the fine arts as symbols of human emotion and character. To honor Rodin's artistic legacy, the Google search engine homepage displayed a Google Doodle featuring The Thinker to celebrate his 172nd birthday on 12 November 2012.
Rodin had enormous artistic influence. A whole generation of sculptors studied in his workshop. These include Gutzon Borglum, Antoine Bourdelle, Constantin Brâncuși, Camille Claudel, Charles Despiau, Malvina Hoffman, Carl Milles, François Pompon, Rodo, Gustav Vigeland, Clara Westhoff and Margaret Winser, even though Brancusi later rejected his legacy. Rodin also promoted the work of other sculptors, including Aristide Maillol and Ivan Meštrović whom Rodin once called "the greatest phenomenon amongst sculptors." Other sculptors whose work has been described as owing to Rodin include Joseph Csaky, Alexander Archipenko, Joseph Bernard, Henri Gaudier-Brzeska, Georg Kolbe, Wilhelm Lehmbruck, Jacques Lipchitz, Pablo Picasso, Adolfo Wildt, and Ossip Zadkine. Henry Moore acknowledged Rodin's seminal influence on his work.
Several films have been made featuring Rodin as a prominent character or presence. These include Camille Claudel, a 1988 film in which Gérard Depardieu portrays Rodin, Camille Claudel 1915 from 2013, and Rodin, a 2017 film starring Vincent Lindon as Rodin. Furthermore, the Rodin Studios artists' cooperative housing in New York City, completed in 1917 to designs by Cass Gilbert, was named after Rodin.
Forgeries
The relative ease of making reproductions has also encouraged many forgeries: a survey of expert opinion placed Rodin in the top ten most-faked artists. Rodin fought against forgeries of his works as early as 1901, and since his death, many cases of organized, large-scale forgeries have been revealed. A massive forgery was discovered by French authorities in the early 1990s and led to the conviction of art dealer Guy Hain.
To deal with the complexity of bronze reproduction, France has promulgated several laws since 1956 which limit reproduction to twelve casts – the maximum number that can be made from an artist's plasters and still be considered his work. As a result of this limit, The Burghers of Calais, for example, is found in fourteen cities.
In the market for sculpture, plagued by fakes, the value of a piece increases significantly when its provenance can be established. A Rodin work with a verified history sold for US$4.8 million in 1999, and Rodin's bronze Ève, grand modele – version sans rocher sold for $18.9 million at a 2008 Christie's auction in New York. Art critics concerned about authenticity have argued that taking a cast does not equal reproducing a Rodin sculpture – especially given the importance of surface treatment in Rodin's work.
A number of drawings previously attributed to Rodin are now known to have been forged by Ernest Durig.
See also
List of sculptures by Auguste Rodin
Citations
General sources
(Online Essay)
Further reading
Corbett, Rachel (2016). You Must Change Your Life: the Story of Rainer Maria Rilke and Auguste Rodin, New York: W. W. Norton and Company. .
Sanyal, Narayan (1984). Rodin, Dey's Publishing Company, Kolkata. .
Vincent, Clare. "Auguste Rodin (1840–1917)". In Heilbrunn Timeline of Art History. New York: The Metropolitan Museum of Art, 2000–. (October 2004)
Tobias G. Natter, Max Hollein (Eds.): Klimt & Rodin: An Artistic Encounter.'' DelMonico Books – Prestel Publishing, Munich e. a. 2017, ISBN 978-3-7913-5708-9.
External links
Musée Rodin, Paris
Friends of Rodin, association organizing for its members events around Auguste Rodin
Rodin Museum, Philadelphia
Auguste Rodin at the National Gallery of Art
Rodin Collection, Stanford University
Auguste Rodin: Timeline of Art History Metropolitan Museum of Art
Rodin Exhibition at the Brooklyn Museum Nov 1987 – Jan 1988
Rodin at the Victoria and Albert Museum
Correspondence with Walter Butterworth held at the University of Salford
Public Art Fund: Rodin at Rockefeller Center
Video documentary about Rodin's work
(by Ranier Maria Rilke, trans. by Jessie Lemont & Hans Trausil)
Portrait of Auguste Rodin by Alphonse Legros at University of Michigan Museum of Art
1840 births
1917 deaths
19th-century French sculptors
20th-century French sculptors
Sculptors from Paris
French male sculptors
French printmakers
Grand Officers of the Legion of Honour
Modern sculptors
People of the French Third Republic
People of the July Monarchy
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Ann Arbor is a city in the U.S. state of Michigan and the seat of government of Washtenaw County. The 2020 census recorded its population to be 123,851, making it the fifth-largest city in Michigan. It is the principal city of the Ann Arbor Metropolitan Statistical Area, which encompasses all of Washtenaw County. Ann Arbor is also included in the Greater Detroit Combined Statistical Area and the Great Lakes megalopolis, the most populated and largest megalopolis in North America.
Ann Arbor is home to the University of Michigan. The university significantly shapes Ann Arbor's economy as it employs about 30,000 workers, including about 12,000 in its medical center. The city's economy is also centered on high technology, with several companies drawn to the area by the university's research and development infrastructure.
Ann Arbor was founded in 1824. It was named after the wives of the village's founders, both named Ann, and the stands of bur oak trees they found at the site of the town. The city's population grew at a rapid rate in the early to mid-20th century.
History
Before founding as Ann Arbor
The lands of present-day Ann Arbor were part of Massachusetts's western claim after the French and Indian War (1754–1763), bounded by the latitudes of Massachusetts Bay Colony's original charter, to which it was entitled by its interpretation of its original sea-to-sea grant from The British Crown. Massachusetts ceded the claim to the federal government as part of the Northwest Territory after April 19, 1785.
In about 1774, the Potawatomi founded two villages in the area of what is now Ann Arbor.
19th century
Ann Arbor was founded in 1824 by land speculators John Allen and Elisha Walker Rumsey. On May 25, 1824, the town plat was registered with Wayne County as the Village of Annarbour, the earliest known use of the town's name. Allen and Rumsey decided to name it for their wives, both named Ann, and for the stands of bur oak in the of land they purchased for $800 from the federal government at $1.25 per acre. The local Ojibwa named the settlement kaw-goosh-kaw-nick, after the sound of Allen's sawmill.
Ann Arbor became the seat of Washtenaw County in 1827 and was incorporated as a village in 1833. The Ann Arbor Land Company, a group of speculators, set aside of undeveloped land and offered it to the state of Michigan as the site of the state capitol, but lost the bid to Lansing. In 1837, the property was accepted instead as the site of the University of Michigan.
Since the university's establishment in the city in 1837, the histories of the University of Michigan and Ann Arbor have been closely linked. The town became a regional transportation hub in 1839 with the arrival of the Michigan Central Railroad, and a north–south railway connecting Ann Arbor to Toledo and other markets to the south was established in 1878. Throughout the 1840s and the 1850s settlers continued to come to Ann Arbor. While the earlier settlers were primarily of British ancestry, the newer settlers also consisted of Germans, Irish, and Black people. In 1851, Ann Arbor was chartered as a city, though the city showed a drop in population during the Depression of 1873. It was not until the early 1880s that Ann Arbor again saw robust growth, with new immigrants from Greece, Italy, Russia, and Poland.
20th century
Ann Arbor saw increased growth in manufacturing, particularly in milling. Ann Arbor's Jewish community also grew after the turn of the 20th century, and its first and oldest synagogue, Beth Israel Congregation, was established in 1916.
In 1960, Ann Arbor voters approved a $2.3 million bond issue to build the current city hall, which was designed by architect Alden B. Dow. The City Hall opened in 1963. In 1995, the building was renamed the Guy C. Larcom, Jr. Municipal Building in honor of the longtime city administrator who championed the building's construction.
During the 1960s and 1970s, the city gained a reputation as an important center for liberal politics. Ann Arbor also became a locus for left-wing activism and anti-Vietnam War movement, as well as the student movement. The first major meetings of the national left-wing campus group Students for a Democratic Society took place in Ann Arbor in 1960; in 1965, the city was home to the first U.S. teach-in against the Vietnam War. During the ensuing 15 years, many countercultural and New Left enterprises sprang up and developed large constituencies within the city. These influences washed into municipal politics during the early and mid-1970s when three members of the Human Rights Party (HRP) won city council seats on the strength of the student vote. During their time on the council, HRP representatives fought for measures including pioneering antidiscrimination ordinances, measures decriminalizing marijuana possession, and a rent-control ordinance; many of these progressive organizations remain in effect today in modified form.
Two religious-conservative institutions were created in Ann Arbor; the Word of God (established in 1967), a charismatic inter-denominational movement; and the Thomas More Law Center (established in 1999).
Following a 1956 vote, the city of East Ann Arbor merged with Ann Arbor to encompass the eastern sections of the city.
21st century
In the past several decades, Ann Arbor has grappled with the effects of sharply rising land values, gentrification, and urban sprawl stretching into outlying countryside. On November 4, 2003, voters approved a greenbelt plan under which the city government bought development rights on agricultural parcels of land adjacent to Ann Arbor to preserve them from sprawling development. Since then, a vociferous local debate has hinged on how and whether to accommodate and guide development within city limits. Ann Arbor consistently ranks in the "top places to live" lists published by various mainstream media outlets every year. In 2008, it was ranked by CNNMoney.com 27th out of 100 "America's best small cities". And in 2010, Forbes listed Ann Arbor as one of the most liveable cities in the United States.
In 2016, the city changed mayoral terms from two years to four. Until 2017, City Council held annual elections in which half of the seats (one from each ward) were elected to 2-year terms. These elections were staggered, with each ward having one of its seats up for election in odd years and its other seat up for election in even years. Beginning in 2018 the city council has had staggered elections to 4-year terms in even years. This means that half of the members (one from each ward) are elected in presidential election years, while the other half are elected in mid-term election years. To facilitate this change in scheduling, the 2017 election elected members to terms that lasted 3-years.
Geography
Ann Arbor is located along the Huron River, which flows southeast through the city on its way to Lake Erie. It is the central core of the Ann Arbor, MI Metropolitan Statistical Area, which consists of the whole of Washtenaw County, but is also a part of the Metro Detroit Combined Statistical Area designated by the U.S. Census Bureau. While it borders only Townships, the built-up nature of the sections of Pittsfield and Ypsilanti townships between Ann Arbor and the city of Ypsilanti make the two effectively a single urban area.
Landscape
The landscape of Ann Arbor consists of hills and valleys, with the terrain becoming steeper near the Huron River. The elevation ranges from about along the Huron River to on the city's west side, near the intersection of Maple Road and Pauline Blvd. Ann Arbor Municipal Airport, which is south of the city at , has an elevation of .
Ann Arbor is nicknamed "Tree Town," both due to its name and to the dense forestation of its parks and residential areas. The city contains more than 50,000 trees along its streets and an equal number in parks. In recent years, the emerald ash borer has destroyed many of the city's approximately 10,500 ash trees. The city contains 157 municipal parks ranging from small neighborhood green spots to large recreation areas. Several large city parks and a university park border sections of the Huron River. Fuller Recreation Area, near the University Hospital complex, contains sports fields, pedestrian and bike paths, and swimming pools. The Nichols Arboretum, owned by the University of Michigan, is a arboretum that contains hundreds of plant and tree species. It is on the city's east side, near the university's Central Campus. Located across the Huron River just beyond the university's North Campus is the university's Matthaei Botanical Gardens, which contains 300 acres of gardens and a large tropical conservatory as well as a wildflower garden specializing in the vegetation of the southern Great Lakes Region.
Cityscape
The cityscape of Ann Arbor is heavily influenced by the University of Michigan, with 22% of downtown and 9.4% of the total land owned by the university. The downtown Central Campus contains some of the oldest extant structures in the city — including the President's House, built in 1840 — and separates the South University District from the other three downtown commercial districts. These other three districts, Kerrytown, State Street, and Main Street are contiguous near the northwestern corner of the university.
Three commercial areas south of downtown include the areas near I-94 and Ann Arbor-Saline Road, Briarwood Mall, and the South Industrial area. Other commercial areas include the Arborland/Washtenaw Avenue and Packard Road merchants on the east side, the Plymouth Road area in the northeast, and the Westgate/West Stadium areas on the west side. Downtown contains a mix of 19th- and early-20th-century structures and modern-style buildings, as well as a farmers' market in the Kerrytown district. The city's commercial districts are composed mostly of two- to four-story structures, although downtown and the area near Briarwood Mall contain a small number of high-rise buildings.
Ann Arbor's residential neighborhoods contain architectural styles ranging from classic 19th- and early 20th-century designs to ranch-style houses. Among these homes are a number of kit houses built in the early 20th century. Contemporary-style houses are farther from the downtown district. Surrounding the University of Michigan campus are houses and apartment complexes occupied primarily by student renters. Tower Plaza, a 26-story condominium building located between the University of Michigan campus and downtown, is the tallest building in Ann Arbor. The 19th-century buildings and streetscape of the Old West Side neighborhood have been preserved virtually intact; in 1972, the district was listed on the National Register of Historic Places, and it is further protected by city ordinances and a nonprofit preservation group.
Climate
Ann Arbor has a typically Midwestern humid continental climate (Köppen Dfa), which is influenced by the Great Lakes. There are four distinct seasons: winters are cold and snowy, with average highs around . Summers are warm to hot and humid, with average highs around and with slightly more precipitation. Spring and autumn are transitional between the two. The area experiences lake effect weather, primarily in the form of increased cloudiness during late fall and early winter. The monthly daily average temperature in July is , while the same figure for January is . Temperatures reach or exceed on 10 days, and drop to or below on 4.6 nights. Precipitation tends to be the heaviest during the summer months, but most frequent during winter. Snowfall, which normally occurs from November to April but occasionally starts in October, averages per season. The lowest recorded temperature was on February 11, 1885, and the highest recorded temperature was on July 24, 1934.
Demographics
As of the 2020 U.S. Census, there were 123,851 people and 49,948 households residing in the city. The population density was , making it less densely populated than Detroit proper and its inner-ring suburbs like Oak Park and Ferndale, but more densely populated than outer-ring suburbs like Livonia and Troy. The racial makeup of the city was 67.6% White, 6.8% Black, 0.2% Native American, 15.7% Asian, 0.1% Native Hawaiian or Pacific Islander, 1.8% from other races, and 7.9% from two or more races. Hispanic or Latino residents of any race made up 5.5% of the population. Ann Arbor has a small population of Arab Americans, including students as well as local Lebanese and Palestinians.
As of the 2010 U.S. Census, there were 113,934 people, 20,502 families, and 47,060 households residing in the city. The population density was . The racial makeup of the city was 73.0% White (70.4% non-Hispanic White), 7.7% Black, 0.3% Native American, 14.4% Asian, 0.0% Native Hawaiian or Pacific Islander, 1.0% from other races, and 3.6% from two or more races. Hispanic or Latino residents of any race made up 4.1% of the population.
In 2013, Ann Arbor had the second-largest community of Japanese citizens in the state of Michigan, at 1,541; this figure trailed only that of Novi, which had 2,666 Japanese nationals.
In 2010, out of 47,060 households, 43.6% were family households, 20.1% had individuals under the age of 18 living in them, and 17.0% had individuals over age 65 living in them. Of the 20,502 family households, 19.2% included children under age 18, 34.2% were husband-wife families (estimates did not include same-sex married couples), and 7.1% had a female householder with no husband present. The average household size was 2.17 people, and the average family size was 2.85 people. The median age was 27.8; 14.4% of the population was under age 18, and 9.3% was age 65 or older. By the 2022 American Community Survey, the percentage of married couple households was 33.8%, while male householders with no spouse present (family households) were 26.1%, and female householders with no spouse present (family households) were 30.4%.
According to the 2012–2016 American Community Survey estimates, the median household income was $57,697, and the median family income was $95,528. Males over age 25 and with earnings had a median income of $51,682, versus $39,203 for females. The per capita income for the city was $37,158. Nearly a quarter (23.4%) of people and 6.7% of families had incomes below the poverty level.
Economy
The University of Michigan shapes Ann Arbor's economy significantly. It employs about 30,000 workers, including about 12,000 in the medical center. Other employers are drawn to the area by the university's research and development money, and by its graduates. High tech, health services and biotechnology are other major components of the city's economy; numerous medical offices, laboratories, and associated companies are located in the city. Automobile manufacturers, such as General Motors and Visteon, also employ residents.
High tech companies have located in the area since the 1930s, when International Radio Corporation introduced the first mass-produced AC/DC radio (the Kadette, in 1931) as well as the first pocket radio (the Kadette Jr., in 1933). The Argus camera company, originally a subsidiary of International Radio, manufactured cameras in Ann Arbor from 1936 to the 1960s. Current firms include Arbor Networks (provider of Internet traffic engineering and security systems), Arbortext (provider of XML-based publishing software), JSTOR (the digital scholarly journal archive), MediaSpan (provider of software and online services for the media industries), Truven Health Analytics, and ProQuest, which includes UMI. Ann Arbor Terminals manufactured a video-display terminal called the Ann Arbor Ambassador during the 1980s. Barracuda Networks, which provides networking, security, and storage products based on network appliances and cloud services, opened an engineering office in Ann Arbor in 2008 on Depot St. and currently occupies the building previously used as the Borders headquarters on Maynard Street. Duo Security, a cloud-based access security provider protecting thousands of organizations worldwide through two-factor authentication, is headquartered in Ann Arbor. It was formerly a unicorn and continues to be headquartered in Ann Arbor after its acquisition by Cisco Systems. In November 2021, semiconductor test equipment company KLA Corporation opened a new North American headquarters in Ann Arbor.
Websites and online media companies in or near the city include All Media Guide, the Weather Underground, and Zattoo. Ann Arbor is the home to Internet2 and the Merit Network, a not-for-profit research and education computer network. Both are located in the South State Commons 2 building on South State Street, which once housed the Michigan Information Technology Center Foundation. The city is also home to a secondary office of Google's AdWords program—the company's primary revenue stream. The recent surge in companies operating in Ann Arbor has led to a decrease in its office and flex space vacancy rates. As of December 31, 2012, the total market vacancy rate for office and flex space is 11.80%, a 1.40% decrease in vacancy from one year previous, and the lowest overall vacancy level since 2003. The office vacancy rate decreased to 10.65% in 2012 from 12.08% in 2011, while the flex vacancy rate decreased slightly more, with a drop from 16.50% to 15.02%.
As of 2022, Ann Arbor is home to more than twenty video game and XR studios of varying sizes. The city plays host to a regional chapter of the International Game Developers Association (IGDA) which hosts monthly meetups, presentations, and educational events.
Pfizer, once the city's second-largest employer, operated a large pharmaceutical research facility on the northeast side of Ann Arbor. On January 22, 2007, Pfizer announced it would close operations in Ann Arbor by the end of 2008. The facility was previously operated by Warner-Lambert and, before that, Parke-Davis. In December 2008, the University of Michigan Board of Regents approved the purchase of the facilities, and the university anticipates hiring 2,000 researchers and staff during the next 10 years. It is now known as North Campus Research Complex. The city is the home of other research and engineering centers, including those of Lotus Engineering, General Dynamics and the National Oceanic and Atmospheric Administration (NOAA). Other research centers sited in the city are the United States Environmental Protection Agency's National Vehicle and Fuel Emissions Laboratory and the Toyota Technical Center. The city is also home to National Sanitation Foundation International (NSF International), the nonprofit non-governmental organization that develops generally accepted standards for a variety of public health related industries and subject areas.
Borders Books, started in Ann Arbor, was opened by brothers Tom and Louis Borders in 1971 with a stock of used books. The Borders chain was based in the city, as was its flagship store until it closed in September 2011. Domino's Pizza's headquarters is near Ann Arbor on Domino's Farms, a Frank Lloyd Wright-inspired complex just northeast of the city. Another Ann Arbor-based company is Zingerman's Delicatessen, which serves sandwiches and has developed businesses under a variety of brand names. Zingerman's has grown into a family of companies which offers a variety of products (bake shop, mail order, creamery, coffee) and services (business education). Flint Ink Corp., another Ann Arbor-based company, was the world's largest privately held ink manufacturer until it was acquired by Stuttgart-based XSYS Print Solutions in October 2005. Avfuel, a global supplier of aviation fuels and services, is also headquartered in Ann Arbor.
The controversial detective and private security firm, Pinkerton is headquartered in Ann Arbor, being located on 101 N Main St.
Many cooperative enterprises were founded in the city; among those that remain are the People's Food Co-op and the Inter-Cooperative Council at the University of Michigan, a student housing cooperative founded in 1937. There are also three cohousing communities—Sunward, Great Oak, and Touchstone—located immediately to the west of the city limits.
Culture
Several performing arts groups and facilities are on the University of Michigan's campus, as are museums dedicated to art, archaeology, and natural history and sciences. Founded in 1879, the University Musical Society is an independent performing arts organization that presents over 60 events each year, bringing international artists in music, dance, and theater. Since 2001 Shakespeare in the Arb has presented one play by Shakespeare each June, in a large park near downtown. Regional and local performing arts groups not associated with the university include the Ann Arbor Civic Theatre, the Arbor Opera Theater, the Ann Arbor Symphony Orchestra, the Ann Arbor Ballet Theater, the Ann Arbor Civic Ballet (established in 1954 as Michigan's first chartered ballet company), The Ark, and Performance Network Theatre. Another unique piece of artistic expression in Ann Arbor is the fairy doors. These small portals are examples of installation art and can be found throughout the downtown area.
The Ann Arbor Hands-On Museum is located in a renovated and expanded historic downtown fire station. Multiple art galleries exist in the city, notably in the downtown area and around the University of Michigan campus. Aside from a large restaurant scene in the Main Street, South State Street, and South University Avenue areas, Ann Arbor ranks first among U.S. cities in the number of booksellers and books sold per capita. The Ann Arbor District Library maintains four branch outlets in addition to its main downtown building. The city is also home to the Gerald R. Ford Presidential Library.
Several annual events—many of them centered on performing and visual arts—draw visitors to Ann Arbor. One such event is the Ann Arbor Art Fairs, a set of four concurrent juried fairs held on downtown streets. Scheduled on Thursday through Sunday of the third week of July, the fairs draw upward of half a million visitors. Another is the Ann Arbor Film Festival, held during the third week of March, which receives more than 2,500 submissions annually from more than 40 countries and serves as one of a handful of Academy Award–qualifying festivals in the United States.
Ann Arbor has a long history of openness to marijuana, given Ann Arbor's decriminalization of cannabis, the large number of medical marijuana dispensaries in the city (one dispensary, called People's Co-op, was directly across the street from Michigan Stadium until zoning forced it to move one mile to the west), the large number of pro-marijuana residents, and the annual Hash Bash: an event that is held on the first Saturday of April. Until (at least) the successful passage of Michigan's medical marijuana law, the event had arguably strayed from its initial intent, although for years, a number of attendees have received serious legal responses due to marijuana use on University of Michigan property, which does not fall under the city's progressive and compassionate ticketing program.
Ann Arbor is a major center for college sports, most notably at the University of Michigan. Several well-known college sports facilities exist in the city, including Michigan Stadium, the largest American football stadium in the world and the third-largest stadium of any kind in the world. Michigan Stadium has a capacity of 107,601, with the final "extra" seat said to be reserved for and in honor of former athletic director and Hall of Fame football coach Fitz Crisler. The stadium was completed in 1927 and cost more than $950,000 to build. The stadium is colloquially known as "The Big House" due to its status as the largest American football stadium. Crisler Center and Yost Ice Arena play host to the school's basketball (both men's and women's) and ice hockey teams, respectively. Concordia University, a member of the NAIA, also fields sports teams.
Ann Arbor is represented in the NPSL by semi-pro soccer team AFC Ann Arbor, a club founded in 2014 who call themselves The Mighty Oak.
A person from Ann Arbor is called an "Ann Arborite", and many long-time residents call themselves "townies". The city itself is often called "A²" ("A-squared") or "A2" ("A two") or "AA", "The Deuce" (mainly by Chicagoans), and "Tree Town". With tongue-in-cheek reference to the city's liberal political leanings, some occasionally refer to Ann Arbor as "The People's Republic of Ann Arbor" or "25 square miles surrounded by reality", the latter phrase being adapted from Wisconsin Governor Lee Dreyfus's description of Madison, Wisconsin. In A Prairie Home Companion broadcast from Ann Arbor, Garrison Keillor described Ann Arbor as "a city where people discuss socialism, but only in the fanciest restaurants." Ann Arbor sometimes appears on citation indexes as an author, instead of a location, often with the academic degree MI, a misunderstanding of the abbreviation for Michigan.
Government and politics
As the county seat of Washtenaw County, the Washtenaw County Trial Court (22nd Circuit Court) is located in Ann Arbor at the Washtenaw County Courthouse on Main Street. Seven judges serve on the court. The 15th Michigan district court, which serves only the city itself, is located within the Ann Arbor Justice Center, immediately next to city hall. The U.S. District Court for the Eastern District of Michigan and Court of Appeals for the Sixth Circuit are also located in downtown Ann Arbor, at the federal building on Liberty Street.
Government
Ann Arbor has a council-manager form of government, with 11 voting members: the mayor and 10 city council members. Each of the city's five wards are represented by two council members, with the mayor elected at-large during midterm years. Half of the council members are elected in midterm years, with the other in general election years. The mayor is the presiding officer of the city council and has the power to appoint all council committee members as well as board and commission members, with the approval of the city council. The current mayor of Ann Arbor is Christopher Taylor, a Democrat who was elected as mayor in 2014. Day-to-day city operations are managed by a city administrator chosen by the city council.
Politics
Progressive politics have been particularly strong in municipal government since the 1960s. Voters approved charter amendments that have lessened the penalties for possession of marijuana (1974), and that aim to protect access to abortion in the city should it ever become illegal in the State of Michigan (1990). In 1974, Kathy Kozachenko's victory in an Ann Arbor city-council race made her the country's first openly homosexual candidate to win public office. In 1975, Ann Arbor became the first U.S. city to use instant-runoff voting for a mayoral race. Adopted through a ballot initiative sponsored by the local Human Rights Party, which feared a splintering of the liberal vote, the process was repealed in 1976 after use in only one election. As of April 2021, Democrats hold the mayorship and all ten council seats.
Anti-abortion protesters were outnumbered ten-to-one by abortion-rights counterprotesters in 2017. In 2019, The Diag hosted a Stop the Bans rally. In 2022 in the shadow of the Dobbs decision, the diag once again became a rallying point for abortion rights protests, drawing thousands of protesters, including US Rep. Debbie Dingell Senator Debbie Stabenow, and Michigan Lt. Gov. Garlin Gilchrist.
Education
Primary and secondary education
Public schools are part of the Ann Arbor Public Schools (AAPS) district. AAPS has one of the country's leading music programs. In September 2008, 16,539 students had been enrolled in the Ann Arbor Public Schools. Notable schools include Pioneer, Huron, Skyline, and Community high schools, and Ann Arbor Open School. The district has a preschool center with both free and tuition-based programs for preschoolers in the district. The University High School, a "demonstration school" with teachers drawn from the University of Michigan's education program, was part of the school system from 1924 to 1968.
Ann Arbor is home to several private schools, including Emerson School, the Father Gabriel Richard High School, Rudolf Steiner School of Ann Arbor (a Prek-12 Waldorf school), Clonlara School, Michigan Islamic Academy, and Greenhills School, a prep school. The city is also home to several charter schools such as Central Academy (Michigan) (PreK-12) of the Global Educational Excellence (GEE) charter school company, Washtenaw Technical Middle College, and Honey Creek Community School.
Higher education
The University of Michigan dominates the city of Ann Arbor, providing the city with its distinctive college-town character. University buildings are located in the center of the city and the campus is directly adjacent to the State Street and South University downtown areas.
Other local colleges and universities include Concordia University Ann Arbor, a Lutheran liberal-arts institution, and Cleary University, a private business school. Washtenaw Community College is located in neighboring Ann Arbor Township. In 2000, the Ave Maria School of Law, a Roman Catholic law school established by Domino's Pizza founder Tom Monaghan, opened in northeastern Ann Arbor, but the school moved to Ave Maria, Florida in 2009, and the Thomas M. Cooley Law School acquired the former Ave Maria buildings for use as a branch campus.
Media
The Ann Arbor News, owned by the Michigan-based Booth Newspapers chain, was the major newspaper serving Ann Arbor and the rest of Washtenaw County. The newspaper ended its 174-year daily print run in 2009, due to economic difficulties and began producing two printed editions a week under the name AnnArbor.com, It resumed using its former name in 2013. It also produces a daily digital edition named Mlive.com. Another Ann Arbor-based publication that has ceased production was the Ann Arbor Paper, a free monthly. Ann Arbor has been said to be the first significant city to lose its only daily paper. The Ann Arbor Chronicle, an online newspaper, covered local news, including meetings of the library board, county commission, and DDA until September 3, 2014.
Current publications in the city include the Ann Arbor Journal (A2 Journal), a weekly community newspaper; the Ann Arbor Observer, a free monthly local magazine; and Current, a free entertainment-focused alt-weekly. The Ann Arbor Business Review covers local business in the area. Car and Driver magazine and Automobile Magazine are also based in Ann Arbor. The University of Michigan is served by many student publications, including the independent Michigan Daily student newspaper, which reports on local, state, and regional issues in addition to campus news.
Four major AM radio stations based in or near Ann Arbor are WAAM 1600, a conservative news and talk station; WLBY 1290, a business news and talk station; WDEO 990, Catholic radio; and WTKA 1050, which is primarily a sports station. The city's FM stations include NPR affiliate WUOM 91.7; country station WWWW 102.9; and adult-alternative station WQKL 107.1. Freeform station WCBN-FM 88.3 is a local community radio/college radio station operated by the students of the University of Michigan featuring noncommercial, eclectic music and public-affairs programming. The city is also served by public and commercial radio broadcasters in Ypsilanti, the Lansing/Jackson area, Detroit, Windsor, and Toledo.
Ann Arbor is part of the Detroit television market. WPXD channel 31, the owned-and-operated Detroit outlet of the ION Television network, is licensed to the city. Until its sign-off on August 31, 2017, WHTV channel 18, a MyNetworkTV-affiliated station for the Lansing market, was broadcast from a transmitter in Lyndon Township, west of Ann Arbor. Community Television Network (CTN) is a city-provided cable television channel with production facilities open to city residents and nonprofit organizations. Detroit and Toledo-area radio and television stations also serve Ann Arbor, and stations from Lansing and Windsor, Ontario, can be seen in parts of the area.
Environment and services
The University of Michigan Medical Center, the only teaching hospital in the city, took the number 1 slot in U.S. News & World Report for best hospital in the state of Michigan, as of 2015. The University of Michigan Health System (UMHS) includes University Hospital, C.S. Mott Children's Hospital and Women's Hospital in its core complex. UMHS also operates out-patient clinics and facilities throughout the city. The area's other major medical centers include a large facility operated by the Department of Veterans Affairs in Ann Arbor, and Saint Joseph Mercy Hospital in nearby Superior Township.
The city provides sewage disposal and water supply services, with water coming from the Huron River and groundwater sources. There are two water-treatment plants, one main and three outlying reservoirs, four pump stations, and two water towers. These facilities serve the city, which is divided into five water districts. The city's water department also operates four dams along the Huron River—Argo, Barton, Geddes, and Superior—of which Barton and Superior provide hydroelectric power. The city also offers waste management services, with Recycle Ann Arbor handling recycling service. Other utilities are provided by private entities. Electrical power and gas are provided by DTE Energy. AT&T Inc. is the primary wired telephone service provider for the area. Cable TV service is primarily provided by Comcast.
A plume of the industrial solvent dioxane is migrating under the city from the contaminated Gelman Sciences, Inc. property on the westside of Ann Arbor. It is currently detected at 0.039 ppb. The Gelman plume is a potential threat to one of the City of Ann Arbor's drinking water sources, the Huron River, which flows through downtown Ann Arbor.
Crime
In 2015, Ann Arbor was ranked 11th safest among cities in Michigan with a population of over 50,000. It ranked safer than cities such as Royal Oak, Livonia, Canton and Clinton Township. The level of most crimes in Ann Arbor has fallen significantly in the past 20 years. In 1995 there were 294 aggravated assaults, 132 robberies and 43 rapes while in 2015 there were 128 aggravated assaults, 42 robberies and 58 rapes (under the revised definition).
Ann Arbor's crime rate was below the national average in 2000. The violent crime rate was further below the national average than the property crime rate; the two rates were 48% and 11% lower than the U.S. average, respectively.
Transportation
Ann Arbor is considered one of the US's most walkable cities, with one sixth of Ann Arborites walking to work according to the 2020 census.
Non-motorized transportation
Ann Arbor has made efforts to reverse the trend of car-dependent development. In 2020, the city introduced a Healthy Streets program to encourage non-motorized transportation.
The Washtenaw county Border-to-Border Trail connects Ann Arbor to Ypsilanti, mostly along the Huron river, for pedestrians, bicycles and other non-motorized transportation. In 2017, Spin scooters started providing a scooter share program in Ann Arbor, expanding this to include dockless e-bikes in 2023.
Walkability
Ann Arbor has a gold designation by the Walk Friendly Communities program. Since 2011, the city's property taxes have included a provision for sidewalk maintenance and expansions, expanding the sidewalk network, filling sidewalk gaps, and repairing existing sidewalks. The city has created a sidewalk gap dashboard, which showed 143 miles of sidewalk gaps in May 2022. The downtown was ranked in 2016 is the most walkable neighborhood in mid-sized cities in the Midwest. However, the outlying parts of the city and the township districts between Ann Arbor and Ypsilanti still contain markedly unwalkable areas.
Bicycle
Between 2019 and 2022 Ann Arbor's Downtown Development Authority built four two-way protected bikeways downtown. Early studies have shown a significant increase in bicycle use downtown since the construction of these bikeways. In 2023, the city reported over 900 bicycle parking spaces downtown, though this is still a small portion compared to the over 8,000 car parking spots for cars.
Public transit
The Ann Arbor Area Transportation Authority (AAATA), which brands itself as "TheRide", operates public bus services throughout the city and nearby Ypsilanti. The AATA operates Blake Transit Center on Fourth Ave. in downtown Ann Arbor, and the Ypsilanti Transit Center. A separate zero-fare bus service operates within and between the University of Michigan campuses. Since April 2012, route 98 (the "AirRide") connects to Detroit Metro Airport a dozen times a day. There are also limited-stop bus services between Ann Arbor and Chelsea as well as Canton. These two routes, 91 and 92 respectively, are known as the "ExpressRide".
Intercity buses
Greyhound Lines provides intercity bus service. The Michigan Flyer, a service operated by Indian Trails, cooperates with AAATA for their AirRide and additionally offers bus service to East Lansing. Megabus has direct service to Chicago, Illinois, while a bus service is provided by Amtrak for rail passengers making connections to services in East Lansing and Toledo, Ohio.
Railroads
The city was a major rail hub, notably for freight traffic between Toledo and ports north of Chicago, Illinois, from 1878 to 1982; however, the Ann Arbor Railroad also provided passenger service from 1878 to 1950, going northwest to Frankfort and Elberta on Lake Michigan and southeast to Toledo. (In Elberta connections to ferries across the Lake could be made.) The city was served by the Michigan Central Railroad starting in 1837. The Ann Arbor and Ypsilanti Street Railway, Michigan's first interurban, served the city from 1891 to 1929.
Amtrak, which provides service to the city at the Ann Arbor Train Station, operates the Wolverine train between Chicago and Pontiac, via Detroit. The present-day train station neighbors the city's old Michigan Central Depot, which was renovated as a restaurant in 1970.
Airports
Ann Arbor Municipal Airport is a small, city-run general aviation airport located south of I-94. Detroit Metropolitan Airport, the area's large international airport, is about east of the city, in Romulus. Willow Run Airport east of the city near Ypsilanti serves freight, corporate, and general aviation clients.
Roads and highways
The streets in downtown Ann Arbor conform to a grid pattern, though this pattern is less common in the surrounding areas. Major roads branch out from the downtown district like spokes on a wheel to the highways surrounding the city. The city is belted by three freeways: I-94, which runs along the southern and western portion of the city; U.S. Highway 23 (US 23), which primarily runs along the eastern edge of Ann Arbor; and M-14, which runs along the northern edge of the city. Other nearby highways include US 12 (Michigan Ave.), M-17 (Washtenaw Ave.), and M-153 (Ford Rd.). Several of the major surface arteries lead to the I-94/M-14 interchange in the west, US 23 in the east, and the city's southern areas.
Sister cities
Ann Arbor has seven sister cities:
Tübingen, Baden-Württemberg, Germany (since 1965) The schools in Ann Arbor and Tübingen have regular exchanges.
Belize City, Belize (since 1967)
Hikone, Shiga, Japan (since 1969) The schools in Ann Arbor and Hikone have regular exchanges.
Peterborough, Ontario, Canada (since 1983)
Juigalpa, Chontales, Nicaragua (since 1986)
Dakar, Senegal (since 1997)
Remedios, Cuba (since 2003)
See also
Ann Arbor staging
Ardis Publishing
List of people from Ann Arbor
Metro Detroit
Iggy Pop
Notes
References
Works cited
Further reading
External links
City's official website
Ann Arbor Area Convention and Visitor's Bureau
Collection: "Ann Arbor and the University of Michigan" from the University of Michigan Museum of Art
Materials on Ann Arbor's history from HathiTrust
Populated places established in 1824
Academic enclaves
County seats in Michigan
Cities in Washtenaw County, Michigan
Metro Detroit
1824 establishments in Michigan Territory
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Aircraft hijacking (also known as airplane hijacking, skyjacking, plane hijacking, plane jacking, air robbery, air piracy, or aircraft piracy, with the last term used within the special aircraft jurisdiction of the United States) is the unlawful seizure of an aircraft by an individual or a group. Dating from the earliest of hijackings, most cases involve the pilot being forced to fly according to the hijacker's demands. There have also been incidents where the hijackers have overpowered the flight crew, made unauthorized entry into the cockpit and flown them into buildingsmost notably in the September 11 attacksand in several cases, planes have been hijacked by the official pilot or co-pilot; e.g., Ethiopian Airlines Flight 702.
Unlike carjacking or sea piracy, an aircraft hijacking is not usually committed for robbery or theft. Individuals driven by personal gain often divert planes to destinations where they are not planning to go themselves. Some hijackers intend to use passengers or crew as hostages, either for monetary ransom or for some political or administrative concession by authorities. Various motives have driven such occurrences, such as demanding the release of certain high-profile individuals or for the right of political asylum (notably Flight ET 961), but sometimes a hijacking may have been affected by a failed private life or financial distress, as in the case of Aarno Lamminparras in the Oulu Aircraft Hijacking. Hijackings involving hostages have produced violent confrontations between hijackers and the authorities, during negotiation and settlement. In the case of Lufthansa Flight 181 and Air France Flight 139, the hijackers were not satisfied and showed no inclination to surrender, resulting in attempts by special forces to rescue passengers.
In most jurisdictions of the world, aircraft hijacking is punishable by life imprisonment or a long prison sentence. In most jurisdictions where the death penalty is a legal punishment, aircraft hijacking is a capital crime, including in China, India, Liberia and the U.S. states of Georgia and Mississippi.
History
Airplane hijackings have occurred since the early days of flight. These can be classified in the following eras: 1929–1957, 1958–1979, 1980–2000 and 2001–present. Early incidents involved light planes, but this later involved passenger aircraft as commercial aviation became widespread.
1929–1957
Between 1929 and 1957, there were fewer than 20 incidents of reported hijackings worldwide; several occurred in Eastern Europe.
One of the first unconfirmed hijackings occurred in December 1929. J. Howard "Doc" DeCelles was flying a postal route for a Mexican firm, Transportes Aeras Transcontinentales, ferrying mail from San Luis Potosí to Torreon and then on to Guadalajara. Saturnino Cedillo, the governor of the state of San Luis Potosí, ordered him to divert. Several other men were also involved, and through an interpreter, DeCelles had no choice but to comply. He was allegedly held captive for several hours under armed guard before being released.
The first recorded aircraft hijack took place on February 21, 1931, in Arequipa, Peru. Byron Richards, flying a Ford Tri-Motor, was approached on the ground by armed revolutionaries. He refused to fly them anywhere during a 10-day standoff. Richards was informed that the revolution was successful and he could be freed in return for flying one of the men to Lima.
The following year, in September 1932, a Sikorsky S-38 with registration P-BDAD, registered to Nyrba do Brasil, was seized in the company's hangar by three men, who took a hostage. Despite having no flying experience, they managed to take off. However, the aircraft crashed in São João de Meriti, killing the four men. Apparently, the hijack was related to the events of the Constitutionalist Revolution in São Paulo; it is considered to be the first hijack that took place in Brazil.
On October 28, 1939, the first murder on a plane took place in Brookfield, Missouri, US. The victim was Carl Bivens, a flight instructor, who was teaching a man named Earnest P. "Larry" Pletch. While airborne in a Taylor Cub monoplane, Pletch shot Bivens twice in the back of the head. Pletch later told prosecutors, "Carl was telling me I had a natural ability and I should follow that line", adding, "I had a revolver in my pocket and without saying a word to him, I took it out of my overalls and I fired a bullet into the back of his head. He never knew what struck him." The Chicago Daily Tribune stated it was one of the most spectacular crimes of the 20th century. Pletch pleaded guilty and was sentenced to life in prison. However, he was released on March 1, 1957, after serving 17 years, and lived until June 2001.
In 1942 near Malta, two New Zealanders, a South African and an Englishman achieved the first confirmed in-air hijack when they overpowered their captors aboard an Italian seaplane that was flying them to a prisoner-of-war camp. As they approached an Allied base, they were strafed by Supermarine Spitfires unaware of the aircraft's true operators and forced to land on the water. However, all on board survived to be picked up by a British boat.
In the years following World War II, Philip Baum, an aviation security expert suggests that the development of a rebellious youth "piggybacking on to any cause which challenged the status quo or acted in support of those deemed oppressed", may have been a contributor to attacks against the aviation field. The first hijacking of a commercial flight occurred on the Cathay Pacific Miss Macao on July 16, 1948. After this incident and others in the 1950s, airlines recommended that flight crews comply with the hijackers' demands rather than risk a violent confrontation. There were also various hijacking incidents and assaults on planes in China and the Middle East.
On 23 July 1956, in the Hungarian People's Republic, seven passengers hijacked a domestic flight of Malév Hungarian Airlines, a Lisunov Li-2 (registration HA-LIG), to escape from behind the Iron Curtain, and flew it to West Germany. The aircraft landed safely at Ingolstadt Air Base without injuries.
An aircraft belonging to the airline Lloyd Aereo Boliviano was hijacked in Bolivia on September 26, 1956. The DC-4 was carrying 47 prisoners who were being transported from Santa Cruz, Bolivia, to El Alto, in La Paz. A political group was waiting to take them to a concentration camp located in Carahuara de Carangas, Oruro. The 47 prisoners overpowered the crew and gained control of the aircraft while airborne and diverted the plane to Tartagal, Argentina. Prisoners took control of the aircraft and received instructions to again fly to Salta, Argentina, as the airfield in Tartagal was not big enough. Upon landing, they told the government of the injustice they were subjected to, and received political asylum.
On October 22, 1956, French forces hijacked a Moroccan airplane carrying leaders of the Algerian National Liberation Front (FLN) during the ongoing Algerian War. The plane, which was carrying Ahmed Ben Bella, Hocine Aït Ahmed, and Mohamed Boudiaf, was destined to leave from Palma de Mallorca for Tunis where the FLN leaders were to conference with Prime Minister Habib Bourguiba, but French forces redirected the flight to occupied Algiers, where the FLN leaders were arrested.
1958–1979
Between 1958 and 1967, there were approximately 40 hijackings worldwide. Beginning in 1958, hijackings from Cuba to other destinations started to occur; in 1961, hijackings from other destinations to Cuba became prevalent. The first happened on May 1, 1961, on a flight from Miami to Key West. The perpetrator, armed with a knife and gun, forced the captain to land in Cuba.
Australia was relatively untouched by the threat of hijackings until July 19, 1960. On that evening, a 22-year-old Russian man attempted to divert Trans Australia Airlines Flight 408 to Darwin or Singapore. The crew were able to subdue the man after a brief struggle.
According to the FAA, in the 1960s, there were 100 attempts of hijackings involving U.S. aircraft: 77 successful and 23 unsuccessful. Recognizing the danger early, the FAA issued a directive on July 28, 1961, which prohibits unauthorized persons from carrying concealed firearms and interfering with crew member duties. The Federal Aviation Act of 1958 was amended to impose severe penalties for those seizing control of a commercial aircraft. Airlines could also refuse to transport passengers who were likely to cause danger. That same year, the FAA and Department of Justice created the Peace Officers Program which put trained marshals on flights. A few years later, on May 7, 1964, the FAA adopted a rule requiring that cockpit doors on commercial aircraft be kept locked at all times.
In a five-year period (1968–1972) the world experienced 326 hijack attempts, or one every 5.6 days. The incidents were frequent and often just an inconvenience, which resulted in television shows creating parodies. Time magazine even ran a lighthearted comedy piece called "What to Do When the Hijacker Comes". Most incidents occurred in the United States. There were two distinct types: hijackings for transportation elsewhere and hijackings for extortion with the threat of harm.
Between 1968 and 1972, there were 90 recorded transport attempts to Cuba. In contrast, there were 26 extortion attempts (see table on the right). The longest and first transcontinental (Los Angeles, Denver, New York, Bangor, Shannon and Rome) hijacking from the US started on 31 October 1969.
The Eastern Air Lines Shuttle flight 1320 on May 17, 1970, witnessed the first fatality in the course of a U.S. hijacking.
Incidents also became problematic outside of the U.S. For instance, in 1968, El Al Flight 426 was seized by Popular Front for the Liberation of Palestine (PFLP) militants on 23 July, an incident which lasted 40 days, making it one of the longest. This record was later beaten in 1999.
As a result of the evolving threat, President Nixon issued a directive in 1970 to promote security at airports, electronic surveillance and multilateral agreements for tackling the problem.
The International Civil Aviation Organization (ICAO) issued a report on aircraft hijacking in July 1970. Beginning in 1969 until the end of June 1970, there were 118 incidents of unlawful seizure of aircraft and 14 incidents of sabotage and armed attacks against civil aviation. This involved airlines of 47 countries and more than 7,000 passengers. In this period, 96 people were killed and 57 were injured as a result of hijacking, sabotage and armed attacks.
The ICAO stated that this is not isolated to one nation or one region, but a worldwide issue to the safe growth of international civil aviation. Incidents also became notoriousin 1971, a man known as D. B. Cooper hijacked a plane and extorted US$200,000 in ransom before parachuting over Oregon. He was never identified.
On August 20, 1971, a Pakistan Air Force T-33 military plane was hijacked prior the Indo-Pakistani war of 1971 in Karachi. Lieutenant Matiur Rahman attacked Officer Rashid Minhas and attempted to land in India. Minhas deliberately crashed the plane into the ground near Thatta to prevent the diversion.
Countries around the world continued their efforts to tackle crimes committed on-board planes. The Tokyo Convention, drafted in 1958, established an agreement between signatories that the "state in which the aircraft is registered is competent to exercise jurisdiction over crimes committed on board that aircraft while it is in flight". While the Convention does not make hijacking an international crime, it does contain provisions which obligate the country in which a hijacked aircraft lands to restore the aircraft to its responsible owner, and allow the passengers and crew to continue their journey. The Convention came into force in December 1969.
A year later, in December 1970, the Hague Convention was drafted which punishes hijackers, enabling each state to prosecute a hijacker if that state does not extradite them, and to deprive them from asylum from prosecution.
On December 5, 1972, the FAA issued emergency rules requiring all passengers and their carry-on baggage to be screened. Airports slowly implemented walk-through metal detectors, hand-searches and X-ray machines, to prohibit weapons and explosive devices. These rules came into effect on January 5, 1973, and were welcomed by most of the public. In 1974, Congress enacted a statute which provided for the death penalty for acts of aircraft piracy resulting in death. Between 1968 and 1977, there were approximately 41 hijackings per year.
In the 1970s, in pursuit of their demands for Croatia's independence from the Socialist Republic of Yugoslavia, Croatian nationalists hijacked several civilian airliners, such as Scandinavian Airlines System Flight 130 and TWA Flight 355.
1980–2000
By 1980, airport screening and greater cooperation from the international community led to fewer successful hijackings; the number of events had significantly dropped below the 1968 level. Between 1978 and 1988, there were roughly 26 incidents of hijackings a year. A new threat emerged in the 1980s: organised terrorists destroying aircraft to draw attention. For instance, terrorist groups were responsible for the bombing of Air India Flight 182 over the Irish coast. In 1988, Pan Am Flight 103 was bombed flying over Scotland. Terrorist activity which included hijack attempts in the Middle East were also a cause of concern.
During the 1990s, there was relative peace in the United States airspace as the threat of domestic hijacking was seen as a distant memory. Globally, however, hijackings still persisted. Between 1993 and 2003, the highest number of hijackings occurred in 1993 (see table below). This number can be attributed to events in China where hijackers were trying to gain political asylum in Taiwan. Europe and the rest of East Asia were not immune either. On December 26, 1994, Air France Flight 8969 with 172 passengers and crew was hijacked after leaving Algiers. Authorities believed that the goal was to crash the plane into the Eiffel Tower. On June 21, 1995, All Nippon Airways Flight 857 was hijacked by a man claiming to be a member of the Aum Shinrikyo religious cult, demanding the release of its imprisoned leader Shoko Asahara. The incident was resolved when the police stormed the plane.
On October 17, 1996, the first hijacking that was brought to an end while airborne was carried out by four operatives of the Austrian special law enforcement unit Cobra on a Russian Aeroflot flight from Malta to Lagos, Nigeria, aboard a Tupolev Tu-154. The operatives escorted inmates detained for deportation to their homelands and were equipped with weapons and gloves. On 12 April 1999, six ELN members hijacked a Fokker 50 of Avianca Flight 9463, flying from Bucaramanga to Bogotá. Many hostages were held for more than a year, and the last hostage was finally freed 19 months after the hijacking.
2001–present
On September 11, 2001, four airliners were hijacked by 19 Al-Qaeda extremists: American Airlines Flight 11, United Airlines Flight 175, American Airlines Flight 77 and United Airlines Flight 93. The first two planes were deliberately crashed into the Twin Towers of the World Trade Center in New York City and the third was crashed into The Pentagon in Arlington County, Virginia. The fourth crashed in a field in Stonycreek Township near Shanksville, Pennsylvania after crew and passengers attempted to overpower the hijackers. Authorities believe that the intended target was the U.S. Capitol or the White House in Washington DC. In total, 2,996 people perished and more than 6,000 were injured in the attacks, making the hijackings the deadliest in modern history.
Following the attacks, the U.S. government formed the Transportation Security Administration (TSA) to handle airport screening at U.S. airports. Government agencies around the world tightened their airport security, procedures and intelligence gathering. Until the September 11 attacks, there had never been an incident whereby a passenger aircraft was used as a weapon of mass destruction. The 9/11 Commission report stated that it was always assumed that a "hijacking would take the traditional form"; therefore, airline crews never had a contingency plan for a suicide-hijacking. As Patrick Smith, an airline pilot, summarizes:
Throughout the mid-2000s, hijackings still occurred but there were much fewer incidents and casualties. The number of incidents had been declining, even before the September 11 attacks. One notable incident in 2006 was the hijacking of Turkish Airlines Flight 1476, flying from Tirana to Istanbul, which was seized by a man named Hakan Ekinci. The aircraft, with 107 passengers and 6 crew, made distress calls to air traffic control and the plane was escorted by military aircraft before landing safely at Brindisi, Italy. In 2007, several incidents occurred in the Middle East and Northern Africa; hijackers in one of these incidents claimed to be affiliated with Al-Qaeda. Towards the end of the decade, AeroMexico experienced its first terror incident when Flight 576 was hijacked by a man demanding to speak with President Calderón.
Between 2010 and 2019, the Aviation Safety Network estimates there have been 15 hijackings worldwide with three fatalities. This is a considerably lower figure than in previous decades which can be attributed to greater security enhancements and awareness of September 11–style attacks. On June 29, 2012, an attempt was made to hijack Tianjin Airlines Flight GS7554 from Hotan to Ürümqi in China. More recently was the 2016 hijacking of EgyptAir Flight MS181, involving an Egyptian man who claimed to have a bomb and ordered the plane to land in Cyprus. He surrendered several hours later, after freeing the passengers and crew.
Countermeasures
As a result of the large number of U.S.–Cuba hijackings in the late 1960s to early 1970s, international airports introduced screening technology such as metal detectors, X-ray machines and explosive detection tools. In the U.S, these rules were enforced starting from January 1973 and were eventually copied around the world. These security measures did make hijacking a "higher-risk proposition" and deter criminals in later decades. Until September 2001, the FAA set and enforced a "layered" system of defense: hijacking intelligence, passenger pre-screening, checkpoint screening and on-board security. The idea was that if one layer were later to fail, another would be able stop a hijacker from boarding a plane. However, the 9/11 Commission found that this layered approach was flawed and unsuitable to prevent the September 11 attacks. The U.S Transportation Security Administration has since strengthened this approach, with a greater emphasis on intelligence sharing.
On-board security
In the history of hijackings, most incidents involved planes being forced to land at a certain destination with demands. As a result, commercial airliners adopted a "total compliance" rule which taught pilots and cabin crew to comply with the hijackers' demands. Crews advise passengers to sit quietly to increase their chances of survival. The ultimate goal is to land the plane safely and let the security forces handle the situation. The FAA suggested that the longer a hijacking persisted, the more likely it would end peacefully with the hijackers reaching their goal. Although total compliance is still relevant, the events of September 11 changed this paradigm as this technique cannot prevent a murder-suicide hijacking.
After the September 11 attacks, it became evident that each hijacking situation needs to be evaluated on a case-by-case basis. Cabin crew, now aware of the severe consequences, have a greater responsibility for maintaining control of their aircraft. Most airlines also give crew members training in self-defense tactics. Ever since the 1970s, crew are taught to be vigilant for suspicious behaviour. For example, passengers who have no carry-on luggage, or are standing next to the cockpit door with fidgety movements. There have been various incidents when crew and passengers intervened to prevent attacks: on December 22, 2001, Richard Reid attempted to ignite explosives on American Airlines Flight 63. In 2009, on Northwest Flight 253, Umar Farouk Abdulmutallab attempted to detonate explosives sewn into his underwear. In 2012, the attempted hijacking of Tianjin Airlines Flight 7554 was stopped when cabin crew placed a trolley in-front of the cockpit door and asked passengers for help.
American Airlines Flight 11
In the September 11 attacks, crew on one of the hijacked planes went beyond their scope of training by informing the airline ground crew about the events on board. In separate phone calls, Amy Sweeney and Betty Ong provided information on seat numbers of the attackers and passenger injuries. This helped authorities identify them.
Cockpit security
As early as 1964, the FAA required cockpit doors on commercial aircraft be kept locked during flight. In 2002, U.S. Congress passed the Arming Pilots Against Terrorism Act, allowing pilots at U.S. airlines to carry guns in the cockpit. Since 2003, these pilots are known as Federal Flight Deck Officers. It is estimated that one in 10 of the 125,000 commercial pilots are trained and armed. Also in 2002, aircraft manufacturers such as Airbus introduced a reinforced cockpit door which is resistant to gunfire and forced entry. Shortly afterwards, the FAA required operators of more than 6,000 aircraft to install tougher cockpit doors by April 9, 2003. Rules were also tightened to restrict cockpit access and make it easier for pilots to lock the doors. In 2015, Germanwings Flight 9525 was seized by the co-pilot and deliberately crashed, while the captain was out. The captain was unable to re-enter the cockpit, because the airline had already reinforced the cockpit door. The European Aviation Safety Agency issued a recommendation for airlines to ensure that at least two people, one pilot and a member of cabin crew, occupy the cockpit during flight. The FAA in the United States enforce a similar rule.
Air marshal service
Some countries operate a marshal service, which puts members of law enforcement on high-risk flights based on intelligence. Their role is to keep passengers safe, by preventing hijackings and other criminal acts committed on a plane. Federal marshals in the U.S. are required to identify themselves before boarding a plane; marshals of other countries often are not. According to the Congressional Research Service, the budget for the U.S. Federal Air Marshal Service was US$719 million in 2007. Marshals often sit as regular passengers, at the front of the plane to allow observation of the cockpit. Despite the expansion of the marshal service, they cannot be on every plane, and they rarely face a real threat on a flight. Critics have questioned the need for them.
Air traffic control
There is no generic or set of rules for handling a hijacking situation. Air traffic controllers are expected to exercise their best judgement and expertise when dealing with the apparent consequences of an unlawful interference or hijack. Depending on the jurisdiction, the controller will inform authorities, such as the military, who will escort the hijacked plane. Controllers are expected to keep communications to a minimum and clear the runway for a possible landing.
Legislation for downing hijacked aircraft
Germany
In January 2005, a federal law came into force in Germany, called the , which allows "direct action by armed force" against a hijacked aircraft to prevent a September 11–style attack. However, in February 2006 the Federal Constitutional Court struck down these provisions of the law, stating such preventive measures were unconstitutional and would essentially be state-sponsored murder, even if such an act would save many more lives on the ground. The main reason behind this decision was that the state would effectively be killing innocent hostages in order to avoid a terrorist attack. The Court also ruled that the Minister of Defense is constitutionally not entitled to act in terrorism matters, as this is the duty of the state and federal police forces. President of Germany Horst Köhler urged judicial review of the constitutionality of the Luftsicherheitsgesetz after he signed it into law in 2005.
India
India published its new anti-hijacking policy in August 2005. The policy came into force after approval from the Cabinet Committee on Security (CCS). The main points of the policy are:
Any attempt to hijack will be considered an act of aggression against the country and will prompt a response fit for an aggressor.
Hijackers, if captured alive, will be put on trial, convicted, and sentenced to death.
Hijackers will be engaged in negotiations only to bring the incident to an end, to comfort passengers and to prevent loss of lives.
The hijacked plane will be shot down if it is deemed to become a missile heading for strategic targets.
The hijacked plane will be escorted by armed fighter aircraft and will be forced to land.
A hijacked grounded plane will not be allowed to take off under any circumstance.
United States
Prior to the September 11 attacks, countermeasures were focused on "traditional" hijackings. As such, there were no specific rules for handling suicide hijackings, where aircraft would be used as a weapon. Moreover, military response at the time consisted of multiple uncoordinated units, each with its own set of rules of engagement with no unified command structure. Soon after the attacks, however, new rules of engagement were introduced, authorizing the North American Aerospace Defense Command (NORAD)the Air Force command tasked with protecting U.S. airspaceto shoot down hijacked commercial airliners if the plane is deemed a threat to strategic targets. In 2003, the military stated that fighter pilots exercise this scenario several times a week.
Other countries
Poland and Russia are among other countries that have had laws or directives for shooting down hijacked planes. However, in September 2008 the Polish Constitutional Court ruled that the Polish rules were unconstitutional, and voided them.
International law
Tokyo Convention
The Convention on Offences and Certain Other Acts Committed on Board Aircraft, known as the Tokyo Convention, is an international treaty which entered force on December 4, 1969. , it has been ratified by 186 parties. Article 11 of the Tokyo Convention states the following:
The signatories agree that if there is unlawful takeover of an aircraft, or a threat of it on their territory, then they will take all necessary measures to regain or keep control over an aircraft. The captain can also disembark a suspected person on the territory of any country, where the aircraft lands, and that country must agree to it, as stated in Articles 8 and 12 of the convention.
Hague Convention
The Convention for the Suppression of Unlawful Seizure of Aircraft (known as the Hague Convention) went into effect on October 14, 1971. , the convention has 185 signatories.
Montreal Convention
The Montreal Convention is a multilateral treaty adopted by a diplomatic meeting of ICAO member states in 1999. It amended important provisions of the Warsaw Convention's regime concerning compensation for the victims of air disasters.
In popular culture
Superman saves Metropolis from a bombardier hijacked by Japanese spies in the short animated film Japoteurs (1942).
The 1997 Hollywood film Air Force One is based on the fictional hijacking of Air Force One.
Hijacking is a central theme in the Turbulence movie trilogy.
In Mission: Impossible 2, one of the film's antagonists hijacks a plane at the start of the movie.
The 2006 film United 93 is based on the real events onboard United Airlines Flight 93 one of the four airlines hijacked during the September 11 attacks.
The 2012 film The Dark Knight Rises features an opening sequence of hijacking and crashing an aircraft for the purpose of kidnapping a man and faking his death.
The film Con Air features a U.S. Marshals aircraft being hijacked by the maximum-security prisoners on board.
The Taking of Flight 847: The Uli Derickson Story was a made-for-TV film based on the actual hijacking of TWA Flight 847, as seen through the eyes of the chief flight attendant Uli Derickson.
Passenger 57 depicts an airline security expert trapped on a passenger jet when terrorists seize control.
Executive Decision depicts a Boeing 747 carrying 400 passengers being hijacked by Algerian terrorists, and U.S. marine and Army special forces use a reconnaissance aircraft to re-take the plane.
Skyjacked is a 1972 film about a crazed Vietnam War veteran hijacking an airliner, demanding to be taken to the Soviet Union.
The 1986 film The Delta Force depicted a Special Forces squad tasked with retaking a plane hijacked by Lebanese terrorists, loosely based on the hijacking of TWA Flight 847.
The 2004 film The Assassination of Richard Nixon, based on a true incident, depicts a disillusioned tire salesman who attempts to hijack a plane in 1974 and crash it into the White House. His attempt failed and he was mortally wounded by an airport policeman. He killed himself before police stormed the plane.
The 2006 film Snakes On a Plane is a fictional story about aircraft piracy through the in-flight release of venomous snakes.
In Harold and Kumar 2, two U.S. Air Marshals subdue Harold and Kumar on board a plane after mistaking them for terrorists.
The 2011 film Payanam is a movie entirely based on the negotiations and rescue operations done by the Indian security forces in response to a flight hijacking incident.
In the 2013 video game Grand Theft Auto V the player is tasked with hijacking a cargo plane carrying a large shipment of weapons by crashing a crop duster into the cargo bay mid-flight and fighting to seize control of the aircraft. The cargo plane is later shot down by the US Air Force, requiring the player to bail out.
The 2014 film Non-Stop depicts an aircraft hijacking.
The Indian film Neerja is based on the hijacking of Pan Am Flight 73 in Karachi.
In 2016, German television broadcast the film , in which a Bundeswehr military pilot shoots down a hijacked passenger plane with 164 people on board that was heading towards a stadium filled with 70,000 people. Following the broadcast, a public vote was called for in Germany, Austria and Switzerland, and 86.9% of viewers voted that the pilot was not guilty of murder.
The 2019 film 7500 depicts the struggle of a pilot to land an aircraft and maintain control of its cockpit during a hijacking.
The 2023 Apple TV+ original series Hijack stars Idris Elba as Sam, a talented business negotiator, who embarks on a mission to broker a peaceful end to a hijacking of his 7-hour flight from Dubai to London.
See also
Air pirate
Airport security
Canadian Air Transport Security Authority
Dymshits–Kuznetsov hijacking affair
El Al
Federal Air Marshal Service
Federal Bureau of Investigation
Federal crime in the United States
List of aircraft hijackings
List of Cuba–United States aircraft hijackings
Palestinian political violence
Terrorism
Transportation Security Administration (TSA)
United States Department of Homeland Security (DHS)
References
External links
"The First Hijacking Myth" at Fortnight Journal
"America's first highjacking" at A Blast From the Past
Aviation risks
Aviation security
Terrorism tactics
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The Acropolis of Athens (; ) is an ancient citadel located on a rocky outcrop above the city of Athens, Greece, and contains the remains of several ancient buildings of great architectural and historical significance, the most famous being the Parthenon. The word Acropolis is from the Greek words (akron, "highest point, extremity") and (polis, "city"). The term acropolis is generic and there are many other acropoleis in Greece. During ancient times the Acropolis of Athens was also more properly known as Cecropia, after the legendary serpent-man Cecrops, the supposed first Athenian king.
While there is evidence that the hill was inhabited as early as the fourth millennium BC, it was Pericles (–429 BC) in the fifth century BC who coordinated the construction of the buildings whose present remains are the site's most important ones, including the Parthenon, the Propylaea, the Erechtheion and the Temple of Athena Nike. The Parthenon and the other buildings were seriously damaged during the 1687 siege by the Venetians during the Morean War when gunpowder being stored by the then Turkish rulers in the Parthenon was hit by a Venetian bombardment and exploded.
History
Early settlement
The Acropolis is located on a flattish-topped rock that rises above sea level in the city of Athens, with a surface area of about . While the earliest artifacts date to the Middle Neolithic era, there have been documented habitations in Attica from the Early Neolithic period (6th millennium BC).
There is little doubt that a Mycenaean megaron palace stood upon the hill during the late Bronze Age. Nothing of this megaron survives except, probably, a single limestone column base and pieces of several sandstone steps. Soon after the palace was constructed, a Cyclopean massive circuit wall was built, 760 meters long, up to 10 meters high, and ranging from 3.5 to 6 meters thick. From the end of the Helladic IIIB (1300–1200 BC) on, this wall would serve as the main defense for the acropolis until the 5th century. The wall consisted of two parapets built with large stone blocks and cemented with an earth mortar called emplekton (Greek: ἔμπλεκτον). The wall uses typical Mycenaean conventions in that it followed the natural contour of the terrain and its gate, which was towards the south, was arranged obliquely, with a parapet and tower overhanging the incomers' right-hand side, thus facilitating defense. There were two lesser approaches up the hill on its north side, consisting of steep, narrow flights of steps cut in the rock. Homer is assumed to refer to this fortification when he mentions the "strong-built house of Erechtheus" (Odyssey 7.81). At some time before the 13th century BC, an earthquake caused a fissure near the northeastern edge of the Acropolis. This fissure extended some 35 meters to a bed of soft marl in which a well was dug. An elaborate set of stairs was built and the well served as an invaluable, protected source of drinking water during times of siege for some portion of the Mycenaean period.
Archaic Acropolis
Not much is known about the architectural appearance of the Acropolis until the Archaic era. During the 7th and the 6th centuries BC, the site was controlled by Kylon during the failed Kylonian revolt, and twice by Peisistratos; each of these was attempts directed at seizing political power by coups d'état. Apart from the Hekatompedon mentioned later, Peisistratos also built an entry gate or propylaea. Nevertheless, it seems that a nine-gate wall, the Enneapylon, had been built around the acropolis hill and incorporated the biggest water spring, the Clepsydra, at the northwestern foot.
A temple to Athena Polias, the tutelary deity of the city, was erected between 570 and 550 BC. This Doric limestone building, from which many relics survive, is referred to as the Hekatompedon (Greek for "hundred–footed"), Ur-Parthenon (German for "original Parthenon" or "primitive Parthenon"), H–Architecture or Bluebeard temple, after the pedimental three-bodied man-serpent sculpture, whose beards were painted dark blue. Whether this temple replaced an older one or just a sacred precinct or altar is not known. Probably, the Hekatompedon was built where the Parthenon now stands.
Between 529 and 520 BC yet another temple was built by the Pisistratids, the Old Temple of Athena, usually referred to as the Arkhaios Neōs (ἀρχαῖος νεώς, "ancient temple"). This temple of Athena Polias was built upon the Dörpfeld foundations, between the Erechtheion and the still-standing Parthenon. The Arkhaios Neōs was destroyed as part of the Achaemenid destruction of Athens during the Second Persian invasion of Greece during 480–479 BC; however, the temple was probably reconstructed during 454 BC, since the treasury of the Delian League was transferred in its opisthodomos. The temple may have been burnt down during 406/405 BC as Xenophon mentions that the old temple of Athena was set afire. Pausanias does not mention it in his 2nd century AD Description of Greece.
Around 500 BC the Hekatompedon was dismantled to make place for a new grander building, the Older Parthenon (often referred to as the Pre-Parthenon or Early Parthenon). For this reason, Athenians decided to stop the construction of the Olympieion temple which was connoted with the tyrant Peisistratos and his sons, and, instead, used the Piraeus limestone destined for the Olympieion to build the Older Parthenon. To accommodate the new temple, the south part of the summit was cleared, made level by adding some 8,000 two-ton blocks of limestone, a foundation deep at some points, and the rest was filled with soil kept in place by the retaining wall. However, after the victorious Battle of Marathon in 490 BC, the plan was revised and marble was used instead. The limestone phase of the building is referred to as Pre-Parthenon I and the marble phase as Pre-Parthenon II. In 485 BC, construction stalled to save resources as Xerxes became king of Persia, and war seemed imminent.
The Older Parthenon was still under construction when the Persians invaded and sacked the city in 480 BC. The building was burned and looted, along with the Ancient Temple and practically everything else on the rock. After the Persian crisis had subsided, the Athenians incorporated many architectural parts of the unfinished temple (unfluted column drums, triglyphs, metopes, etc.) into the newly built northern curtain wall of the Acropolis, where they served as a prominent "war memorial" and can still be seen today. The devastated site was cleared of debris. Statuary, cult objects, religious offerings, and unsalvageable architectural members were buried ceremoniously in several deeply dug pits on the hill, serving conveniently as a fill for the artificial plateau created around the Classical Parthenon. This "Persian debris" was the richest archaeological deposit excavated on the Acropolis by 1890.
The Periclean building program
After winning at Eurymedon during 468 BC, Cimon and Themistocles ordered the reconstruction of the southern and northern walls of the Acropolis. Most of the major temples, including the Parthenon, were rebuilt by order of Pericles during the so-called Golden Age of Athens (460–430 BC). Phidias, an Athenian sculptor, and Ictinus and Callicrates, two famous architects, were responsible for the reconstruction.
During 437 BC, Mnesicles started building the Propylaea, a monumental gate at the western end of the Acropolis with Doric columns of Pentelic marble, built partly upon the old Propylaea of Peisistratos. These colonnades were almost finished during 432 BC and had two wings, the northern one decorated with paintings by Polygnotus. About the same time, south of the Propylaea, building started on the small Ionic Temple of Athena Nike in Pentelic marble with tetrastyle porches, preserving the essentials of Greek temple design. After an interruption caused by the Peloponnesian War, the temple was finished during the time of Nicias' peace, between 421 BC and 409 BC.
Construction of the elegant temple of Erechtheion in Pentelic marble (421–406 BC) was by a complex plan which took account of the extremely uneven ground and the need to circumvent several shrines in the area. The entrance, facing east, is lined with six Ionic columns. Unusually, the temple has two porches, one on the northwest corner borne by Ionic columns, the other, to the southwest, supported by huge female figures or caryatids. The eastern part of the temple was dedicated to Athena Polias, while the western part, serving the cult of the archaic king Poseidon-Erechtheus, housed the altars of Hephaestus and Voutos, brother of Erechtheus. Little is known about the original plan of the interior, which was destroyed by fire during the first century BC and has been rebuilt several times.
During the same period, a combination of sacred precincts including the temples of Athena Polias, Poseidon, Erechtheus, Cecrops, Herse, Pandrosos and Aglauros, with its Kore Porch (Porch of the Maidens) or Caryatids' Balcony was begun. Between the temple of Athena Nike and the Parthenon, there was the Sanctuary of Artemis Brauronia (or the Brauroneion), the goddess represented as a bear and worshipped in the deme of Brauron. According to Pausanias, a wooden statue or xoanon of the goddess and a statue of Artemis made by Praxiteles during the 4th century BC were both in the sanctuary.
Behind the Propylaea, Phidias' gigantic bronze statue of Athena Promachos ("Athena who fights in the front line"), built between 450 BC and 448 BC, dominated. The base was high, while the total height of the statue was . The goddess held a lance, the gilt tip of which could be seen as a reflection by crews on ships rounding Cape Sounion, and a giant shield on the left side, decorated by Mys with images of the fight between the Centaurs and the Lapiths. Other monuments that have left almost nothing visible to the present day are the Chalkotheke, the Pandroseion, Pandion's sanctuary, Athena's altar, Zeus Polieus's sanctuary and, from Roman times, the circular Temple of Roma and Augustus.
Hellenistic and Roman Period
During the Hellenistic and Roman periods, many of the existing buildings in the area of the Acropolis were repaired to remedy damage from age and occasionally war. Monuments to foreign kings were erected, notably those of the Attalid kings of Pergamon Attalos II (in front of the NW corner of the Parthenon), and Eumenes II, in front of the Propylaea. These were rededicated during the early Roman Empire to Augustus or Claudius (uncertain) and Agrippa, respectively. Eumenes was also responsible for constructing a stoa on the south slope, similar to that of Attalos in the agora below.
During the Julio-Claudian period, the Temple of Roma and Augustus, a small, round edifice about 23 meters from the Parthenon, was to be the last significant ancient construction on the summit of the rock. Around the same time, on the north slope, in a cave next to the one dedicated to Pan since the Classical period, a sanctuary was founded where the archons dedicated to Apollo on assuming office. During 161 AD, on the south slope, the Roman Herodes Atticus built his grand amphitheater or odeon. It was destroyed by the invading Herulians a century later but was reconstructed during the 1950s.
During the 3rd century, under threat from a Herulian invasion, repairs were made to the Acropolis walls, and the Beulé Gate was constructed to restrict entrance in front of the Propylaea, thus returning the Acropolis to use as a fortress.
Byzantine, Latin, and Ottoman Period
During the Byzantine period, the Parthenon was used as a church dedicated to the Virgin Mary. During the Latin Duchy of Athens, the Acropolis functioned as the city's administrative center, with the Parthenon as its cathedral, and the Propylaea as part of the ducal palace. A large tower was added, the Frankopyrgos, demolished during the 19th century.
After the Ottoman conquest of Greece, the Parthenon was used as the garrison headquarters of the Turkish army, and the Erechtheum was turned into the governor's private harem. The buildings of the Acropolis suffered significant damage during the 1687 siege by the Venetians in the Morean War. The Parthenon, which was being used as a gunpowder magazine, was hit by artillery shot and damaged severely.
During subsequent years, the Acropolis was a site of bustling human activity with many Byzantine, Frankish, and Ottoman structures. The dominant feature during the Ottoman period was a mosque inside the Parthenon, complete with a minaret.
The Acropolis was besieged thrice during the Greek War of Independence—two sieges from the Greeks in 1821–1822 and one from the Ottomans in 1826–1827. A new bulwark named after Odysseas Androutsos was built by the Greeks between 1822 and 1825 to protect the recently rediscovered Klepsydra spring, which became the sole fresh water supply of the fortress.
After independence, most features that dated from the Byzantine, Frankish, and Ottoman periods were cleared from the site in an attempt to restore the monument to its original form, "cleansed" of all later additions.
German Neoclassicist architect Leo von Klenze was responsible for the restoration of the Acropolis in the 19th century, according to German historian Wolf Seidl, as described in his book Bavarians in Greece.
Second World War
At the beginning of the Axis occupation of Greece in 1941, German soldiers raised the Nazi German War Flag over the Acropolis. It would be taken down by Manolis Glezos and Apostolos Santas in one of the first acts of resistance. In 1944 Greek Prime Minister Georgios Papandreou arrived on the Acropolis to celebrate liberation from the Nazis.
Archaeological remains
The entrance to the Acropolis was a monumental gateway termed the Propylaea. To the south of the entrance is the tiny Temple of Athena Nike. At the centre of the Acropolis is the Parthenon or Temple of Athena Parthenos (Athena the Virgin). East of the entrance and north of the Parthenon is the temple known as the Erechtheum. South of the platform that forms the top of the Acropolis there are also the remains of the ancient, though often remodelled, Theatre of Dionysus. A few hundred metres away, there is the now partially reconstructed Odeon of Herodes Atticus.
All the valuable ancient artifacts are situated in the Acropolis Museum, which resides on the southern slope of the same rock, 280 metres from the Parthenon.
Site plan
Site plan of the Acropolis at Athens showing the major archaeological remains.
Parthenon
Old Temple of Athena
Erechtheum
Statue of Athena Promachos
Propylaea
Temple of Athena Nike
Eleusinion
Sanctuary of Artemis Brauronia or Brauroneion
Chalkotheke
Pandroseion
Arrephorion
Altar of Athena
Sanctuary of Zeus Polieus
Sanctuary of Pandion
Odeon of Herodes Atticus
Stoa of Eumenes
Sanctuary of Asclepius or Asclepieion
Theatre of Dionysus Eleuthereus
Odeon of Pericles
Temenos of Dionysus Eleuthereus
Mycenaean fountain
The Acropolis Restoration Project
The Acropolis Restoration Project began in 1975 to reverse the decay of centuries of attrition, pollution, destruction from military actions, and misguided past restorations. The project included the collection and identification of all stone fragments, even small ones, from the Acropolis and its slopes, and the attempt was made to restore as much as possible using reassembled original material (anastylosis), with new marble from Mount Pentelicus used sparingly. All restoration was made using titanium dowels and is designed to be completely reversible, in case future experts decide to change things. A combination of cutting-edge modern technology and extensive research and reinvention of ancient techniques were used.
The Parthenon colonnades, largely destroyed by Venetian bombardment during the 17th century, were restored, with many wrongly assembled columns now properly placed. The roof and floor of the Propylaea were partly restored, with sections of the roof made of new marble and decorated with blue and gold inserts, as in the original. Restoration of the Temple of Athena Nike was completed in 2010.
A total of 2,675 tons of architectural members were restored, with 686 stones reassembled from fragments of the originals, 905 patched with new marble, and 186 parts made entirely of new marble. A total of 530 cubic meters of new Pentelic marble were used.
In 2021, the addition of new reinforced concrete paths to the site to improve accessibility caused controversy among archaeologists.
Cultural significance
Every four years, the Athenians had a festival called the Great Panathenaea that rivaled the Olympic Games in popularity. During the festival, a procession (believed to be depicted on the Parthenon frieze) traveled through the city via the Panathenaic Way and culminated on the Acropolis. There, a new robe of woven wool (peplos) was placed on either the statue of Athena Polias in the Erechtheum (during the annual Lesser Panathenaea) or the statue of Athena Parthenos in the Parthenon (during the Great Panathenaea, held every four years).
Within the later tradition of Western civilization and Classical revival, the Acropolis, from at least the mid-18th century on, has often been invoked as a critical symbol of the Greek legacy and of the glories of Classical Greece.
Most of the artifacts from the temple are housed today in the Acropolis Museum at the foot of the ancient rock.
Geology
The Acropolis is a klippe consisting of two lithostratigraphic units: the Athens schist and the overlying Acropolis limestone. The Athens schist is a soft reddish rock dating from the late Cretaceous period. The original sediments were deposited in a river delta approximately 72 million years ago. The Acropolis limestone dates from the late Jurassic period, predating the underlying Athens schist by about 30 million years. The Acropolis limestone was thrust over the Athens schist by compressional tectonic forces, forming a nappe or overthrust sheet. Erosion of the limestone nappe led to the eventual detachment of the Acropolis, forming the present-day feature. Where the Athens schist and the limestone meet there are springs and karstic caves.
Many of the hills in the Athens region were formed by the erosion of the same nappe as the Acropolis. These include the hills of Lykabettos, Areopagus, and Mouseion.
The marble used for the buildings of the Acropolis was sourced from the quarries of Mount Pentelicus, a mountain to the northeast of the city.
Geological instability
The limestone that the Acropolis is built upon is unstable because of the erosion and tectonic shifts that the region is prone to. This instability can cause rock slides that cause damage to the historic site. Various measures have been implemented to protect the site including retaining walls, drainage systems, and rock bolts. These measures work to counter the natural processes that threaten the historic site.
Gallery
See also
Landscaping of the Acropolis of Athens
References
Notes
Bibliography
Cohen, Beth. (2010). "Deconstructing the Acropolis: The Acropolis Museum, Athens, opened 20 June 2009 by Bernard Tschumi Architects." American Journal of Archaeology 114:745–753.
Goette, Hans Rupprecht. (2001). Athens, Attica, and the Megarid: An Archaeological Guide. London and New York: Routledge.
Harris, Diane. (1995). The Treasures of the Parthenon and Erechtheion. New York: Oxford Univ. Press.
Neils, Jenifer, ed. (1996). Worshipping Athena: Panathenaia and Parthenon. Madison: Univ. of Wisconsin Press.
Pollitt, Jerome J. (1990). The Art of Ancient Greece: Sources and Documents. New York: Cambridge Univ. Press.
External links
The Acropolis of Athens (Greek Government website)
The Acropolis Restoration Project (Greek Government website)
The Acropolis of Athens Virtual Tour
The Acropolis Museum and the Goddess Athena
The Glafka Project
UNESCO World Heritage Centre — Acropolis, Athens
Ancient Athens 3D
Excerpt on the geology of Athens from: A Geological Companion to Greece and the Aegean by Michael and Reynold Higgins, Cornell University Press, 1996
The Acropolis of Athens-Athensguide
Tour of Acropolis of Athens, Site of the Parthenon-About.com
Athenian Acropolis
Videos
Acropolis of Athens, Full Reconstruction, animation by the Technological Research Institute, University of Santiago de Compostela, on YouTube
Timelapse video of Acropolis during Earth Hour 2010 Timelapse showing how the Acropolis of Athens switched off & on the lights during Earth Hour 2010
The Acropolis in 1955
The Acropolis in 1969
Greek Glory A tour of ancient Greek buildings and monuments in Athens in the 1940s
Acropolis of Athens from the old Greek TV show "Ελλάδος Περιήγησις..." (Greece Tours), 1998
Athens, Greece: Ancient Acropolis and Agora by Rick Steves
Three dimensional reconstruction of ancient Acropolis
Buildings and structures completed in the 5th century BC
Ancient Greek culture
Ancient Greek sanctuaries in Greece
Art of ancient Attica
Culture of Greece
Former populated places in Greece
Landmarks in Athens
World Heritage Sites in Greece
Tourist attractions in Athens
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The Acorn Electron (nicknamed the Elk inside Acorn and beyond) was a lower-cost alternative to the BBC Micro educational/home computer, also developed by Acorn Computers Ltd, to provide many of the features of that more expensive machine at a price more competitive with that of the ZX Spectrum. It had 32 kilobytes of RAM, and its ROM included BBC BASIC II together with the operating system. Announced in 1982 for a possible release the same year, it was eventually introduced on 25 August 1983 priced at £199.
The Electron was able to save and load programs onto audio cassette via a supplied cable that connected it to any standard tape recorder that had the correct sockets. It was capable of bitmapped graphics, and could use either a television set, a colour (RGB) monitor or a monochrome monitor as its display. Several expansions were made available to provide many of the capabilities omitted from the BBC Micro. Acorn introduced a general-purpose expansion unit, the Plus 1, offering analogue joystick and parallel ports, together with cartridge slots into which ROM cartridges, providing software, or other kinds of hardware expansions, such as disc interfaces, could be inserted. Acorn also produced a dedicated disc expansion, the Plus 3, featuring a disc controller and 3.5-inch floppy drive.
For a short period, the Electron was reportedly the best selling micro in the United Kingdom, with an estimated 200,000 to 250,000 machines sold over its entire commercial lifespan. With production effectively discontinued by Acorn as early as 1985, and with the machine offered in bundles with games and expansions, later being substantially discounted by retailers, a revival in demand for the Electron supported a market for software and expansions without Acorn's involvement, with its market for games also helping to sustain the continued viability of games production for the BBC Micro.
History
After Acorn Computers released the BBC Micro, executives believed that the company needed a less-expensive computer for the mass market. In May 1982, when asked about the recently announced Sinclair ZX Spectrum's potential to hurt sales of the BBC Micro, priced at £125 for the 16K model compared to around twice that price for the 16K BBC Model A, Acorn co-founder Hermann Hauser responded that in the third quarter of that year Acorn would release a new £120–150 computer which "will probably be called the Electron", a form of "miniaturised BBC Micro", having 32 KB of RAM and 32 KB of ROM, with "higher resolution graphics than those offered by the Spectrum".
Acorn co-founder Chris Curry also emphasised the Electron's role as being "designed to compete with the Spectrum... to get the starting price very low, but not preclude expansion in the long term." In order to reduce component costs, and to prevent cloning, the company reduced the number of chips in the Electron from the 102 on the BBC Micro's motherboard to "something like 12 to 14 chips" with most functionality on a single 2,400-gate Uncommitted Logic Array (ULA). Reports during the second half of 1982 indicated a potential December release, with Curry providing qualified confirmation of such plans, together with an accurate depiction of the machine's form and capabilities, noting that the "massive ULA" would be the "dominant factor" in any pre-Christmas release. However, as the end of the year approached, with the ULA not ready for "main production", the launch of the Electron was to be delayed until the spring.
By June 1983, with the planned March release having passed, the launch of the Electron had been rescheduled for the Acorn User Exhibition in August 1983, and the machine was indeed launched at the event. The company expected to ship the Electron before Christmas, and sell 100,000 by February 1984. The price at launch - £199 - remained unchanged from that stated in an announcement earlier in the year, with the machine's nickname within Acorn - the "Elk" - also being reported publicly for perhaps the first time.
Reviews were generally favourable, starting with positive impressions based on the physical design of the computer, with one reviewer noting, "The Electron is beautifully designed and built — quite a shock compared to the BBC. Its designer case will look great on the coffee table." Praise was also forthcoming for the Electron's keyboard which was regarded as being better than most of its low-cost peers, with only the VIC-20 being comparable. In one review, the keyboard was even regarded as better than the one in the BBC Micro. The provision of rapid BASIC keyword entry though the combination of the key with various letter keys was also welcomed as a helpful aid to prevent typing errors by "most users", while "touch typists" were still able to type out the keywords in full.
Reviewers also welcomed the machine's excellent graphics compared to its rivals, noting that "the graphics are much more flexible and the maximum resolution is many times that of the Spectrum's". The provision of screen modes supporting 80 columns of readable text and graphics resolutions of was described as "unrivalled by every machine up to the BBC Model B itself", although the absence of a teletext mode was considered regrettable. Although valued for its low memory usage characteristics in the BBC Micro, one reviewer considered the absence of a "software simulation of a teletext screen" to be a "lazy omission" even if it would have to be "awfully slow and take up piles of memory".
While its speed was acceptable compared to its immediate competition, the Electron was, however, rather slower than the BBC Micro with one review noting that games designed for the BBC Micro ran "at less than half the speed, with very significant effects on their appeal". The reduced performance can be attributed to the use of a 4-bit wide memory system instead of the 8-bit wide memory system of the BBC Micro to reduce cost. Due to needing two accesses to the memory instead of one to fetch each byte, along with contention with the video hardware also needing access, reading or writing RAM was much slower than on the BBC Micro. Reviewers were also disappointed by the single-channel sound, noting that "BBC-style music" and its "imitations of various musical instruments" would not be possible, the latter due to the inability of the sound system to vary the amplitude of sounds.
Despite some uncertainty about Acorn's target demographic for the Electron, some noted the potential for the machine in education given its robustness, but also given its price, noting that the high price of BBC Model B machines seemed "rarely justified by their actual practical applications in schools". The introduction of the Electron was seen as potentially leading to competition between Acorn's different models within the schools market rather than creating a broader audience for them, although the potential for more computers in schools, giving more "hands-on" experience for students, was welcomed. Nevertheless, reviewers anticipated that the Electron would sell well at the lower end of the market, with projected sales of 100,000 units by Christmas 1983, helped by the Electron's software compatibility with the BBC Micro and the already established reputation of its predecessor. With parents potentially being convinced of the Electron's educational value, some reviewers foresaw a conflict between parents and "discerning children", the latter merely wanting to play games and preferring models with sound and graphics capabilities more appropriate for gaming. Although Acorn had based its expansion into the United States on the BBC Micro, the company did have plans to introduce the Electron at a later time, with Chris Curry having indicated "a very heavy push overseas" involving both the BBC Micro and Electron. A model for the US market was described in an official book, The Acorn Guide to the Electron, but this model was never produced.
Production difficulties at Astec in Malaysia delayed the machine's introduction, forcing Acorn to look to other manufacturers such as AB Electronics in Wales and Wongs in Hong Kong (an original equipment manufacturer making over 30 million circuit boards a year, along with power supplies and plastic housings, for companies such as IBM, Xerox, Atari, and Apple, including units made for Acorn for the BBC Micro). By October 1983, Acorn had received orders for more than 150,000 units, but had production targets of only 25,000 a month before Christmas, meaning that the existing backlog would take more than six months to fulfil. Demand for the Electron was high but only two of WH Smith's London branches had inventory. Ultimately, manufacturing in Malaysia ceased with the anticipated but unspecified number of units having been produced, this having been originally reported as 100,000 units. Acorn's marketing manager, Tom Hohenberg, admitted in early 1984 that "a lot of the trouble stemmed from the ULA" in getting production to the desired levels, but that such difficulties had been resolved, although Acorn faced an order backlog of almost a quarter of a million units.
As the company increased production during 1984, however, the British home computer market greatly weakened. Hohenberg later noted that after the 1983 Christmas season, Electron deliveries had increased to meet a demand that was no longer there, with the market having "completely dried up". Acorn's Christmas 1984 sales were greatly below expectations and by March 1985 the company had reduced the Electron's price to £129. With the company's unsuccessful expansion into the United States abandoned, Acorn's financial situation had deteriorated sufficiently to prompt Olivetti to rescue the company by taking a 49.30% ownership stake. Renewed efforts were made to sell the machine, bundling it with Acorn's own expansions and software, such as one package adding the Plus 1 expansion, joysticks and a ROM cartridge game to the base machine for a total price of £219. Acorn committed to supporting the machine "until the end of 1986", continuing to supply it (as the Merlin M2105) to British Telecom as part of the Healthnet communications system, with small-scale manufacturing continuing while existing stocks were being run down.
By autumn, retailers appeared eager to discount the computer, with prices in stores as low as £100, reportedly less than the distributor prices of the summer months. As the Christmas season approached, Dixons Retail acquired the remaining Electron inventory to sell, bundled with a cassette recorder and software, at a retail price of £99.95. This deal, from the perspective of a year later, apparently played a significant part in helping to reduce Acorn's unsold inventory from a value of £18 million to around £7.9 million, and in combination with "streamlining corporate activities and reducing overheads", had helped to reduce Acorn's losses from over £20 million to less than £3 million.
The deal effectively brought to an end Acorn's interest in the Electron and the lower-cost end of the home computing market, but empowered third-party suppliers whose "inventiveness and initiative" was noted as being in contrast with Acorn's lack of interest in the product and the "false promises" made to its users. However, Acorn subsequently released the Master Compact a model in the Master series of microcomputers with fewer BBC Micro-style ports and a similar expansion connector to that used by the Electron with the home audience specifically in mind. Indeed, prior to its release, the Master Compact had been perceived as the successor to the Electron. Superficial similarities between the Compact and Acorn Communicator, together with technical similarities between the Electron (particularly when expanded in the form of the Merlin M2105) and the Communicator, may also have driven rumours of an updated Electron model. A more substantial emphasis on the "home, music and hobby sectors" came with the appointment of a dedicated marketing manager in 1989 following the launch of the BBC A3000 in the Acorn Archimedes range.
Although the Electron presented challenges to developers in terms of the amount of memory available to programs and, particularly for those writing or porting games to the machine, a reduction in hardware features useful for controlling or presenting content on the screen, developers often discovered creative workarounds to deliver commercially successful products, making the business of writing conversions a viable one for some developers.
Several features that would later be associated with the BBC Master and Archimedes first appeared as features of Electron expansion units, including ROM cartridge slots and the Advanced Disc Filing System, a hierarchical improvement to the BBC's original Disc Filing System. Having been envisaged as the basis of a portable computer with "a very strong emphasis on communications" during its development, supporting both modem and Econet interfaces, the BT Merlin M2105 product subsequently combined the Electron with communications functionality, and the Acorn Communicator developed such concepts further, introducing networking support.
The availability of the Electron at discounted prices from 1985 onwards led to increased demand for third-party software and expansions for the machine. While it may not have been as popular as the Spectrum, Commodore 64 or Amstrad CPC, it did sell in sufficient numbers to ensure that new software titles from established producers were being produced right up until the early 1990s, with mainstream publications dedicated to the machine having effectively supported it for five years beyond the point at which Acorn's own support had ceased.
Hardware expansions
Since the Electron provided only a selection of video output ports, a cassette port and the expansion connector, a range of additional expansions were produced to offer ports and connections to various peripherals. The first expansions were largely joystick and printer interfaces or sideways ROM boards. For instance, First Byte Computers developed an interface and software which allowed a "switched" joystick to be used with the majority of software titles. This interface became very popular and was sold by W.H. Smiths, Boots, Comet and hundreds of independent computer dealers, selling as many as 23,000 units over a two-year period, helped by a bundling agreement with Dixons.
Acorn's own expansion strategy was led by the Plus 1 which offered a combination of ports and cartridge connectors, followed by the Plus 3 disc drive unit, but by early 1986 the more general range of expansions had broadened to include floppy drive and RS423 interfaces, Teletext adapters, and other fundamental enhancements to the base machine.
Multi-function expansions
Since the Electron's expansion connector was the basis of practically all external hardware expansions for the machine, unless an expansion propagated this connector to others, as was done by the Acorn Plus 3, the capabilities of any given expansion would limit the capabilities of the expanded machine. Thus, expansions offering a single function, such as joystick ports or a printer port, would need to be disconnected if other capabilities were needed, and then reconnected later. Consequently, multi-function expansions offering a combination of different capabilities offered a significant degree of convenience as well as avoiding wear on the expansion connector.
Alongside announcements of Acorn's then-unreleased Plus 1, Solidisk previewed a General Purpose Interface for the Electron in early 1984 offering a Centronics printer port, switched joystick port, user port, sideways ROM sockets, and mini-cartridge sockets supported by the 6522 versatile interface adapter (VIA) chip. The Plus 1 itself was released in mid-1984, introducing the influential cartridge format for expansions ultimately used by several other companies.
Acorn Plus 1
The Acorn Plus 1 added two ROM cartridge slots, an analogue interface (supporting four channels) and a Centronics parallel port, priced at £59.90. The analogue interface was normally used for joysticks, although trackball and graphics tablet devices were available, and the parallel interface was typically used to connect a printer. Game ROM cartridges would boot automatically. Languages in paged ROM cartridges would take precedence over BASIC. (The slot at the front of the interface took priority if both were populated.)
Access to ROM occurred at 2 MHz until RAM access was required, so theoretically programs released on ROM could run up to twice as fast as those released on tape or disc. Despite this, all of the games released on ROM were packaged as ROM filing system cartridges, from which the micro would load programs into main memory in exactly the same way as if it were loading from tape. This meant that programs did not need to be modified for their new memory location and could be written in BASIC but gave no execution speed benefits. Six ROM cartridge titles were announced for the launch of the Plus 1: three arcade games, one adventure game, one educational title, and the Lisp language implementation, the latter being a genuine language ROM that "takes the place of the BASIC ROM" and is instantly available when switching on.
The cartridge slots provided additional control lines (compared to the lines available via the edge connector on the rear of the Electron) to ease implementation of ROM cartridges. Acorn described the hardware extension possibilities in promotional literature, giving an RS423 cartridge as an example of this capability of the Plus 1.
Additional peripheral cartridges were produced by companies such as Advanced Computer Products (and subsequently PRES) whose Advanced ROM Adaptor (ARA) and Advanced Sideways RAM (ASR) products provided sideways ROM and RAM capabilities, allowing ROM- or EPROM-based software to be accessed to provide languages, utilities and applications. ROM or EPROM devices containing the software could be physically inserted into empty ZIF sockets, or the software would be loaded from ROM image files (typically provided on disk) into RAM devices fitted in such sockets. Such RAM could potentially be powered by a battery and thus be able to retain its contents when the computer itself was powered off. Both such arrangements exposed the software in the same sideways memory region.
Such cartridge support enabled the Electron to provide the same functionality as that offered by the expansion ROM slots under the keyboard and on the bottom-left of the BBC Micro B keyboard. However, the need to use cartridge sockets for other peripherals encouraged PRES to develop the Advanced Plus 6 (AP6): an internal RAM and ROM board for the Plus 1 providing six sockets that could be freely used for ROM, EPROM and RAM devices. Installation of the AP6 unit required some modifications to the Plus 1, undertaken either by the user or by PRES, and the product could also be enhanced with the Advanced Plus 7 offering battery-backed RAM support for two 16 KB banks.
The addition of the Plus 1 added a number of new *FX or OSBYTE calls that allowed the OS to read values from the analogue interface and write to the parallel interface.
The Plus 1 needed memory page &D for its workspace, and the unit added some processing overhead when enabled, both of these things causing issues with the loading and running of software, particularly cassette-based games. To disable the Plus 1, after pressing BREAK, the following commands could be issued:
*FX163,128,1
?&212=&D6
?&213=&F1
?&2AC=0
An official application note described a similar set of commands to "remove the Plus One completely from the address map disabling the Centronics and A/D ports (additionally disabling the RS423 cartridge if fitted)".
Further developments
After Acorn's change of focus away from the Electron, and with a shortage of Plus 1 units available to purchase, Advanced Computer Products secured the rights to manufacture the unit under licence from Acorn, obtaining the injection moulds and tooling, thus restarting production in 1987 after Acorn's own production of the unit had ceased in November 1985. The Advanced Plus 2 (AP2) ROM was later sold by PRES as a replacement ROM for the Plus 1, of whose 8 KB utility ROM only 3 KB had been used, thus providing an opportunity for a more comprehensive ROM to be developed. The AP2 added ROM management commands familiar from the BBC Master series, support for various sideways RAM products from PRES, disc formatting and verification utilities for different ADFS versions, a command to disable the Plus 1 entirely, and improvements that made tape loading more reliable in "high memory" screen modes.
Slogger Rombox Plus
Following on from Slogger's earlier Rombox product an expansion similar in profile to the Plus 1 but offering eight ROM sockets and propagating the expansion connector to other units the Rombox Plus was positioned more directly as a competitor to the Plus 1 in that it offered two cartridge slots and a Centronics print port alongside four ROM sockets. Priced at £49.95, the unit was mostly compatible with cartridges designed for the Plus 1 although one reviewer reported physical issues with some expansion cartridges, suggesting some manufacturing inconsistencies given other users' more positive experiences, but indicated that it was still "worth considering as an alternative to the Plus 1". One review reported that the Cumana Electron Filing System cartridge had an edge connector that would not physically fit inside the slot in the Rombox Plus unit; this along with a perceived lack of robustness of the case being their only major reservations about the product. The product's support for utilising 8 KB RAM devices as a printer buffer, with buffer management provided by the built-in EPROM, was noted as a particular advantage over the Plus 1.
Slogger Remote Expansion and Plus 2
In early 1989, Slogger announced its "remote expansion" (RX) system for the Electron, providing a separate case with power supply to house expansions and disc drives, able to support the weight of a monitor or television. Intended for the RX system, the Plus 2 offered two ROM cartridge slots compatible with the Plus 1, three ROM sockets, and RS423 and user port capabilities. One application of the user port was to connect a mouse, utilised by Slogger's version of the Stop Press desktop publishing package by Advanced Memory Systems.
Software Bargains Plus 1
In mid-1989, Software Bargains announced an expansion providing different levels of Plus 1 functionality, offered as a bare printed circuit board without casing and in three different variants: the basic model offered one cartridge port and was bundled with View and Viewsheet cartridges for £29.95; an extended model offered one cartridge port and a printer port with the two bundled cartridges for £36.95; the full model offered two cartridge ports, printer port and the bundled cartridges for £39.95. Various board upgrade options were also offered between the variants, with the product being described mainly as a vehicle to expose the bundled software packages to as many as 150,000 owners of the estimated 200,000 Electrons in the UK who "have not yet been able to acquire or use View or Viewsheet". The lack of casing was considered the most significant disadvantage, with the absence of the analogue port deemed less critical due to a general lack of support for joysticks in many games.
Communications and networking
To support connectivity, Acorn announced a Plus 2 network interface with availability scheduled for early 1985, together with a RS423 cartridge for the Plus 1. Neither of these products were delivered as announced.
Acorn Plus 2
The Acorn Plus 2 interface was due to provide Econet capability. This interface did not make it to market. However, an Econet interface was produced by Barson Computers in Australia and possibly other individuals and businesses.
Acorn Plus 4
The Acorn Plus 4 interface was due to provide a modem communications capability.
Andyk RS423 cartridge
Andyk announced an RS423 cartridge for the Plus 1 providing a serial port, alongside other products, in late 1985. It was priced at £34.99.
Pace Tellstar/Nightingale
Originally reported in mid-1985 as a collaboration between Acorn and Pace Micro Technology, but launched in early 1986, Pace offered a communications product consisting of a RS423 cartridge, bundled with a Nightingale modem and Tellstar communications software, offered at a discounted price of £145.
Jafa Systems RS423 cartridge
Jafa Systems announced an RS423 cartridge in late 1989 to "fill a two year gap in the market", offering a serial connector compatible with the BBC Micro together with an on-board socket for 8 KB or 16 KB EPROM devices or for 32 KB RAM, the latter being configured to present two sideways RAM banks to the system. Write protect functionality was supported to prevent certain ROM software from attempting to overwrite itself if stored in RAM. The cartridge board itself was priced at around £30, with a case costing £5 extra, and an optional 32 KB RAM adding another £20. Support for the E00 ADFS offered by PRES for that company's AP3 disc system was indicated as an application for the sideways RAM.
Slogger Plus 2 RS423 interface
Slogger provided an RS423 interface as an option for its own Plus 2 expansion, announced in early 1989.
Disc interfaces
The first disc interface to be announced for the Electron was Pace's Le Box in 1984, offering a single-sided 100 KB floppy drive controlled by the 8271 controller and accessed using the Amcom Disc Filing System, with pricing at £299 plus VAT including the drive or around £199 without. The unit also provided eight sideways ROM sockets and was intended to sit under the Electron itself. The unit was connected via cabling to the expansion edge connector and included its own power supply, and other drives including switchable 40/80 track drives offering up to 400 KB capacity were dealer-supplied options. Although the product was meant to be on sale at the Acorn User Show in August 1984, and had been advertised, it was "discontinued" in early 1985 before getting to market, with a Pace representative indicating that prohibitive pricing of the 8271 chips (each at "over £80 at times") had left the company considering a re-launch of the product should the pricing situation become more favourable.
Following on from Acorn's Plus 3 interface, Cumana, Solidisk, Advanced Computer Products and Slogger all offered disc interfaces for the Electron. Unlike disc systems on the BBC Micro and the Acorn Plus 3, many of the systems released for the Electron did not claim RAM workspace (and raise the PAGE variable affecting applications above the default of &E00), making it easier to use cassette-based software transferred to disc and to run larger programs from disc.
Low-cost alternatives to disc systems, briefly made fashionable by press coverage of the Sinclair Microdrive, were reportedly under development by expansion suppliers such as Solidisk, and finished products such as the Phloopy looped tape system were offered for the Electron. Reliability issues were described with the Phloopy, and the product was apparently short-lived.
Acorn Plus 3
Launched in late 1984 for a price of £229, the Acorn Plus 3 was a hardware module that connected independently of the Plus 1 and provided a "self contained disc interface and 3.5 inch single sided disc drive" offering over 300 KB of storage per disc using the newly introduced Advanced Disc Filing System (ADFS). The Plus 3 was also reportedly produced with a double-sided drive fitted.
An expansion connector for a second 3.5- or 5.25-inch drive was also provided by the unit, with such drives needing to provide a Shugart-compatible connector and their own power supply. The original Electron edge connector was repeated on the back of the Plus 3, allowing the Plus 1 or other compatible expansion to be connected in conjunction with the Plus 3.
The double-density drive of the Plus 3 was driven using a WD1770 drive controller by the ADFS. (The Plus 3 had been rumoured to offer Acorn's DFS and to feature a 8272 double-density disk controller before its launch.) Because the WD1770 is capable of single-density mode and uses the same IBM360-derived floppy disc format as the Intel 8271 found in the BBC Micro, it was also possible to use the Disc Filing System with an alternate ROM, such as the ACP 1770 DFS.
The Plus 3 reset PAGE to &1D00, reducing the amount of free RAM available to the user. The ADFS system could be temporarily disabled (and PAGE reset to &E00) via the command. Later products such as the PRES E00 ADFS remedied the memory demands of the ADFS, along with other issues suffered by the software as delivered with the Plus 3. If using the Plus 3 in screen modes 0–3, the pseudo-variable would be thrown off, as the interrupts were disabled during disk access in these modes. The screen would also blank during disc accesses.
Disks had to be manually mounted and dismounted using the / commands, or using the ++ key combination. Disks could also be booted from via the standard + key-combination, if the !BOOT file was present on the disk. This behaviour was the same as on the BBC Micro.
The Plus 3 included an uprated square black power supply unit with mains cord, manufactured by STC, designed and manufactured in England to and , that was designed to power the Plus 3, in addition to the Electron and the Plus 1 interface as well. This replaced the original cream-coloured "wall wart" style power supply, designed to and manufactured in Hong Kong.
Original Part no: 0201,113; input 220/240 V AC/50 Hz; output 19 V AC/0.737 A/14 W: Usage: Electron, Electron+Plus1
Uprated Part no: 0865,010; input 240 V AC/50 Hz 50 W; output 21 V AC/1.75 A/36.75 W: Usage: Electron+Plus3, Electron+Plus3+Plus1
Repair note: If the internal power-supply connector, used to power the existing internal 3.5-inch drive is damaged, and requires replacement, then the original AMP 800-930 4-pin connector, which was already in short supply during the original production run, may be replaced with a Molex 5264 50-37-5043 "Mini-SPOX" connector as an alternative.
Advanced Plus 3
Designed and produced by Baildon Electronics and sold by PRES, the Advanced Plus 3 (AP3) was a Plus 1 cartridge interface using the WD1770 controller, supplied with Acorn's ADFS and a single-sided 3½-inch disc drive for £99 plus VAT, offering equivalent functionality to the Acorn Plus 3. Announced in late 1987, the product was made possible by an agreement between ACP and Acorn to license the ADFS software. As with many disc interfaces for the Electron, since the interface provided a connector for the drive, this made it possible to connect a 5¼" floppy disc drive (more common amongst BBC Micro owners) or the more typical 3½-inch drive.
PRES later released a version of ADFS with support for PAGE at &E00, this being achieved by using RAM provided by the Advanced Battery Backed RAM (ABR) cartridge. This version also fixed two notable bugs in Acorn's ADFS, eliminating unreliability when accessing the first tracks on a disc which had previously necessitated the writing of a file (ZYSYSHELP) as a workaround, and switching off the text cursor during disc compaction which had previously caused disc corruption (since the disc data would be processed using screen memory during this operation, and the cursor would modify that data when blinking). The ROM image was supplied on disc for £17.19, whereas a bundle of the ROM and ABR cartridge was £50.95.
In 1989, the Advanced Plus 3 Mark 2 was launched, offering a double-sided drive in place of the single-sided drive previously offered. This meant that the storage capacity of each disc was increased from the 320 KB of the original Plus 3 to 640 KB (this being supported by ADFS on the Master Compact).
Cumana Floppy Disc System
Early in 1985, Cumana released a cartridge-based interface providing support for double-density storage, a real-time clock and calendar for timestamping of files, and a spare ROM socket for user-fitted sideways ROMs. The filing system used was Cumana's own QFS, supporting 89 files per disc, PAGE at &E00, a non-hierarchical catalogue, ten-character filenames, with a format not directly compatible with either of Acorn's DFS or ADFS. The interface itself cost £149.95 when originally announced, but settled at around £115.95 including VAT, also being offered in a promotional bundle with a 5¼-inch drive for £224.15 including VAT. Later pricing put the interface at £74.95 including VAT.
Solidisk EFS
In mid-1985, Solidisk released a cartridge-based interface with support for single and double density storage and providing Acorn DFS and ADFS compatibility, 16 KB of on-board sideways RAM, and a connector for a Winchester hard drive. The cartridge itself cost £59, with a bundle including a double-sided, double-density, 3½-inch drive costing £200. A 20 MB hard drive was offered at a price of £805.
Advanced Plus 4
Announced in early 1986, the Advanced Plus 4 (AP4) from Advanced Computer Products was a cartridge-based interface employing the WD1770 controller and featuring ACP's 1770 DFS product, providing compatibility with Acorn's DFS from the BBC Micro and thereby supporting seven-character filenames and up to 31 files per disc. However, 8 KB of on-board static RAM was used as workspace for the filing system, keeping PAGE at &E00. An extra ROM socket was provided for a user-fitted sideways ROM, and being a 1770-based interface, it was reported that Acorn's ADFS could be used instead, although since it was not aware of the additional RAM, PAGE would be raised to &1D00 as it would be when using Acorn's Plus 3. The interface was priced at £69.55 plus VAT.
Slogger Electron Disc System and Pegasus 400
Slogger, an established producer of expansions and a reseller of other disc systems, introduced the Electron Disc System in early 1987, priced at £74.95, featuring the Cumana Floppy Disc System interface, which was combined with an Acorn-compatible DFS, SEDFS, having the capability of reading 40-track discs on 80-track drives plus support for Slogger's tape-to-disc conversion products, and reported as offering "virtual 100 per cent 8271 emulation" for compatibility with traditional DFS software. The SEDFS ROM was also available separately for existing Cumana interface owners, priced at £24.95.
The SEDFS was later bundled with Slogger's own cartridge-based interface and a 40/80-track switchable drive offering up to 400 KB storage per disc, with the bundle taking the Pegasus 400 name, introduced as part of a sales tour towards the end of 1987. This package of interface and drive cost £130. The precise DFS variant used by the Pegasus 400 system kept PAGE at &E00 and introduced "typeahead" support, permitting keystroke buffering during disc activity on systems with the Turbo-Driver or Master RAM Board fitted and enabled.
Slogger/Elektuur Turbo boards
Announced in early 1986, the Slogger Turbo-Driver was a professionally fitted upgrade priced at £42. The board itself plugged into the CPU and BASIC ROM sockets on the main circuit board of the Electron, which merely involved removing socketed components on very early Electron models, but required desoldering work and therefore benefited from a fitting service for later units. The performance benefit of fitting the board was to make some programs, particularly those running in the high bandwidth modes (0 to 3), run up to three times faster.
The direct origins of the Slogger product appear to be a board designed by Andyk Limited, announced as the Fast Electron Board in late 1985 with a price of £29.99, whereas the Elektuur modification was described in an article in Dutch Electronics magazine Elektuur and intended for users to perform at home.
The Slogger and Elektuur Turbo boards were born out of a hack initially devised at Acorn. By shadowing the lowest 8 KB of RAM with a static RAM chip outside of reach of the ULA, the CPU could always access it at 2 MHz. The tradeoff was that the screen could not be located in that 8 KB. In practice the operating system ROMs always put the screen into the top 20 KB and as a result this probably only broke compatibility with around 2% of software. Speeding up the low portion of memory is particularly useful on 6502 derived machines because that processor has a faster addressing for the first 256 bytes and so it is common for software to put any variables involved in time-critical sections of program into that region.
The cost of the 64 Kbit SRAM chip would have been more than that of doubling the four 64 Kbit DRAM chips to give 8-bit RAM access, fixing both the modest memory and poor performance issues of the Electron.
Slogger Master RAM Board
Introduced at around the start of 1987 and priced at £64.95 fitted or £54.95 as a kit, the Master RAM Board offered the familiar turbo mode from the Slogger Turbo-Driver alongside a shadow mode providing 32 KB of static shadow RAM in addition to the existing 32 KB, thus giving 64 KB in total. So-called "legally written software", this being software using the operating system calls and not writing directly to the screen, could function without significant modification, making substantially more memory available for BASIC, View, Viewsheet, language ROMs and many other applications. By providing extra storage this modification also allowed some games and applications intended for the BBC Micro to function on the Electron despite the lack of a native Mode 7.
Applications could not directly address video memory in shadow mode without modification, so it was incompatible with most games, although there is no inherent reason why a game could not be written to function in shadow mode. A switch mounted through the case switched between normal, turbo and shadow modes.
Towards the end of the Electron's commercial lifetime, the Turbo-Driver and Master RAM Boards were offered already fitted to new Electrons in an attempt to increase sales. For a time, Jafa Systems manufactured their own equivalent of the Master RAM Board in order to support their own product range.
Mode 7 display expansions
One of the features of the BBC Micro that was absent in the Electron was the Teletext-style Mode 7 display. The omission of this display mode was remarkable because it had a very low memory requirement (just 1000 bytes) and many BBC programs used it to maximise available memory for program code and data while also providing a colourful 40-column textual display with simple low-resolution graphical decorations.
Such display capabilities, desirable in their own right on low-memory computers, were also desirable for delivering content through low-bandwidth communications channels such as that from Teletext and Viewdata services. However, access to such services can be considered to be a separate capability, and the BBC Micro needed to be upgraded to complement its display capability with the Teletext or Prestel adapters to receive such over-the-air or online content.
Jafa Systems provided a number of solutions to remedy the absence of a Teletext display capability. Morley Electronics instead chose to offer an expansion combining the display and reception capabilities.
Sir Computers
In late 1984, Sir Computers announced a Mode 7 adapter unit that plugged into the Electron's expansion connector. Unfortunately, Sir Computers ceased trading before the product was brought to market.
Jafa Systems
Released in 1987 at a price of £89, the Mode 7 Mark 1 Display Unit was a separate unit "about the size, shape and colour of the Plus One or a Slogger ROMbox" that connected to the Electron's expansion connector and featured a Motorola 6845 display controller and Mullard SAA5050 character generator to replicate the main elements of the BBC Micro's Teletext display solution. This only used 1 KB of memory for the display, with the expansion listening to display memory write accesses and buffering the data in its own memory. A ROM was included to extend the operating system to allow activation of Mode 7 as a genuine screen mode and to provide extra commands and to support keyboard shortcuts used on the BBC Micro to emit Teletext control sequences. To support the output of both the Mode 7 display and the existing video output, a lead connected the Electron's RGB output to the expansion, with the expansion providing only RF (television) output.
Conscious of the relatively high price of the Mark 1 unit, John Wike of Jafa devised and, at the end of 1988, introduced a software-based Mode 7 Simulator, priced at £25, supplied on a ROM cartridge that rendered the Mode 7 display in a low-resolution, 8-colour graphics mode. Although cheap and effective in enabling use of some software that only used official operating system routines for text output, this solution proved very slow because the Electron had to be placed into the high-bandwidth Mode 2 display to be able to show eight colours at once. In doing so, the CPU spent a lot of time drawing representations of Mode 7 characters and graphics that in a hardware solution would be achieved without any demand on the CPU. It also used up 20 KB of RAM for the graphics display rather than the 1000 bytes of a hardware Mode 7.
A conceptually similar predecessor to the software-based simulator was published by Electron User in early 1987, offering a monochrome Mode 4 simulation of the Teletext display, using the lower 25 character lines of the screen to show the Teletext output, reserving several lines at the top of the screen for a representation of Mode 7 used to prepare the eventual visual output. However, the program did not support direct access to Mode 7 memory locations. The author noted that a Mode 2 version would have been possible but would have required a redesigned character set and "too much memory".
A further refinement of the hardware solution was introduced in 1989 with the Mode 7 Mark 2 Display Unit, which retained the SAA5050 character generator but omitted the 6845 display controller, and was fitted internally in the Electron itself instead of being housed in an external unit, although some kind of ROM expansion unit was needed to hold the driver/utilities ROM. It used software to ensure that the SAA5050 was fed with the correct character data. A software ROM would put the machine into a two-colour, 40-column graphics mode (thus providing one byte per character), and as the ULA read display data from memory in the usual fashion, the SAA5050 would listen to the data it was reading and produce a Mode 7 interpretation of the same information, this being achieved by fitting a board on top of the ULA connecting to its pins. When necessary the hardware would switch between the conventional Electron graphics output and the Mode 7 output being produced by the add-on, feeding it to the Electron's built-in video output sockets via the red, green and blue lines on the motherboard.
The disadvantage to this system is that while the SAA5050 would expect to be repeatedly fed the same 40 bytes of data for every display scanline of each character row, the ULA would read a different set of 40 bytes for every display scanline in order to produce a full graphics display. A software ROM worked around this by duplicating the data intended for a Mode 7 display in memory. Although this produced a Mode 7 that had less of an impact upon CPU performance than a software solution, gave the same visual quality as the BBC Micro, and supported direct access to Mode 7 screen addresses as well as accesses via operating system routines, it still used 10 KB of memory for the display and reduced the amount of readily-usable application memory (as indicated by HIMEM) by another 6 KB.
However, with users increasingly able to rely on expansions such as the Slogger Master RAM board to provide more memory, and with this combination of expansions acknowledged throughout the user manual, the emphasis of the Mode 7 Simulator and Mark 2 Display Unit was arguably to deliver the actual display capabilities for those applications that needed them, instead of using Mode 7 as a way of economising with regard to memory usage, and to do so at a reasonable price. In this latter regard, the Mark 2 model was available as a kit costing £25 or as an assembled product (requiring some soldering) costing £49, with a fitting service available for £10.
The Jafa interfaces did not provide a Teletext or Viewdata reception capability, but the Mark 2 was explicitly stated to work in conjunction with the Morley Electronics Teletext Adapter. Meanwhile, the manual for the Mark 2 noted that the product would provide the functionality of a Viewdata terminal if combined with Jafa's RS423 cartridge.
Morley Electronics
Morley Electronics produced a Teletext Adaptor expansion for the BBC Micro and the Electron. Since the BBC Micro has the Mode 7 display capability, the model aimed at the BBC Micro merely provided the content reception capability needed to receive and decode Teletext signals, connecting to the user port and power supply. However, the Electron models provided both display and reception capabilities, doing so by routing either the RGB or UHF signals (depending on the model) through the unit in order to introduce the Mode 7 output produced by the unit, also connecting via a cartridge. The Teletext display capabilities in the Electron models exceeded those of the BBC Micro, with one reviewer noting that the enhanced capabilities permitted "black text on a coloured background, something I've always wanted to do on my Beeb". The UHF model of the Electron adapter also supported overlaying of Teletext onto video and framing of video.
Second Processor expansions
Acorn did demonstrate a prototype "Tube" interface for the Electron alongside the Plus 3 interface at the Compec exhibition in November 1984, although this was never brought to market directly by Acorn.
Advanced Plus 5
Despite Acorn's withdrawal from the Electron peripheral market, Baildon Electronics developed the Advanced Plus 5 (AP5) expansion, featuring Tube, 1 MHz bus and user port interfaces, which plugged into a Plus 1 cartridge socket. This provided a sufficient level of compatibility that both the 6502 and Z80 second processor products from Acorn were shown to work, providing a Tube implementation that was "as faithful as you can get", with it also being noted that the Electron being available for as little as £50 at that point in its commercial lifespan was a "very cheap way of getting a CP/M machine". Some differences in the memory map of the Electron meant that BBC Micro software would need modifications to work on the Electron with AP5. The price of the unit in late 1986 was £66.70.
The additional facilities of the AP5 alongside the Tube interface permitted various expansions for the BBC Micro to be made available for the Electron. These included the Hybrid Music 5000 and the AMX Mouse.
PMS Electron Second Processor
In 1986, Permanent Memory Systems (PMS) announced a second processor product for the Electron, the PMS-E2P, as a self-contained cartridge for use with the Plus 1 containing a second 2 MHz 6502A processor plus 64 KB of RAM, priced at £89. This was based on a product originally developed by John Wike of Jafa Systems. Available as a kit or in assembled form, it could even be adapted to connect directly to the Electron's expansion connector, thus avoiding the need to even have a Plus 1 expansion, although this would require the user to find other solutions for attaching peripherals. The implementation of the interface between the Electron and second processor was said to adhere closely to Acorn's recommendations, noting that any hardware or software compatibility issues were likely to be the fault of other vendors not similarly adhering to Acorn's guidelines. PMS supplied Acorn's Hi-BASIC with the E2P, permitting the use of as much as 44 KB of the second processor's RAM with BASIC programs. The company also made a version of Computer Concepts' Wordwise Plus available for the E2P, priced at £39.95.
Sound system expansions
Despite the Electron having only limited sound generation capabilities, few expansions were offered to overcome the machine's limitations.
Millsgrade Voxbox
Advertised in late 1985, the Voxbox by Millsgrade Limited was an expansion connecting to the Electron's expansion connector that provided allophone-based speech synthesis, with driver software provided on cassette. The supplied software supported the definition of spoken words built up from the allophones these allophones or sounds being stored in the expansion's own ROM and for catalogues of words to be created and saved. A program was supplied that extended BASIC to allow the use of the synthesiser in user programs. The expansion used the General Instrument SP0256A-AL2 speech synthesis chip.
Sound Expansion cartridge
Originally announced in 1987 by Project Expansions to be priced at around £40, the Sound Expansion cartridge could be fitted in a Plus 1 (or compatible) slot and provide sound output equivalent to that of the BBC Micro, with Superior Software's Speech bundled as a "limited offer". A product of the same name and with similar functionality was subsequently sold by Complex Software for around £55, employing its own adjustable speaker in the cartridge unit. Superior Software had announced a version of Speech for the unexpanded Acorn Electron in 1986, but this was never released.
Hybrid Music 5000
Hybrid Technology's Music 5000 was adapted and released by PRES for use with the 1 MHz bus of the Advanced Plus 5 expansion, with the Music 5000 itself priced at £113.85. The only functional differences between the Electron adaptation and the original BBC Micro unit involved the use of Mode 6 for the display and the reduced performance of the Electron imposing some limitations on processing in programs written for the system, although this was not thought to prevent most programs for the system from working on the Electron version.
Merlin M2105
An unusual variant of the Electron was sold by British Telecom Business Systems as the BT Merlin M2105 Communications Terminal, being previewed by British Telecom at the Communications '84 show. This consisted of a rebadged Electron plus a large expansion unit containing 32 KB of battery-backed RAM (making up 64 KB of RAM in total), up to 64 KB of ROM resident in four sockets (making up to 96 KB of ROM in total), a Centronics printer port, an RS423 serial port, a modem, and the speech generator previously offered for the BBC Micro. The ROM firmware provided dial-up communications facilities, text editing and text messaging functions. The complete product included a monitor and dot-matrix printer.
Initially trialled in a six-month pilot at 50 florists, with the intention of rolling out to all 2,500 members of the UK network, these were used by the Interflora florists network in the UK for over a decade. Used mostly for sending messages, despite providing support for other applications, limited availability of the product led Interflora to look for alternatives after five years, although users appeared to be happy with the product as it was.
This generic product combination of the Electron and accompanying expansion was apparently known as the Chain during development, itself having a different board layout, with British Telecom having intended the M2105 to be a product supporting access to an online service known as Healthnet. This service aimed to improve and speed up communications within hospitals so that patients could be treated and discharged more quickly, and to facilitate transfers of information to doctors and health workers outside hospitals, with communications taking place over conventional telephone lines. The service was to be introduced in the Hammersmith and Fulham district health authority, with installation starting at Charing Cross Hospital. The Electron was said to be particularly suitable for deployment in this application in that it had a "large expansion bus", ostensibly making the machine amenable to the necessary adaptations required for the role, together with its "price, and the fact it has a real keyboard". As a Healthnet terminal, the M2105 was intended to support the exchange of forms, letters and memos.
The adoption of an Acorn product in this role was perhaps also unusual in that much of BT's Merlin range of this era had been supplied by ICL, notably the M2226 small business computer and M3300 "communicating word processor". Nevertheless, the M2105 offered interoperability with other BT products such as the QWERTYphone which was able to receive messages from the M2105 and the Merlin Tonto.
The hardware specifications of the M2105, observed from manufactured units, include the 6502 CPU (SY6502 or R6502), ULA and 32 KB of dynamic RAM fitted in the Electron main unit, plus 32 KB of static RAM, two 6522 VIA devices for interfacing, AM2910PC modem, SCN2681A UART, and TMS5220 plus TMS6100 for speech synthesis. The speech synthesis was used for the "voice response" function which answered incoming voice calls by playing a synthesised message to the caller. The components chosen and the capabilities provided (excluding speech synthesis) are broadly similar to those featured by the Acorn Communicator which was another product of Acorn's custom systems division.
The product documentation indicates a specification with 48 KB of RAM plus 16 KB of "non volatile CMOS RAM" and 96 KB of ROM, although this particular composition of RAM is apparently contradicted by the RAM devices present on surviving M2105 machines. However, the earlier Chain variant of the board does appear to provide only 16 KB of static RAM using two HM6264LP-15 chips, also providing an extra 16 KB of dynamic RAM using eight MK4516-15 chips, suggesting that the product evolved during development.
Technical information
Much of the core functionality of the BBC Micro the video and memory controller, cassette input/output, timers and sound generation was replicated using a single customised ULA chip designed by Acorn in conjunction with Ferranti, albeit with only one sound channel instead of three (and one noise channel), and without the character-based Teletext Mode 7.
The edge connector on the rear of the Electron exposes all address and data bus lines from the CPU, including the upper eight bits of the address bus, in contrast to the limited selection available via the BBC Micro's expansion ports, with the One Megahertz Bus as the principal mechanism for general purpose expansion on the BBC Micro only providing the lower eight bits of the address bus. In addition, various control signals provided by the CPU and ULA are exposed via the Electron's expansion connector.
For Issue 1–4 motherboards, the ULA had an issue similar to those experienced by other socketed CPUs. Over time, the thermal heating and cooling could cause the ULA to rise slightly out of its socket just enough to cause the machine to start exhibiting 'hanging' or other startup-failure issues, such as a continuous 'startup beep'. This was despite a metal cover, and locking-bar mechanism designed to prevent this from occurring. Pushing down on the metal cover to reseat the ULA was normally sufficient to rectify these issues. Issue 5 and 6 boards utilized a different ULA type, this being known as the Aberdeen ULA (as opposed to the earlier Ferranti ULA) which was mounted on a board that was directly soldered to the main board, with the chip being covered by epoxy resin "insulating material". This arrangement dispensed with the 68-pin socket, and this new type of ULA was expected to be "less prone to failure". This type of ULA was also used on the German release of the Electron mainboard which is designated by the marking "GERMAN ELECTRON Issue 1" on the mainboard rather than just "ELECTRON" as for the UK model.
The keyboard includes a form of quick keyword input, similar to that used on the Sinclair ZX Spectrum, through use of the key in combination with other keys labelled with BASIC keywords. However, unlike the Spectrum, this method of rapid keyword entry is optional, and keywords can be entered manually if preferred.
The ULA mediates access to 32 KB of addressable RAM using 4 64-kilobit RAM chips (4164), sharing the RAM between the CPU and the video signal generation (or screen refresh) performed by the ULA itself. Two accesses have to be made to the RAM to get each byte (albeit with a single RAS), delivering a maximum transfer rate to or from RAM of one byte per 2 MHz cycle. In generating the video signal, the ULA is able to take advantage of this 2 MHz bandwidth when producing the picture for the high-bandwidth screen modes. Due to signalling constraints, the CPU can only access RAM at 1 MHz, even when it is not competing with the video system.
When the ULA is consuming all of the RAM bandwidth during the active portion of a display line, the CPU is unable to access the RAM. (The Electron uses the Synertek variant of the 6502 processor as that allowed the clock to be stopped for this 40 microsecond period.) In other modes the CPU and video accesses are interleaved with each accessor acquiring bytes at 1 MHz.
In contrast, the BBC Micro employs one or two sets of eight 16-kilobit devices, with the RAM running at twice the speed (4 MHz) of the CPU (2 MHz), allowing the video system (screen refresh) and CPU memory accesses to be interleaved, with each accessor able to transfer bytes at 2 MHz. The RAM access limitations imposed by the Electron's ULA therefore reduce the effective CPU speed by as much as a factor of four relative to the BBC Micro in the more demanding display modes, and as much as a factor of two otherwise. Byte transfers from ROM occur at 2 MHz, however.
Hardware
The hardware specification according to official documentation, combined with more technical documentation and analysis is as follows:
CPU: Synertek SY6502A
Clock rate: variable. CPU runs at 2 MHz when accessing ROM and 1 MHz when accessing RAM. The CPU is also periodically halted.
Glue logic: Ferranti Semiconductor Custom ULA
RAM: 32 KB
ROM: 32 KB
Graphics modes: 160×256 pixels (20×32 characters) in 4 or 16 colours, 320×256 (40×32 characters) in 2 or 4 colours, 640×256 (80x32 characters) in 2 colours
Text modes: 40x25 characters in 2 colours, 80x25 characters in 2 colours
Colours: 8 colours (TTL combinations of RGB primaries) + 8 flashing versions of the same colours
Sound: 1 channel of sound, 7 octaves; built-in speaker. Software emulation of noise channel supported
Keyboard: 56 key "full travel QWERTY keyboard"
Dimensions: 16×34×6.5 cm
I/O ports: Expansion port, tape recorder connector (1200 baud CUTS variation on the Kansas City standard for data encoding, via a 7-pin circular DIN connector), aerial TV connector (RF modulator), composite video and RGB monitor output
Power supply: External PSU, 19V AC
The composite video output provides a greyscale image on the standard machine, but an internal modification allows a colour image to be produced, albeit with a degradation in picture quality. Acorn ostensibly intended the composite output to be a high-quality output for monochrome monitors, with the RGB output being the preferred high-quality output for colour images.
Quirks
Like the BBC Micro, the Electron was constrained by limited memory resources. Of the 32 KB RAM, 3½ KB was allocated to the OS at startup and at least 10 KB was taken up by the display buffer in contiguous display modes.
Although programs running on the BBC Micro could use the machine's 6522 chip to trigger interrupts at certain points in the update of each display frame, using these events to change the palette and potentially switching all colours to black, thus blanking regions of the screen and hiding non-graphical data that had been stored in screen memory, the Electron lacked such hardware capabilities as standard. However, it was possible to take advantage of the characteristics of interrupts that were provided, permitting palette changes after the top 100 lines of each display frame, thus facilitating the blanking of either the top 100 or bottom 156 lines of the display. Many games took advantage of this, gaining storage by leaving non-graphical data in the disabled area.
Other games would simply load non-graphical data into the display and leave it visible as regions of apparently randomly coloured pixels. One notable example is Superior Software's Citadel.
Although page flipping was a hardware possibility, the limited memory forced most applications to do all their drawing directly to the visible screen, often resulting in graphical flicker or visible redraw. A notable exception is Players' Joe Blade series.
Tricks
Firetrack: smooth vertical scrolling
Although programs can alter the position of the screen in memory, the non-linear format of the display means that vertical scrolling can only be done in blocks of 8 pixels without further work.
Firetrack, released on a compilation by Superior Software, exploits a division in the way the Electron handles its display of the seven available graphics modes, two are configured so that the final two of every ten scanlines are blank and are not based on the contents of RAM. If 16 scanlines of continuous graphical data are written to a character-block-aligned portion of the screen then they will appear as a continuous block in most modes but in the two non-continuous modes they will be displayed as two blocks of eight scanlines, separated in the middle by two blank scanlines.
In order to keep track of its position within the display, the Electron maintains an internal display address counter. The same counter is used in both the continuous and non-continuous graphics modes and switching modes mid-frame does not cause any adjustment to the counter.
Firetrack switches from a non-continuous to a continuous graphics mode part way down the display. By using the palette to mask the top area of the display and taking care about when it changes mode it can shift the continuous graphics at the bottom of the display down in two pixel increments because the internal display counter is not incremented on blank scanlines during non-continuous graphics modes.
Exile: sampled speech
Exile turns the Electron's one channel output into a digital speaker for PCM output.
The speaker can be programmatically switched on or off at any time but is permanently attached to a hardware counter so is normally only able to output a square wave. But if set to a frequency outside the human audible range then the ear can't perceive the square wave, only the difference between the speaker being switched on and off. This gives the effect of a simple toggle speaker similar to that seen in the 48 KB Sinclair ZX Spectrum. Exile uses this to output 1-bit audio samples.
Frak! and Zalaga: Polyphonic music
As part of their copy protection, illegal copies of Aardvark Software's Frak! and Zalaga would cause a pseudo-polyphonic rendition of Trumpet Hornpipe, the Captain Pugwash theme tune, to play endlessly rather than loading the game properly (Pugwash being a pirate). On the Electron version of Frak!, the tune was the main theme from "Benny Hill" (Boots Randolph's "Yakety Sax"). The polyphony was achieved via fast note-switching to achieve the necessary chords.
Software
A range of titles were made available on cassette at the launch of the Electron through the Acornsoft publishing arm of Acorn, including a number of games, the Forth and Lisp languages, and a handful of other educational and productivity titles. Acorn's decision to provide the Electron with a degree of compatibility with the BBC Micro meant that a number of titles already available for the older machine could be expected to run on its new machine, with only minor cosmetic issues occurring when running some titles. Of the Acornsoft languages, the existing Forth and Lisp language releases worked on the Electron (these being re-released specially for the machine), together with BCPL and Microtext (which remained BBC-only releases). Games such as Chess and Snooker, plus a number of other titles were also established as being compatible prior to launch. Various applications in Acornsoft's View suite, together with the languages Comal, Logo and ISO Pascal, were reported as being compatible with the Electron, as were some titles from BBC Soft and other developers.
Languages
A significant selling point for the Electron was its built-in BBC BASIC interpreter, providing a degree of familiarity from the BBC Micro along with a level of compatibility with the earlier machine. However, as had been the case with the BBC Micro, support for other languages was quickly forthcoming, facilitated by the common heritage of the two systems.
In addition to the early releases, Forth and Lisp, Acornsoft released the Pascal subset, S-Pascal, on cassette and followed up with an ISO Pascal implementation on ROM cartridge, the latter providing two 16 KB ROMs containing a program editor and a Pascal compiler producing intermediate code that required Pascal run-time routines to be loaded. As a more minimal implementation, S-Pascal made use of the machine's built-in BASIC program editing facilities and provided a compiler generating assembly language that would then be assembled, generating machine code for direct execution. ISO Pascal had Oxford Pascal as a direct competitor offering a range of features differentiating it from Acornsoft's product, notably a compiler that could produce a stand-alone "relocatable 6502 machine-code file". Acornsoft later released the ISO Pascal Stand Alone Generator product for the BBC Micro and Master series, permitting the generation of executable programs embedding "sections of the interpreter" required by each program, with such executables being subject to various licensing restrictions.
Acornsoft Forth, aiming for compliance with the Forth-79 standard, was regarded as "an excellent implementation of the language". It saw competition from Skywave Software's Multi-Forth 83 which was delivered on a ROM chip, supported the Forth-83 standard, and provided a multitasking environment. Future availability of Multi-Forth 83 on ROM cartridge was advertised.
With the launch of the Plus 1, Acornsoft Lisp was also made available on cartridge. This Lisp implementation provided only the "bare essentials" of a Lisp system that "a small micro such as the Electron" could hope to be able to support. However, with the interpreter and initialised workspace being loaded from cassette into RAM in the earlier release, one stated advantage of the ROM version was the availability of more memory for use by programs, with the immediacy of a Lisp system provided as a language ROM being an implicit benefit.
Acornsoft provided two products offering different degrees of support for the Logo programming language. Turtle Graphics was a cassette-based product, available alongside Forth, Lisp and S-Pascal amongst the first titles released for the Electron, featuring a subset of Logo focused on the interactive aspects of the language. Acornsoft Logo was provided on ROM cartridge and offered a vocabulary of over 200 commands as part of a more comprehensive implementation of the language, exposing its list processing foundations. Turtle Graphics was substantially cheaper than Logo: by 1987, the former had been reportedly discounted to under £3 whereas the latter cost "less than £30". Unlike other Acornsoft language products, however, Logo was supplied with "two thick manuals".
Applications
Acornsoft made a number of applications available for the Electron. In early 1985, the View word processor and ViewSheet spreadsheet applications, familiar from the BBC Micro, were released on ROM cartridge for use with the Electron expanded with a Plus 1, priced at £49.50 each. By running directly from ROM, these applications were able to dedicate all of the machine's available RAM to their documents, and using general filing system mechanisms, documents could be loaded from and saved to cassette or disc, although disc users could also use commands that took advantage of that faster, random-access medium. Cassette-based operation was still regarded as "perfectly feasible" since the software itself did not need to be loaded, with loading and saving operations in View achieving about 800 words per minute and in ViewSheet achieving around 200 cells per minute.
When using View in Mode 6, providing a 40-column, 25-line display occupying 8 KB of memory, around 20 KB of RAM was available to cassette-based systems or to disc-based systems using products such as the Cumana Floppy Disc System that also maintained PAGE at &E00, this corresponding to about 10 or 11 A4 pages of text. In Mode 3, providing an 80-column, 25-line display occupying 16 KB, around 6 or 7 A4 pages of text could be retained in memory. Acorn's Plus 3 disc system reduced this workspace by a further 4 KB. However, documents could be broken up into sections to be processed individually by View. Operation in the 80-column Mode 0 and Mode 3 was reported as being "sometimes slow" due to the Electron's hardware architecture, but View supported horizontal scrolling across documents, permitting the use of a 40-column mode to edit wider documents.
ViewSheet could also operate in different display modes, with spreadsheets of approximately 1600 cells being editable in Mode 6 and around 800 cells in Mode 3. A windowing system was provided that permitted ten different views of a spreadsheet to be displayed on screen at once, and recalculation operations were reported to be "around ten seconds for quite a large model". Reviewers considered the View and ViewSheet applications to be "professional" and to "compare well with similar software sold for much more expensive machines" such as the IBM PC, with WordStar being noted as a broadly similar package to View. Compatibility with the same programs on the BBC Micro made a complete Electron-based system an attractive, low-cost, entry-level word processing and spreadsheet system. However, View's printing support was criticised as inadequate without the use of a companion printer driver program.
Acornsoft did not release its ViewStore database program specifically for the Electron, but the software was reported as being compatible, albeit with function key combinations different to those documented for the BBC Micro. However, Acornsoft did release a product, Database, on 3.5-inch diskette for use with the Electron upgraded with the Plus 3 expansion. The product provided a suite of programs for the creation, maintenance and analysis of structured data files, visualising records using a card index user interface metaphor, and supporting sorting and searching operations on the stored data.
Slogger, an established provider of expansions, also produced productivity applications such as Starword, a word processor, and Starstore, a database. Starword provided separate command and editing modes familiar from Acornsoft's View, also supporting 132-column documents and horizontal scrolling for the editing of such wider documents. Along with other operations familiar from View, such as search and replace functions, block-based editing, and control over text justification, it had built-in support for customising documents for output using a mail merge function. Available on ROM for fitting to a ROM expansion such as Slogger's Rombox or inside a separately purchased ROM cartridge, and reportedly developed specifically for the Electron, Starword was considered "comprehensive and powerful".
Starstore, also available on ROM, provided a database management suite primarily aimed at users of cassette storage, with databases being entirely resident in RAM. It supported database definition, data editing, searching, sorting and printing activities. Various features complemented Starword, such as mail merge integration. Starstore II followed on as an alternative to, as opposed to a direct successor of, the earlier Starstore product by requiring a disc-based system and permitting databases to be as large as the amount of free space on any given disc. Its user interface was improved over the earlier product, offering pop-up menus and cursor-based navigation.
Computer Concepts' Wordwise Plus, developed from the company's earlier Wordwise product for the BBC Micro and launched in early 1985, was made available for use with the Electron expanded with the E2P-6502 second processor cartridge. The original Wordwise product was incompatible with the Electron due to its use of Mode 7 (the BBC Micro's 40-column Teletext display mode), and being supplied on a ROM chip, it could also not be readily added to the Electron without appropriate expansions. Available from Permanent Memory Systems, producers of the E2P-6502 cartridge, the Electron version of the software was the Hi-Wordwise Plus variant, supplied on disc instead of ROM, and designed to run on the second processor and to use the expanded memory provided in that environment. The program used the Electron's 40-column Mode 6 display.
Expansion manufacturers Advanced Computer Products and Slogger both made solutions available based on products from Advanced Memory Systems. ACP released a bundle of the AMX Mouse and AMX Art software for use with its Advanced Plus 5 expansion, also requiring a DFS-compatible disc system. Slogger produced a version of the desktop publishing package Stop Press for the Electron, requiring a DFS-compatible disc system, two spare ROM sockets, a mouse, and a suitable user port expansion, with Slogger producing its own user port expansion cartridge. Competing with these products but requiring only a disc system, AVP's Pixel Perfect offered a rudimentary desktop publishing solution, utilising the computer's high-resolution Mode 0 display.
Games
Of the twelve software titles announced by Acornsoft for the Electron at the machine's launch, six were games titles: Snapper, Monsters (a clone of Space Panic), Meteors (a clone of Asteroids), Starship Command, Chess, and the combined title Draughts and Reversi. When the Plus 1 expansion was launched in 1984, three of these titles - Hopper, Snapper and Starship Command - were among the six ROM cartridge titles available at launch, together with the adventure Countdown to Doom. Acornsoft would continue to release games including those based on existing arcade games such as Arcadians (based on Galaxian) and Hopper (based on Frogger), as well as original titles such as Free Fall and Elite.
Micro Power, already an established BBC Micro games publisher, also entered the Electron market at a relatively early stage, offering ten initial titles either converted from the BBC Micro, in the case of Escape from Moonbase Alpha and Killer Gorilla, or "completely re-written", in the case of Moonraider (due to differences in the screen handling between the machines). Superior Software, also a significant publisher for the BBC Micro, routinely released games for both machines, notably a licensed version of Atari's Tempest in 1985, but also successful original titles such as the Repton series of games, Citadel, Thrust and Galaforce. Superior's role in games publishing for the Acorn machines expanded in 1986 when the company acquired the right to use the Acornsoft brand, leading to the co-branding of games and compilations released by the company and the re-release of existing Acornsoft titles with this branding, Elite among them. The company would subsequently release another "masterpiece" with bundled novella - the 1988 game Exile - as well as numerous conversions and compilations.
By 1988, the "big three" full-price games publishers for the Acorn 8-bit market were identified as Superior Software, Audiogenic (ASL) and Tynesoft, with Top Ten and Alternative Software being the significant budget publishers, and other "strong contenders" being Godax, Mandarin and Bug Byte, this assessment made from the perspective of an established games author evaluating trustworthy publishers for aspiring authors. Commercial considerations motivated authors to make their games available for the Electron due to its importance in sales terms, representing "around half of the Acorn market", with it being regarded as "almost compulsory for any mainstream game" to have an Electron version "unless your game is a state-of-the-art masterpiece", with Revs, Cholo and Sentinel cited as such BBC Micro exclusives. Although the Electron imposed additional technical constraints on authors accustomed to the BBC Micro, some authors were able to use this to their creative advantage. For instance, of Frak! it was noted that the "Electron version is more popular, and considered better than the BBC version because it has a screen designer included".
Although not as well supported by the biggest software publishers as rivals like the Commodore 64 and Sinclair ZX Spectrum, a good range of games were available for the Electron including popular multi-format games such as Chuckie Egg. There were also many popular games officially converted to the Electron from arcade machines (including Crystal Castles, Tempest, Commando, Paperboy and Yie Ar Kung-Fu) and other home computer systems (including Impossible Mission, Jet Set Willy, The Way of the Exploding Fist, Tetris, The Last Ninja, Barbarian, Ballistix, Predator, Hostages and SimCity).
Despite Acorn themselves effectively shelving the Electron in 1985, games continued to be developed and released by professional software houses until the early 1990s. There were around 1,400 games released for the Acorn Electron, several thousand extra public domain titles were released on disc through Public Domain libraries. Notable enterprises which produced discs of such software are BBC PD, EUG (Electron User Group) and HeadFirst PD.
Emulation
Several emulators of the machine exist: ElectrEm for Windows/Linux/macOS, Elkulator for Windows/Linux/DOS, ElkJS is a browser-based (JavaScript/HTML5) emulator, and the multi-system emulators MESS and Clock Signal feature support for the Electron. Electron software is predominantly archived in the UEF file format.
There are also two known publicly documented FPGA based recreations of the Acorn Electron hardware: ElectronFPGA for the Papilio Duo hardware and the Acorn-Electron core for the FPGA Arcade "Replay" board. In addition, an implementation of the ULA for the Lattice ICE40 series has been made available.
Design team
The operating system ROM locations 0xFC00-0xFFFF contain the details of some members of the Electron's design team, these differing somewhat from those listed in the corresponding message in the BBC Model B ROM:
Additionally, the last bytes of both the BASIC ROM and the Plus 3 interface's ADFS v1.0 ROM include the word "Roger", thought to be a reference to Roger Wilson.
The case was designed by industrial designer Allen Boothroyd of Cambridge Product Design Ltd.
See also
Electron User, the most popular Acorn Electron focused magazine
References
Notes
External links
Stairway To Hell
Acorn Electron tape archive - playUEF@8bitkick
Acorn Electron World
Electron MODE 7 Photos
Electron
6502-based home computers
Home computers
Computer-related introductions in 1983
Computers designed in the United Kingdom
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A Fire Upon the Deep is a 1992 science fiction novel by American writer Vernor Vinge. It is a space opera involving superhuman intelligences, aliens, variable physics, space battles, love, betrayal, genocide, and a communication medium resembling Usenet. A Fire Upon the Deep won the Hugo Award in 1993, sharing it with Doomsday Book by Connie Willis.
Besides the normal print book editions, the novel was also included on a CD-ROM sold by ClariNet Communications along with the other nominees for the 1993 Hugo awards. The CD-ROM edition included numerous annotations by Vinge on his thoughts and intentions about different parts of the book, and was later released as a standalone e-book.
Setting
The novel is set in various locations in the Milky Way. The galaxy is divided into four concentric volumes called the "Zones of Thought"; it is not clear to the novel's characters whether this is a natural phenomenon or an artificially produced one, but it seems to roughly correspond with galactic-scale stellar density and a Beyond region is mentioned in the Sculptor Galaxy as well. The Zones reflect fundamental differences in basic physical laws, and one of the main consequences is their effect on intelligence, both biological and artificial. Artificial intelligence and automation is most directly affected, in that advanced hardware and software from the Beyond or the Transcend will work less and less well as a ship "descends" towards the Unthinking Depths. But even biological intelligence is affected to a lesser degree. The four zones are spoken of in terms of "low" to "high" as follows:
The Unthinking Depths are the innermost zone, surrounding the Galactic Center. In it, only minimal forms of intelligence, biological or otherwise, are possible. This means that any ship straying into the Depths will be stranded, effectively permanently. Even if the crew did not die immediately—and some forms of life native to "higher" Zones would likely do so—they would be rendered incapable of even human intelligence, leaving them unable to operate their ship in any meaningful way.
Surrounding the Depths is the Slow Zone. The Earth (called "Old Earth") is located in this Zone, and humanity is said to have originated there, although Earth plays no significant role in the story. Biological intelligence is possible in "the Slowness", but not true, sentient, artificial intelligence. Automation is not intelligent enough to calculate the jumps required for faster than light travel in the Slow Zone, but they may escape by performing an immediate reverse jump to where they arrived from if the Slowness is detected, and navigation systems watch for this and store the information required for a return to the start point during each jump. All ships which find themselves in the Slow Zone are restricted to sub-light speeds if an immediate reverse jump back out is impossible. Faster-than-light communication is impossible into or out of the Slow Zone. As the boundaries of the Zones are unknown and subject to change, accidental entry to the Slow Zone is a major interstellar navigational hazard at the "Bottom" of the Beyond. Starships which operate near the Beyond/Slow Zone border often have an auxiliary Bussard ramjet drive, so that, if they accidentally stray into the Slow Zone (thus disabling any FTL drive), they will at least have a backup (sub-light) drive to push them back "up" to the Beyond. Such ships also tend to include "coldsleep" equipment, as it is likely that any such return will still take many subjective lifetimes for most species.
The next outermost layer is the Beyond, within which artificial intelligence, faster-than-light travel, and faster-than-light communication are possible. A few human civilizations exist in the Beyond, all descended from a single ethnic Norwegian group which managed to travel from the Slow Zone to the Beyond (presumably at sub-light speeds) and thence spread using FTL travel. The original settlement of this group is known as Nyjora; other human settlements in the Beyond include Straumli Realm and Sjandra Kei. In the Beyond, FTL travel is accomplished by making many small "jumps" across intervening space, and the efficiency of the drive increases the farther a ship travels from the galactic core. This reflects increases in both drive efficiency and the ship's automation's increased capacity as one moves outward, enabling the computation of longer and longer jumps. The Beyond is not a homogeneous zone—many references are made to, e.g., the "High Beyond" or the "Bottom of the Beyond", depending on distance to the galactic core. These terms seem to refer to differences in the Zone itself, not just relative distance from the Core, but there are no obvious Zone boundaries within the Beyond the way there are between the Slow Zone and the Beyond, or between the Beyond and the Transcend. Whereas a ship that crosses from the Beyond to the Slow Zone or vice versa will experience a dramatic change in its capabilities, a ship in the Beyond which moves farther from the Core will experience a gradual increase in efficiency (assuming it has the technology to make use of it) until another major shift at the boundary to the Transcend. The Beyond is populated by a very large number of interstellar and intergalactic civilizations which are linked by a faster-than-light communication network, "the Net", sometimes cynically called the "Net of a Million Lies". The Net does connect with the Transcend, on the off-chance that one of the "Powers" that live there deigns to communicate, but has no connections with the Slow Zone, as FTL communication is impossible into or out of that Zone. In the novel, the Net is depicted as working much like the Usenet network in the early 1990s, with transcripts of messages containing header and footer information as one would find in such forums.
The outermost layer, containing the galactic halo, is the Transcend, within which incomprehensible, superintelligent beings dwell. When a "Beyonder" civilization reaches the point of technological singularity, it is said to "Transcend", becoming a "Power". Such Powers always seem to relocate to the Transcend, seemingly necessarily, where they become engaged in affairs which remain entirely mysterious to those that remain in the Beyond.
Ravna uses this analogy to explain the relation between the zones:
Plot
An expedition from Straumli Realm, an ambitious young human civilization in the high Beyond, investigates a five-billion-year-old data archive in the low Transcend that offers the possibility of unimaginable riches. The expedition's facility, High Lab, is gradually compromised by a dormant superintelligence within the archive later known as the Blight. However, shortly before the Blight's final "flowering", two self-aware entities created similarly to the Blight plot to aid the humans before the Blight can escape.
Recognizing the danger of what they have awakened, the researchers at High Lab attempt to flee in two ships, one carrying all the adults and the second carrying all the children in "coldsleep boxes". Suspicious, the Blight discovers that the first ship contains a data storage device in its cargo manifest; assuming it contains information that could harm it, the Blight destroys the ship. The second ship escapes. The Blight assumes that it is no threat, but later realizes that it is actually carrying away a "countermeasure" against it.
The ship lands on a distant planet with a medieval-level civilization of dog-like creatures, dubbed "Tines", who live in packs as group minds. Upon landing, however, the two surviving adults are ambushed and killed by Tine fanatics known as Flenserists, in whose realm they have landed. The Flenserists capture a young boy named Jefri Olsndot and his wounded sister, Johanna. While Jefri is taken deeper into Flenserist territory, Johanna is rescued by a Tine pilgrim who witnessed the ambush and delivers her to a neighboring kingdom ruled by a Tine named Woodcarver. The Flenserists tell Jefri that Johanna has been killed by Woodcarver and exploit him in order to develop advanced technology (such as cannon and radio communication), while Johanna and the knowledge stored in her "dataset" device help Woodcarver rapidly develop in turn.
A distress signal from the sleeper ship eventually reaches "Relay", a major node in the galactic communications network. A benign transcendent entity named "the Old One" contacts Relay, seeking information about the Blight and the humans who released it, and reconstitutes a human man named Pham Nuwen from an old wreck to act as its agent, using his doubt of his own memory's veracity to bend him to the Old One's will. Ravna Bergsndot, the only human Relay employee, traces the sleeper ship's signal to the Tines' world and persuades her employer to investigate what the human ship took from High Lab, contracting the merchant vessel Out of Band II, owned by two sentient plant "Skroderiders", Blueshell and Greenstalk, to transport them.
Before the mission is launched, the Blight attacks Relay and concurrently kills Old One. As Old One dies, it downloads what information it can into Pham to defeat the Blight, and Pham, Ravna and the Skroderiders barely escape Relay's destruction in the Out of Band II.
The Blight expands, taking over races and "rewriting" their people to become its agents, murdering several other Powers, and seizing other archives in the Beyond, looking for what was taken. It finally realizes where the danger truly lies and sends a hastily assembled fleet in pursuit of the Out of Band II.
The humans arrive at the Tines' homeworld and ally with Woodcarver to defeat the Flenserists. Pham initiates Countermeasure, which extends the Slow Zone by thousands of light years, enveloping the Blight at the cost of wrecking thousands of uninvolved civilizations and causing trillions of deaths. The humans are stranded on the Tines world, now in the depths of the "Slow Zone". Activating the countermeasure costs Pham his life, but just before Pham dies, he realizes that, although his body is a reconstruction, his memories are real. Vinge expands on Pham's background story in A Deepness in the Sky.
Intelligent species
Aprahanti
A race of humanoids with colorful butterfly-like wings who attempt to use the chaos wrought by the Blight to reestablish their waning hegemony. Despite their attractive, delicate appearance, the Aprahanti are an extremely fearsome and vicious species.
Blight
An ancient, malevolent super-intelligent entity which strives to constantly expand and can easily manipulate electronics and even organic beings.
Dirokimes
An older race which originally inhabited Sjandra Kei before the arrival of humanity.
Humans
All humans in the novel (except Pham) are descended from Nyjoran stock. Their ancestors were "Tuvo-Norsk" asteroid miners from Old Earth's solar system, which is noted as being on the other side of the galaxy in the Slow Zone. (Nyjora sounds similar to New Norwegian "New Earth".) One of the major human habitations is Sjandra Kei, three systems comprising roughly 28 billion individuals. Their main language is Samnorsk, the Norwegian term for a hypothetical unification of the Bokmål and Nynorsk forms of the language. (Vinge indicates in the book's dedication that several key ideas in it came to him while at a conference in Tromsø, Norway.)
Skroders/Riders/Skroderiders
A race of plantlike beings with fronds that are used for expression. The riders have no native capacity for short-term memory. Five billion years ago, someone gave the species wheeled mechanical constructs ("skrodes") to move around and to provide short-term memory. It is later revealed that their "benefactor" was the Blight, and it is able to corrupt and remotely operate the Riders via their skrodes.
Tines
A race of group minds: each person is a "pack" of 4–8 doglike members, which communicate within the pack using very short-range ultrasonic waves from drumlike organs called "tympana".
Each "soul" can survive and evolve by adding members to replace those who die, potentially for hundreds of years, as Woodcarver does.
Kalir
A race of butterfly-like insectoids, authoritarian and warlike, who constitute one of the "majority races" of the Vrinimi organization.
Related works
Vinge first used the concepts of "Zones of Thought" in a 1988 novella The Blabber, which occurs after Fire. Vinge's novel A Deepness in the Sky (1999) is a prequel to A Fire Upon the Deep set 20,000 years earlier and featuring Pham Nuwen. Vinge's The Children of the Sky, "a near-term sequel to A Fire Upon the Deep, set ten years later, was released in October 2011.
Vinge's former wife, Joan D. Vinge, has also written stories in the Zones of Thought universe, based on his notes. These include "The Outcasts of Heaven Belt", "Legacy", and (as of 2008) a planned novel featuring Pham Nuwen.
Title
Vinge's original title for the novel was "Among the Tines"; its final title was suggested by his editors.
Awards and nominations
A Fire Upon the Deep shared the 1993 Hugo Award for Best Novel with Doomsday Book. The book was nominated for the Nebula Award for Best Novel of 1992, the 1993 John W. Campbell Memorial Award for Best Science Fiction Novel, and the 1993 Locus Award for Best Science Fiction Novel.
Critical reactions
Jo Walton wrote: "Any one of the ideas in A Fire Upon the Deep would have kept an ordinary writer going for years. For me it's the book that does everything right, the example of what science fiction does when it works. ... A Fire Upon the Deep remains a favourite and a delight to re-read, absorbing even when I know exactly what’s coming."
References
External links
A Fire Upon the Deep at Worlds Without End
1992 American novels
Hugo Award for Best Novel-winning works
Transhumanist books
Usenet
Novels by Vernor Vinge
1992 science fiction novels
Tor Books books
Fiction about artificial intelligence
Malware in fiction
Nanotechnology in fiction
Fiction about consciousness transfer
Apocalyptic fiction
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Aeronautics is the science or art involved with the study, design, and manufacturing of air flight–capable machines, and the techniques of operating aircraft and rockets within the atmosphere. The British Royal Aeronautical Society identifies the aspects of "aeronautical Art, Science and Engineering" and "The profession of Aeronautics (which expression includes Astronautics)."
While the term originally referred solely to operating the aircraft, it has since been expanded to include technology, business, and other aspects related to aircraft.
The term "aviation" is sometimes used interchangeably with aeronautics, although "aeronautics" includes lighter-than-air craft such as airships, and includes ballistic vehicles while "aviation" technically does not.
A significant part of aeronautical science is a branch of dynamics called aerodynamics, which deals with the motion of air and the way that it interacts with objects in motion, such as an aircraft.
History
Early ideas
Attempts to fly without any real aeronautical understanding have been made from the earliest times, typically by constructing wings and jumping from a tower with crippling or lethal results.
Wiser investigators sought to gain some rational understanding through the study of bird flight. Medieval Islamic Golden Age scientists such as Abbas ibn Firnas also made such studies. The founders of modern aeronautics, Leonardo da Vinci in the Renaissance and Cayley in 1799, both began their investigations with studies of bird flight.
Man-carrying kites are believed to have been used extensively in ancient China. In 1282 the Italian explorer Marco Polo described the Chinese techniques then current. The Chinese also constructed small hot air balloons, or lanterns, and rotary-wing toys.
An early European to provide any scientific discussion of flight was Roger Bacon, who described principles of operation for the lighter-than-air balloon and the flapping-wing ornithopter, which he envisaged would be constructed in the future. The lifting medium for his balloon would be an "aether" whose composition he did not know.
In the late fifteenth century, Leonardo da Vinci followed up his study of birds with designs for some of the earliest flying machines, including the flapping-wing ornithopter and the rotating-wing helicopter. Although his designs were rational, they were not based on particularly good science. Many of his designs, such as a four-person screw-type helicopter, have severe flaws. He did at least understand that "An object offers as much resistance to the air as the air does to the object." (Newton would not publish the Third law of motion until 1687.) His analysis led to the realisation that manpower alone was not sufficient for sustained flight, and his later designs included a mechanical power source such as a spring. Da Vinci's work was lost after his death and did not reappear until it had been overtaken by the work of George Cayley.
Balloon flight
The modern era of lighter-than-air flight began early in the 17th century with Galileo's experiments in which he showed that air has weight. Around 1650 Cyrano de Bergerac wrote some fantasy novels in which he described the principle of ascent using a substance (dew) he supposed to be lighter than air, and descending by releasing a controlled amount of the substance. Francesco Lana de Terzi measured the pressure of air at sea level and in 1670 proposed the first scientifically credible lifting medium in the form of hollow metal spheres from which all the air had been pumped out. These would be lighter than the displaced air and able to lift an airship. His proposed methods of controlling height are still in use today; by carrying ballast which may be dropped overboard to gain height, and by venting the lifting containers to lose height. In practice de Terzi's spheres would have collapsed under air pressure, and further developments had to wait for more practicable lifting gases.
From the mid-18th century the Montgolfier brothers in France began experimenting with balloons. Their balloons were made of paper, and early experiments using steam as the lifting gas were short-lived due to its effect on the paper as it condensed. Mistaking smoke for a kind of steam, they began filling their balloons with hot smoky air which they called "electric smoke" and, despite not fully understanding the principles at work, made some successful launches and in 1783 were invited to give a demonstration to the French Académie des Sciences.
Meanwhile, the discovery of hydrogen led Joseph Black in to propose its use as a lifting gas, though practical demonstration awaited a gas tight balloon material. On hearing of the Montgolfier Brothers' invitation, the French Academy member Jacques Charles offered a similar demonstration of a hydrogen balloon. Charles and two craftsmen, the Robert brothers, developed a gas tight material of rubberised silk for the envelope. The hydrogen gas was to be generated by chemical reaction during the filling process.
The Montgolfier designs had several shortcomings, not least the need for dry weather and a tendency for sparks from the fire to set light to the paper balloon. The manned design had a gallery around the base of the balloon rather than the hanging basket of the first, unmanned design, which brought the paper closer to the fire. On their free flight, De Rozier and d'Arlandes took buckets of water and sponges to douse these fires as they arose. On the other hand, the manned design of Charles was essentially modern. As a result of these exploits, the hot air balloon became known as the Montgolfière type and the gas balloon the Charlière.
Charles and the Robert brothers' next balloon, La Caroline, was a Charlière that followed Jean Baptiste Meusnier's proposals for an elongated dirigible balloon, and was notable for having an outer envelope with the gas contained in a second, inner ballonet. On 19 September 1784, it completed the first flight of over 100 km, between Paris and Beuvry, despite the man-powered propulsive devices proving useless.
In an attempt the next year to provide both endurance and controllability, de Rozier developed a balloon having both hot air and hydrogen gas bags, a design which was soon named after him as the Rozière. The principle was to use the hydrogen section for constant lift and to navigate vertically by heating and allowing to cool the hot air section, in order to catch the most favourable wind at whatever altitude it was blowing. The balloon envelope was made of goldbeater's skin. The first flight ended in disaster and the approach has seldom been used since.
Cayley and the foundation of modern aeronautics
Sir George Cayley (1773–1857) is widely acknowledged as the founder of modern aeronautics. He was first called the "father of the aeroplane" in 1846 and Henson called him the "father of aerial navigation." He was the first true scientific aerial investigator to publish his work, which included for the first time the underlying principles and forces of flight.
In 1809 he began the publication of a landmark three-part treatise titled "On Aerial Navigation" (1809–1810). In it he wrote the first scientific statement of the problem, "The whole problem is confined within these limits, viz. to make a surface support a given weight by the application of power to the resistance of air." He identified the four vector forces that influence an aircraft: thrust, lift, drag and weight and distinguished stability and control in his designs.
He developed the modern conventional form of the fixed-wing aeroplane having a stabilising tail with both horizontal and vertical surfaces, flying gliders both unmanned and manned.
He introduced the use of the whirling arm test rig to investigate the aerodynamics of flight, using it to discover the benefits of the curved or cambered aerofoil over the flat wing he had used for his first glider. He also identified and described the importance of dihedral, diagonal bracing and drag reduction, and contributed to the understanding and design of ornithopters and parachutes.
Another significant invention was the tension-spoked wheel, which he devised in order to create a light, strong wheel for aircraft undercarriage.
The 19th century: Otto Lilienthal and the first human flights
During the 19th century Cayley's ideas were refined, proved and expanded on, culminating in the works of Otto Lilienthal.
Lilienthal was a German engineer and businessman who became known as the "flying man". He was the first person to make well-documented, repeated, successful flights with gliders, therefore making the idea of "heavier than air" a reality. Newspapers and magazines published photographs of Lilienthal gliding, favourably influencing public and scientific opinion about the possibility of flying machines becoming practical.
His work lead to him developing the concept of the modern wing. His flight attempts in Berlin in the year 1891 are seen as the beginning of human flight and the "Lilienthal Normalsegelapparat" is considered to be the first air plane in series production, making the Maschinenfabrik Otto Lilienthal in Berlin the first air plane production company in the world.
Otto Lilienthal is often referred to as either the "father of aviation" or "father of flight".
Other important investigators included Horatio Phillips.
Branches
Aeronautics may be divided into three main branches, Aviation, Aeronautical science and Aeronautical engineering.
Aviation
Aviation is the art or practice of aeronautics. Historically aviation meant only heavier-than-air flight, but nowadays it includes flying in balloons and airships.
Aeronautical engineering
Aeronautical engineering covers the design and construction of aircraft, including how they are powered, how they are used and how they are controlled for safe operation.
A major part of aeronautical engineering is aerodynamics, the science of passing through the air.
With the increasing activity in space flight, nowadays aeronautics and astronautics are often combined as aerospace engineering.
Aerodynamics
The science of aerodynamics deals with the motion of air and the way that it interacts with objects in motion, such as an aircraft.
The study of aerodynamics falls broadly into three areas:
Incompressible flow occurs where the air simply moves to avoid objects, typically at subsonic speeds below that of sound (Mach 1).
Compressible flow occurs where shock waves appear at points where the air becomes compressed, typically at speeds above Mach 1.
Transonic flow occurs in the intermediate speed range around Mach 1, where the airflow over an object may be locally subsonic at one point and locally supersonic at another.
Rocketry
A rocket or rocket vehicle is a missile, spacecraft, aircraft or other vehicle which obtains thrust from a rocket engine. In all rockets, the exhaust is formed entirely from propellants carried within the rocket before use. Rocket engines work by action and reaction. Rocket engines push rockets forwards simply by throwing their exhaust backwards extremely fast.
Rockets for military and recreational uses date back to at least 13th-century China. Significant scientific, interplanetary and industrial use did not occur until the 20th century, when rocketry was the enabling technology of the Space Age, including setting foot on the Moon.
Rockets are used for fireworks, weaponry, ejection seats, launch vehicles for artificial satellites, human spaceflight and exploration of other planets. While comparatively inefficient for low speed use, they are very lightweight and powerful, capable of generating large accelerations and of attaining extremely high speeds with reasonable efficiency.
Chemical rockets are the most common type of rocket and they typically create their exhaust by the combustion of rocket propellant. Chemical rockets store a large amount of energy in an easily released form, and can be very dangerous. However, careful design, testing, construction and use minimizes risks.
See also
References
Citations
Sources
External links
Aeronautics
Aviation Terminology
Jeppesen The AVIATION DICTIONARY for pilots and aviation technicians
DTIC ADA032206: Chinese-English Aviation and Space Dictionary
Courses
Research
+
Vehicle operation
Articles containing video clips
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The Acts of the Apostles (, Práxeis Apostólōn; ) is the fifth book of the New Testament; it tells of the founding of the Christian Church and the spread of its message to the Roman Empire.
Acts and the Gospel of Luke make up a two-part work, Luke–Acts, by the same anonymous author. Traditionally, the author is believed to be Luke the Evangelist, a doctor who travelled with Paul the Apostle. It is usually dated to around 80–90 AD, although some scholars suggest 110–120 AD. The first part, the Gospel of Luke, tells how God fulfilled his plan for the world's salvation through the life, death, and resurrection of Jesus of Nazareth. Acts continues the story of Christianity in the 1st century, beginning with the ascension of Jesus to Heaven. The early chapters, set in Jerusalem, describe the Day of Pentecost (the coming of the Holy Spirit,) the expulsion of Christians from Jerusalem and the establishment of the church at Antioch. The later chapters narrate the continuation of the message under Paul the Apostle and concludes with his imprisonment in Rome, where he awaits trial.
Luke–Acts is an attempt to answer a theological problem, namely how the Messiah of the Jews came to have an overwhelmingly non-Jewish church; the answer it provides is that the message of Christ was sent to the Gentiles because as a whole Jews rejected it. Luke–Acts can also be seen as a defense of the Jesus movement addressed to the Jews: the bulk of the speeches and sermons in Acts are addressed to Jewish audiences, with the Romans serving as external arbiters on disputes concerning Jewish customs and law. On the one hand, Luke portrays the followers of Jesus as a sect of the Jews, and therefore entitled to legal protection as a recognised religion; on the other, Luke seems unclear as to the future that God intends for Jews and Christians, celebrating the Jewishness of Jesus and his immediate followers, while also stressing how the Jews had rejected the Messiah.
Composition and setting
Title, unity of Luke – Acts, authorship and date
The name "Acts of the Apostles" was first used by Irenaeus in the late 2nd century. It is not known whether this was an existing name for the book or one invented by Irenaeus; it does seem clear that it was not given by the author, as the word práxeis (deeds, acts) only appears once in the text (Acts 19:18) and there it refers not to the apostles but to deeds confessed by their followers.
The Gospel of Luke and Acts make up a two-volume work which scholars call Luke–Acts. Together they account for 27.5% of the New Testament, the largest contribution attributed to a single author, providing the framework for both the Church's liturgical calendar and the historical outline into which later generations have fitted their idea of the story of Jesus and the early church. The author is not named in either volume. According to Church tradition dating from the 2nd century, the author was Luke, named as a companion of the apostle Paul in three of the letters attributed to Paul himself; this view is still sometimes advanced, but "a critical consensus emphasizes the countless contradictions between the account in Acts and the authentic Pauline letters." (An example can be seen by comparing Acts's accounts of Paul's conversion (Acts 9:1–31, 22:6–21, and 26:9–23) with Paul's own statement that he remained unknown to Christians in Judea after that event (Galatians 1:17–24).) The author "is an admirer of Paul, but does not share Paul's own view of himself as an apostle; his own theology is considerably different from Paul's on key points and does not represent Paul's own views accurately." He was educated, a man of means, probably urban, and someone who respected manual work, although not a worker himself; this is significant, because more high-brow writers of the time looked down on the artisans and small business people who made up the early church of Paul and were presumably Luke's audience.
The earliest possible date for Luke-Acts is around 62 AD, the time of Paul's imprisonment in Rome, but most scholars date the work to 80–90 AD on the grounds that it uses Mark as a source, looks back on the destruction of Jerusalem, and does not show any awareness of the letters of Paul (which began circulating late in the first century); if it does show awareness of the Pauline epistles, and also of the work of the Jewish historian Josephus, as some believe, then a date in the early 2nd century is possible.
Manuscripts
There are two major textual variants of Acts, the Western text-type and the Alexandrian. The oldest complete Alexandrian manuscripts date from the 4th century and the oldest Western ones from the 6th, with fragments and citations going back to the 3rd. Western texts of Acts are 6.2–8.4% longer than Alexandrian texts, the additions tending to enhance the Jewish rejection of the Messiah and the role of the Holy Spirit, in ways that are stylistically different from the rest of Acts. The majority of scholars prefer the Alexandrian (shorter) text-type over the Western as the more authentic, but this same argument would favour the Western over the Alexandrian for the Gospel of Luke, as in that case the Western version is the shorter.
Genre, sources and historicity of Acts
The title "Acts of the Apostles" (Praxeis Apostolon) would seem to identify it with the genre telling of the deeds and achievements of great men (praxeis), but it was not the title given by the author. The anonymous author aligned Luke–Acts to the "narratives" (διήγησις, diēgēsis) which many others had written, and described his own work as an "orderly account" (ἀκριβῶς καθεξῆς). It lacks exact analogies in Hellenistic or Jewish literature. The author may have taken as his model the works of Dionysius of Halicarnassus, who wrote a well-known history of Rome, or the Jewish historian Josephus, author of a history of the Jews. Like them, he anchors his history by dating the birth of the founder (Romulus for Dionysius, Moses for Josephus, Jesus for Luke) and like them he tells how the founder is born from God, taught authoritatively, and appeared to witnesses after death before ascending to heaven. By and large the sources for Acts can only be guessed at, but the author would have had access to the Septuagint (a Greek translation of the Jewish scriptures), the Gospel of Mark, and either the hypothetical collection of "sayings of Jesus" called the Q source or the Gospel of Matthew. He transposed a few incidents from Mark's gospel to the time of the Apostles—for example, the material about "clean" and "unclean" foods in Mark 7 is used in Acts 10, and Mark's account of the accusation that Jesus has attacked the Temple (Mark 14:58) is used in a story about Stephen (Acts 6:14). There are also points of contacts (meaning suggestive parallels but something less than clear evidence) with 1 Peter, the Letter to the Hebrews, and 1 Clement. Other sources can only be inferred from internal evidence—the traditional explanation of the three "we" passages, for example, is that they represent eyewitness accounts. The search for such inferred sources was popular in the 19th century, but by the mid-20th it had largely been abandoned.
Acts was read as a reliable history of the early church well into the post-Reformation era, but by the 17th century biblical scholars began to notice that it was incomplete and tendentious—its picture of a harmonious church is quite at odds with that given by Paul's letters, and it omits important events such as the deaths of both Peter and Paul. The mid-19th-century scholar Ferdinand Baur suggested that the author had re-written history to present a united Peter and Paul and advance a single orthodoxy against the Marcionites (Marcion was a 2nd-century heretic who wished to cut Christianity off entirely from the Jews); Baur continues to have enormous influence, but today there is less interest in determining the historical accuracy of Acts (although this has never died out) than in understanding the author's theological program.
Audience and authorial intent
Luke was written to be read aloud to a group of Jesus-followers gathered in a house to share the Lord's supper. The author assumes an educated Greek-speaking audience, but directs his attention to specifically Christian concerns rather than to the Greco-Roman world at large. He begins his gospel with a preface addressed to Theophilus (Luke 1:3; cf. Acts 1:1), informing him of his intention to provide an "ordered account" of events which will lead his reader to "certainty". He did not write in order to provide Theophilus with historical justification—"did it happen?"—but to encourage faith—"what happened, and what does it all mean?"
Acts (or Luke–Acts) is intended as a work of "edification," meaning "the empirical demonstration that virtue is superior to vice." The work also engages with the question of a Christian's proper relationship with the Roman Empire, the civil power of the day: could a Christian obey God and also Caesar? The answer is ambiguous. The Romans never move against Jesus or his followers unless provoked by the Jews, in the trial scenes the Christian missionaries are always cleared of charges of violating Roman laws, and Acts ends with Paul in Rome proclaiming the Christian message under Roman protection; at the same time, Luke makes clear that the Romans, like all earthly rulers, receive their authority from Satan, while Christ is ruler of the kingdom of God.
Structure and content
Structure
Acts has two key structural principles. The first is the geographic movement from Jerusalem, centre of God's Covenantal people, the Jews, to Rome, centre of the Gentile world. This structure reaches back to the author's preceding work, the Gospel of Luke, and is signaled by parallel scenes such as Paul's utterance in Acts 19:21, which echoes Jesus's words in Luke 9:51: Paul has Rome as his destination, as Jesus had Jerusalem. The second key element is the roles of Peter and Paul, the first representing the Jewish Christian church, the second the mission to the Gentiles.
Transition: reprise of the preface addressed to Theophilus and the closing events of the gospel (Acts 1–1:26)
Petrine Christianity: the Jewish church from Jerusalem to Antioch (Acts 2:1–12:25)
2:1–8:1 – beginnings in Jerusalem
8:2–40 – the church expands to Samaria and beyond
9:1–31 – conversion of Paul
9:32–12:25 – the conversion of Cornelius, and the formation of the Antioch church
Pauline Christianity: the Gentile mission from Antioch to Rome (Acts 13:1–28:31)
13:1–14:28 – the Gentile mission is promoted from Antioch
15:1–35 – the Gentile mission is confirmed in Jerusalem
15:36–28:31 – the Gentile mission, climaxing in Paul's passion story in Rome (21:17–28:31)
Outline
Dedication to Theophilus (1:1–2)
Resurrection appearances (1:3)
Great Commission (1:4–8)
Ascension (1:9)
Second Coming Prophecy (1:10–11)
Matthias replaced Judas (1:12–26)
the Upper Room (1:13)
The Holy Spirit came at Shavuot (Pentecost) (2:1-47), see also Paraclete
Peter healed a crippled beggar (3:1–10)
Peter's speech at the Temple (3:11–26)
Peter and John before the Sanhedrin (4:1–22)
Resurrection of the dead (4:2)
Believers' Prayer (4:23–31)
Everything is shared (4:32–37)
Ananias and Sapphira (5:1–11)
Signs and Wonders (5:12–16)
Apostles before the Sanhedrin (5:17–42)
Seven Deacons appointed (6:1–7)
Stephen before the Sanhedrin (6:8–7:60)
The "Cave of the Patriarchs" was located in Shechem (7:16)
"Moses was educated in all the wisdom of the Egyptians" (7:22)
First mentioning of Saul (Paul the Apostle) in the Bible (7:58)
Paul the Apostle confesses his part in the martyrdom of Stephen (7:58–60)
Saul persecuted the Church of Jerusalem (8:1–3)
Philip the Evangelist (8:4–40)
Simon Magus (8:9–24)
Ethiopian eunuch (8:26–39)
Conversion of Paul the Apostle (9:1–31, 22:1–22, 26:9–24)
Paul the Apostle confesses his active part in the martyrdom of Stephen (22:20)
Peter healed Aeneas and raised Tabitha from the dead (9:32–43)
Conversion of Cornelius (10:1–8, 24–48)
Peter's vision of a sheet with animals (10:9–23, 11:1–18)
Church of Antioch founded (11:19–30)
term "Christian" first used (11:26)
James the Great executed (12:1–2)
Peter's rescue from prison (12:3–19)
Death of Herod Agrippa I [in 44] (12:20–25)
"the voice of a god" (12:22)
Mission of Barnabas and Saul (13–14)
"Saul, who was also known as Paul" (13:9)
called "gods ... in human form" (14:11)
Council of Jerusalem (15:1–35)
Paul separated from Barnabas (15:36–41)
2nd and 3rd missions (16–20)
Areopagus sermon (17:16–34)
"God...has set a day" (17:30–31)
Trial before Gallio c. 51–52 (18:12–17)
Trip to Jerusalem (21)
Before the people and the Sanhedrin (22–23)
Before Felix–Festus–Herod Agrippa II (24–26)
Trip to Rome (27–28)
called a god on Malta (28:6)
Content
The Gospel of Luke began with a prologue addressed to Theophilus; Acts likewise opens with an address to Theophilus and refers to "my earlier book", almost certainly the gospel.
The apostles and other followers of Jesus meet and elect Matthias to replace Judas Iscariot as a member of The Twelve. On Pentecost, the Holy Spirit descends and confers God's power on them, and Peter and John preach to many in Jerusalem and perform healings, casting out of evil spirits, and raising of the dead. The first believers share all property in common, eat in each other's homes, and worship together. At first many Jews follow Christ and are baptized, but the followers of Jesus begin to be increasingly persecuted by other Jews. Stephen is accused of blasphemy and stoned. Stephen's death marks a major turning point: the Jews have rejected the message, and henceforth it will be taken to the Gentiles.
The death of Stephen initiates persecution, and many followers of Jesus leave Jerusalem. The message is taken to the Samaritans, a people rejected by Jews, and to the Gentiles. Saul of Tarsus, one of the Jews who persecuted the followers of Jesus, is converted by a vision to become a follower of Christ (an event which Luke regards as so important that he relates it three times). Peter, directed by a series of visions, preaches to Cornelius the Centurion, a Gentile God-fearer, who becomes a follower of Christ. The Holy Spirit descends on Cornelius and his guests, thus confirming that the message of eternal life in Christ is for all mankind. The Gentile church is established in Antioch (north-western Syria, the third-largest city of the empire), and here Christ's followers are first called Christians.
The mission to the Gentiles is promoted from Antioch and confirmed at a meeting in Jerusalem between Paul and the leadership of the Jerusalem church. Paul spends the next few years traveling through western Asia Minor and the Aegean, preaching, converting, and founding new churches. On a visit to Jerusalem he is set on by a Jewish mob. Saved by the Roman commander, he is accused by the Jews of being a revolutionary, the "ringleader of the sect of the Nazarenes", and imprisoned. Later, Paul asserts his right as a Roman citizen, to be tried in Rome and is sent by sea to Rome, where he spends another two years under house arrest, proclaiming the Kingdom of God and teaching freely about "the Lord Jesus Christ". Acts ends abruptly without recording the outcome of Paul's legal troubles.
Theology
Prior to the 1950s, Luke–Acts was seen as a historical work, written to defend Christianity before the Romans or Paul against his detractors; since then the tendency has been to see the work as primarily theological. Luke's theology is expressed primarily through his overarching plot, the way scenes, themes and characters combine to construct his specific worldview. His "salvation history" stretches from the Creation to the present time of his readers, in three ages: first, the time of "the Law and the Prophets" (Luke 16:16), the period beginning with Genesis and ending with the appearance of John the Baptist (Luke 1:5–3:1); second, the epoch of Jesus, in which the Kingdom of God was preached (Luke 3:2–24:51); and finally the period of the Church, which began when the risen Christ was taken into Heaven, and would end with his second coming.
Luke–Acts is an attempt to answer a theological problem, namely how the Messiah, promised to the Jews, came to have an overwhelmingly non-Jewish church; the answer it provides, and its central theme, is that the message of Christ was sent to the Gentiles because the Jews rejected it. This theme is introduced in Chapter 4 of the Gospel of Luke, when Jesus, rejected in Nazareth, recalls that the prophets were rejected by Israel and accepted by Gentiles; at the end of the gospel he commands his disciples to preach his message to all nations, "beginning from Jerusalem." He repeats the command in Acts, telling them to preach "in Jerusalem, in all Judea and Samaria, and to the end of the Earth." They then proceed to do so, in the order outlined: first Jerusalem, then Judea and Samaria, then the entire (Roman) world.
For Luke, the Holy Spirit is the driving force behind the spread of the Christian message, and he places more emphasis on it than do any of the other evangelists. The Spirit is "poured out" at Pentecost on the first Samaritan and Gentile believers and on disciples who had been baptised only by John the Baptist, each time as a sign of God's approval. The Holy Spirit represents God's power (at his ascension, Jesus tells his followers, "You shall receive power when the Holy Spirit has come upon you"): through it the disciples are given speech to convert thousands in Jerusalem, forming the first church (the term is used for the first time in Acts 5).
One issue debated by scholars is Luke's political vision regarding the relationship between the early church and the Roman Empire. On the one hand, Luke generally does not portray this interaction as one of direct conflict. Rather, there are ways in which each may have considered having a relationship with the other rather advantageous to its own cause. For example, early Christians may have appreciated hearing about the protection Paul received from Roman officials against Gentile rioters in Philippi (Acts 16:16–40) and Ephesus (Acts 19:23–41), and against Jewish rioters on two occasions (Acts 17:1–17; Acts 18:12–17). Meanwhile, Roman readers may have approved of Paul's censure of the illegal practice of magic (Acts 19:17–19) as well as the amicability of his rapport with Roman officials such as Sergius Paulus (Acts 13:6–12) and Festus (Acts 26:30–32). Furthermore, Acts does not include any account of a struggle between Christians and the Roman government as a result of the latter's imperial cult. Thus Paul is depicted as a moderating presence between the church and the Roman Empire.
On the other hand, events such as the imprisonment of Paul at the hands of the empire (Acts 22–28) as well as several encounters that reflect negatively on Roman officials (for instance, Felix's desire for a bribe from Paul in Acts 24:26) function as concrete points of conflict between Rome and the early church. Perhaps the most significant point of tension between Roman imperial ideology and Luke's political vision is reflected in Peter's speech to the Roman centurion, Cornelius (Acts 10:36). Peter states that "this one" [οὗτος], i.e. Jesus, "is lord [κύριος] of all." The title, κύριος, was often ascribed to the Roman emperor in antiquity, rendering its use by Luke as an appellation for Jesus an unsubtle challenge to the emperor's authority.
Comparison with other writings
Gospel of Luke
As the second part of the two-part work Luke–Acts, Acts has significant links to the Gospel of Luke. Major turning points in the structure of Acts, for example, find parallels in Luke: the presentation of the child Jesus in the Temple parallels the opening of Acts in the Temple, Jesus's forty days of testing in the wilderness prior to his mission parallel the forty days prior to his Ascension in Acts, the mission of Jesus in Samaria and the Decapolis (the lands of the Samaritans and Gentiles) parallels the missions of the Apostles in Samaria and the Gentile lands, and so on (see Gospel of Luke). These parallels continue through both books. There are also differences between Luke and Acts, amounting at times to outright contradiction. For example, the gospel seems to place the Ascension on Easter Sunday, shortly after the Resurrection, while Acts 1 puts it forty days later. There are similar conflicts over the theology, and while not seriously questioning the single authorship of Luke–Acts, these differences do suggest the need for caution in seeking too much consistency in books written in essence as popular literature.
Pauline epistles
Acts agrees with Paul's letters on the major outline of Paul's career: he is converted and becomes a Christian missionary and apostle, establishing new churches in Asia Minor and the Aegean and struggling to free Gentile Christians from the Jewish Law. There are also agreements on many incidents, such as Paul's escape from Damascus, where he is lowered down the walls in a basket. But details of these same incidents are frequently contradictory: for example, according to Paul it was a pagan king who was trying to arrest him in Damascus, but according to Luke it was the Jews (2 Corinthians 11:33 and Acts 9:24). Acts speaks of "Christians" and "disciples", but Paul never uses either term, and it is striking that Acts never brings Paul into conflict with the Jerusalem church and places Paul under the authority of the Jerusalem church and its leaders, especially James and Peter (Acts 15 vs. Galatians 2). Acts omits much from the letters, notably Paul's problems with his congregations (internal difficulties are said to be the fault of the Jews instead), and his apparent final rejection by the church leaders in Jerusalem (Acts has Paul and Barnabas deliver an offering that is accepted, a trip that has no mention in the letters). There are also major differences between Acts and Paul on Christology (the understanding of Christ's nature), eschatology (the understanding of the "last things"), and apostleship.
See also
Les Actes des Apotres
Acts of the Apostles (genre)
Historical reliability of the Acts of the Apostles
Holy Spirit in the Acts of the Apostles
List of Gospels
List of New Testament verses not included in modern English translations
The Lost Chapter of the Acts of the Apostles, also known as the Sonnini Manuscript
Textual variants in the Acts of the Apostles
Notes
References
Bibliography
External links
Book of Acts at Bible Gateway (NIV & KJV)
Tertullian.org: The Western Text of the Acts of the Apostles (1923) J. M. WILSON, D.D.
Various versions
1st-century books
1st-century Christianity
New Testament books
Acts of the Apostles (genre)
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Assyria (Neo-Assyrian cuneiform: , romanized:māt Aššur) was a major ancient Mesopotamian civilization which existed as a city-state from the 21st century BC to the 14th century BC, then to a territorial state, and eventually an empire from the 14th century BC to the 7th century BC.
Spanning from the early Bronze Age to the late Iron Age, modern historians typically divide ancient Assyrian history into the Early Assyrian ( 2600–2025 BC), Old Assyrian ( 2025–1364 BC), Middle Assyrian ( 1363–912 BC), Neo-Assyrian (911–609 BC) and post-imperial (609 BC– AD 240) periods, based on political events and gradual changes in language. Assur, the first Assyrian capital, was founded 2600 BC but there is no evidence that the city was independent until the collapse of the Third Dynasty of Ur in the 21st century BC, when a line of independent kings beginning with Puzur-Ashur I began ruling the city. Centered in the Assyrian heartland in northern Mesopotamia, Assyrian power fluctuated over time. The city underwent several periods of foreign rule or domination before Assyria rose under Ashur-uballit I in the early 14th century BC as the Middle Assyrian Empire. In the Middle and Neo-Assyrian periods Assyria was one of the two major Mesopotamian kingdoms, alongside Babylonia in the south, and at times became the dominant power in the ancient Near East. Assyria was at its strongest in the Neo-Assyrian period, when the Assyrian army was the strongest military power in the world and the Assyrians ruled the largest empire then yet assembled in world history, spanning from parts of modern-day Iran in the east to Egypt in the west.
The Neo-Assyrian Empire fell in the late 7th century BC, conquered by a coalition of the Babylonians, who had lived under Assyrian rule for about a century, and the Medes. Though the core urban territory of Assyria was extensively devastated in the Medo-Babylonian conquest of the Assyrian Empire and the succeeding Neo-Babylonian Empire invested little resources in rebuilding it, ancient Assyrian culture and traditions continued to survive for centuries throughout the post-imperial period. Assyria experienced a recovery under the Seleucid and Parthian empires, though declined again under the Sasanian Empire, which sacked numerous cities and semi independent Assyrian territories in the region, including Assur itself. The remaining Assyrian people, who have survived in northern Mesopotamia to modern times, were gradually Christianized from the 1st century AD onward. Ancient Mesopotamian religion persisted at Assur until its final sack in the 3rd century AD, and at certain other holdouts for centuries thereafter.
The triumph of ancient Assyria can be attributed not only to its vigorous warrior-monarchs but also to its adeptness in efficiently assimilating and governing conquered territories using inventive and advanced administrative mechanisms. The developments in warfare and governance introduced by ancient Assyria continued to be employed by subsequent empires and states for countless centuries. Ancient Assyria also left a legacy of great cultural significance, particularly through the Neo-Assyrian Empire making a prominent impression in later Assyrian, Greco-Roman and Hebrew literary and religious tradition.
Nomenclature
In the Old Assyrian period, when Assyria was merely a city-state centered on the city of Assur, the state was typically referred to as ālu Aššur ("city of Ashur"). From the time of its rise as a territorial state in the 14th century BC and onward, Assyria was referred to in official documents as māt Aššur ("land of Ashur"), marking its shift to being a regional polity. The first attested use of the term māt Aššur is during the reign of Ashur-uballit I ( 1363–1328 BC), who was the first king of the Middle Assyrian Empire. Both ālu Aššur and māt Aššur derive from the name of the Assyrian national deity Ashur. Ashur probably originated in the Early Assyrian period as a deified personification of Assur itself. In the Old Assyrian period the deity was considered the formal king of Assur; the actual rulers only used the style Išši'ak ("governor"). From the time of Assyria's rise as a territorial state, Ashur began to be regarded as an embodiment of the entire land ruled by the Assyrian kings.
The modern name "Assyria" is of Greek origin, derived from Ασσυρία (Assuría). The term’s first attested use is during the time of the ancient Greek historian Herodotus (5th century BC). The Greeks called the Levant "Syria" and Mesopotamia "Assyria", even though the local population (both at that time and well into the later Christian period) used both terms interchangeably to refer to the entire region. it is not known whether the Greeks began referring to Mesopotamia as "Assyria" because they equated the region with the Assyrian Empire (long fallen by the time the term is first attested) or because they named the region after the people who lived there (the Assyrians). Because the term is so similar to "Syria", scholars have been examining since the 17th century whether the two terms are connected. And because, in sources predating the Greek ones, the shortened form "Syria" is attested as a synonym for Assyria, notably in Luwian and Aramaic texts from the time of the Neo-Assyrian Empire, modern scholars overwhelmingly support the conclusion that the names are connected.
Both "Assyria" and the contraction, "Syria," are ultimately derived from the Akkadian Aššur. Following the decline of the Neo-Assyrian Empire, the subsequent empires that held dominion over the Assyrian lands adopted distinct appellations for the region, with a significant portion of these names also being rooted in Aššur. The Achaemenid Empire referred to Assyria as Aθūrā ("Athura"). The Sasanian Empire inexplicably referred to Lower Mesopotamia as Asoristan ("land of the Assyrians"), though the northern province of Nōdšīragān, which included much of the old Assyrian heartland, was also sometimes called Atūria or Āthōr. In Syriac, Assyria was and is referred to as ʾĀthor.
History
Early history
Agricultural villages in the region that would later become Assyria are known to have existed by the time of the Hassuna culture, 6300–5800 BC. Though the sites of some nearby cities that would later be incorporated into the Assyrian heartland, such as Nineveh, are known to have been inhabited since the Neolithic, the earliest archaeological evidence from Assur dates to the Early Dynastic Period, 2600 BC. During this time, the surrounding region was already relatively urbanized. There is no evidence that early Assur was an independent settlement, and it might not have been called Assur at all initially, but rather Baltil or Baltila, used in later times to refer to the city's oldest portion. The name "Assur" is first attested for the site in documents of the Akkadian period in the 24th century BC. Through most of the Early Assyrian period ( 2600–2025 BC), Assur was dominated by states and polities from southern Mesopotamia. Early on, Assur for a time fell under the loose hegemony of the Sumerian city of Kish and it was later occupied by both the Akkadian Empire and then the Third Dynasty of Ur. In 2025 BC, due to the collapse of the Third Dynasty of Ur, Assur became an independent city-state under Puzur-Ashur I.
Assur was under the Puzur-Ashur dynasty home to less than 10,000 people and likely held very limited military power; no military institutions at all are known from this time and no political influence was exerted on neighboring cities. The city was still influential in other ways; under Erishum I ( 1974–1934 BC), Assur experimented with free trade, the earliest known such experiment in world history, which left the initiative for trade and large-scale foreign transactions entirely to the populace rather than the state. Royal encouragement of trade led to Assur quickly establishing itself as a prominent trading city in northern Mesopotamia and soon thereafter establishing an extensive long-distance trade network, the first notable impression Assyria left in the historical record. Among the evidence left from this trade network are large collections of Old Assyrian cuneiform tablets from Assyrian trade colonies, the most notable of which is a set of 22,000 clay tablets found at Kültepe, near the modern city of Kayseri in Turkey. As trade declined, perhaps due to increased warfare and conflict between the growing states of the Near East, Assur was frequently threatened by larger foreign states and kingdoms. The original Assur city-state, and the Puzur-Ashur dynasty, came to an end 1808 BC when the city was conquered by the Amorite ruler of Ekallatum, Shamshi-Adad I. Shamshi-Adad's extensive conquests in northern Mesopotamia eventually made him the ruler of the entire region, founding what some scholars have termed the "Kingdom of Upper Mesopotamia". The survival of this realm relied chiefly on Shamshi-Adad's own strength and charisma and it thus collapsed shortly after his death 1776 BC.
After Shamshi-Adad's death, the political situation in northern Mesopotamia was highly volatile, with Assur at times coming under the brief control of Eshnunna, Elam and the Old Babylonian Empire. At some point, the city returned to being an independent city-state, though the politics of Assur itself were volatile as well, with fighting between members of Shamshi-Adad's dynasty, native Assyrians and Hurrians for control. The infighting came to an end after the rise of Bel-bani as king 1700 BC. Bel-bani founded the Adaside dynasty, which after his reign ruled Assyria for about a thousand years. Assyria's rise as a territorial state in later times was in large part facilitated by two separate invasions of Mesopotamia by the Hittites. An invasion by the Hittite king Mursili I in 1595 BC destroyed the dominant Old Babylonian Empire, allowing the smaller kingdoms of Mitanni and Kassite Babylonia to rise in the north and south, respectively. Around 1430 BC, Assur was subjugated by Mitanni, an arrangement that lasted for about 70 years, until 1360 BC. Another Hittite invasion by Šuppiluliuma I in the 14th century BC effectively crippled the Mitanni kingdom. After his invasion, Assyria succeeded in freeing itself from its suzerain, achieving independence once more under Ashur-uballit I ( 1363–1328 BC) whose rise to power, independence, and conquests of neighboring territory traditionally marks the rise of the Middle Assyrian Empire ( 1363–912 BC).
Assyrian Empire
Ashur-uballit I was the first native Assyrian ruler to claim the royal title šar ("king"). Shortly after achieving independence, he further claimed the dignity of a great king on the level of the Egyptian pharaohs and the Hittite kings. Assyria's rise was intertwined with the decline and fall of the Mitanni kingdom, its former suzerain, which allowed the early Middle Assyrian kings to expand and consolidate territories in northern Mesopotamia. Under the warrior-kings Adad-nirari I ( 1305–1274 BC), Shalmaneser I ( 1273–1244 BC) and Tukulti-Ninurta I ( 1243–1207 BC), Assyria began to realize its aspirations of becoming a significant regional power. These kings campaigned in all directions and incorporated a significant amount of territory into the growing Assyrian Empire. Under Shalmaneser I, the last remnants of the Mitanni kingdom were formally annexed into Assyria. The most successful of the Middle Assyrian kings was Tukulti-Ninurta I, who brought the Middle Assyrian Empire to its greatest extent. His most notable military achievements were his victory at the Battle of Nihriya 1237 BC, which marked the beginning of the end of Hittite influence in northern Mesopotamia, and his temporary conquest of Babylonia, which became an Assyrian vassal 1225–1216 BC. Tukulti-Ninurta was also the first Assyrian king to try to move the capital away from Assur, inaugurating the new city Kar-Tukulti-Ninurta as capital 1233 BC. The capital was returned to Assur after his death.
Tukulti-Ninurta I's assassination 1207 BC was followed by inter-dynastic conflict and a significant drop in Assyrian power. Tukulti-Ninurta I's successors were unable to maintain Assyrian power and Assyria became increasingly restricted to just the Assyrian heartland, a period of decline broadly coinciding with the Late Bronze Age collapse. Though some kings in this period of decline, such as Ashur-dan I ( 1178–1133 BC), Ashur-resh-ishi I (1132–1115 BC) and Tiglath-Pileser I (1114–1076 BC) worked to reverse the decline and made significant conquests, their conquests were ephemeral and shaky, quickly lost again. From the time of Eriba-Adad II (1056–1054 BC) onward, Assyrian decline intensified. The Assyrian heartland remained safe since it was protected by its geographical remoteness. Since Assyria was not the only state to undergo decline during these centuries, and the lands surrounding the Assyrian heartland were also significantly fragmented, it would ultimately be relatively easy for the reinvigorated Assyrian army to reconquer large parts of the empire. Under Ashur-dan II (934–912 BC), who campaigned in the northeast and northwest, Assyrian decline was at last reversed, paving the way for grander efforts under his successors. The end of his reign conventionally marks the beginning of the Neo-Assyrian Empire (911–609 BC).
Through decades of conquests, the early Neo-Assyrian kings worked to retake the lands of the Middle Assyrian Empire. Since this reconquista had to begin nearly from scratch, its eventual success was an extraordinary achievement. Under Ashurnasirpal II (883–859 BC), the Neo-Assyrian Empire became the dominant political power in the Near East. In his ninth campaign, Ashurnasirpal II marched to the coast of the Mediterranean Sea, collecting tribute from various kingdoms on the way. A significant development during Ashurnasirpal II's reign was the second attempt to transfer the Assyrian capital away from Assur. Ashurnasirpal restored the ancient and ruined town of Nimrud, also located in the Assyrian heartland, and in 879 BC designated that city as the new capital of the empire Though no longer the political capital, Assur remained the ceremonial and religious center of Assyria. Ashurnasirpal II's son Shalmaneser III (859–824 BC) also went on wide-ranging wars of conquest, expanding the empire in all directions. After Shalmaneser III's death, the Neo-Assyrian Empire entered into a period of stagnation dubbed the "age of the magnates", when powerful officials and generals were the principal wielders of political power rather than the king. This time of stagnation came to an end with the rise of Tiglath-Pileser III (745–727 BC), who reduced the power of the magnates, consolidated and centralized the holdings of the empire, and through his military campaigns and conquests more than doubled the extent of Assyrian territory. The most significant conquests were the vassalization of the Levant all the way to the Egyptian border and the 729 BC conquest of Babylonia.
The Neo-Assyrian Empire reached the height of its extent and power under the Sargonid dynasty, founded by Sargon II (722–705 BC). Under Sargon II and his son Sennacherib (705–681 BC), the empire was further expanded and the gains were consolidated. Both kings founded new capitals; Sargon II moved the capital to the new city of Dur-Sharrukin in 706 BC and the year after, Sennacherib transferred the capital to Nineveh, which he ambitiously expanded and renovated, and might even have built the hanging gardens there, one of the seven wonders of the ancient world. The 671 BC conquest of Egypt under Esarhaddon (681–669 BC) brought Assyria to its greatest ever extent. After the death of Ashurbanipal (669–631 BC), the Neo-Assyrian Empire swiftly collapsed. One of the primary reasons was the inability of the Neo-Assyrian kings to resolve the "Babylonian problem"; despite many attempts to appease Babylonia in the south, revolts were frequent all throughout the Sargonid period. The revolt of Babylon under Nabopolassar in 626 BC, in combination with an invasion by the Medes under Cyaxares in 615/614 BC, led to the Medo-Babylonian conquest of the Assyrian Empire. Assur was sacked in 614 BC and Nineveh fell in 612 BC. The last Assyrian ruler, Ashur-uballit II, tried to rally the Assyrian army at Harran in the west but he was defeated in 609 BC, marking the end of the ancient line of Assyrian kings and of Assyria as a state.
Later history
Despite the violent downfall of the Assyrian Empire, Assyrian culture continued to survive through the subsequent post-imperial period (609 BC – AD 240) and beyond. The Assyrian heartland experienced a dramatic decrease in the size and number of inhabited settlements during the rule of the Neo-Babylonian Empire founded by Nabopolassar; the former Assyrian capital cities Assur, Nimrud and Nineveh were nearly completely abandoned. Throughout the time of the Neo-Babylonian and later Achaemenid Empire, Assyria remained a marginal and sparsely populated region. Toward the end of the 6th century BC, the Assyrian dialect of the Akkadian language went extinct, having toward the end of the Neo-Assyrian Empire already largely been replaced by Aramaic as a vernacular language. Under the empires succeeding the Neo-Babylonians, from the late 6th century BC onward, Assyria began to experience a recovery. Under the Achaemenids, most of the territory was organized into the province Athura (Aθūrā). The organization into a single large province, the lack of interference of the Achaemenid rulers in local affairs, and the return of the cult statue of Ashur to Assur soon after the Achaemenids conquered Babylon facilitated the survival of Assyrian culture. Under the Seleucid Empire, which controlled Mesopotamia from the late 4th to mid-2nd century BC, Assyrian sites such as Assur, Nimrud and Nineveh were resettled and a large number of villages were rebuilt and expanded.
After the Parthian Empire conquered the region in the 2nd century BC, the recovery of Assyria continued, culminating in an unprecedented return to prosperity and revival in the 1st to 3rd centuries AD. The region was resettled and restored so intensely that the population and settlement density reached heights not seen since the Neo-Assyrian Empire. The region was under the Parthians primarily ruled by a group of vassal kingdoms, including Osroene, Adiabene and Hatra. Though in some aspects influenced by Assyrian culture, these states were for the most part not ruled by Assyrian rulers. Assur itself flourished under Parthian rule. From around or shortly after the end of the 2nd century BC, the city may have become the capital of its own small semi-autonomous Assyrian realm, either under the suzerainty of Hatra, or under direct Parthian suzerainty. On account of the resemblance between the stelae by the local rulers and those of the ancient Assyrian kings, they may have seen themselves as the restorers and continuators of the old royal line. The ancient Ashur temple was restored in the 2nd century AD. This last cultural golden age came to an end with the sack of Assur by the Sasanian Empire 240. During the sack, the Ashur temple was destroyed again and the city's population was dispersed.
Starting from the 1st century AD onward, many of the Assyrians became Christianized, though holdouts of the old ancient Mesopotamian religion continued to survive for centuries. Despite the loss of political power, the Assyrians continued to constitute a significant portion of the population in northern Mesopotamia until religiously-motivated suppression and massacres under the Ilkhanate and the Timurid Empire in the 14th century, which relegated them to a local ethnic and religious minority. The Assyrians lived largely in peace under the rule of the Ottoman Empire, which gained control of Assyria in 16th century. In the late 19th and early 20th century, when the Ottomans grew increasingly nationalistic, further persecutions and massacres were enacted against the Assyrians, most notably the Sayfo (Assyrian genocide), which resulted in the deaths of as many as 250,000 Assyrians. Throughout the 20th century, many unsuccessful proposals have been made by the Assyrians for autonomy or independence. Further massacres and persecutions, enacted both by governments and by terrorist groups such as the Islamic State, have resulted in most of the Assyrian people living in diaspora.
Government and military
Kingship
In the Assur city-state of the Old Assyrian period, the government was in many respects an oligarchy, where the king was a permanent, albeit not the only prominent, actor. The Old Assyrian kings were not autocrats, with sole power, but rather acted as stewards on behalf of the god Ashur and presided over the meetings of the city assembly, the main Assyrian administrative body during this time. The composition of the city assembly is not known, but it is generally believed to have been made up of members of the most powerful families of the city, many of whom were merchants. The king acted as the main executive officer and chairman of this group of influential individuals and also contributed with legal knowledge and expertise. The Old Assyrian kings were styled as iššiak Aššur ("governor [on behalf] of Ashur"), with Ashur being considered the city's formal king. That the populace of Assur in the Old Assyrian period often referred to the king as rubā’um ("great one") clearly indicates that the kings, despite their limited executive power, were seen as royal figures and as being primus inter pares (first among equals) among the powerful individuals of the city.
Assur first experienced a more autocratic form of kingship under the Amorite conqueror Shamshi-Adad I, the earliest ruler of Assur to use the style šarrum (king) and the title 'king of the Universe'. Shamshi-Adad I appears to have based his more absolute form of kingship on the rulers of the Old Babylonian Empire. Under Shamshi-Adad I, Assyrians also swore their oaths by the king, not just by the god. This practice did not survive beyond his death. The influence of the city assembly had disappeared by the beginning of the Middle Assyrian period. Though the traditional iššiak Aššur continued to be used at times, the Middle Assyrian kings were autocrats, in terms of power having little in common with the rulers of the Old Assyrian period. As the Assyrian Empire grew, the kings began to employ an increasingly sophisticated array of royal titles. Ashur-uballit I was the first to assume the style šar māt Aššur ("king of the land of Ashur") and his grandson Arik-den-ili ( 1317–1306 BC) introduced the style šarru dannu ("strong king"). Adad-nirari I's inscriptions required 32 lines to be devoted just to his titles. This development peaked under Tukulti-Ninurta I, who assumed, among other titles, the styles "king of Assyria and Karduniash", "king of Sumer and Akkad", "king of the Upper and the Lower Seas" and "king of all peoples". Royal titles and epithets were often highly reflective of current political developments and the achievements of individual kings; during periods of decline, the royal titles used typically grew more simple again, only to grow grander once more as Assyrian power experienced resurgences.
The kings of the Middle and Neo-Assyrian periods continued to present themselves, and be viewed by their subjects, as the intermediaries between Ashur and mankind. This position and role was used to justify imperial expansion: the Assyrians saw their empire as being the part of the world overseen and administered by Ashur through his human agents. In their ideology, the outer realm outside of Assyria was characterized by chaos and the people there were uncivilized, with unfamiliar cultural practices and strange languages. The mere existence of the "outer realm" was regarded as a threat to the cosmic order within Assyria and as such, it was the king's duty to expand the realm of Ashur and incorporate these strange lands, converting chaos to civilization. Texts describing the coronation of Middle and Neo-Assyrian kings at times include Ashur commanding the king to "broaden the land of Ashur" or "extend the land at his feet". As such, expansion was cast as a moral and necessary duty. Because the rule and actions of the Assyrian king were seen as divinely sanctioned, resistance to Assyrian sovereignty in times of war was regarded to be resistance against divine will, which deserved punishment. Peoples and polities who revolted against Assyria were seen as criminals against the divine world order. Since Ashur was the king of the gods, all other gods were subjected to him and thus the people who followed those gods should be subjected to the representative of Ashur, the Assyrian king.
The kings also had religious and judicial duties. Kings were responsible for performing various rituals in support of the cult of Ashur and the Assyrian priesthood. They were expected, together with the Assyrian people, to provide offerings to not only Ashur but also all the other gods. From the time of Ashur-resh-ishi I onward, the religious and cultic duties of the king were pushed somewhat into the background, though they were still prominently mentioned in accounts of building and restoring temples. Assyrian titles and epithets in inscriptions from then on generally emphasized the kings as powerful warriors. Developing from their role in the Old Assyrian period, the Middle and Neo-Assyrian kings were the supreme judicial authority in the empire, though they generally appear to have been less concerned with their role as judges than their predecessors in the Old Assyrian period were. The kings were expected to ensure the welfare and prosperity of the Assyria and its people, indicated by multiple inscriptions referring to the kings as "shepherds" (re’û).
Capital cities
No word for the idea of a capital city existed in Akkadian, the nearest being the idea of a "city of kingship", i.e. an administrative center used by the king, but there are several examples of kingdoms having multiple "cities of kingship". Due to Assyria growing out of the Assur city-state of the Old Assyrian period, and due to the city's religious importance, Assur was the administrative center of Assyria through most of its history. Though the royal administration at times moved elsewhere, the ideological status of Assur was never fully superseded and it remained a ceremonial center in the empire even when it was governed from elsewhere. The transfer of the royal seat of power to other cities was ideologically possible since the king was Ashur's representative on Earth. The king, like the deity embodied Assyria itself, and so the capital of Assyria was in a sense wherever the king happened to have his residence.
The first transfer of administrative power away from Assur occurred under Tukulti-Ninurta I, who 1233 BC inaugurated Kar-Tukulti-Ninurta as capital. Tukulti-Ninurta I's foundation of a new capital was perhaps inspired by developments in Babylonia in the south, where the Kassite dynasty had transferred the administration from the long-established city of Babylon to the newly constructed city of Dur-Kurigalzu, also named after a king. It seems that Tukulti-Ninurta I intended to go further than the Kassites and also establish Kar-Tukulti-Ninurta as the new Assyrian cult center. The city was however not maintained as capital after Tukulti-Ninurta I's death, with subsequent kings once more ruling from Assur.
The Neo-Assyrian Empire underwent several different capitals. There is some evidence that Tukulti-Ninurta II (890–884 BC), perhaps inspired by his predecessor of the same name, made unfulfilled plans to transfer the capital to a city called Nemid Tukulti-Ninurta, either a completely new city or a new name applied to Nineveh, which by this point already rivalled Assur in scale and political importance. The capital was transferred under Tukulti-Ninurta II's son Ashurnasirpal II to Nimrud in 879 BC. An architectural detail separating Nimrud and the other Neo-Assyrian capitals from Assur is that they were designed in a way that emphasized royal power: the royal palaces in Assur were smaller than the temples but the situation was reversed in the new capitals. Sargon II transferred the capital in 706 BC to the city Dur-Sharrukin, which he built himself. Since the location of Dur-Sharrukin had no obvious practical or political merit, this move was probably an ideological statement. Immediately after Sargon II's death in 705 BC, his son Sennacherib transferred the capital to Nineveh, a far more natural seat of power. Though it was not meant as a permanent royal residence, Ashur-uballit II chose Harran as his seat of power after the fall of Nineveh in 612 BC. Harran is typically seen as the short-lived final Assyrian capital. No building projects were conducted during this time, but Harran had been long-established as a major religious center, dedicated to the god Sîn.
Aristocracy and elite
Because of the nature of source preservation, more information about the upper classes of ancient Assyria survives than for the lower ones. At the top of Middle and Neo-Assyrian society were members of long-established and large families called "houses". Members of this aristocracy tended to occupy the most important offices within the government and they were likely descendants of the most prominent families of the Old Assyrian period. One of the most influential offices in the Assyrian administration was the position of vizier (sukkallu). From at least the time of Shalmaneser I onward, there were grand viziers (sukkallu rabi’u), superior to the ordinary viziers, who at times governed their own lands as appointees of the kings. At least in the Middle Assyrian period, the grand viziers were typically members of the royal family and the position was at this time, as were many other offices, hereditary.
The elite of the Neo-Assyrian Empire was expanded and included several different offices. The Neo-Assyrian inner elite is typically divided by modern scholars into the "magnates", a set of high-ranking offices, and the "scholars" (ummânī), tasked with advising and guiding the kings through interpreting omens. The magnates included the offices masennu (treasurer), nāgir ekalli (palace herald), rab šāqê (chief cupbearer), rab ša-rēši (chief officer/eunuch), sartinnu (chief judge), sukkallu (grand vizier) and turtanu (commander-in-chief), which at times continued to be occupied by royal family members. Some of the magnates also acted as governors of important provinces and all of them were deeply involved with the Assyrian military, controlling significant forces. They also owned large tax-free estates, scattered throughout the empire. In the late Neo-Assyrian Empire, there was a growing disconnect between the traditional Assyrian elite and the kings due to eunuchs growing unprecedently powerful. The highest offices both in the civil administration and the army began to be occupied by eunuchs with deliberately obscure and lowly origins since this ensured that they would be loyal to the king. Eunuchs were trusted since they were believed to not be able to have any dynastic aspirations of their own.
From the time of Erishum I in the early Old Assyrian period onward, a yearly office-holder, a limmu official, was elected from the influential men of Assyria. The limmu official gave their name to the year, meaning that their name appeared in all administrative documents signed that year. Kings were typically the limmu officials in their first regnal years. In the Old Assyrian period, the limmu officials also held substantial executive power, though this aspect of the office had disappeared by the time of the rise of the Middle Assyrian Empire.
Administration
The success of Assyria was not only due to energetic kings who expanded its borders but more importantly due to its ability to efficiently incorporate and govern conquered lands. From the rise of Assyria as a territorial state at the beginning of the Middle Assyrian period onward, Assyrian territory was divided into a set of provinces or districts (pāḫutu). The total number and size of these provinces varied and changed as Assyria expanded and contracted. Every province was headed by a provincial governor (bel pāḫete, bēl pīhāti or šaknu) who was responsible for handling local order, public safety and economy. Governors also stored and distributed the goods produced in their province, which were inspected and collected by royal representatives once a year. Through these inspections, the central government could keep track of current stocks and production throughout the country. Governors had to pay both taxes and offer gifts to the god Ashur, though such gifts were usually small and mainly symbolic. The channeling of taxes and gifts were not only a method of collecting profit but also served to connect the elite of the entire empire to the Assyrian heartland. In the Neo-Assyrian period, an extensive hierarchy within the provincial administration is attested. At the bottom of this hierarchy were lower officials, such as village managers (rab ālāni) who oversaw one or more villages, collecting taxes in the form of labor and goods and keeping the administration informed of the conditions of their settlements, and corvée officers (ša bēt-kūdini) who kept tallies on the labor performed by forced laborers and the remaining time owed. Individual cities had their own administrations, headed by mayors (ḫazi’ānu), responsible for the local economy and production.
Some regions of the Assyrian Empire were not incorporated into the provincial system but were still subjected to the rule of the Assyrian kings. Such vassal states could be ruled indirectly through allowing established local lines of kings to continue ruling in exchange for tribute or through the Assyrian kings appointing their own vassal rulers. Through the ilku system, the Assyrian kings could also grant arable lands to individuals in exchange for goods and military service.
To overcome the challenges of governing a large empire, the Neo-Assyrian Empire developed a sophisticated state communication system, which included various innovative techniques and relay stations. Per estimates by Karen Radner, an official message sent in the Neo-Assyrian period from the western border province Quwê to the Assyrian heartland, a distance of 700 kilometers (430 miles) over a stretch of lands featuring many rivers without any bridges, could take less than five days to arrive. Such communication speed was unprecedented before the rise of the Neo-Assyrian Empire and was not surpassed in the Middle East until the telegraph was introduced by the Ottoman Empire in 1865, nearly two and a half thousand years after the Neo-Assyrian Empire's fall.
Military
The Assyrian army was throughout its history mostly composed of levies, mobilized only when they were needed (such as in the time of campaigns). Through regulations, obligations and sophisticated government systems, large amounts of soldiers could be recruited and mobilized already in the early Middle Assyrian period. A small central standing army unit was established in the Neo-Assyrian Empire, dubbed the kiṣir šarri ("king's unit"). Some professional (though not standing) troops are also attested in the Middle Assyrian period, dubbed ḫurādu or ṣābū ḫurādātu, though what their role was is not clear due to the scarcity of sources. Perhaps this category included archers and charioteers, who needed more extensive training than normal foot soldiers.
The Assyrian army developed and evolved over time. In the Middle Assyrian period, foot soldiers were divided into the sạ bū ša kakkē ("weapon troops") and the sạ bū ša arâtē ("shield-bearing troops") but surviving records are not detailed enough to determine what the differences were. It is possible that the sạ bū ša kakkē included ranged troops, such as slingers (ṣābū ša ušpe) and archers (ṣābū ša qalte). The chariots in the army composed a unit of their own. Based on surviving depictions, chariots were crewed by two soldiers: an archer who commanded the chariot (māru damqu) and a driver (ša mugerre). Chariots first entered extensive military use under Tiglath-Pileser I in the 12th–11th centuries BC and were in the later Neo-Assyrian period gradually phased out in favor of cavalry (ša petḫalle). In the Middle Assyrian period, cavalry was mainly used for escorting or message deliveries.
Under the Neo-Assyrian Empire, important new developments in the military were the large-scale introduction of cavalry, the adoption of iron for armor and weapons, and the development of new and innovative siege warfare techniques. At the height of the Neo-Assyrian Empire, the Assyrian army was the strongest army yet assembled in world history. The number of soldiers in the Neo-Assyrian army was likely several hundred thousand. The Neo-Assyrian army was subdivided into kiṣru, composed of perhaps 1,000 soldiers, most of whom would have been infantry soldiers (zūk, zukkû or raksūte). The infantry was divided into three types: light, medium and heavy, with varying weapons, level of armor and responsibilities. While on campaign, the Assyrian army made heavy use of both interpreters/translators (targumannu) and guides (rādi kibsi), both probably being drawn from foreigners resettled in Assyra.
Population and society
Population and social standing
Populace
The majority of the population of ancient Assyria were farmers who worked land owned by their families. Old Assyrian society was divided into two main groups: slaves (subrum) and free citizens, referred to as awīlum ("men") or DUMU Aššur ("sons of Ashur"). Among the free citizens there was also a division into rabi ("big") and ṣaher ("small") members of the city assembly. Assyrian society grew more complex and hierarchical over time. In the Middle Assyrian Empire, there were several groups among the lower classes, the highest of which were the free men (a’ılū), who like the upper classes could receive land in exchange for performing duties for the government, but who could not live on these lands since they were comparably small. Below the free men were the unfree men (šiluhlu̮). The unfree men had given up their freedom and entered the services of others on their own accord, and were in turn provided with clothes and rations. Many of them probably originated as foreigners. Though similar to slavery, it was possible for an unfree person to regain their freedom by providing a replacement and they were during their service considered the property of the government rather than their employers. Other lower classes of the Middle Assyrian period included the ālāyû ("village residents"), ālik ilke (people recruited through the ilku system) and the hupšu, though what these designations meant in terms of social standing and living standards is not known.
The Middle Assyrian structure of society by and large endured through the subsequent Neo-Assyrian period. Below the higher classes of Neo-Assyrian society were free citizens, semi-free laborers and slaves. It was possible through steady service to the Assyrian state bureaucracy for a family to move up the social ladder; in some cases stellar work conducted by a single individual enhanced the status of their family for generations to come. In many cases, Assyrian family groups, or "clans", formed large population groups within the empire referred to as tribes. Such tribes lived together in villages and other settlements near or adjacent to their agricultural lands.
Slavery was an intrinsic part of nearly every society in the ancient Near East. There were two main types of slaves in ancient Assyria: chattel slaves, primarily foreigners who were kidnapped or who were spoils of war, and debt slaves, formerly free men and women who had been unable to pay off their debts. In some cases, Assyrian children were seized by authorities due to the debts of their parents and sold off into slavery when their parents were unable to pay. Children born to slave women automatically became slaves themselves, unless some other arrangement had been agreed to. Though Old Babylonian texts frequently mention the geographical and ethnic origin of slaves, there is only a single known such reference in Old Assyrian texts (whereas there are many describing slaves in a general sense), a slave girl explicitly being referred to as Subaraean, indicating that ethnicity was not seen as very important in terms of slavery. The surviving evidence suggests that the number of slaves in Assyria never reached a large share of the population. In the Akkadian language, several terms were used for slaves, commonly wardum, though this term could confusingly also be used for (free) official servants, retainers and followers, soldiers and subjects of the king. Because many individuals designated as wardum in Assyrian texts are described as handling property and carrying out administrative tasks on behalf of their masters, many may have in actuality been free servants and not slaves in the common meaning of the term. A number of wardum are however also recorded as being bought and sold.
Status of women
The main evidence concerning the lives of ordinary women in ancient Assyria is in administrative documents and law codes. There was no legal distinction between men and women in the Old Assyrian period and they had more or less the same rights in society. Since several letters written by women are known from the Old Assyrian period, it is evident that women were free to learn how to read and write. Both men and women paid the same fines, could inherit property, participated in trade, bought, owned, and sold houses and slaves, made their own last wills, and were allowed to divorce their partners. Records of Old Assyrian marriages confirm that the dowry to the bride belonged to her, not the husband, and it was inherited by her children after her death. Although they were equal legally, men and women in the Old Assyrian period were raised and socialized differently and had different social expectations and obligations. Typically, girls were raised by their mothers, taught to spin, weave, and help with daily tasks and boys were taught trades by masters, later often following their fathers on trade expeditions. Sometimes the eldest daughter of a family was consecrated as a priestess. She was not allowed to marry and became economically independent.
Wives were expected to provide their husbands with garments and food. Although marriages were typically monogamous, husbands were allowed to buy a female slave in order to produce an heir if his wife was infertile. The wife was allowed to choose that slave and the slave never gained the status of a second wife. Husbands who were away on long trading journeys were allowed to take a second wife in one of the trading colonies, although with strict rules that must be followed: the second wife was not allowed to accompany him back to Assur and both wives had to be provided with a home to live in, food, and wood.
The status of women decreased in the Middle Assyrian period, as can be gathered from laws concerning them among the Middle Assyrian Laws. Among these laws were punishments for various crimes, often sexual or marital ones. Although they did not deprive women of all their rights and they were not significantly different from other ancient Near Eastern laws of their time, the Middle Assyrian Laws effectively made women second-class citizens. However, it is not clear how strongly these laws were enforced. These laws gave men the right to punish their wives as they wished. Among the harshest punishments written into these laws, for a crime not even committed by the woman, was that a raped woman would be forcibly married to her rapist. These laws also specified that certain women were obliged to wear veils while out on the street, marital status being the determining factor. Some women, such as slave women and ḫarımtū women, were prohibited from wearing veils and others, such as certain priestesses, were only allowed to wear veils if they were married.
Not all laws were suppressive against women; women whose husbands died or were taken prisoner in war, and who did not have any sons or relatives to support them, were guaranteed support from the government. The ḫarımtū women have historically been believed to have been prostitutes, but today, are interpreted as women with an independent social existence, i.e. not tied to a husband, father, or institution. Although most ḫarımtū appear to have been poor, there were noteworthy exceptions. The term appears with negative connotations in several texts. Their mere existence makes it clear that it was possible for women to live independent lives, despite their lesser social standing during that period.
During the Neo-Assyrian period that followed, royal and upper-class women experienced increased influence. Women attached to the Neo-Assyrian royal court sent and received letters, were independently wealthy, and could buy and own lands of their own. The queens of the Neo-Assyrian Empire are better attested historically than queens of preceding periods of the culture. Under the Sargonid dynasty, they were granted their own military units, sometimes they are known to have partaken alongside other units in military campaigns.
Among the most influential women of the Neo-Assyrian period were Shammuramat, queen of Shamshi-Adad V (824–811 BC), who in the reign of her son Adad-nirari III (811–783 BC) might have been regent and participated in military campaigns. Another is Naqi'a, who influenced politics in the reigns of Sennacherib, Esarhaddon, and Ashurbanipal.
Economy
In the Old Assyrian period, a major portion of Assur's population was involved in the city's international trade. As can be gathered from hiring contracts and other records, the trade involved people of many different occupations, including porters, guides, donkey drivers, agents, traders, bakers and bankers. Because of the extensive cuneiform records known from the period, details of the trade are relatively well-known. It has been estimated that just in the period 1950–1836 BC, twenty-five tons of Anatolian silver was transported to Assur, and that approximately one hundred tons of tin and 100,000 textiles were transported to Anatolia in return. The Assyrians also sold livestock, processed goods and reed products. In many cases, the materials sold by Assyrian colonists came from far-away places; the textiles sold by Assyrians in Anatolia were imported from southern Mesopotamia and the tin came from the east in the Zagros Mountains.
After international trade declined in the 19th century BC, the Assyrian economy became increasingly oriented toward the state. In the Neo-Assyrian period, the wealth generated through private investments was dwarfed by the wealth of the state, which was by far the largest employer in the empire and had a monopoly on agriculture, manufacturing and exploitation of minerals. The imperial economy advantaged mainly the elite, since it was structured in a way that ensured that surplus wealth flowed to the government and was then used for the maintenance of the state throughout the empire. Though all means of production were owned by the state, there also continued to be a vibrant private economic sector within the empire, with property rights of individuals ensured by the government.
Personal identity and continuity
Ethnicity and culture are largely based in self-perception and self-designation. A distinct Assyrian identity seems to have formed already in the Old Assyrian period, when distinctly Assyrian burial practices, foods and dress codes are attested and Assyrian documents appear to consider the inhabitants of Assur to be a distinct cultural group. A wider Assyrian identity appears to have spread across northern Mesopotamia under the Middle Assyrian Empire, since later writings concerning the reconquests of the early Neo-Assyrian kings refer to some of their wars as liberating the Assyrian people of the cities they reconquered.
Surviving evidence suggests that the ancient Assyrians had a relatively open definition of what it meant to be Assyrian. Modern ideas such as a person's ethnic background, or the Roman idea of legal citizenship, do not appear to have been reflected in ancient Assyria. Although Assyrian accounts and artwork of warfare frequently describe and depict foreign enemies, they are not depicted with different physical features, but rather with different clothing and equipment. Assyrian accounts describe enemies as barbaric only in terms of their behavior, as lacking correct religious practices, and as doing wrongdoings against Assyria. All things considered, there does not appear to have been any well-developed concepts of ethnicity or race in ancient Assyria. What mattered for a person to be seen by others as Assyrian was mainly fulfillment of obligations (such as military service), being affiliated with the Assyrian Empire politically and maintaining loyalty to the Assyrian king. One of the inscriptions that attest to this view, as well as royal Assyrian policies enacted to encourage assimilation and cultural mixture, is Sargon II's account of the construction of Dur-Sharrukin. One of the passages of the inscription reads:
Although the text clearly differentiates the new settlers from those that had been "born Assyrians", the aim of Sargon's policy was also clearly to transform the new settlers into Assyrians through appointing supervisors and guides to teach them. Though the expansion of the Assyrian Empire, in combination with resettlements and deportations, changed the ethno-cultural make-up of the Assyrian heartland, there is no evidence to suggest that the more ancient Assyrian inhabitants of the land ever disappeared or became restricted to a small elite, nor that the ethnic and cultural identity of the new settlers was anything other than "Assyrian" after one or two generations.
Although the use of the term "Assyrian" by the modern Assyrian people has historically been the target of misunderstanding and controversy, both politically and academically, Assyrian continuity is generally scholarly accepted based on both historical and genetic evidence in the sense that the modern Assyrians are regarded to be descendants of the population of the ancient Assyrian Empire. Though the ancient Akkadian language and cuneiform script did not survive for long in Assyria after the empire was destroyed in 609 BC, Assyrian culture clearly did; the old Assyrian religion continued to be practised at Assur until the 3rd century AD, and at other sites for centuries thereafter, gradually losing ground to Christianity. At Mardin, believers in the old religion are known from as late as the 18th century. Individuals with names harkening back to ancient Mesopotamia are also attested at Assur until it was sacked for the last time in AD 240 and at other sites as late as the 13th century. Though many foreign states ruled over Assyria in the millennia following the empire's fall, there is no evidence of any large scale influx of immigrants that replaced the original population, which instead continued to make up a significant portion of the region's people until the Mongol and Timurid massacres in the late 14th century.
In pre-modern Syriac-language (the type of Aramaic used in Christian Mesopotamian writings) sources, the typical self-designations used are ʾārāmāyā ("Aramean") and suryāyā, with the term ʾāthorāyā ("Assyrian") rarely being used as a self-designation. The terms Assyria (ʾāthor) and Assyrian (ʾāthorāyā) were however used in several senses in pre-modern times; most notably being used for the ancient Assyrians and for the land surrounding Nineveh (and for the city of Mosul, built next to Nineveh's ruins). In Syriac translations of the Bible, the term ʾāthor is also used to refer to the ancient Assyrian Empire. In the sense of a citizen of Mosul, the designation ʾāthorāyā were used for some individuals in the pre-modern period. The reluctance of Christians to use ʾāthorāyā as a self-designation could perhaps be explained by the Assyrians described in the Bible being prominent enemies of Israel; the term ʾāthorāyā was sometimes employed in Syriac writings as a term for enemies of Christians. In this context, the term was sometimes applied to the Persians of the Sasanian Empire; the 4th-century Syriac writer Ephrem the Syrian for instance referred to the Sasanian Empire as "filthy ʾāthor, mother of corruption". In a similar fashion, the term was also sometimes applied to the later Muslim rulers.
The self-designation suryāyā, suryāyē or sūrōyē, sometimes translated as "Syrian", is believed to be derived from the Akkadian term assūrāyu ("Assyrian"), which was sometimes even in ancient times rendered in the shorter form sūrāyu. Some medieval Syriac Christian documents used āsūrāyē and sūrāyē, rather than āthōrāyē, also for the ancient Assyrians. Medieval and modern Armenian sources also connected assūrāyu and suryāyā, consistently referring to the Aramaic-speaking Christians of Mesopotamia and Syria as Asori.
Despite the complex issue of self-designations, pre-modern Syriac-language sources at times identified positively with the ancient Assyrians and drew connections between the ancient empire and themselves. Most prominently, ancient Assyrian kings and figures long appeared in local folklore and literary tradition and claims of descent from ancient Assyrian royalty were forwarded both for figures in folklore and by actual living high-ranking members of society in northern Mesopotamia. Visits by missionaries from various western churches to the Assyrian heartland in the 18th century likely contributed to the Assyrian people more strongly relating their self-designation and identity to ancient Assyria; in the context of interactions with westerners who connected them to the ancient Assyrians, and due to an increasing number of atrocities and massacres directed against them, the Assyrian people experienced a cultural "awakening" or "renaissance" toward the end of the 19th century, which led to the development of a national ideology more strongly rooted in their descent from ancient Assyria and a re-adoption of self-designations such as ʾāthorāyā and ʾāsurāyā. Today, sūryōyō or sūrāyā are the predominant self-designations used by Assyrians in their native language, though they are typically translated as "Assyrian" rather than "Syrian".
Culture
Languages
Akkadian
The ancient Assyrians primarily spoke and wrote the Assyrian language, a Semitic language (i.e. related to modern Hebrew and Arabic) closely related to Babylonian, spoken in southern Mesopotamia. Both Assyrian and Babylonian are generally regarded by modern scholars to be dialects of the Akkadian language. This is a modern convention since contemporary ancient authors considered Assyrian and Babylonian to be two separate languages; only Babylonian was referred to as akkadûm, with Assyrian being referred to as aššurû or aššurāyu. Though both were written with cuneiform script, the signs look quite different and can be distinguished relatively easily. Given the vast timespan covered by ancient Assyria, the Assyrian language developed and evolved over time. Modern scholars broadly categorize it into three different periods, roughly (though far from precisely) corresponding to the periods used to divide Assyrian history: the Old Assyrian language (2000–1500 BC), Middle Assyrian language (1500–1000 BC) and Neo-Assyrian language (1000–500 BC). Because the record of Assyrian tablets and documents is still somewhat spotty, many of the stages of the language remain poorly known and documented.
The signs used in Old Assyrian texts are for the most part less complex than those used during the succeeding Middle and Neo-Assyrian periods and they were fewer in number, amounting to no more than 150–200 unique signs, most of which were syllabic signs (representing syllables). Due to the limited number of signs used, Old Assyrian is relatively easier to decipher for modern researchers than later forms of the language, though the limited number of signs also means that there are in cases several possible alternative phonetic values and readings. This means that while it is easy to decipher the signs, many researchers remain uncomfortable with the language itself. Though it was a more archaic variant of the later Assyrian language, Old Assyrian also contains several words that are not attested in later periods, some being peculiar early forms of words and others being names for commercial terms or various textile and food products from Anatolia.
In the Middle and Neo-Assyrian empires, the later versions of the Assyrian language were not the only versions of Akkadian used. Though Assyrian was typically used in letters, legal documents, administrative documents, and as a vernacular, Standard Babylonian was also used in an official capacity. Standard Babylonian was a highly codified version of ancient Babylonian, as used around 1500 BC, and was used as a language of high culture, for nearly all scholarly documents, literature, poetry and royal inscriptions. The culture of the Assyrian elite was strongly influenced by Babylonia in the south; in a vein similar to how Greek civilization was respected in, and influenced, ancient Rome, the Assyrians had much respect for Babylon and its ancient culture.
Because of the multilingual nature of the vast empire, many loan words are attested as entering the Assyrian language during the Neo-Assyrian period. The number of surviving documents written in cuneiform grow considerably fewer in the late reign of Ashurbanipal, which suggests that the language was declining since it is probably attributable to an increased use of Aramaic, often written on perishable materials such as leather scrolls or papyrus. The ancient Assyrian language did not disappear completely until around the end of the 6th century BC, well into the subsequent post-imperial period.
Aramaic and other languages
Because the Assyrians never imposed their language on foreign peoples whose lands they conquered outside of the Assyrian heartland, there were no mechanisms in place to stop the spread of languages other than Akkadian. Beginning with the migrations of Arameans into Assyrian territory during the Middle Assyrian period, this lack of linguistic policies facilitated the spread of the Aramaic language. As the most widely spoken and mutually understandable of the Semitic languages (the language group containing many of the languages spoken through the empire), Aramaic grew in importance throughout the Neo-Assyrian period and increasingly replaced the Neo-Assyrian language even within the Assyrian heartland itself. From the 9th century BC onward, Aramaic became the de facto lingua franca of the Neo-Assyrian Empire, with Neo-Assyrian and other forms of Akkadian becoming relegated to a language of the political elite.
From the time of Shalmaneser III, in the 9th century BC, Aramaic was used in state-related contexts alongside Akkadian and by the time of Tiglath-Pileser III, the kings employed both Akkadian and Aramaic-language royal scribes, confirming the rise of Aramaic to a position of an official language used by the imperial administration. During the time after the fall of the Neo-Assyrian Empire, the old Assyrian language was completely abandoned in Mesopotamia in favor of Aramaic. By 500 BC, Akkadian was probably no longer a spoken language.
Modern Assyrian people refer to their language as "Assyrian" (Sūrayt or Sūreth). Though it has little in common with the Assyrian dialect of the Akkadian language, it is a modern version of the ancient Mesopotamian Aramaic. The language retains some influence of ancient Akkadian, particularly in the form of loanwords. Modern Assyrian varieties of Aramaic are often referred to by scholars as Neo-Aramaic or Neo-Syriac. As a liturgical language, many Assyrians also speak Syriac, a codified version of classical Aramaic as spoken at Edessa during the Christianization of Assyria.
Another language sometimes used in ancient Assyria as a language of scholarship and culture, though only in written form, was the ancient Sumerian language. At the height of the Neo-Assyrian Empire, various other local languages were also spoken within the imperial borders, though none achieved the same level of official recognition as Aramaic.
Architecture
There are three surviving forms of primary evidence for the architecture of ancient Assyria. The most important form is the surviving buildings themselves, found through archaeological excavations, but important evidence can also be gathered from both contemporary documentation, such as letters and administrative documents that describe buildings that might not have been preserved, as well as documentation by later kings concerning the building works of previous kings. Assyrian buildings and construction works were almost always constructed out of mudbrick. Limestone was also used, though primarily only in works such as aqueducts and river walls, exposed to running water, and defensive fortifications.
In order to support large buildings, they were often built on top of foundation platforms or on mud brick foundations. Floors were typically made of rammed earth, covered in important rooms with carpets or reed mats. Floors in locations that were exposed to the elements, such as outside on terraces or in courtyards, were paved with stone slabs or backed bricks. Roofs, particularly in larger rooms, were supported through the use of wooden beams.
The ancient Assyrians accomplished several technologically complex construction projects, including constructions of whole new capital cities, which indicates sophisticated technical knowledge. Though in large part following previous Mesopotamian architecture, there are several characteristic features of ancient Assyrian architecture. Some examples of features of ancient Assyrian architecture include stepped merlons, vaulted roofs, and palaces to a large degree often being made up of sets of self-contained suites.
Art
A relatively large number of statues and figurines have been recovered from the ruins of temples in Assur dating to the Early Assyrian period. Most of the surviving artwork from this time was clearly influenced by the artwork of foreign powers. For instance, a set of 87 alabaster figures of male and female worshippers from Assur before the rise of the Akkadian Empire greatly resembles Early Dynastic Sumerian figures. Because of variation in artwork elsewhere, the artwork of early Assur was also highly variable depending on the time period, ranging from highly stylized to highly naturalistic.
Among the most unique finds from the Early period is the head of a woman of which her eyes, eyebrows, and elaborate hair covering were originally inlaid. This head is typical of the art style of the Akkadian period, with an overall naturalistic style, smooth and soft curves and a full mouth. Another unique art piece from the early period is an ivory figurine of a nude woman, and fragments of at least five additional similar figurines. The ivory used might have come from Indian elephants, which would indicate trade between early Assur and the early tribes and states of Iran. Among other artwork known from the early period are a handful of large stone statues of rulers (governors and foreign kings), figures of animals, and stone statues of naked women.
The artwork known from the Old Assyrian period, other than a few objects such as a partial stone statue perhaps depicting Erishum I, is largely limited to seals and impressions of seals on cuneiform documents. Royal seals from the Puzur-Ashur dynasty of kings, prior to the rise of Shamshi-Adad I, are very similar to the seals of the kings of the Third Dynasty of Ur. In the Middle Assyrian period, from Ashur-uballit I onward, seals looked quite different and appear to emphasize royal power, rather than the theological and cosmic sources of the king's right to rule. Among non-royal seals of the Middle Assyrian period a wide assortment of different motifs are known, including both religious scenes and peaceful scenes of animals and trees. From the time of Tukulti-Ninurta I onward, seals also sometimes featured contests and struggles between humans, various animals, and mythological creatures.
Several other new artistic innovations were also made in the Middle Assyrian period. In the temple dedicated to Ishtar in Assur, four cult pedestals (or "altars") from the time of Tukulti-Ninurta I have been discovered. These altars were decorated with various motifs, common inclusions being the king (sometimes multiple times) and protective divine figures and standards. One of the pedestals preserves along the lower step of its base a relief image which is the earliest known narrative image in Assyrian art history. This relief, which is not very well-preserved, appears to depict rows of prisoners before the Assyrian king. The earliest known Assyrian wall paintings are also from the time of Tukulti-Ninurta I, from his palace in Kar-Tukulti-Ninurta. Motifs included plant-based patterns (rosettes and palmettes), trees and bird-headed genies. The colors used to paint the walls included black, red, blue, and white. An unusual limestone statue of a nude woman is known from Nineveh from the time of Ashur-bel-kala (1074–1056 BC). An entirely new type of monument introduced in the 11th century BC were obelisks; four-sided stone stelae decorated all around with both images and text. Obelisks saw continued use until at least the 9th century BC.
Compared to other periods, a larger amount of artwork survives from the Neo-Assyrian period, particularly monumental art made under the patronage of the kings. The most well-known form of Neo-Assyrian monumental art are wall reliefs, carved stone artwork that lined the internal and external walls of temples and palaces. Another well-known form of Neo-Assyrian art are colossi, often human-headed lions or bulls (lamassu), that were placed at the gates of temples, palaces and cities. The earliest known examples of both wall reliefs and colossi are from the reign of Ashurnasirpal II, who might have been inspired by the Hittite monumental art that he saw on his campaigns to the Mediterranean. Wall paintings such as those made under Tukulti-Ninurta I in the Middle Assyrian period also continued to be used, sometimes to supplement wall reliefs and sometimes instead of them. Interior walls could be decorated by covering the mudbrick used in construction with painted mud plaster and exterior walls were at times decorated with glazed and painted tiles or bricks. The most extensive known surviving sets of wall reliefs are from the reign of Sennacherib. In terms of Neo-Assyrian artwork, modern scholars have paid particular attention to the reliefs produced under Ashurbanipal, which have been described as possessing a distinct "epic quality" unlike the art under his predecessors.
Scholarship and literature
Ancient Assyrian literature drew heavily on Babylonian literary traditions. Both the Old and Middle Assyrian periods are limited in terms of surviving literary texts. The most important surviving Old Assyrian literary work is Sargon, Lord of Lies, a text found in a well-preserved version on a cuneiform tablet from Kültepe. Once thought to have been a parody, the tale is a first-person narrative of the reign of Sargon of Akkad, the founder of the Akkadian Empire. The text follows Sargon as he gains strength from the god Adad, swears by Ishtar, the "lady of combat", and speaks with the gods. Surviving Middle Assyrian literature is only slightly more diverse. A distinct Assyrian scholarship tradition, though still drawing on Babylonian tradition, is conventionally placed as beginning around the time of the beginning of the Middle Assyrian period. The rising status of scholarship at this time might be connected to the kings beginning to regard amassing knowledge as a way to strengthen their power. Known Middle Assyrian works include the Tukulti-Ninurta Epic (a narrative of the reign of Tukulti-Ninurta I and his exploits), fragments of other royal epics, The Hunter (a short martial poem) and some royal hymns.
The clear majority of surviving ancient Assyrian literature is from the Neo-Assyrian period. The kings of the Neo-Assyrian Empire began to see preserving knowledge as one of their responsibilities, and not (as previous kings had) a responsibility of private individuals and temples. This development might have originated with the kings no longer viewing the divination performed by their diviners as enough and wished to have access to the relevant texts themselves. The office of chief scholar is first attested in the reign of the Neo-Assyrian king Tukulti-Ninurta II.
Most of the surviving ancient Assyrian literature comes from the Neo-Assyrian Library of Ashurbanipal, which included more than 30,000 documents. Libraries were built in the Neo-Assyrian period to preserve knowledge of the past and maintain scribal culture. Neo-Assyrian texts fall into a wide array of genres, including divinatory texts, divination reports, treatments for the sick (either medical or magical), ritual texts, incantations, prayers and hymns, school texts and literary texts. An innovation of the Neo-Assyrian period were the annals, a genre of texts recording the events of the reigns of a king, particularly military exploits. Annals were disseminated throughout the empire and probably served propagandistic purposes, supporting the legitimacy of the king's rule. Various purely literary works, previously aligned by scholars with propaganda, are known from the Neo-Assyrian period. Such works include, among others, the Underworld Vision of an Assyrian Crown Prince, the Sin of Sargon and the Marduk Ordeal. In addition to their own works, the Assyrians also copied and preserved earlier Mesopotamian literature. The inclusion of texts such as the Epic of Gilgamesh, the Enûma Eliš (the Babylonian creation myth), Erra, the Myth of Etana and the Epic of Anzu in the Library of Ashurbanipal is the primary reason for how such texts have survived to the present day.
Religion
Ancient Assyrian religion
Knowledge of the ancient polytheistic Assyrian religion, referred to as "Ashurism" by some modern Assyrians, is mostly limited to state cults given that little can be ascertained of the personal religious beliefs and practices of the common people of ancient Assyria. The Assyrians worshipped the same pantheon of gods as the Babylonians in southern Mesopotamia. The chief Assyrian deity was the national deity Ashur. Though the deity and the ancient capital city are commonly distinguished by modern historians through calling the god Ashur and the city Assur, both were inscribed in the exact same way in ancient times (Aššur). In documents from the preceding Old Assyrian period, the city and god are often not clearly differentiated, which suggests that Ashur originated sometime in the Early Assyrian period as a deified personification of the city itself. Below Ashur, the other Mesopotamian deities were organized in a hierarchy, with each having their own assigned roles (the sun-god Shamash was for instance regarded as a god of justice and Ishtar was seen as a goddess of love and war) and their own primary seats of worship (Ninurta was for instance primarily worshipped at Nimrud and Ishtar primarily at Arbela). Quintessentially Babylonian deities such as Enlil, Marduk, and Nabu were worshipped in Assyria just as much as in Babylonia, and several traditionally Babylonian rituals, such as the akitu festival, were borrowed in the north.
Ashur's role as the chief deity was flexible and changed with the changing culture and politics of the Assyrians themselves. In the Old Assyrian period, Ashur was mainly regarded as a god of death and revival, related to agriculture. Under the Middle and Neo-Assyrian Empire, Ashur's role was expanded and thoroughly altered. Possibly originating as a reaction to the period of suzerainty under the Mittani kingdom, Middle Assyrian theology presented Ashur as a god of war, who bestowed the Assyrian kings not only with divine legitimacy, something retained from the Old Assyrian period, but also commanded the kings to enlarge Assyria ("the land of Ashur") with Ashur's "just scepter", i.e. expand the Assyrian Empire through military conquest. This militarization of Ashur might also have derived from the Amorite conqueror Shamshi-Adad I equating Ashur with the southern Enlil during his rule over northern Mesopotamia in the 18th and 17th centuries BC. In the Middle Assyrian period, Ashur is attested with the title "king of the gods", a role previous civilizations in both northern and southern Mesopotamia ascribed to Enlil. The development of equating Ashur with Enlil, or at least transferring Enlil's role to Ashur, was paralleled in Babylon, where the previously unimportant local god Marduk was elevated in the reign of Hammurabi (18th century BC) to the head of the pantheon, modelled after Enlil.
Assyrian religion was centered in temples, monumental structures that included a central shrine which housed the cult statue of the temple's god, and several subordinate chapels with space for statues of other deities. Temples were typically self-contained communities; they had their own economic resources, chiefly in the form of land holdings, and their own hierarchically organized personnel. In later times, temples became increasingly dependent on royal benefits, in the shape of specific taxes, offerings and donations of booty and tribute. The head of a temple was titled as the "chief administrator" and was responsible to the Assyrian king since the king was regarded to be Ashur's representative in the mortal world. Records from temples showcase that divination in the form of astrology and extispicy (studying the entrails of dead animals) were important parts of the Assyrian religion since they were believed to be means through which deities communicated with the mortal world.
Unlike many other ancient empires, the Neo-Assyrian Empire did at its height not impose its culture and religion on conquered regions; there were no significant temples built for Ashur outside of northern Mesopotamia. In the post-imperial period, after the fall of the Neo-Assyrian Empire, the Assyrians continued to venerate Ashur and the rest of the pantheon, though without the Assyrian state, religious beliefs in many parts of the Assyrian heartland diverged and developed in different directions. From the time of Seleucid rule over the region (4th to 2nd century BC) onward, there was a strong influence of the ancient Greek religion, with many Greek deities becoming syncretized with Mesopotamian deities. There was also some influence of Judaism, given that the kings of Adiabene, a vassal kingdom covering much of the old Assyrian heartland, converted to Judaism in the 1st century AD. In the 1st century BC onward, as a frontier region between the Roman and the Parthian empires, Assyria was likely highly religiously complex and diverse. Under Parthian rule, both old and new gods were worshipped at Assur. As late as the time of the city's second destruction in the 3rd century AD, the most important deity was still Ashur, known during this time as Assor or Asor. Worship of Ashur during this time was carried out in the same way as it had been in ancient times, per a cultic calendar effectively identical to that used under the Neo-Assyrian Empire 800 years prior. The ancient Mesopotamian religion persisted in some places for centuries after the end of the post-imperial period, such as at Harran until at least the 10th century (the "Sabians" of Harran) and at Mardin until as late as the 18th century (the Shamsīyah).
Christianity
The Church of the East developed early in Christian history. Though tradition holds that Christianity was first spread to Mesopotamia by Thomas the Apostle, the exact timespan when the Assyrians were first Christianized is unknown. The city of Arbela was an important early Christian center; according to the later Chronicle of Arbela, Arbela became the seat of a bishop already in AD 100, but the reliability of this document is questioned among scholars. It is however known that both Arbela and Kirkuk later served as important Christian centers in the Sasanian and later Islamic periods. According to some traditions, Christianity took hold in Assyria when Saint Thaddeus of Edessa converted King Abgar V of Osroene in the mid-1st century AD. From the 3rd century AD onward, it is clear that Christianity was becoming the major religion of the region, with Christ replacing the old Mesopotamian deities. Assyrians had by this time already intellectually contributed to Christian thought; in the 1st century AD, the Christian Assyrian writer Tatian composed the influential Diatessaron, a synoptic rendition of the gospels.
Though Christianity is today an intrinsic part of Assyrian identity, Assyrian Christians have over the centuries splintered into a number of different Christian denominations. Though the prominent Assyrian Church of the East, the followers of which have often been termed "Nestorians", continues to exist, other prominent eastern churches include the Chaldean Catholic Church, which split off in the 16th century, the Syriac Orthodox Church, the Syriac Catholic Church, and the Ancient Church of the East, which branched off from the Assyrian Church of the East in 1968.
Though these churches have been distinct for centuries, they still follow much of the same liturgical, spiritual and theological foundation. There are also Assyrian followers of various denominations of Protestantism, chiefly due to missions by American missionaries of the Presbyterian Church.
Because the Assyrian Church of the East remains dismissed as "Nestorian" and heretical by many other branches of Christianity, it has not been admitted into the Middle East Council of Churches and it does not take part in the Joint International Commission for Theological Dialogue Between the Catholic Church and the Orthodox Church. This does not mean that efforts to approach ecumenism have not been undertaken. In 1994, Pope John Paul II and Patriarch Dinkha IV signed the Common Christological Declaration Between the Catholic Church and the Assyrian Church of the East, with some further efforts also having been made in the years since. Historically, the main obstacle in the way of ecumenism has been the ancient text Liturgy of Addai and Mari, used in the Assyrian churches, wherein the anaphora does not contain the Words of Institution, seen as indispensable by the Catholic Church. This obstacle was removed in 2001, when the Catholic Congregation for the Doctrine of the Faith determined that the text could be considered valid in Catholicism as well, despite the absence of the words. Some efforts have also been made to approach reunification of the Assyrian and Chaldean churches. In 1996, Dinkha IV and Patriarch Raphael I Bidawid of the Chaldean Church signed a list of common proposals to move toward unity, approved by synods of both churches in 1997.
See also
Ancient Near East
Chronology of the ancient Near East
History of Mesopotamia
Geography of Mesopotamia
Music of Mesopotamia
List of Mesopotamian dynasties
Beth Nahrain
Beth Garmai
History of the Middle East
History of Iraq
Assyrian nationalism
List of Assyrian settlements
List of Assyrian tribes
Assyrian cuisine
Notes
References
Bibliography
Web sources
External links
Ancient Levant
Ancient Mesopotamia
Ancient Near East
Bronze Age countries in Asia
Iron Age countries in Asia
9th century BC
8th century BC
7th century BC
States and territories established in the 3rd millennium BC
States and territories disestablished in the 7th century BC
7th-century BC disestablishments
Eastern Mediterranean
Former empires
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Ark or ARK may refer to:
Biblical narratives and religion
Hebrew word teva
Noah's Ark, a massive vessel said to have been built to save the world's animals from a flood
Ark of bulrushes, the boat of the infant Moses
Hebrew aron
Ark of the Covenant, chest for the tablets of the Ten Commandments
Torah ark, a cabinet used to store a synagogue's Torah scrolls
Businesses and organizations
Ark (charity), UK
Ark (toy company), a former company
Ark Invest, American asset management firm
ARK Music Factory, a record label, Los Angeles, California, US
The Ark, a weekly newspaper in Tiburon, California
ARK Theatre Company in Los Angeles, California, US
Media, arts and entertainment
Fiction
Works of fiction
The Ark (Doctor Who), a 1966 Doctor Who serial
Ark, a 1970 apocalyptic short film directed by Rolf Forsberg
Ark II, a 1976 children's science fiction television series
ARK (1996), a book of poetry by Ronald Johnson
Ark (film), a 2005 animated science fiction film directed by Subro Adonis
"The Ark" (Stargate Atlantis), a 2007 episode of Stargate Atlantis
Ark (novel), a 2009 novel by Stephen Baxter
Ark (web series), a 2010 science fiction series by Trey Stokes
The Ark (film), a 2015 BBC TV film
Ark: Survival Evolved, a 2017 video game
The Ark (TV series), a 2023 SyFy television series
Fictional story elements
Ark (Gravitation), character in Gravitation
Ark (Noon Universe), a planet
Ark (Transformers), a spacecraft
The Ark (Halo), control station
ARK, space colony in video games Sonic Adventure 2 and Shadow the Hedgehog
Ark, character in video game Terranigma
The Ark, space stations housing humanity in The 100 (TV series)
The Ark, a floating city and the main setting of the game Brink
The Ark, fictional English pop rock band from Alice Oseman's third novel I Was Born For This
Music
Bands
Ark (British band), a 1985 melodic rock band
Ark (Bangladeshi band), a 1991 Bangladeshi rock band
The Ark (Swedish band), a 1991 Swedish glam-rock band
Ark (Norwegian band), a 1999 progressive metal band
Albums
Ark (The Animals album), 1983, by The Original Animals
The Ark (album), 1991 album by Frank Zappa
The Ark (EP), 1996, by Swedish band The Ark
Ark (L'Arc-en-Ciel album), 1999, by Japanese rock band L'Arc-en-Ciel
Here Comes the Indian, 2003 album by Animal Collective, reissued in 2020 as Ark
Ark (Brendan Perry album), 2010, by Brendan Perry
Ark (We Are the Ocean album), 2015, by We Are the Ocean
Ark (In Hearts Wake album), 2017, by In Hearts Wake
Songs
"The Ark", 2008, by Dr. Dog from Fate
Poetry
"Ark", 2019 poem by Simon Armitage to commemorate launch of RRS Sir David Attenborough
Video games
Ark: Survival Evolved, a 2017 action adventure survival video game
Places
Buildings
The Ark (fortress), 5th century AD, Bukhara, Uzbekistan
The Ark (Duke University), an 1898 dance studio
The Ark (folk venue), since 1965, Ann Arbor, Michigan, US
The Ark (Prince Edward Island), a 1975 bioshelter in Canada
The Ark (Tadcaster), historic building in England
The Ark, London, a 1989 office block in Hammersmith, London, UK
Ark Encounter, a 2016 creationist theme park, Kentucky, US
Inhabited places
Ark., an alternative abbreviation for Arkansas, United States
Ark, Iran (disambiguation)
Ark, Missouri, a ghost town in the United States
Ark, Virginia, in Gloucester County, Virginia, United States
Autonomous Region of Krajina, in Bosnia and Herzegovina
Other places
The Ark (Antarctica), a rock summit in Antarctica
Transportation
Ark (river boat), a temporary boat used in river transport in eastern North America
, a prestigious ship name in the British Royal Navy, often the name of the Fleet Flagship, has been given to five ships
The Ark (ship), a ship used in founding the Province of Maryland
The Ark, a ship used as a Scottish Marine Station, now the basis of the University Marine Biological Station Millport
The Ark, an unfinished sculpture in the form of a functional ship created by artist Kea Tawana between 1982 and 1988 in Newark, New Jersey
Interstellar ark, a conceptual multi-lifetime space vehicle
Ararat International Airlines, by ICAO airline designator
Arusha Airport, by IATA airport code
Arkadelphia (Amtrak station), by Amtrak station code
Armoured Ramp Carrier, a specialist armoured vehicle
Technology
ARK (Archival Resource Key), a type of URL that serves as a persistent identifier for scientific and cultural objects
, a software distribution founded by Bernhard Rosenkränzer
Ark (search engine), a people search engine
Ark (software), an archiving tool
Hongmeng OS, an Android-compatible mobile operating system by Huawei
Archaeological Recording Kit, a database and GIS web-based recording system for archaeology
Other uses
Ark Prize of the Free Word, a literary prize
ARK (Atomska Ratna Komanda), a nuclear command bunker near Konjic, Bosnia and Herzegovina
Netherlands Court of Audit (Algemene Rekenkamer)
ARK (Access Research Knowledge), Northern Ireland Social and Political Archive
See also
Chicken ark, a mobile shelter for domestic chickens
Knowledge ark, a collection of knowledge preserved in such a way that future generations would have access to said knowledge if current means of access were lost
Arc (disambiguation)
ARC (disambiguation)
Arch (disambiguation)
Arkana (disambiguation)
ARRC (disambiguation)
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In aphasia (sometimes called dysphasia), a person may be unable to comprehend or unable to formulate language because of damage to specific brain regions. The major causes are stroke and head trauma; prevalence is hard to determine but aphasia due to stroke is estimated to be 0.1–0.4% in the Global North. Aphasia can also be the result of brain tumors, epilepsy, brain damage and brain infections, or neurodegenerative diseases (such as dementias).
To be diagnosed with aphasia, a person's language must be significantly impaired in one (or more) of the four aspects of communication. Alternatively, in the case of progressive aphasia, it must have significantly declined over a short period of time. The four aspects of communication are spoken language production and comprehension, and written language production and comprehension, impairments in any of these aspects can impact on functional communication.
The difficulties of people with aphasia can range from occasional trouble finding words, to losing the ability to speak, read, or write; intelligence, however, is unaffected. Expressive language and receptive language can both be affected as well. Aphasia also affects visual language such as sign language. In contrast, the use of formulaic expressions in everyday communication is often preserved. For example, while a person with aphasia, particularly expressive aphasia (Broca's aphasia), may not be able to ask a loved one when their birthday is, they may still be able to sing "Happy Birthday". One prevalent deficit in the aphasias is anomia, which is a difficulty in finding the correct word.
With aphasia, one or more modes of communication in the brain have been damaged and are therefore functioning incorrectly. Aphasia is not caused by damage to the brain that results in motor or sensory deficits, which produces abnormal speech; that is, aphasia is not related to the mechanics of speech but rather the individual's language cognition (although a person can have both problems, as an example, if they have a haemorrhage that damaged a large area of the brain). An individual's language is the socially shared set of rules, as well as the thought processes that go behind communication (as it affects both verbal and nonverbal language). It is not a result of a more peripheral motor or sensory difficulty, such as paralysis affecting the speech muscles or a general hearing impairment.
Neurodevelopmental forms of auditory processing disorder are differentiable from aphasia in that aphasia is by definition caused by acquired brain injury, but acquired epileptic aphasia has been viewed as a form of APD.
Signs and symptoms
People with aphasia may experience any of the following behaviors due to an acquired brain injury, although some of these symptoms may be due to related or concomitant problems, such as dysarthria or apraxia, and not primarily due to aphasia. Aphasia symptoms can vary based on the location of damage in the brain. Signs and symptoms may or may not be present in individuals with aphasia and may vary in severity and level of disruption to communication. Often those with aphasia may have a difficulty with naming objects, so they might use words such as thing or point at the objects. When asked to name a pencil they may say it is a "thing used to write".
Inability to comprehend language
Inability to pronounce, not due to muscle paralysis or weakness
Inability to form words
Inability to recall words (anomia)
Poor enunciation
Excessive creation and use of personal neologisms
Inability to repeat a phrase
Persistent repetition of one syllable, word, or phrase (stereotypies, recurrent/recurring utterances/speech automatism) also known as perseveration.
Paraphasia (substituting letters, syllables or words)
Agrammatism (inability to speak in a grammatically correct fashion)
speaking in incomplete sentences
Inability to read
Inability to write
Limited verbal output
Difficulty in naming
Speech disorder
Speaking gibberish
Inability to follow or understand simple requests
Related behaviors
Given the previously stated signs and symptoms, the following behaviors are often seen in people with aphasia as a result of attempted compensation for incurred speech and language deficits:
Self-repairs: Further disruptions in fluent speech as a result of mis-attempts to repair erred speech production.
Struggle in non-fluent aphasias: A severe increase in expelled effort to speak after a life where talking and communicating was an ability that came so easily can cause visible frustration.
Preserved and automatic language: A behavior in which some language or language sequences that were used so frequently prior to onset are still produced with more ease than other language post onset.
Subcortical
Subcortical aphasias characteristics and symptoms depend upon the site and size of subcortical lesion. Possible sites of lesions include the thalamus, internal capsule, and basal ganglia.
Cognitive deficits
While aphasia has traditionally been described in terms of language deficits, there is increasing evidence that many people with aphasia commonly experience co-occurring non-linguistic cognitive deficits in areas such as attention, memory, executive functions and learning. By some accounts, cognitive deficits, such as attention and working memory constitute the underlying cause of language impairment in people with aphasia. Others suggest that cognitive deficits often co-occur but are comparable to cognitive deficits in stroke patients without aphasia and reflect general brain dysfunction following injury. The degree to which deficits in attention and other cognitive domains underlie language deficits in aphasia is still unclear.
In particular, people with aphasia often demonstrate short-term and working memory deficits. These deficits can occur in both the verbal domain as well as the visuospatial domain. Furthermore, these deficits are often associated with performance on language specific tasks such as naming, lexical processing, and sentence comprehension, and discourse production. Other studies have found that most, but not all people with aphasia demonstrate performance deficits on tasks of attention, and their performance on these tasks correlate with language performance and cognitive ability in other domains. Even patients with mild aphasia, who score near the ceiling on tests of language often demonstrate slower response times and interference effects in non-verbal attention abilities.
In addition to deficits in short-term memory, working memory, and attention, people with aphasia can also demonstrate deficits in executive function. For instance, people with aphasia may demonstrate deficits in initiation, planning, self-monitoring, and cognitive flexibility. Other studies have found that people with aphasia demonstrate reduced speed and efficiency during completion executive function assessments.
Regardless of their role in the underlying nature of aphasia, cognitive deficits have a clear role in the study and rehabilitation of aphasia. For instance, the severity of cognitive deficits in people with aphasia has been associated with lower quality of life, even more so than the severity of language deficits. Furthermore, cognitive deficits may influence the learning process of rehabilitation and language treatment outcomes in aphasia. Non-linguistic cognitive deficits have also been the target of interventions directed at improving language ability, though outcomes are not definitive. While some studies have demonstrated language improvement secondary to cognitively-focused treatment, others have found little evidence that the treatment of cognitive deficits in people with aphasia has an influence on language outcomes.
One important caveat in the measurement and treatment of cognitive deficits in people with aphasia is the degree to which assessments of cognition rely on language abilities for successful performance. Most studies have attempted to circumvent this challenge by utilizing non-verbal cognitive assessments to evaluate cognitive ability in people with aphasia. However, the degree to which these tasks are truly 'non-verbal' and not mediated by language in unclear. For instance, Wall et al. found that language and non-linguistic performance was related, except when non-linguistic performance was measured by 'real life' cognitive tasks.
Causes
Aphasia is most often caused by stroke, where about a quarter of patients who experience an acute stroke develop aphasia. However, any disease or damage to the parts of the brain that control language can cause aphasia. Some of these can include brain tumors, traumatic brain injury, epilepsy and progressive neurological disorders. In rare cases, aphasia may also result from herpesviral encephalitis. The herpes simplex virus affects the frontal and temporal lobes, subcortical structures, and the hippocampal tissue, which can trigger aphasia. In acute disorders, such as head injury or stroke, aphasia usually develops quickly. When caused by brain tumor, infection, or dementia, it develops more slowly.
Substantial damage to tissue anywhere within the region shown in blue (on the figure in the infobox above) can potentially result in aphasia. Aphasia can also sometimes be caused by damage to subcortical structures deep within the left hemisphere, including the thalamus, the internal and external capsules, and the caudate nucleus of the basal ganglia. The area and extent of brain damage or atrophy will determine the type of aphasia and its symptoms. A very small number of people can experience aphasia after damage to the right hemisphere only. It has been suggested that these individuals may have had an unusual brain organization prior to their illness or injury, with perhaps greater overall reliance on the right hemisphere for language skills than in the general population.
Primary progressive aphasia (PPA), while its name can be misleading, is actually a form of dementia that has some symptoms closely related to several forms of aphasia. It is characterized by a gradual loss in language functioning while other cognitive domains are mostly preserved, such as memory and personality. PPA usually initiates with sudden word-finding difficulties in an individual and progresses to a reduced ability to formulate grammatically correct sentences (syntax) and impaired comprehension. The etiology of PPA is not due to a stroke, traumatic brain injury (TBI), or infectious disease; it is still uncertain what initiates the onset of PPA in those affected by it.
Epilepsy can also include transient aphasia as a prodromal or episodic symptom. However, the repeated seizure activity within language regions may also lead to chronic, and progressive aphasia. Aphasia is also listed as a rare side-effect of the fentanyl patch, an opioid used to control chronic pain.
Diagnosis
Neuroimaging methods
Magnetic resonance imaging (MRI) and functional magnetic resonance imaging (fMRI) are the most common neuroimaging tools used in identifying aphasia and studying the extent of damage in the loss of language abilities. This is done by doing MRI scans and locating the extent of lesions or damage within brain tissue, particularly within areas of the left frontal and temporal regions- where a lot of language related areas lie. In fMRI studies a language related task is often completed and then the BOLD image is analyzed. If there are lower than normal BOLD responses that indicate a lessening of blood flow to the affected area and can show quantitatively that the cognitive task is not being completed.
There are limitations to the use of fMRI in aphasic patients particularly. Because a high percentage of aphasic patients develop it because of stroke there can be infarct present which is the total loss of blood flow. This can be due to the thinning of blood vessels or the complete blockage of it. This is important in fMRI as it relies on the BOLD response (the oxygen levels of the blood vessels), and this can create a false hyporesponse upon fMRI study. Due to the limitations of fMRI such as a lower spatial resolution, it can show that some areas of the brain are not active during a task when they in reality are. Additionally, with stroke being the cause of many cases of aphasia the extent of damage to brain tissue can be difficult to quantify therefore the effects of stroke brain damage on the functionality of the patient can vary.
Neural substrates of aphasia subtypes
MRI is often used to predict or confirm the subtype of aphasia present. Researchers compared 3 subtypes of aphasia- nonfluent-variant primary progressive aphasia (nfPPA), logopenic-variant primary progressive aphasia (lvPPA), and semantic-variant primary progressive aphasia (svPPA), with primary progressive aphasia (PPA) and Alzheimer's disease. This was done by analyzing the MRIs of patients with each of the subsets of PPA. Images which compare subtypes of aphasia as well as for finding the extent of lesions are generated by overlapping images of different participant's brains (if applicable) and isolating areas of lesions or damage using third party software such as MRIcron. MRI has also been used to study the relationship between the type of aphasia developed and the age of the person with aphasia. It was found that patients with fluent aphasia are on average older than people with non-fluent aphasia. It was also found that among patients with lesions confined to the anterior portion of the brain an unexpected portion of them presented with fluent aphasia and were remarkably older than those with non-fluent aphasia. This effect was not found when the posterior portion of the brain was studied.
Associated conditions
In a study on the features associated with different disease trajectories in Alzheimer's disease (AD)-related primary progressive aphasia (PPA), it was found that metabolic patterns via PET SPM analysis can help predict progression of total loss of speech and functional autonomy in AD and PPA patients. This was done by comparing an MRI or CT image of the brain and presence of a radioactive biomarker with normal levels in patients without Alzheimer's Disease. Apraxia is another disorder often correlated with aphasia. This is due to a subset of apraxia which affects speech. Specifically, this subset affects the movement of muscles associated with speech production, apraxia and aphasia are often correlated due to the proximity of neural substrates associated with each of the disorders. Researchers concluded that there were 2 areas of lesion overlap between patients with apraxia and aphasia, the anterior temporal lobe and the left inferior parietal lobe.
Treatment and neuroimaging
Evidence for positive treatment outcomes can also be quantified using neuroimaging tools. The use of fMRI and an automatic classifier can help predict language recovery outcomes in stroke patients with 86% accuracy when coupled with age and language test scores. The stimuli tested were sentences both correct and incorrect and the subject had to press a button whenever the sentence was incorrect. The fMRI data collected focused on responses in regions of interest identified by healthy subjects. Recovery from aphasia can also be quantified using diffusion tensor imaging. The accurate fasciculus (AF) connects the right and left superior temporal lobe, premotor regions/posterior inferior frontal gyrus. and the primary motor cortex. In a study which enrolled patients in a speech therapy program, an increase in AF fibers and volume was found in patients after 6-weeks in the program which correlated with long-term improvement in those patients. The results of the experiment are pictured in Figure 2. This implies that DTI can be used to quantify the improvement in patients after speech and language treatment programs are applied.
Classification
Aphasia is best thought of as a collection of different disorders, rather than a single problem. Each individual with aphasia will present with their own particular combination of language strengths and weaknesses. Consequently, it is a major challenge just to document the various difficulties that can occur in different people, let alone decide how they might best be treated. Most classifications of the aphasias tend to divide the various symptoms into broad classes. A common approach is to distinguish between the fluent aphasias (where speech remains fluent, but content may be lacking, and the person may have difficulties understanding others), and the nonfluent aphasias (where speech is very halting and effortful, and may consist of just one or two words at a time).
However, no such broad-based grouping has proven fully adequate, or reliable. There is wide variation among people even within the same broad grouping, and aphasias can be highly selective. For instance, people with naming deficits (anomic aphasia) might show an inability only for naming buildings, or people, or colors. Unfortunately, assessments that characterize aphasia in these groupings have persisted. This is not helpful to people living with aphasia, and provides inaccurate descriptions of an individual pattern of difficulties.
It is important to note that there are typical difficulties with speech and language that come with normal aging as well. As we age, language can become more difficult to process resulting in a slowing of verbal comprehension, reading abilities and more likely word finding difficulties. With each of these though, unlike some aphasias, functionality within daily life remains intact.
Boston classification
Individuals with receptive aphasia (Wernicke's aphasia), also referred to as fluent aphasia, may speak in long sentences that have no meaning, add unnecessary words, and even create new "words" (neologisms). For example, someone with receptive aphasia may say, "delicious taco", meaning "The dog needs to go out so I will take him for a walk". They have poor auditory and reading comprehension, and fluent, but nonsensical, oral and written expression. Individuals with receptive aphasia usually have great difficulty understanding the speech of both themselves and others and are, therefore, often unaware of their mistakes. Receptive language deficits usually arise from lesions in the posterior portion of the left hemisphere at or near Wernicke's area. It is often the result of trauma to the temporal region of the brain, specifically damage to Wernicke's area. Trauma can be the result from an array of problems, however it is most commonly seen as a result of stroke
Individuals with expressive aphasia (Broca's aphasia) frequently speak short, meaningful phrases that are produced with great effort. It is thus characterized as a nonfluent aphasia. Affected people often omit small words such as "is", "and", and "the". For example, a person with expressive aphasia may say, "walk dog", which could mean "I will take the dog for a walk", "you take the dog for a walk" or even "the dog walked out of the yard." Individuals with expressive aphasia are able to understand the speech of others to varying degrees. Because of this, they are often aware of their difficulties and can become easily frustrated by their speaking problems. While Broca's aphasia may appear to be solely an issue with language production, evidence suggests that it may be rooted in an inability to process syntactical information. Individuals with expressive aphasia may have a speech automatism (also called recurring or recurrent utterance). These speech automatisms can be repeated lexical speech automatisms; e.g., modalisations ('I can't..., I can't...'), expletives/swearwords, numbers ('one two, one two') or non-lexical utterances made up of repeated, legal but meaningless, consonant-vowel syllables (e.g.., /tan tan/, /bi bi/). In severe cases, the individual may be able to utter only the same speech automatism each time they attempt speech.
Individuals with anomic aphasia have difficulty with naming. People with this aphasia may have difficulties naming certain words, linked by their grammatical type (e.g., difficulty naming verbs and not nouns) or by their semantic category (e.g., difficulty naming words relating to photography but nothing else) or a more general naming difficulty. People tend to produce grammatic, yet empty, speech. Auditory comprehension tends to be preserved. Anomic aphasia is the aphasial presentation of tumors in the language zone; it is the aphasial presentation of Alzheimer's disease. Anomic aphasia is the mildest form of aphasia, indicating a likely possibility for better recovery.
Individuals with transcortical sensory aphasia, in principle the most general and potentially among the most complex forms of aphasia, may have similar deficits as in receptive aphasia, but their repetition ability may remain intact.
Global aphasia is considered a severe impairment in many language aspects since it impacts expressive and receptive language, reading, and writing. Despite these many deficits, there is evidence that has shown individuals benefited from speech language therapy. Even though individuals with global aphasia will not become competent speakers, listeners, writers, or readers, goals can be created to improve the individual's quality of life. Individuals with global aphasia usually respond well to treatment that includes personally relevant information, which is also important to consider for therapy.
Individuals with conduction aphasia have deficits in the connections between the speech-comprehension and speech-production areas. This might be caused by damage to the arcuate fasciculus, the structure that transmits information between Wernicke's area and Broca's area. Similar symptoms, however, can be present after damage to the insula or to the auditory cortex. Auditory comprehension is near normal, and oral expression is fluent with occasional paraphasic errors. Paraphasic errors include phonemic/literal or semantic/verbal. Repetition ability is poor. Conduction and transcortical aphasias are caused by damage to the white matter tracts. These aphasias spare the cortex of the language centers but instead create a disconnection between them. Conduction aphasia is caused by damage to the arcuate fasciculus. The arcuate fasciculus is a white matter tract that connects Broca's and Wernicke's areas. People with conduction aphasia typically have good language comprehension, but poor speech repetition and mild difficulty with word retrieval and speech production. People with conduction aphasia are typically aware of their errors. Two forms of conduction aphasia have been described: reproduction conduction aphasia (repetition of a single relatively unfamiliar multisyllabic word) and repetition conduction aphasia (repetition of unconnected short familiar words.
Transcortical aphasias include transcortical motor aphasia, transcortical sensory aphasia, and mixed transcortical aphasia. People with transcortical motor aphasia typically have intact comprehension and awareness of their errors, but poor word finding and speech production. People with transcortical sensory and mixed transcortical aphasia have poor comprehension and unawareness of their errors. Despite poor comprehension and more severe deficits in some transcortical aphasias, small studies have indicated that full recovery is possible for all types of transcortical aphasia.
Classical-localizationist approaches
Localizationist approaches aim to classify the aphasias according to their major presenting characteristics and the regions of the brain that most probably gave rise to them. Inspired by the early work of nineteenth-century neurologists Paul Broca and Carl Wernicke, these approaches identify two major subtypes of aphasia and several more minor subtypes:
Expressive aphasia (also known as "motor aphasia" or "Broca's aphasia"), which is characterized by halted, fragmented, effortful speech, but well-preserved comprehension relative to expression. Damage is typically in the anterior portion of the left hemisphere, most notably Broca's area. Individuals with Broca's aphasia often have right-sided weakness or paralysis of the arm and leg, because the left frontal lobe is also important for body movement, particularly on the right side.
Receptive aphasia (also known as "sensory aphasia" or "Wernicke's aphasia"), which is characterized by fluent speech, but marked difficulties understanding words and sentences. Although fluent, the speech may lack in key substantive words (nouns, verbs, adjectives), and may contain incorrect words or even nonsense words. This subtype has been associated with damage to the posterior left temporal cortex, most notably Wernicke's area. These individuals usually have no body weakness, because their brain injury is not near the parts of the brain that control movement.
Conduction aphasia, where speech remains fluent, and comprehension is preserved, but the person may have disproportionate difficulty repeating words or sentences. Damage typically involves the arcuate fasciculus and the left parietal region.
Transcortical motor aphasia and transcortical sensory aphasia, which are similar to Broca's and Wernicke's aphasia respectively, but the ability to repeat words and sentences is disproportionately preserved.
Recent classification schemes adopting this approach, such as the Boston-Neoclassical Model, also group these classical aphasia subtypes into two larger classes: the nonfluent aphasias (which encompasses Broca's aphasia and transcortical motor aphasia) and the fluent aphasias (which encompasses Wernicke's aphasia, conduction aphasia and transcortical sensory aphasia). These schemes also identify several further aphasia subtypes, including: anomic aphasia, which is characterized by a selective difficulty finding the names for things; and global aphasia, where both expression and comprehension of speech are severely compromised.
Many localizationist approaches also recognize the existence of additional, more "pure" forms of language disorder that may affect only a single language skill. For example, in pure alexia, a person may be able to write but not read, and in pure word deafness, they may be able to produce speech and to read, but not understand speech when it is spoken to them.
Cognitive neuropsychological approaches
Although localizationist approaches provide a useful way of classifying the different patterns of language difficulty into broad groups, one problem is that most individuals do not fit neatly into one category or another. Another problem is that the categories, particularly the major ones such as Broca's and Wernicke's aphasia, still remain quite broad and do not meaningfully reflect a person's difficulties. Consequently, even amongst those who meet the criteria for classification into a subtype, there can be enormous variability in the types of difficulties they experience.
Instead of categorizing every individual into a specific subtype, cognitive neuropsychological approaches aim to identify the key language skills or "modules" that are not functioning properly in each individual. A person could potentially have difficulty with just one module, or with a number of modules. This type of approach requires a framework or theory as to what skills/modules are needed to perform different kinds of language tasks. For example, the model of Max Coltheart identifies a module that recognizes phonemes as they are spoken, which is essential for any task involving recognition of words. Similarly, there is a module that stores phonemes that the person is planning to produce in speech, and this module is critical for any task involving the production of long words or long strings of speech. Once a theoretical framework has been established, the functioning of each module can then be assessed using a specific test or set of tests. In the clinical setting, use of this model usually involves conducting a battery of assessments, each of which tests one or a number of these modules. Once a diagnosis is reached as to the skills/modules where the most significant impairment lies, therapy can proceed to treat these skills.
Progressive aphasias
Primary progressive aphasia (PPA) is a neurodegenerative focal dementia that can be associated with progressive illnesses or dementia, such as frontotemporal dementia / Pick Complex Motor neuron disease, Progressive supranuclear palsy, and Alzheimer's disease, which is the gradual process of progressively losing the ability to think. Gradual loss of language function occurs in the context of relatively well-preserved memory, visual processing, and personality until the advanced stages. Symptoms usually begin with word-finding problems (naming) and progress to impaired grammar (syntax) and comprehension (sentence processing and semantics). The loss of language before the loss of memory differentiates PPA from typical dementias. People with PPA may have difficulties comprehending what others are saying. They can also have difficulty trying to find the right words to make a sentence. There are three classifications of Primary Progressive Aphasia : Progressive nonfluent aphasia (PNFA), Semantic Dementia (SD), and Logopenic progressive aphasia (LPA).
Progressive Jargon Aphasia is a fluent or receptive aphasia in which the person's speech is incomprehensible, but appears to make sense to them. Speech is fluent and effortless with intact syntax and grammar, but the person has problems with the selection of nouns. Either they will replace the desired word with another that sounds or looks like the original one or has some other connection or they will replace it with sounds. As such, people with jargon aphasia often use neologisms, and may perseverate if they try to replace the words they cannot find with sounds. Substitutions commonly involve picking another (actual) word starting with the same sound (e.g., clocktower – colander), picking another semantically related to the first (e.g., letter – scroll), or picking one phonetically similar to the intended one (e.g., lane – late).
Deaf aphasia
There have been many instances showing that there is a form of aphasia among deaf individuals. Sign languages are, after all, forms of language that have been shown to use the same areas of the brain as verbal forms of language. Mirror neurons become activated when an animal is acting in a particular way or watching another individual act in the same manner. These mirror neurons are important in giving an individual the ability to mimic movements of hands. Broca's area of speech production has been shown to contain several of these mirror neurons resulting in significant similarities of brain activity between sign language and vocal speech communication. Facial communication is a significant portion of how animals interact with each other. Humans use facial movements to create, what other humans perceive, to be faces of emotions. While combining these facial movements with speech, a more full form of language is created which enables the species to interact with a much more complex and detailed form of communication. Sign language also uses these facial movements and emotions along with the primary hand movement way of communicating. These facial movement forms of communication come from the same areas of the brain. When dealing with damages to certain areas of the brain, vocal forms of communication are in jeopardy of severe forms of aphasia. Since these same areas of the brain are being used for sign language, these same, at least very similar, forms of aphasia can show in the Deaf community. Individuals can show a form of Wernicke's aphasia with sign language and they show deficits in their abilities in being able to produce any form of expressions. Broca's aphasia shows up in some people, as well. These individuals find tremendous difficulty in being able to actually sign the linguistic concepts they are trying to express.
Severity
The severity of the type of aphasia varies depending on the size of the stroke. However, there is much variance between how often one type of severity occurs in certain types of aphasia. For instance, any type of aphasia can range from mild to profound. Regardless of the severity of aphasia, people can make improvements due to spontaneous recovery and treatment in the acute stages of recovery. Additionally, while most studies propose that the greatest outcomes occur in people with severe aphasia when treatment is provided in the acute stages of recovery, Robey (1998) also found that those with severe aphasia are capable of making strong language gains in the chronic stage of recovery as well. This finding implies that persons with aphasia have the potential to have functional outcomes regardless of how severe their aphasia may be. While there is no distinct pattern of the outcomes of aphasia based on severity alone, global aphasia typically makes functional language gains, but may be gradual since global aphasia affects many language areas.
Prevention
Aphasia is largely caused by unavoidable instances. However, some precautions can be taken to decrease risk for experiencing one of the two major causes of aphasia: stroke and traumatic brain injury (TBI). To decrease the probability of having an ischemic or hemorrhagic stroke, one should take the following precautions:
Exercising regularly
Eating a healthy diet, avoiding cholesterol in particular
Keeping alcohol consumption low and avoiding tobacco use
Controlling blood pressure
Going to the emergency room immediately if you begin to experience unilateral extremity (especially leg) swelling, warmth, redness, and/or tenderness as these are symptoms of a deep vein thrombosis which can lead to a stroke
To prevent aphasia due to traumatic injury, one should take precautionary measures when engaging in dangerous activities such as:
Wearing a helmet when operating a bicycle, motor cycle, ATV, or any other moving vehicle that could potentially be involved in an accident
Wearing a seatbelt when driving or riding in a car
Wearing proper protective gear when playing contact sports, especially American football, rugby, and hockey, or refraining from such activities
Minimizing anticoagulant use (including aspirin) if at all possible as they increase the risk of hemorrhage after a head injury
Additionally, one should always seek medical attention after sustaining head trauma due to a fall or accident. The sooner that one receives medical attention for a traumatic brain injury, the less likely one is to experience long-term or severe effects.
Management
Most acute cases of aphasia recover some or most skills by participating in speech and language therapy. Recovery and improvement can continue for years after the stroke. After the onset of aphasia, there is approximately a six-month period of spontaneous recovery; during this time, the brain is attempting to recover and repair the damaged neurons. Improvement varies widely, depending on the aphasia's cause, type, and severity. Recovery also depends on the person's age, health, motivation, handedness, and educational level.
Speech and language therapy that is higher intensity, higher dose or provided over a long duration of time leads to significantly better functional communication but people might be more likely to drop out of high intensity treatment (up to 15 hours per week). A total of 20-50 hours of speech and language therapy is necessary for the best recovery. The most improvement happens when 2-5 hours of therapy is provided each week over 4-5 days. Recovery is further improved when besides the therapy people practice tasks at home. Speech and language therapy is also effective if it is delivered online through video or by a family member who has been trained by a professional therapist.
Recovery with therapy is also dependent on the recency of stroke and the age of the person. Receiving therapy within a month after the stroke leads to the greatest improvements. 3 or 6 months after the stroke more therapy will be needed but symptoms can still be improved. People with aphasia who are younger than 55 years are the most likely to improve but people older than 75 years can still get better with therapy.
There is no one treatment proven to be effective for all types of aphasias. The reason that there is no universal treatment for aphasia is because of the nature of the disorder and the various ways it is presented. Aphasia is rarely exhibited identically, implying that treatment needs to be catered specifically to the individual. Studies have shown that, although there is no consistency on treatment methodology in literature, there is a strong indication that treatment, in general, has positive outcomes. Therapy for aphasia ranges from increasing functional communication to improving speech accuracy, depending on the person's severity, needs and support of family and friends. Group therapy allows individuals to work on their pragmatic and communication skills with other individuals with aphasia, which are skills that may not often be addressed in individual one-on-one therapy sessions. It can also help increase confidence and social skills in a comfortable setting.
Evidence does not support the use of transcranial direct current stimulation (tDCS) for improving aphasia after stroke. Moderate quality evidence does indicate naming performance improvements for nouns but not verbs using tDCS
Specific treatment techniques include the following:
Copy and recall therapy (CART) – repetition and recall of targeted words within therapy may strengthen orthographic representations and improve single word reading, writing, and naming
Visual communication therapy (VIC) – the use of index cards with symbols to represent various components of speech
Visual action therapy (VAT) – typically treats individuals with global aphasia to train the use of hand gestures for specific items
Functional communication treatment (FCT) – focuses on improving activities specific to functional tasks, social interaction, and self-expression
Promoting aphasic's communicative effectiveness (PACE) – a means of encouraging normal interaction between people with aphasia and clinicians. In this kind of therapy, the focus is on pragmatic communication rather than treatment itself. People are asked to communicate a given message to their therapists by means of drawing, making hand gestures or even pointing to an object
Melodic intonation therapy (MIT) – aims to use the intact melodic/prosodic processing skills of the right hemisphere to help cue retrieval of words and expressive language
Centeredness Theory Interview (CTI) - Uses client centered goal formation into the nature of current patient interactions as well as future / desired interactions to improve subjective well-being, cognition and communication.
Other – i.e. drawing as a way of communicating, trained conversation partners
Semantic feature analysis (SFA) – a type of aphasia treatment that targets word-finding deficits. It is based on the theory that neural connections can be strengthened by using related words and phrases that are similar to the target word, to eventually activate the target word in the brain. SFA can be implemented in multiple forms such as verbally, written, using picture cards, etc. The SLP provides prompting questions to the individual with aphasia in order for the person to name the picture provided. Studies show that SFA is an effective intervention for improving confrontational naming.
Melodic intonation therapy is used to treat non-fluent aphasia and has proved to be effective in some cases. However, there is still no evidence from randomized controlled trials confirming the efficacy of MIT in chronic aphasia. MIT is used to help people with aphasia vocalize themselves through speech song, which is then transferred as a spoken word. Good candidates for this therapy include people who have had left hemisphere strokes, non-fluent aphasias such as Broca's, good auditory comprehension, poor repetition and articulation, and good emotional stability and memory. An alternative explanation is that the efficacy of MIT depends on neural circuits involved in the processing of rhythmicity and formulaic expressions (examples taken from the MIT manual: "I am fine," "how are you?" or "thank you"); while rhythmic features associated with melodic intonation may engage primarily left-hemisphere subcortical areas of the brain, the use of formulaic expressions is known to be supported by right-hemisphere cortical and bilateral subcortical neural networks.
Systematic reviews support the effectiveness and importance of partner training. According to the National Institute on Deafness and Other Communication Disorders (NIDCD), involving family with the treatment of an aphasic loved one is ideal for all involved, because while it will no doubt assist in their recovery, it will also make it easier for members of the family to learn how best to communicate with them.
When a person's speech is insufficient, different kinds of augmentative and alternative communication could be considered such as alphabet boards, pictorial communication books, specialized software for computers or apps for tablets or smartphones.
When addressing Wernicke's aphasia, according to Bakheit et al. (2007), the lack of awareness of the language impairments, a common characteristic of Wernicke's aphasia, may affect the rate and extent of therapy outcomes. Robey (1998) determined that at least 2 hours of treatment per week is recommended for making significant language gains. Spontaneous recovery may cause some language gains, but without speech-language therapy, the outcomes can be half as strong as those with therapy.
When addressing Broca's aphasia, better outcomes occur when the person participates in therapy, and treatment is more effective than no treatment for people in the acute period. Two or more hours of therapy per week in acute and post-acute stages produced the greatest results. High-intensity therapy was most effective, and low-intensity therapy was almost equivalent to no therapy.
People with global aphasia are sometimes referred to as having irreversible aphasic syndrome, often making limited gains in auditory comprehension, and recovering no functional language modality with therapy. With this said, people with global aphasia may retain gestural communication skills that may enable success when communicating with conversational partners within familiar conditions. Process-oriented treatment options are limited, and people may not become competent language users as readers, listeners, writers, or speakers no matter how extensive therapy is. However, people's daily routines and quality of life can be enhanced with reasonable and modest goals. After the first month, there is limited to no healing to language abilities of most people. There is a grim prognosis leaving 83% who were globally aphasic after the first month they will remain globally aphasic at the first year. Some people are so severely impaired that their existing process-oriented treatment approaches offer no signs of progress, and therefore cannot justify the cost of therapy.
Perhaps due to the relative rareness of conduction aphasia, few studies have specifically studied the effectiveness of therapy for people with this type of aphasia. From the studies performed, results showed that therapy can help to improve specific language outcomes. One intervention that has had positive results is auditory repetition training. Kohn et al. (1990) reported that drilled auditory repetition training related to improvements in spontaneous speech, Francis et al. (2003) reported improvements in sentence comprehension, and Kalinyak-Fliszar et al. (2011) reported improvements in auditory-visual short-term memory.
Individualized service delivery
Intensity of treatment should be individualized based on the recency of stroke, therapy goals, and other specific characteristics such as age, size of lesion, overall health status, and motivation. Each individual reacts differently to treatment intensity and is able to tolerate treatment at different times post-stroke. Intensity of treatment after a stroke should be dependent on the person's motivation, stamina, and tolerance for therapy.
Outcomes
If the symptoms of aphasia last longer than two or three months after a stroke, a complete recovery is unlikely. However, it is important to note that some people continue to improve over a period of years and even decades. Improvement is a slow process that usually involves both helping the individual and family understand the nature of aphasia and learning compensatory strategies for communicating.
After a traumatic brain injury (TBI) or cerebrovascular accident (CVA), the brain undergoes several healing and re-organization processes, which may result in improved language function. This is referred to as spontaneous recovery. Spontaneous recovery is the natural recovery the brain makes without treatment, and the brain begins to reorganize and change in order to recover. There are several factors that contribute to a person's chance of recovery caused by stroke, including stroke size and location. Age, sex, and education have not been found to be very predictive. There is also research pointing to damage in the left hemisphere healing more effectively than the right.
Specific to aphasia, spontaneous recovery varies among affected people and may not look the same in everyone, making it difficult to predict recovery.
Though some cases of Wernicke's aphasia have shown greater improvements than more mild forms of aphasia, people with Wernicke's aphasia may not reach as high a level of speech abilities as those with mild forms of aphasia.
Prevalence
Aphasia affects about two million people in the U.S. and 250,000 people in Great Britain. Nearly 180,000 people acquire the disorder every year in the U.S., 170,000 due to stroke. Any person of any age can develop aphasia, given that it is often caused by a traumatic injury. However, people who are middle aged and older are the most likely to acquire aphasia, as the other etiologies are more likely at older ages. For example, approximately 75% of all strokes occur in individuals over the age of 65. Strokes account for most documented cases of aphasia: 25% to 40% of people who survive a stroke develop aphasia as a result of damage to the language-processing regions of the brain.
History
The first recorded case of aphasia is from an Egyptian papyrus, the Edwin Smith Papyrus, which details speech problems in a person with a traumatic brain injury to the temporal lobe.
During the second half of the 19th century, aphasia was a major focus for scientists and philosophers who were working in the beginning stages of the field of psychology.
In medical research, speechlessness was described as an incorrect prognosis, and there was no assumption that underlying language complications existed. Broca and his colleagues were some of the first to write about aphasia, but Wernicke was the first credited to have written extensively about aphasia being a disorder that contained comprehension difficulties. Despite claims of who reported on aphasia first, it was F.J. Gall that gave the first full description of aphasia after studying wounds to the brain, as well as his observation of speech difficulties resulting from vascular lesions. A recent book on the entire history of aphasia is available (Reference: Tesak, J. & Code, C. (2008) Milestones in the History of Aphasia: Theories and Protagonists. Hove, East Sussex: Psychology Press).
Etymology
Aphasia is from Greek a- ("without", negative prefix) + phásis (φάσις, "speech").
The word aphasia comes from the word ἀφασία aphasia, in Ancient Greek, which means "speechlessness", derived from ἄφατος aphatos, "speechless" from ἀ- a-, "not, un" and φημί phemi, "I speak".
Further research
Research is currently being done using functional magnetic resonance imaging (fMRI) to witness the difference in how language is processed in normal brains vs aphasic brains. This will help researchers to understand exactly what the brain must go through in order to recover from Traumatic Brain Injury (TBI) and how different areas of the brain respond after such an injury.
Another intriguing approach being tested is that of drug therapy. Research is in progress that will hopefully uncover whether or not certain drugs might be used in addition to speech-language therapy in order to facilitate recovery of proper language function. It's possible that the best treatment for Aphasia might involve combining drug treatment with therapy, instead of relying on one over the other.
One other method being researched as a potential therapeutic combination with speech-language therapy is brain stimulation. One particular method, Transcranial Magnetic Stimulation (TMS), alters brain activity in whatever area it happens to stimulate, which has recently led scientists to wonder if this shift in brain function caused by TMS might help people re-learn languages.
The research being put into Aphasia has only just begun. Researchers appear to have multiple ideas on how Aphasia could be more effectively treated in the future.
See also
Agnosia, inability to process sensory information (e.g. inability to recognize objects)
Aphasiology, study of language impairment (usually from brain damage)
Apraxia of speech, difficulty connecting speech messages from the brain to the mouth
Aprosodia
Auditory processing disorder
Lethologica
Lists of language disorders
My Beautiful Broken Brain, a 2014 documentary
Origin of speech
Notes
References
External links
National Aphasia Association
Alexia (condition)
Communication disorders
Language disorders
Symptoms and signs: Speech and voice
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Applesoft BASIC is a dialect of Microsoft BASIC, developed by Marc McDonald and Ric Weiland, supplied with the Apple II series of computers. It supersedes Integer BASIC and is the BASIC in ROM in all Apple II series computers after the original Apple II model. It is also referred to as FP BASIC (from floating point) because of the Apple DOS command used to invoke it, instead of INT for Integer BASIC.
Applesoft BASIC was supplied by Microsoft and its name is derived from the names of both Apple Computer and Microsoft. Apple employees, including Randy Wigginton, adapted Microsoft's interpreter for the Apple II and added several features. The first version of Applesoft was released in 1977 on cassette tape and lacked proper support for high-resolution graphics. Applesoft II, which was made available on cassette and disk and in the ROM of the Apple II Plus and subsequent models, was released in 1978. It is this latter version, which has some syntax differences and support for the Apple II high-resolution graphics modes, that is usually synonymous with the term "Applesoft."
A compiler for Applesoft BASIC, TASC (The Applesoft Compiler), was released by Microsoft in 1981.
History
When Steve Wozniak wrote Integer BASIC for the Apple II, he did not implement support for floating-point arithmetic because he was primarily interested in writing games, a task for which integers alone were sufficient. In 1976, Microsoft had developed Microsoft BASIC for the MOS Technology 6502, but at the time there was no production computer that used it. Upon learning that Apple had a 6502 machine, Microsoft asked if the company were interested in licensing BASIC, but Steve Jobs replied that Apple already had one.
The Apple II was unveiled to the public at the West Coast Computer Faire in April 1977 and became available for sale in June. One of the most common customer complaints about the computer was BASIC's lack of floating-point math. Making things more problematic was that the rival Commodore PET personal computer had a floating point-capable BASIC interpreter from the beginning. As Wozniak—the only person who understood Integer BASIC well enough to add floating point features—was busy with the Disk II drive and controller and with Apple DOS, Apple turned to Microsoft.
Apple reportedly obtained an eight-year license for Applesoft BASIC from Microsoft for a flat fee of $31,000, renewing it in 1985 through an arrangement that gave Microsoft the rights and source code for Apple's Macintosh version of BASIC. Applesoft was designed to be backwards-compatible with Integer BASIC and uses the core of Microsoft's 6502 BASIC implementation, which includes using the GET command for detecting key presses and not requiring any spaces on program lines. While Applesoft BASIC is slower than Integer BASIC, it has many features that the older BASIC lacks:
Atomic strings: A string is no longer an array of characters (as in Integer BASIC and C); it is instead a garbage-collected object (as in Scheme and Java). This allows for string arrays; creates an array of eleven string variables numbered 0–10.
Multidimensional arrays (numbers or strings)
Single-precision floating-point variables with an 8-bit exponent and a 31-bit significand and improved math capabilities, including trigonometry and logarithmic functions
Commands for high-resolution graphics
DATA statements, with READ and RESTORE commands, for representing numerical and string values in quantity
CHR$, STR$, and VAL functions for converting between string and numeric types (both languages did have the ASC function)
User-defined functions: simple one-line functions written in BASIC, with a single parameter
Error-trapping: allowing BASIC programs to handle unexpected errors via subroutine written in BASIC
Conversely, Applesoft lacks the MOD (remainder) operator from Integer BASIC.
Adapting BASIC for the Apple II was a tedious job as Apple received a source listing for Microsoft 6502 BASIC which proved to be buggy and also required the addition of Integer BASIC commands. Since Apple had no 6502 assembler on hand, the development team was forced to send the source code over the phone lines to Call Computer, an outfit that offered compiler services. This was an extremely tedious, slow process and after Call Computer lost the source code due to an equipment malfunction, one of the programmers, Cliff Huston, used his own IMSAI 8080 computer to cross assemble the BASIC source.
Features
Applesoft is similar to Commodore's BASIC 2.0 aside from features inherited from Integer BASIC. There are a few minor differences such as Applesoft's lack of bitwise operators; otherwise most BASIC programs that do not use hardware-dependent features will run on both BASICs.
The statement redirects output to an expansion card, and redirects input from an expansion card. The slot number of the card is specified after the or within the statement. The computer locks-up if there is no card present in the slot. restores output to the 40 column screen and to the keyboard.
The statement can be used to redirect output to the printer (e.g. ) where x is the slot number containing the printer port card. To send a BASIC program listing to the printer, the user types .
Using on a slot with a disk drive (usually in slot 6) causes Applesoft to boot the disk drive. Using on a slot with an 80 column card (usually in slot 1) switches to 80 column text mode.
As with Commodore BASIC, numeric variables are stored as 40-bit floating point; each variable requires five bytes of memory. The programmer may designate variables as integer by following them with a percent sign, in which case they use two bytes and are limited to a range of -32768 to 32767; however BASIC internally converts them back to floating point when performing calculations, while each percent sign also takes an additional byte of program code, so in practice this feature is only useful for reducing the memory usage of large array variables, as it offers no performance benefit.
The RND function generates a pseudorandom fractional number between 0 and 1. returns the most recently generated random number. with a negative number will jump to a point in the sequence determined by the particular negative number used. RND with any positive value generates the next number in the sequence, not dependent on the actual value given.
Like other implementations of Microsoft BASIC, Applesoft discards spaces (outside of strings and comments) on program lines. LIST adds spaces when displaying code for the sake of readability. Since adds a space before and after every tokenized keyword, it often produces two spaces in a row where one would suffice for readability.
The default prompt for INPUT is a question mark. PRINT does not add a leading space in front of numbers.
Limitations
Through several early models of the Apple II, Applesoft BASIC did not support the use of lowercase letters in programs, except in strings. PRINT is a valid command but print and Print result in a syntax error.
Applesoft lacks several commands and functions common to most of the non-6502 Microsoft BASIC interpreters, such as:
INSTR (search for a substring in a string)
PRINT USING (format numbers in printed output)
INKEY$ (check for a keypress without stopping the program; although a PEEK to location $C000 achieves this action)
LPRINT (output to a printer instead of the screen)
Applesoft does not have commands for file or disk handling, other than to save and load programs via cassette tape. The Apple II disk operating system, known simply as DOS, augments the language to provide such abilities.
Only the first two letters of variables names are significant. For example, "LOW" and "LOSS" are treated as the same variable, and attempting to assign a value to "LOSS" overwrites any value assigned to "LOW". A programmer also has to avoid consecutive letters that are Applesoft commands or operations. The name "SCORE" for a variable is interpreted as containing the OR Boolean operator, rendered as SC OR E. "BACKGROUND" contains GR, the command to invoke the low-resolution graphics mode, and results in a syntax error.
Sound and graphics
The only built-in sound support is the option to PRINT an ASCII bell character to sound the system alert beep.
Applesoft supports drawing in the Apple II's low resolution and high resolution modes. There are commands to plot pixels and draw horizontal and vertical lines in low resolution. High resolution allows arbitrary lines and vector-based shape tables for drawing scaled and rotated objects. The only provision for mixing text and graphics is the four lines of text at the bottom of a graphic display.
Beginning with the Apple IIe, a "double-high resolution" mode became available on machines with 128k of memory. This mode essentially duplicates the resolution of the original high resolution mode, but including all 16 colors of the low resolution palette. Applesoft does not provide direct support for this mode. Apple IIGS-specific modes are likewise not supported.
Extensions
Applesoft BASIC can be extended by two means: the ampersand () command and the function. These are two features that call low-level machine-language routines stored in memory, which is useful for routines that need to be fast or require direct access to arbitrary functions or data in memory. The function takes one argument, and can be programmed to derive and return a calculated function value to be used in a numerical expression. is effectively a shorthand for , with an address that is predefined. By calling routines in the Applesoft ROM, it is possible for ampersand routines to parse values that follow the ampersand. Numerous third-party commercial packages were available to extend Applesoft using ampersand routines.
Bugs
A deficiency with error-trapping via ONERR means that the system stack is not reset if an error-handling routine does not invoke RESUME, potentially leading to a crash. The built-in pseudorandom number generator function RND is capable of producing a predictable series of outputs due to the manner in which the generator is seeded when first powering on. This behavior is contrary to how Apple's documentation describes the function.
Performance
Wozniak originally referred to his Integer BASIC as "Game BASIC" (having written it so he could implement a Breakout clone for his new computer). Few action games were written in Applesoft BASIC, in large part because the use of floating-point numbers for all math operations degrades performance.
Applesoft BASIC programs are stored as a linked list of lines; a GOTO or GOSUB takes linear time. Some programs have the subroutines at the top to reduce the time for calling them.
Unlike Integer BASIC, Applesoft does not convert literal numbers (like 100) in the source code to binary when a line is entered. Rather, the ASCII string is converted whenever the line is executed. Since variable lookup is often faster than this conversion, it can be faster to store numeric constants used inside loops in variables before the loop is entered.
Sample code
Hello World in Applesoft BASIC can be entered as the following:
10TEXT:HOME
20?"HELLO WORLD"
Multiple commands can be included on the same line of code if separated by a colon (:). The ? can be used in Applesoft BASIC (and almost all versions of Microsoft BASIC) as a shortcut for "PRINT", though spelling out the word is not only acceptable but canonical—Applesoft converted "?" in entered programs to the same token as "PRINT" (thus no memory is actually saved by using "?"), thus either appears as "PRINT" when a program is listed. The program above appears in a LIST command as:
10 TEXT : HOME
20 PRINT "HELLO WORLD"
When Applesoft II BASIC was initially released in mid-1978, it came on cassette tape and could be loaded into memory via the Apple II's machine language monitor. When the enhanced Apple II+ replaced the original II in 1979, Applesoft was now included in ROM and automatically started on power-up if no bootable floppy disk was present. Conversely, Integer BASIC was now removed from ROM and turned into an executable file on the DOS 3.3 disk.
Early evolution
The original Applesoft, stored in RAM as documented in its Reference Manual of November 1977, has smaller interpreter code than the later Applesoft II, occupying 8½ KB of memory, instead of the 10 KB used by the later Applesoft II. Consequently, it lacks a number of command features developed for the later, mainstream version:
All commands supporting Apple's "high resolution" graphics (9 total)
Error-trapping with ONERR...GOTO and RESUME
Machine-routine shorthand call "&"
Screen-clearing HOME (a call to a system ROM routine)
Text-output control NORMAL, INVERSE, FLASH and SPEED=
The print-space function SPC() is listed among reserved words in the manual, but is not otherwise documented (the TAB() print-function is documented)
Cassette tape storage of numerical arrays: STORE and RECALL
Device response: WAIT
as well as several the later version would have, that had already been present in Apple's Integer BASIC:
Program-line deletion: DEL
Machine-routine access: CALL
Peripheral device access: IN# and PR# (although IN without "#" is listed among reserved words)
Memory range control: HIMEM: and LOMEM:
Execution tracking for debugging: TRACE and NOTRACE
Screen-positioning: HTAB and VTAB
Subroutine aborting POP
Functions PDL() to read the analog controllers, and SCRN() to read the low-resolution graphics screen (both accessing system ROM routines)
In addition, its low-resolution graphics commands have different names from their Integer BASIC/Applesoft II counterparts. All command names are of the form PLTx such that GR, COLOR=, PLOT, HLIN and VLIN are called PLTG, PLTC, PLTP, PLTH, and PLTV, respectively. The command for returning to text mode, known as TEXT in other versions, is simply TEX, and carries the proviso that it has to be the last statement in a program line.
Applesoft BASIC 1.x was closer to Microsoft's original 6502 BASIC code than the later Applesoft II; it retained the Memory Size? prompt and displayed a Microsoft copyright notice. To maintain consistency with Integer BASIC, the "Ok" prompt from Microsoft's code was replaced by a ] character. Applesoft 1.x also prompted the user upon loading if he wished to disable the REM statement and the LET keyword in assignment statements in exchange for lores graphics commands.
The USR() function is also defined differently, serving as a stand-in for the absent CALL command. Its argument is not for passing a numerical value to the machine-language routine, but is instead the call-address of the routine itself; there is no "hook" to pre-define the address. All of several examples in the manual use the function only to access "system monitor ROM" routines, or short user-routines to manipulate the ROM routines. No mention is made of any code to calculate the value returned by the function itself; the function is always shown being assigned to "dummy" variables, which, without action to set a value by user-code, just receive a meaningless value handed back to them. Even accessed ROM routines that return values (in examples, those that provide the service of PDL() and SCRN() functions) merely have their values stored, by user-routines, in locations that are separately PEEKed in a subsequent statement.
Unlike in Integer BASIC and Applesoft II, the Boolean operators AND, OR and NOT perform bitwise operations on 16-bit integer values. If they are given values outside that range, an error results.
The terms OUT and PLT (and the aforementioned IN) appear in the list of reserved words, but are not explained anywhere in the manual.
Related BASICs
Coleco claimed that its Adam home computer's SmartBASIC was source-code compatible with Applesoft.
Microsoft licensed a BASIC compatible with Applesoft to VTech for its Laser 128 clone.
See also
ALF's Formula Transfer Link, speed enhancement for Applesoft BASIC
Chinese BASIC, a Chinese-localized version of Applesoft BASIC
Apple III BASICs from Apple and Microsoft
References
This article includes text from Everything2, licensed under GFDL.
External links
Disassembled ROM
AppleSoft BASIC in JavaScript
Apple II software
BASIC interpreters
Discontinued Microsoft BASICs
BASIC programming language family
Microsoft programming languages
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The Atlanta Falcons are a professional American football team based in Atlanta. The Falcons compete in the National Football League (NFL) as a member club of the league's National Football Conference (NFC) South division. The Falcons were founded on June 30, 1965, and joined the NFL in 1966 as an expansion team, after the NFL offered then-owner Rankin Smith a franchise to keep him from joining the rival American Football League (AFL).
In their 55 years of existence, the Falcons have compiled a record of 379–487–6 ( in the regular season and in the playoffs), winning division championships in 1980, 1998, 2004, 2010, 2012, and 2016. The Falcons have appeared in two Super Bowls, the first during the 1998 season in Super Bowl XXXIII, where they lost to the Denver Broncos and the second 18 years later, a overtime loss to the New England Patriots in Super Bowl LI.
The Falcons' current home field is Mercedes-Benz Stadium, which opened for the 2017 season; the team's headquarters and practice facilities are located at a site in Flowery Branch, northeast of Atlanta in Hall County.
Franchise history
Professional football comes to Atlanta (1962)
Professional football first came to Atlanta in 1962, when the American Football League (AFL) staged two preseason contests, with one featuring the Denver Broncos vs. the Houston Oilers and the second pitting the Dallas Texans against the Oakland Raiders. Two years later, the AFL held another exhibition, this time with the New York Jets taking on the San Diego Chargers.
In 1965, after the Atlanta–Fulton County Stadium (then known simply as Atlanta Stadium) was built, the city of Atlanta felt the time was right to start pursuing professional football. One independent group which had been active in NFL exhibition promotions in Atlanta applied for franchises in both the AFL and NFL, acting entirely on its own with no guarantee of stadium rights. Another group reported it had deposited earnest money for a team in the AFL.
With everyone running in different directions, some local businessmen (Cox Broadcasting) worked out a deal and were awarded an AFL franchise on contingent upon acquiring exclusive stadium rights from city NFL Commissioner Pete Rozelle, who had been moving slowly in Atlanta matters, was spurred by the AFL interest and headed on the next plane down to Atlanta to block the rival league's claim on the city of Atlanta. He forced the city to make a choice between the two leagues; by June 30, the city picked Rankin Smith and the NFL.
The AFL's original expansion plans in June 1965 were for two new teams in Atlanta and It later evolved into the Miami Dolphins in 1966 and the Cincinnati Bengals in 1968. The NFL had planned to add two teams in ; the competition with the AFL for Atlanta forced the first to be added a year early in . The odd number of teams (15) resulted in one idle team (bye) each week, with each team playing 14 games over 15 weeks (similar to : 12 games over 13 weeks). The second expansion team, the New Orleans Saints, joined the NFL as planned in 1967 as its sixteenth franchise.
The Atlanta Falcons franchise began when it was approved to begin play in 1966 by a unanimous vote of the NFL club owners on June 21, 1965. Rozelle granted ownership nine days later on June 30 to 40-year-old Rankin Smith Sr., an executive vice president of Life Insurance Company of Georgia. He paid $8.5 million, the highest price in NFL history at the time for a franchise. Rozelle and Smith made the deal in about five minutes and the Atlanta Falcons brought the largest and most popular sport to the city of Atlanta. The Atlanta expansion team became the 15th NFL franchise, and they were awarded the first overall pick in the 1966 NFL Draft as well as the final pick in each of the first five rounds. They selected consensus All-American linebacker Tommy Nobis from the University of Texas, making him the first-ever Falcon. The league also held the expansion draft six weeks later in which Atlanta selected unprotected players from the 14 existing franchises. Although the Falcons selected many good players in those drafts, they still were not able to win right away.
The Atlanta team received its nickname on August 29, 1965. Miss Julia Elliott, a school teacher from Griffin, was singled out from many people who suggested "Falcons" as the nickname for the new franchise. She wrote: "the Falcon is proud and dignified, with great courage and fight. It never drops its prey. It is deadly and has a great sporting tradition."
Smith family era (1966–2001)
The Falcons' inaugural season was in 1966, and their first preseason game was on August 1, a loss to the Philadelphia Eagles. Under head coach Norb Hecker, Atlanta lost their first nine regular-season games in 1966; their first victory came on the road against the struggling New York Giants on November 20 in Yankee Stadium. Two weeks later, Atlanta won at Minnesota, and beat St. Louis in Atlanta the next week for their first home win. The team finished the 1960s with 12 wins in four seasons.
The Falcons had their first Monday Night Football game in Atlanta during the 1970 season, a 20–7 loss to the Miami Dolphins. The only two winning seasons in their first 12 years were and
In the 1978 season, the Falcons qualified for the playoffs for the first time and won the Wild Card game against the Eagles 14–13. The following week, they lost to the Dallas Cowboys 27–20 in the Divisional Playoffs.
In the 1980 season, after a nine-game winning streak, the Falcons posted a franchise then-best record of 12–4 and captured their first NFC West division title. The next week, their dream season ended at home with a loss to the Cowboys 30–27 in the divisional playoffs. In the strike-shortened 1982 season, the Falcons made the playoffs but lost to the Minnesota Vikings, 30–24. Falcons coach Leeman Bennett was fired after the loss. The team then had losing seasons for the next eight years.
In the 1989 NFL Draft, the Falcons selected cornerback Deion Sanders in the first round, who helped them for the next four years, setting many records for the franchise. "Neon Deion" (a.k.a. "Prime Time") had a flashy appeal and helped bring media attention to one of the league's most anonymous franchises. Sanders was also famous for playing on major league baseball teams (New York Yankees and the Atlanta Braves) while simultaneously playing in the NFL.
After defeating the New Orleans Saints in the NFC Wild Card game, the Falcons' 1991 season ended in a divisional playoff loss to the Washington Redskins. In the 1991 NFL Draft, the Falcons selected quarterback Brett Favre as the 33rd overall pick. During his rookie season, he played in two games where he amassed a record of four passing attempts with no receptions and two interceptions. The following February, Favre was traded to the Green Bay Packers.
In 1992, the Atlanta Falcons opened a new chapter in their history moving into the newly constructed Georgia Dome, where the team has defeated all 31 other NFL teams at least once during its time there.
Dan Reeves years (1997–2003)
In 1998, under recently acquired head coach Dan Reeves, quarterback Chris Chandler and running back Jamal Anderson the "Dirty Bird" Falcons had their greatest season to date. On November 8, they beat the New England Patriots 41–10, ending a streak of 22 losses at cold-weather sites. The team finished with a franchise-best 14–2 regular-season record and the NFC West division championship. On January 17, 1999, the Falcons upset the top-seeded Vikings at the Hubert H. Humphrey Metrodome in the NFC Championship Game 30–27, in an exciting overtime victory. However, in their first-ever Super Bowl appearance, they lost 34–19 to the defending champion Denver Broncos in Super Bowl XXXIII.
In the second game of the Falcons 1999 season, running back Jamal Anderson, who had been a key player in the Falcons' 1998 success, suffered a season-ending knee injury. The Falcons finished the season with a very disappointing 5–11 regular-season record. In 2000, the Falcons suffered through another horrendous season finishing 4–12 and once again missing the playoffs.
In the 2001 NFL draft, the Falcons orchestrated a trade with the San Diego Chargers, acquiring the first overall pick (which was used on quarterback Michael Vick) in exchange for wide receiver-return specialist Tim Dwight and the fifth overall pick (used on running back LaDainian Tomlinson).
The Falcons finished the 2001 season with a record of 7–9 and missed the playoffs. Jessie Tuggle retired following 14 seasons in Atlanta.
Arthur Blank era (2002–present)
On December 6, 2001, Arthur M. Blank reached a preliminary agreement with the Falcons' Taylor Smith to purchase the team. In a special meeting prior to Super Bowl XXXVI in New Orleans on February 2, 2002, NFL owners voted unanimously to approve the purchase.
The 2002 season saw the Falcons return to the playoffs with a regular-season record of 9–6–1, tying the Pittsburgh Steelers. It was Vick's first year as the starter, and the team, with newly acquired running back Warrick Dunn, delivered the Green Bay Packers their first home playoff loss ever. A 20–6 loss to the Donovan McNabb-led Philadelphia Eagles the following week, however, ended the Falcons' season.
On March 19, 2003, the Falcons presented their new logo. During the 2003 preseason Vick broke his leg and missed the first 12 games of the season. After losing 7 straight games, the decision was made to release head coach Dan Reeves. Wade Phillips acted as interim coach for the final 3 games. Although the Falcons won 3 of their last 4 games after the return of Vick, they ended up with a 5–11 record that year. In 2004, a new head coach, Jim L. Mora, was hired and Vick returned for the full season. The Falcons went 11–5, winning their third division title and earning a first-round bye into the playoffs. In the divisional playoffs, the Falcons defeated the St. Louis Rams, 47–17, in the Georgia Dome, advancing to the NFC Championship Game, which they lost to the Eagles, 27–10.
The Falcons again fell short of achieving back-to-back winning seasons in , going 8–8. In , Michael Vick became the first quarterback in league history to rush for more than 1,000 yards in a season, with 1,039. After finishing the season 7–9, however, coach Jim Mora was dismissed and Bobby Petrino, the University of Louisville's football coach, replaced him. Before the 2007 season began, Vick was suspended indefinitely by the NFL after pleading guilty to charges involving dog fighting in the state of Virginia. On December 10, 2007, Vick received a 23-month prison sentence and was officially cut from the Atlanta roster.
For the 2007 season, the Falcons were forced to start Joey Harrington at quarterback. On December 11, 13 games into his first NFL season as head coach, Bobby Petrino resigned without notice to coach at the University of Arkansas, leaving the beleaguered players only a note in the locker room. Secondary Coach Emmitt Thomas was named interim coach for the final three games of the season on December 12. The Falcons ended the year with a dismal 4–12 record.
After the tumultuous and disappointing 2007 season, the Falcons made a number of moves, hiring a new general manager and head coach, drafting a new starting quarterback, and signing a starting running back.
On January 13, 2008, the Falcons named former Patriots director of college football scouting Thomas Dimitroff General Manager. On January 23, Jacksonville Jaguars defensive coach and former linebackers coach for the 2000 Super Bowl champion Baltimore Ravens Mike Smith was named the Falcons' new head coach. Chargers back-up running back Michael Turner agreed to a 6-year, $30 million deal on March 2. On April 26, Matt Ryan (quarterback from Boston College) was drafted third overall in the 2008 NFL draft by the Falcons.
The Falcons finished the 2008 regular season with a record of 11–5, and the #5 seed in the playoffs. On December 21, 2008, Atlanta beat the Minnesota Vikings 24–17 to clinch a wild card spot, earning a trip to the playoffs for the first time since 2004. The Falcons would go on to lose in the wild-card round of the 2008 NFL playoffs to the eventual NFC champion Arizona Cardinals, 30–24.
Matt Ryan started all 16 games in his rookie season and was named the Associated Press Offensive Rookie of the Year. First-year head coach Mike Smith was named 2008 NFL Coach of the Year.
Although they failed to make the playoffs in 2009 the team rallied to win their final three regular-season games to record back-to-back winning seasons for the first time in franchise history. The Falcons defeated the Tampa Bay Buccaneers 20–10 in the final game of the season to improve their record to 9–7.
In 2010, with a regular-season record of 13–3, the Falcons secured a third straight winning season, their fourth overall divisional title, and the top overall seed in the NFC playoffs; however, the Falcons were overpowered by the eventual Super Bowl XLV champion Green Bay Packers in the NFC Divisional Playoffs 48–21. The Falcons scored 414 points – the fifth-most in franchise history. The team sent an NFL-high and franchise-best nine players to the 2011 Pro Bowl.
The Falcons made a surprise trade up with the Cleveland Browns in the 2011 NFL draft to select Alabama wide receiver Julio Jones sixth overall. In exchange, the Falcons gave up their first-, second- and fourth-round draft picks in 2011, and their first and fourth draft picks in 2012. Jones, along with teammates Tony Gonzalez and Roddy White, have since been dubbed Atlanta's "Big Three" (based on their total number of reception yards). On August 30, 2011, Sports Illustrated senior writer Peter King, who correctly predicted the 2011 Super Bowl, made his predictions for the 2011 season and picked the Falcons to defeat the San Diego Chargers in the 2012 Super Bowl. The Falcons finished the season at 10–6, securing the fifth seed after a Week 17 beatdown of Tampa Bay in which the Falcons pulled their starters after leading 42–0 just 23 minutes into the game.
The Falcons then went on to play the New York Giants in a 2011 NFC Wild Card Game at MetLife Stadium in East Rutherford, New Jersey. The first half was a defensive struggle, with the first points coming off of a safety by the Falcons, giving Atlanta a 2–0 lead. In the second quarter, though, Eli Manning connected with Hakeem Nicks for a short touchdown pass to make it 7–2 Giants heading into the second half. Then the Giants took control, as Manning threw for two more touchdown passes to Mario Manningham and Nicks and the defense completed its shutout of the Falcons to give the New York Giants the win, 24–2, and the Falcons their third straight playoff loss with Matt Ryan and Mike Smith. After the season, defensive coordinator Brian VanGorder accepted a coaching job at Auburn University, and the offensive coordinator Mike Mularkey took the head coaching job in Jacksonville.
Atlanta exploded out of the gate, going a franchise-best 8–0 and remaining the last unbeaten team in the NFL that year. Their hopes to get an undefeated season came to an end with a 27–31 loss to the division rival Saints. Julio Jones had a remarkable second year, grabbing 10 touchdowns and 1,198 yards. The Falcons finished the season 13–3, and clinched the number one seed in the NFC playoffs.
The Falcons played the Seattle Seahawks in their first playoff game. Although they went down 28–27 with only 31 seconds left on the clock, Matt Ryan led the team to their first playoff victory, 30–28. It was the only playoff victory in the Mike Smith era.
The Atlanta Falcons then advanced to face the San Francisco 49ers. The Falcons seized control of the game early with a Matt Bryant field goal, a trio of Matt Ryan touchdown passes caught by Julio Jones and Tony Gonzalez coupled with outstanding defensive play. By the end of the half, the score was 24–14. The tides of the game began to shift in the second half as the 49ers rallied back with a pair of Frank Gore touchdown runs. Atlanta's offense attempted to reply but were ultimately shut down by the 49er defense. A few series later, late in the 4th quarter with little time remaining, Atlanta found themselves in a 4th and 4 situation at the 10-yard line. The Falcons needed just 10 more yards to secure victory and advance to their first Super Bowl berth in 14 years. Matt Ryan fired a pass to Roddy White which was ultimately broken up by inside linebacker NaVorro Bowman, resulting in a 28–24 defeat.
Following the success of the previous season, the Falcons were an expected Super Bowl contender. However, injuries hampered the team's performance and the team finished the season 4–12. With that, the streak of consecutive winning seasons came to an end and Mike Smith had his first losing season as a head coach. Tony Gonzalez, in his final season in the NFL, was selected to the 2014 Pro Bowl as a starter representing Team Rice. Following the conclusion of the 2012 season, director of player personnel Les Snead departed the team to join the St. Louis Rams and Dave Caldwell, assistant to general manager Thomas Dimitroff, left the team to join the Jacksonville Jaguars. Scott Pioli, former GM of the Kansas City Chiefs, was announced as the Falcons' new assistant GM. Mike Smith was given a one-year extension on his contract as head coach. The Falcons had the 6th overall pick in the 2014 NFL draft with which they selected Jake Matthews, who played as offensive tackle for Texas A&M.
Despite having another rough season, the Falcons still had an opportunity to qualify for the playoffs at the end of the regular season. The Falcons hosted the Carolina Panthers in their regular season finale, with the winners clinching the NFC South division. Unfortunately, the Falcons lost in a 34–3 blowout as Matt Ryan threw two interceptions that were returned for touchdowns and got sacked six times. The Falcons finished the season 6–10, marking the second consecutive losing season for the team. The following day, Mike Smith was fired after seven seasons as head coach. The Falcons would soon hire Seattle Seahawks defensive coordinator Dan Quinn as the team's 16th head coach. The Falcons had the 8th overall pick in the 2015 NFL draft with which they selected Vic Beasley, a defensive end from Clemson University.
Dan Quinn years (2015–2020)
In February 2015, the team was investigated by the NFL for alleged use of artificial crowd noise in the Georgia Dome. The Falcons lost a 2016 NFL Draft selection as a result of the league's investigation.
Dan Quinn's first season saw a 5–0 start, the team's best start in four years. They would then struggle throughout the rest of the season by losing 8 of their last 11 games, resulting in an 8–8 record. They did, however, give the Panthers their only regular-season loss. The Falcons used their first-round pick in the 2016 NFL Draft on safety Keanu Neal from the University of Florida.
In the Falcons' 25th and final season in the Georgia Dome, Atlanta lost their week 1 game to the Buccaneers 24–31. The Falcons would then win their next four including one over the Panthers, when the franchise set new records: Matt Ryan threw for 503 yards, and Julio Jones caught 12 passes for 300 yards. Beating the San Francisco 49ers 41–13 in Week 15, the Falcons improved to 9–5 and secured their first winning season since 2012. One week later, the Falcons defeated the Panthers in Charlotte, North Carolina, and clinched their first NFC South division title since 2012. In their last regular-season game at the Georgia Dome, the Falcons defeated the New Orleans Saints, and secured an 11–5 record and a first-round bye.
In the divisional round of the playoffs, Atlanta defeated the Seahawks 36–20 in the Georgia Dome, and hosted their last game at the Dome against the Green Bay Packers in the NFC Championship Game on January 22, 2017. The Falcons defeated the Packers 44–21 to advance to Super Bowl LI as the NFC champions. Atlanta was up 28–3 late in the third quarter, and the New England Patriots scored 31 unanswered points, with the last 6 in the first-ever overtime in the Super Bowl. The Patriots' 25-point comeback was the largest in Super Bowl history.
In 2016, the Falcons scored 540 points in the regular season, the seventh-most in NFL history, tied with the Greatest Show on Turf (the 2000 St. Louis Rams). However, the Falcons defense gave up 406 points, 27th in the league.
The Falcons moved into their new home, the Mercedes-Benz Stadium, this season. Their first game ever played at the new stadium was a preseason loss to the Arizona Cardinals. The first regular-season game at the new stadium was a rematch of the 2016–17 NFC Championship, with Atlanta defeating Green Bay 34–23. Their first loss of the season was a 23–17 home defeat to the Buffalo Bills in week 4. The team returned to the playoffs with a 10–6 record (albeit with a third-place finish in the NFC South). The Falcons defeated the Los Angeles Rams 26–13 in the Wild Card round, but their 2017 season came to an end a week later in the Divisional Playoff round at the hands of the eventual Super Bowl champion Philadelphia Eagles 15–10.
In their first game with new uniforms, the Falcons lost to the Seattle Seahawks at home 38–25. The Falcons then suffered comebacks made by both the Cowboys on the road (39–40) and then back in Atlanta against the Bears (26–30). On October 11, after the team suffered a 23–16 loss at home against the Carolina Panthers and fell to 0–5, the Falcons announced the firings of Quinn and Dimitroff. Defensive coordinator Raheem Morris took over for the rest of the season, leading the team to a 4–12 record. Morris was not retained after the season, and soon joined the Los Angeles Rams as their defensive coordinator.
Arthur Smith years (2021–present)
On January 15, 2021, the Falcons announced that Tennessee Titans offensive coordinator Arthur Smith had been named the 18th head coach in franchise history. Four days later, New Orleans Saints executive Terry Fontenot was named the Falcons' new general manager. Tight end Kyle Pitts was selected with the 4th pick of the 2021 draft, and longtime star receiver Julio Jones was traded to the Titans, after publicly requesting a trade from Atlanta. The Falcons improved on their record from the prior year, finishing the season with a 7–10 record.
On March 21, 2022, the Falcons traded longtime star quarterback Matt Ryan to the Indianapolis Colts.
Stadiums
The Falcons have called three stadiums home in their 51 years of existence, and its third home in their history opened in the late summer of 2017. The first was the Atlanta–Fulton County Stadium, sharing with the Atlanta Braves Major League Baseball team until 1991. In 1992, the Georgia Dome was built, and the Falcons played there from its opening to the 2016 season. The Dome has been frequently used for college football, including Georgia State football and college bowl games such as the Peach Bowl.
In an effort to replace the aging Georgia Dome and potentially host a future Super Bowl, team owner Arthur Blank proposed a deal with the city of Atlanta to build a new state-of-the-art stadium not far from where the Georgia Dome is located. Blank will contribute $800 million and the city of Atlanta will contribute an additional $200 million via bonds backed by the city's hotel/motel tax towards the construction of a retractable roof stadium. Blank will contribute additional money for cost overruns if it is needed. The team will provide up to $50 million towards infrastructure costs that weren't included in the construction budget and to retire the remaining debt on the Georgia Dome. In addition, Blank's foundation and the city will each provide $15 million for development in surrounding neighborhoods. Though the total cost of the stadium was initially estimated to be around $1 billion, the total cost was revised to $1.5 billion according to Blank. In March 2013, the Atlanta City Council voted 11–4 in favor of building the stadium. The retractable roof Mercedes-Benz Stadium broke ground in May 2014, and became the third home stadium for the Falcons and the first for the new Atlanta United FC Major League Soccer club upon opening in 2017.
Logo and uniforms
The Atlanta Falcons' colors are black, red, silver and white. When the team began play in 1966, the Falcons wore red helmets with a black falcon crest logo. In the center of the helmet was a center black stripe surrounded by two gold stripes and two white stripes. These colors represented the two college rival schools in the state of Georgia; rival schools Georgia Tech Yellow Jackets (white and gold) and the Georgia Bulldogs (red and black). Although the gold was removed after several seasons, the white remains to this day. They wore white pants and either black or white jerseys. At first, the falcon crest logo was also put on the jersey sleeves, but it was replaced by a red and white stripe pattern four years later. They switched from black to red jerseys in 1971, and the club began to wear silver pants in 1978. The facemasks on the helmets were initially gray, becoming white in 1978, and then black in 1984; the team wore black face masks until its 2020 redesign.
A prototype white helmet was developed for the team prior to the 1974 season, but was never worn.
In 1990, the uniform design changed to black helmets, silver pants, and either black or white jerseys. The numbers on the white jerseys were black, but were changed to red in 1997. (The red numerals could be seen on the away jerseys briefly in 1990.)
Both the logo and uniforms changed in 2003. The logo was redesigned with red and silver accents to depict a more powerful, aggressive falcon, which now more closely resembles the capital letter F.
Although the Falcons still wore black helmets, the new uniforms featured jerseys and pants with red trim down the sides. The uniform design consisted of either black or white jerseys, and either black or white pants. During that same year, a red alternate jersey with black trim was also introduced. The Falcons also started wearing black cleats with these uniforms.
In 2004, the red jerseys became the primary jerseys, and the black ones became the alternate, both worn with white pants. In select road games, the Falcons wear black pants with white jerseys. The Falcons wore an all-black combination for home games against their archrivals, the New Orleans Saints, winning the first two contests (24–21 in and 36–17 in ), but losing 31–13 in . The Falcons wore the all-black combination against the New Orleans Saints for four straight seasons starting in 2004, With the last time being in 2007, losing 34–14. They wore the combination again in 2006, against the Tampa Bay Buccaneers in Week 2. The Falcons won that game, 14–3. The Falcons also wore their all-black uniform in 2007 against the New York Giants, and in 2008 against the Carolina Panthers and against the Tampa Bay Buccaneers (for the second time). After that, the black pants and uniforms were retired and the white pants were now used full-time with the regular uniforms.
In the 1980s, the Falcons wore their white uniforms at home most of the time because of the heat. When the Falcons started playing in a dome, the team switched to their dark uniforms for home games but have worn their white uniforms at home a few times since switching to the dome. It was announced at the 2009 state of the franchise meeting that the Falcons would wear 1966 throwback uniforms for a couple games during the 2009 season. The Atlanta Falcons wore 1966 throwback jerseys for two home games in 2009 – against the Carolina Panthers on September 20 and against the Tampa Bay Buccaneers on November 29. The Falcons won both of those games. They donned the throwbacks again for 2 games in 2010, against Baltimore and San Francisco, winning both of those games as well. The throwbacks were used twice in 2011 and 2012; both times were against the Panthers and Saints. However, the throwbacks were retired following a 2013 NFL rule requiring only one helmet shell per team.
The Falcons unveiled an all-red Color Rush uniform on September 13, 2016; however, due to the fact that the Falcons and the Tampa Bay Buccaneers had similar all-red Color Rush uniforms, the Falcons were unable to wear their Color Rush uniform until the 2017 season.
Also in 2016, the Falcons unveiled a mixed throwback uniform set. The uniform tops, pants and socks closely resembled their 1960s kits. From 2016 to 2021, due to the NFL's one-shell rule, the Falcons wore the black helmets with the original logo decal similar to the design they wore in the 1990s. However, starting in 2022, with the NFL now reinstating the use of alternate helmets, the Falcons brought back the original red helmets to pair with their throwback uniforms.
It was revealed in January 2020 that the Falcons will change uniforms for the 2020 NFL season. The ensuing design featured the return to black as the primary home uniform color for the first time since 2003. Both the primary home and road uniforms featured the "ATL" abbreviation in red above either white or black numbers with red drop shadows. The white and black tops are usually paired with either white or black pants. The alternate uniform featured a red/black gradient design and also featured the "ATL" abbreviation in white above white numbers with black drop shadows. Black pants are only used with this uniform. All three uniforms feature red side stripes. The current throwback uniform was also retained. In addition, the Falcons switched to matte helmets with the enlarged falcon logo and gray facemasks.
Rivalries
New Orleans Saints
The Falcons have shared a heated divisional rivalry with the New Orleans Saints (first the NFC West, and now the NFC South). The two teams were often basement-dwellers in the division; but the rivalry grew as a means of pride between the two cities, as they were the only two NFL teams in the Deep South for multiple decades. The series is the oldest and most iconic rivalry in the NFC South as the two teams have long harbored bad blood against one another. Atlanta leads the series 52–48, including the lone postseason matchup with the Saints 1–0.
Carolina Panthers
In addition, the Falcons share a similar, rivalry with the Carolina Panthers, with both teams having been in the NFC West from the Panthers' founding in 1995 to the NFL realignment in 2002. Similar to their rivalry with the Saints, the Falcons have often endured several competitive divisional battles with the Panthers for lead of the NFC South, though the two have yet to meet in the postseason. The series is also known as the "I-85 Rivalry" due to Atlanta and Charlotte being only four hours apart on Interstate 85. The Falcons lead the series 27–17.
Tampa Bay Buccaneers
The Falcons share a less-intense divisional rivalry with the Tampa Bay Buccaneers since the NFL realignment in 2002. The two had been regional opponents but very little had linked any further animosity towards the two as the Buccaneers played in the former NFC Central before the realignment. The two teams would find themselves competing over staff and players alike, particularly during the 2000s after the Falcons had lured general manager Rich McKay after winning Super Bowl XXXVII the season prior. McKay's ties with Tampa extend into his family as his father John McKay was head coach of the Buccaneers for nine seasons.
Philadelphia Eagles
The Eagles lead the Falcons 21–15–1, with a 3–1 lead in playoff games. The rivalry first emerged after the Falcons upset the Eagles in the 1978 Wild Card Round, and only intensified further in the 2000s thanks to the rivalry between prominent dual-threat quarterbacks Donovan McNabb, and Michael Vick. Recently, the Falcons lost to the Eagles in the 2017 divisional round.
Green Bay Packers
The Falcons have also shared a playoff rivalry with the Green Bay Packers as much of the connections between the two teams stems from Atlanta trading future hall-of-fame quarterback Brett Favre to the Green Bay on February 11, 1992 in exchange for a first-round pick. The two teams have met four times in the postseason, most recently during the 2016–17 NFC Championship as it would also be the final game played at the Georgia Dome. The Packers lead the all-time series 19–16, while both teams are tied in the postseason 2–2.
Statistics
Season-by-season records
Record vs. opponents
Includes postseason records
Source:
|-
| St. Louis/Phoenix/Arizona Cardinals || 16 || 16 || 0 || || W 20-19 || January 1, 2023 || Mercedes-Benz Stadium || 0–1 postseason
|-
| Baltimore Ravens || 2 || 4 || 0 || || L 16–26 || December 2, 2018 || Mercedes-Benz Stadium ||
|-
| Buffalo Bills || 7 || 6 || 0 || || L 15–29 || January 2, 2022 || Highmark Stadium ||
|-
| Carolina Panthers || 37 || 20 || 0 || || W 24–10 || September 10, 2023 || Mercedes-Benz Stadium ||
|-
| Chicago Bears || 14 || 15 || 0 || || W 27–24 || November 20, 2022 || Mercedes-Benz Stadium ||
|-
| Cincinnati Bengals || 5 || 9 || 0 || || L 36–37 || September 30, 2018 || Mercedes-Benz Stadium ||
|-
| Cleveland Browns || 4 || 12 || 0 || || W 23–20 || November 11, 2022 || Mercedes-Benz Stadium ||
|-
| Dallas Cowboys || 11 || 17 || 0 || || L 3–43 || November 14, 2021 || AT&T Stadium || 0–2 postseason
|-
| Denver Broncos || 7 || 8 || 0 || || W 34–27 || November 8, 2020 || Mercedes-Benz Stadium || 0–1 postseason
|-
| Detroit Lions || 14 || 25 || 0 || || W 20–16 || December 26, 2021 || Mercedes-Benz Stadium ||
|-
| Green Bay Packers || 15 || 17 || 0 || || W 25–24 || September 17, 2023 || Mercedes-Benz Stadium || 2–2 postseason
|-
| Houston Texans || 2 || 3 || 0 || || L 32–53 || October 6, 2019 || NRG Stadium ||
|-
| Baltimore/Indianapolis Colts || 2 || 15 || 0 || || L 24–27 || September 22, 2019 || Lucas Oil Stadium ||
|-
| Jacksonville Jaguars || 5 || 3 || 0 || || W 21–14 || November 28, 2021 || TIAA Bank Field ||
|-
| Kansas City Chiefs || 3 || 7 || 0 || || L 14–17 || December 27, 2020 || Arrowhead Stadium ||
|-
| San Diego/Los Angeles Chargers || 8 || 3 || 0 || || L 17–20 || December 13, 2020 || SoFi Stadium ||
|-
| St. Louis/Los Angeles Rams || 28 || 48 || 2 || || L 10–37 || October 20, 2019 || Mercedes-Benz Stadium || 2–0 postseason
|-
| Miami Dolphins || 5 || 9 || 0 || || W 30–28 || October 24, 2021 || Hard Rock Stadium ||
|-
| Minnesota Vikings || 11 || 19 || 0 || || W 40–23 || October 18, 2020 || US Bank Stadium || 1–1 postseason
|-
| New England Patriots || 6 || 9 || 0 || || L 0–25 || November 18, 2021 || Mercedes-Benz Stadium || 0–1 postseason
|-
| New Orleans Saints || 53 || 52 || 0 || || L 20–30 || January 9, 2022 || Mercedes-Benz Stadium || 1–0 postseason
|-
| New York Giants || 14 || 11 || 0 || || W 17–14 || September 26, 2021 || MetLife Stadium || 0–1 postseason
|-
| New York Jets || 8 || 5 || 0 || || W 27–20 || October 10, 2021 || Tottenham Hotspur Stadium ||
|-
| Las Vegas/Oakland/Los Angeles Raiders || 8 || 7 || 0 || || W 43–6 || November 29, 2020 || Mercedes-Benz Stadium ||
|-
| Philadelphia Eagles || 14 || 18 || 1 || || L 6–32 || September 12, 2021 || Mercedes-Benz Stadium || 1–3 postseason
|-
| Pittsburgh Steelers || 2 || 14 || 1 || || L 17–41 || October 7, 2018 || Heinz Field ||
|-
| San Francisco 49ers || 32 || 47 || 1 || || W 28–14 || October 16, 2022 || Mercedes-Benz Stadium || 1–1 postseason
|-
| Seattle Seahawks || 7 || 12 || 0 || || W 25–38 || September 25, 2022 || Lumen Field || 2–0 postseason
|-
| Tampa Bay Buccaneers || 28 || 29 || 0 || || L 17–30 || December 5, 2021 || Mercedes-Benz Stadium ||
|-
| Tennessee Titans/Houston Oilers || 7 || 8 || 0 || || L 10–24 || September 29, 2019 || Mercedes-Benz Stadium ||
|-
| Washington Commanders || 10 || 15 || 1 || || L 30–34 ||October 3, 2021 || Mercedes-Benz Stadium || 0–1 postseason
|-
! Total || 383 || 455 || 6 || || || || || 10–14 ()
Notes International Series
Single game records
Rushing: Michael Turner, 220 (September 7, 2008)
Passing: Matt Ryan, 503 (October 2, 2016)
Passing touchdowns: Wade Wilson, 5 (December 13, 1992) and Matt Ryan, 5 (September 23, 2018)
Receptions: William Andrews, 15 (September 15, 1981)
Receiving yards: Julio Jones, 300 (October 2, 2016)
Interceptions: Several Falcons, 2, most recently Jessie Bates, 2 (September 10, 2023)
Field goals: Norm Johnson, 6 (November 13, 1994)
Total touchdowns: T. J. Duckett, 4 (December 12, 2004) and Michael Turner, 4 (November 23, 2008)
Points scored: T. J. Duckett, 24 (December 12, 2004) and Michael Turner, 24 (November 23, 2008)
Sacks: Adrian Clayborn, 6 (November 13, 2017)
Single season records
Passing attempts: 651 Matt Ryan (2013)
Passing completions: 439 Matt Ryan (2013)
Passing yards: 4,944 Matt Ryan (2016)
Passing touchdowns: 38 Matt Ryan (2016)
Passing interceptions: 25 Bobby Hebert (1996)
Completion percentage: 69.9 Matt Ryan (2016)
Passing rating: 117.1 Matt Ryan (2016)
Rushing attempts: 410 Jamal Anderson (1998)
Rushing yards: 1,846 Jamal Anderson (1998)
Rushing touchdowns: 17 Michael Turner (2008)
Receiving catches: 136 Julio Jones (2015)
Receiving yards: 1,871 Julio Jones (2015)
Receiving touchdowns: 15 Andre Rison (1993)
Quarterback sacks: 16.5 John Abraham (2008)
Pass interceptions: 10 Scott Case (1988)
Field goal attempts: 40 Jay Feely (2002)
Field goals made: 34 Matt Bryant (2016 and 2017)
Points: 158 Matt Bryant (2016)
Total touchdowns: 17 Michael Turner (2008)
Career records
Passing attempts: 6,817 Matt Ryan (2008–2021)
Passing completions: 4,460 Matt Ryan (2008–2021)
Passing yards: 51,186 Matt Ryan (2008–2021)
Passing touchdowns: 321 Matt Ryan (2008–2021)
Passing interceptions: 147 Matt Ryan (2008–2021)
Passing rating: 94.6 Matt Ryan (2008–2021)
Rushing attempts: 1,587 Gerald Riggs (1982–1988)
Rushing yards: 6,631 Gerald Riggs (1982–1988)
Rushing yards by a QB: 3,859 Michael Vick (2001–2006)
Rushing touchdowns: 60 Michael Turner (2008–2012)
Receiving catches: 808 Roddy White (2005–2015)
Receiving yards: 12,125 Julio Jones (2011–2020)
Receiving touchdowns: 63 Roddy White (2005–2015)
Quarterback sacks: 68.5 John Abraham (2006–2012)
Pass interceptions: 39 Rolland Lawrence (1973–1980)
Field goal attempts: 296 Matt Bryant (2009–2019)
Field goals made: 224 Matt Bryant (2009–2019)
Points: 1,163 Matt Bryant (2009–2019)
Total touchdowns: 63 Roddy White (2005–2015)
Pass interception return yards: 658 Rolland Lawrence (1973–1980)
Pass interception returned for touchdowns: 4 Deion Jones (2016–2022)
Punt return yards: 1,723 Allen Rossum (2002–2006)
Kickoff return yards: 5,489 Allen Rossum (2002–2006)
Longest punt: 75 John James (1972–1981) and Harold Alexander (1993–1994)
Longest field goal: 59 Morten Andersen (1995–2000, 2006–2007) and Matt Bryant (2009–2019)
Players
Current roster
Pro Football Hall of Famers
Sanders, Humphrey, Andersen, and Gonzalez are the only players in the Hall of Fame that have been inducted based substantially on their service with the Falcons. Andersen spent eight of his 25 NFL seasons with the Falcons, previously being the team's all-time scoring leader, but he also played his first 13 NFL seasons with the New Orleans Saints, leading that team's career scoring list.
Ring of Honor
The Atlanta Falcons organization does not officially retire jersey numbers, but considers certain players' jerseys worthy of being honored. The Falcons Ring of Honor honors individual players.
Retired numbers
Georgia Sports Hall of Fame
Starting quarterbacks
Draft history
Coaching staff
Head coaches
In their history, the Atlanta Falcons have had 18 head coaches.
Current staff
Radio and television
The Falcons' flagship radio station is WZGC 92.9 The Game. Wes Durham, son of longtime North Carolina Tar Heels voice Woody Durham, is the Falcons' play-by-play announcer, with former Atlanta Falcons QB and pro football veteran, Dave Archer serving as color commentator.
In 2014, The CW affiliate WUPA became the official television station of the Falcons, gaining rights to its preseason games, which are produced by CBS Sports.
In the regular season, the team's games are seen on Fox's O&O affiliate WAGA. When the Falcons challenge an AFC team, CBS affiliate WANF will air those games while Sunday night games are televised on WXIA, the local NBC affiliate.
Radio affiliates
Source:
Georgia
Alabama
Mississippi
South Carolina
Tennessee
Notes and references
External links
Atlanta Falcons at the National Football League official website
American football teams in Atlanta
National Football League teams
American football teams established in 1966
1966 establishments in Georgia (U.S. state)
| 5
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AIX (Advanced Interactive eXecutive, pronounced ,) is a series of proprietary Unix operating systems developed and sold by IBM for several of its computer platforms.
Background
Originally released for the IBM RT PC RISC workstation in 1986, AIX has supported a wide variety of hardware platforms, including the IBM RS/6000 series and later Power and PowerPC-based systems, IBM System i, System/370 mainframes, PS/2 personal computers, and the Apple Network Server. It is currently supported on IBM Power Systems alongside IBM i and Linux.
AIX is based on UNIX System V with 4.3BSD-compatible extensions. It is certified to the UNIX 03 and UNIX V7 marks of the Single UNIX Specification, beginning with AIX versions 5.3 and 7.2 TL5 respectively. Older versions were previously certified to the UNIX 95 and UNIX 98 marks.
AIX was the first operating system to have a journaling file system, and IBM has continuously enhanced the software with features such as processor, disk and network virtualization, dynamic hardware resource allocation (including fractional processor units), and reliability engineering ported from its mainframe designs.
History
Unix started life at AT&T's Bell Labs research center in the early 1970s, running on DEC minicomputers. By 1976, the operating system was in use at various academic institutions, including Princeton, where Tom Lyon and others ported it to the S/370, to run as a guest OS under VM/370. This port would later grow out to become UTS, a mainframe Unix offering by IBM's competitor Amdahl Corporation.
IBM's own involvement in Unix can be dated to 1979, when it assisted Bell Labs in doing its own Unix port to the 370 (to be used as a build host for the 5ESS switch's software). In the process, IBM made modifications to the TSS/370 hypervisor to better support Unix.
It took until 1985 for IBM to offer its own Unix on the S/370 platform, IX/370, which was developed by Interactive Systems Corporation and intended by IBM to compete with Amdahl UTS. The operating system offered special facilities for interoperating with PC/IX, Interactive/IBM's version of Unix for IBM PC compatible hardware, and was licensed at $10,000 per sixteen concurrent users.
AIX Version 1, introduced in 1986 for the IBM RT PC workstation, was based on UNIX System V Releases 1 and 2. In developing AIX, IBM and Interactive Systems Corporation (whom IBM contracted) also incorporated source code from 4.2 and 4.3 BSD UNIX.
Among other variants, IBM later produced AIX Version 3 (also known as AIX/6000), based on System V Release 3, for their POWER-based RS/6000 platform. Since 1990, AIX has served as the primary operating system for the RS/6000 series (later renamed IBM eServer pSeries, then IBM System p, and now IBM Power Systems). AIX Version 4, introduced in 1994, added symmetric multiprocessing with the introduction of the first RS/6000 SMP servers and continued to evolve through the 1990s, culminating with AIX 4.3.3 in 1999. Version 4.1, in a slightly modified form, was also the standard operating system for the Apple Network Server systems sold by Apple Computer to complement the Macintosh line.
In the late 1990s, under Project Monterey, IBM and the Santa Cruz Operation planned to integrate AIX and UnixWare into a single 32-bit/64-bit multiplatform UNIX with particular emphasis on running on Intel IA-64 (Itanium) architecture CPUs. A beta test version of AIX 5L for IA-64 systems was released, but according to documents released in the SCO v. IBM lawsuit, less than forty licenses for the finished Monterey Unix were ever sold before the project was terminated in 2002. In 2003, the SCO Group alleged that (among other infractions) IBM had misappropriated licensed source code from UNIX System V Release 4 for incorporation into AIX; SCO subsequently withdrew IBM's license to develop and distribute AIX. IBM maintains that their license was irrevocable, and continued to sell and support the product until the litigation was adjudicated.
AIX was a component of the 2003 SCO v. IBM lawsuit, in which the SCO Group filed a lawsuit against IBM, alleging IBM contributed SCO's intellectual property to the Linux codebase. The SCO Group, who argued they were the rightful owners of the copyrights covering the Unix operating system, attempted to revoke IBM's license to sell or distribute the AIX operating system. In March 2010, a jury returned a verdict finding that Novell, not the SCO Group, owns the rights to Unix.
AIX 6 was announced in May 2007, and it ran as an open beta from June 2007 until the general availability (GA) of AIX 6.1 on November 9, 2007. Major new features in AIX 6.1 included full role-based access control, workload partitions (which enable application mobility), enhanced security (Addition of AES encryption type for NFS v3 and v4), and Live Partition Mobility on the POWER6 hardware.
AIX 7.1 was announced in April 2010, and an open beta ran until general availability of AIX 7.1 in September 2010. Several new features, including better scalability, enhanced clustering and management capabilities were added. AIX 7.1 includes a new built-in clustering capability called Cluster Aware AIX. AIX is able to organize multiple LPARs through the multipath communications channel to neighboring CPUs, enabling very high-speed communication between processors. This enables multi-terabyte memory address range and page table access to support global petabyte shared memory space for AIX POWER7 clusters so that software developers can program a cluster as if it were a single system, without using message passing (i.e. semaphore-controlled Inter-process Communication). AIX administrators can use this new capability to cluster a pool of AIX nodes. By default, AIX V7.1 pins kernel memory and includes support to allow applications to pin their kernel stack. Pinning kernel memory and the kernel stack for applications with real-time requirements can provide performance improvements by ensuring that the kernel memory and kernel stack for an application is not paged out.
AIX 7.2 was announced in October 2015, and released in December 2015. The principal feature of AIX 7.2 is the Live Kernel Update capability, which allows OS fixes to replace the entire AIX kernel with no impact to applications, by live migrating workloads to a temporary surrogate AIX OS partition while the original OS partition is patched. AIX 7.2 was also restructured to remove obsolete components. The networking component, bos.net.tcp.client was repackaged to allow additional installation flexibility. Unlike AIX 7.1, AIX 7.2 is only supported on systems based on POWER7 or later processors.
In January 2023, IBM moved development of AIX to its Indian subsidiary.
Supported hardware platforms
IBM RT PC
The original AIX (sometimes called AIX/RT) was developed for the IBM RT PC workstation by IBM in conjunction with Interactive Systems Corporation, who had previously ported UNIX System III to the IBM PC for IBM as PC/IX. According to its developers, the AIX source (for this initial version) consisted of one million lines of code. Installation media consisted of eight 1.2M floppy disks. The RT was based on the IBM ROMP microprocessor, the first commercial RISC chip. This was based on a design pioneered at IBM Research (the IBM 801).
One of the novel aspects of the RT design was the use of a microkernel, called Virtual Resource Manager (VRM). The keyboard, mouse, display, disk drives and network were all controlled by a microkernel. One could "hotkey" from one operating system to the next using the Alt-Tab key combination. Each OS in turn would get possession of the keyboard, mouse and display. Besides AIX v2, the PICK OS also included this microkernel.
Much of the AIX v2 kernel was written in the PL/8 programming language, which proved troublesome during the migration to AIX v3. AIX v2 included full TCP/IP networking, as well as SNA and two networking file systems: NFS, licensed from Sun Microsystems, and Distributed Services (DS). DS had the distinction of being built on top of SNA, and thereby being fully compatible with DS on and on midrange systems running OS/400 through IBM i. For the graphical user interfaces, AIX v2 came with the X10R3 and later the X10R4 and X11 versions of the X Window System from MIT, together with the Athena widget set. Compilers for Fortran and C were available.
IBM PS/2 series
AIX PS/2 (also known as AIX/386) was developed by Locus Computing Corporation under contract to IBM. AIX PS/2, first released in October 1988, ran on IBM PS/2 personal computers with Intel 386 and compatible processors.
The product was announced in September 1988 with a baseline tag price of $595, although some utilities like uucp were included in a separate Extension package priced at $250. nroff and troff for AIX were also sold separately in a Text Formatting System package priced at $200. The TCP/IP stack for AIX PS/2 retailed for another $300. The X Window System package was priced at $195, and featured a graphical environment called the AIXwindows Desktop, based on IXI's X.desktop. The C and FORTRAN compilers each had a price tag of $275. Locus also made available their DOS Merge virtual machine environment for AIX, which could run MS DOS 3.3 applications inside AIX; DOS Merge was sold separately for another $250. IBM also offered a $150 AIX PS/2 DOS Server Program, which provided file server and print server services for client computers running PC DOS 3.3.
The last version of PS/2 AIX is 1.3. It was released in 1992 and announced to add support for non-IBM (non-microchannel) computers as well. Support for PS/2 AIX ended in March 1995.
IBM mainframes
In 1988, IBM announced AIX/370, also developed by Locus Computing. AIX/370 was IBM's fourth attempt to offer Unix-like functionality for their mainframe line, specifically the System/370 (the prior versions were a TSS/370-based Unix system developed jointly with AT&T c.1980, a VM/370-based system named VM/IX developed jointly with Interactive Systems Corporation c.1984, and a VM/370-based version of TSS/370 named IX/370 which was upgraded to be compatible with UNIX System V). AIX/370 was released in 1990 with functional equivalence to System V Release 2 and 4.3BSD as well as IBM enhancements. With the introduction of the ESA/390 architecture, AIX/370 was replaced by AIX/ESA in 1991, which was based on OSF/1, and also ran on the System/390 platform. This development effort was made partly to allow IBM to compete with Amdahl UTS. Unlike AIX/370, AIX/ESA ran both natively as the host operating system, and as a guest under VM. AIX/ESA, while technically advanced, had little commercial success, partially because UNIX functionality was added as an option to the existing mainframe operating system, MVS, as MVS/ESA SP Version 4 Release 3 OpenEdition in 1994, and continued as an integral part of MVS/ESA SP Version 5, OS/390 and z/OS, with the name eventually changing from OpenEdition to Unix System Services. IBM also provided OpenEdition in VM/ESA Version 2 through z/VM.
IA-64 systems
As part of Project Monterey, IBM released a beta test version of AIX 5L for the IA-64 (Itanium) architecture in 2001, but this never became an official product due to lack of interest.
Apple Network Servers
The Apple Network Server (ANS) systems were PowerPC-based systems designed by Apple Computer to have numerous high-end features that standard Apple hardware did not have, including swappable hard drives, redundant power supplies, and external monitoring capability. These systems were more or less based on the Power Macintosh hardware available at the time but were designed to use AIX (versions 4.1.4 or 4.1.5) as their native operating system in a specialized version specific to the ANS called AIX for Apple Network Servers.
AIX was only compatible with the Network Servers and was not ported to standard Power Macintosh hardware. It should not be confused with A/UX, Apple's earlier version of Unix for 68k-based Macintoshes.
POWER ISA/PowerPC/Power ISA-based systems
The release of AIX version 3 (sometimes called AIX/6000) coincided with the announcement of the first POWER1-based IBM RS/6000 models in 1990.
AIX v3 innovated in several ways on the software side. It was the first operating system to introduce the idea of a journaling file system, JFS, which allowed for fast boot times by avoiding the need to ensure the consistency of the file systems on disks (see fsck) on every reboot. Another innovation was shared libraries which avoid the need for static linking from an application to the libraries it used. The resulting smaller binaries used less of the hardware RAM to run, and used less disk space to install. Besides improving performance, it was a boon to developers: executable binaries could be in the tens of kilobytes instead of a megabyte for an executable statically linked to the C library. AIX v3 also scrapped the microkernel of AIX v2, a contentious move that resulted in v3 containing no PL/8 code and being somewhat more "pure" than v2.
Other notable subsystems included:
IRIS GL, a 3D rendering library, the progenitor of OpenGL. IRIS GL was licensed by IBM from SGI in 1987, then still a fairly small company, which had sold only a few thousand machines at the time. SGI also provided the low-end graphics card for the RS/6000, capable of drawing 20,000 gouraud-shaded triangles per second. The high-end graphics card was designed by IBM, a follow-on to the mainframe-attached IBM 5080, capable of rendering 990,000 vectors per second.
PHIGS, another 3D rendering API, popular in automotive CAD/CAM circles, and at the core of CATIA.
Full implementation of version 11 of the X Window System, together with Motif as the recommended widget toolkit and window manager.
Network file systems: NFS from Sun; AFS, the Andrew File System; and DFS, the Distributed File System.
NCS, the Network Computing System, licensed from Apollo Computer (later acquired by HP).
DPS on-screen display system. This was notable as a "plan B" in case the X11+Motif combination failed in the marketplace. However, it was highly proprietary, supported only by Sun, NeXT, and IBM. This cemented its failure in the marketplace in the face of the open systems challenge of X11+Motif and its lack of 3D capability.
In addition, AIX applications can run in the PASE subsystem under IBM i.
Source code
IBM formerly made the AIX for RS/6000 source code available to customers for an additional fee; in 1991, IBM customers could order the AIX 3.0 source code for a one-time charge of US$60,000; subsequently, IBM released the AIX 3.1 source code in 1992, and AIX 3.2 in 1993. These source code distributions excluded certain files (authored by third-parties) which IBM did not have rights to redistribute, and also excluded layered products such as the MS-DOS emulator and the C compiler. Furthermore, in order to be able to license the AIX source code, the customer first had to procure source code license agreements with AT&T and the University of California, Berkeley.
Versions
POWER/PowerPC/Power ISA releases
AIX V7.3, December 10, 2021
Requires POWER8 or newer CPUs
AIX V7.2, October 5, 2015
Live update for Interim Fixes, Service Packs and Technology Levels replaces the entire AIX kernel without impacting applications
Flash based filesystem caching
Cluster Aware AIX automation with repository replacement mechanism
SRIOV-backed VNIC, or dedicated VNIC virtualized network adapter support
RDSv3 over RoCE adds support of the Oracle RDSv3 protocol over the Mellanox Connect RoCE adapters
Supports secure boot on POWER9 systems.
Requires POWER7 or newer CPUs
AIX V7.1, September 10, 2010
Support for 256 cores / 1024 threads in a single LPAR
The ability to run AIX V5.2 or V5.3 inside of a Workload Partition
An XML profile based system configuration management utility
Support for export of Fibre Channel adapters to WPARs
VIOS disk support in a WPAR
Cluster Aware AIX
AIX Event infrastructure
Role-based access control (RBAC) with domain support for multi-tenant environments
Requires POWER4 or newer CPUs
AIX V6.1, November 9, 2007
Workload Partitions (WPARs) operating system-level virtualization
Live Application Mobility
Live Partition Mobility
Security
Role Based Access Control RBAC
AIX Security Expert a system and network security hardening tool
Encrypting JFS2 filesystem
Trusted AIX
Trusted Execution
Integrated Electronic Service Agent for auto error reporting
Concurrent Kernel Maintenance
Kernel exploitation of POWER6 storage keys
ProbeVue dynamic tracing
Systems Director Console for AIX
Integrated filesystem snapshot
Requires POWER4 or newer CPUs
AIX 6 withdrawn from Marketing effective April 2016 and from Support effective April 2017
AIX 5L 5.3, August 13, 2004, end of support April 30, 2012
NFS Version 4
Advanced Accounting
Virtual SCSI
Virtual Ethernet
Exploitation of Simultaneous multithreading (SMT)
Micro-Partitioning enablement
POWER5 exploitation
JFS2 quotas
Ability to shrink a JFS2 filesystem
Kernel scheduler has been enhanced to dynamically increase and decrease the use of virtual processors.
AIX 5L 5.2, October 18, 2002, end of support April 30, 2009
Ability to run on the IBM BladeCenter JS20 with the PowerPC 970
Minimum level required for POWER5 hardware
MPIO for Fibre Channel disks
iSCSI Initiator software
Participation in Dynamic LPAR
Concurrent I/O (CIO) feature introduced for JFS2 released in Maintenance Level 01 in May 2003
AIX 5L 5.1, May 4, 2001, end of support April 1, 2006
Ability to run on an IA-64 architecture processor, although this never went beyond beta.
Minimum level required for POWER4 hardware and the last release that worked on the Micro Channel architecture
64-bit kernel, installed but not activated by default
JFS2
Ability to run in a Logical Partition on POWER4
The L stands for Linux affinity
Trusted Computing Base (TCB)
Support for mirroring with striping
AIX 4.3.3, September 17, 1999
Online backup function
Workload Manager (WLM)
Introduction of topas utility
AIX 4.3.2, October 23, 1998
AIX 4.3.1, April 24, 1998
First TCSEC security evaluation, completed December 18, 1998
AIX 4.3, October 31, 1997
Ability to run on 64-bit architecture CPUs
IPv6
Web-based System Manager
AIX 4.2.1, April 25, 1997
NFS Version 3
Y2K-compliant
AIX 4.2, May 17, 1996
AIX 4.1.5, November 8, 1996
AIX 4.1.4, October 20, 1995
AIX 4.1.3, July 7, 1995
CDE 1.0 became the default GUI environment, replacing the AIXwindows Desktop.
AIX 4.1.1, October 28, 1994
AIX 4.1, August 12, 1994
AIX Ultimedia Services introduced (multimedia drivers and applications)
AIX 4.0, 1994
Run on RS/6000 systems with PowerPC processors and PCI busses.
AIX 3.2.5, October 15, 1993
AIX 3.2 1992
AIX 3.1, (General Availability) February 1990
Journaled File System (JFS) filesystem type
AIXwindows Desktop (based on X.desktop from IXI Limited)
AIX 3.0 1989 (Early Access)
LVM (Logical Volume Manager) was incorporated into OSF/1, and in 1995 for HP-UX, and the Linux LVM implementation is similar to the HP-UX LVM implementation.
SMIT was introduced.
IBM System/370 releases
AIX/370 Version 1 Release 1
Announced March 15, 1988
Available February 16, 1989
Does not run in XA, ESA or z mode
AIX/370 Version 1 Release 2.1
Announced February 5, 1991
Available February February 22, 1991
Withdrawn December 31, 1992
Does not run in XA, ESA or z mode
AIX/ESA Version 2 Release 1
Announced March 31, 1992
Available June 26, 1992
Withdrawn Jun 19, 1993
Runs only in S/370-ESA mode
AIX/ESA Version 2 Release 2
Announced December 15, 1992
Available February 26, 1993
Withdrawn Jun 19, 1993
Runs only in S/370-ESA mode
IBM PS/2 releases
AIX PS/2 v1.3, October 1992
Withdrawn from sale in US, March 1995
Patches supporting IBM ThinkPad 750C family of notebook computers, 1994
Patches supporting non PS/2 hardware and systems, 1993
AIX PS/2 v1.2.1, May 1991
AIX PS/2 v1.2, March 1990
AIX PS/2 v1.1, March 1989
IBM RT releases
AIX RT v2.2.1, March 1991
AIX RT v2.2, March 1990
AIX RT v2.1, March 1989
X-Windows included on installation media
AIX RT v1.1, 1986
AIX RT v1.0, 1985
User interfaces
The default shell was Bourne shell up to AIX version 3, but was changed to KornShell (ksh88) in version 4 for XPG4 and POSIX compliance.
Graphical
The Common Desktop Environment (CDE) is AIX's default graphical user interface. As part of Linux Affinity and the free AIX Toolbox for Linux Applications (ATLA), open-source KDE Plasma Workspaces and GNOME desktop are also available.
System Management Interface Tool
SMIT is the System Management Interface Tool for AIX. It allows a user to navigate a menu hierarchy of commands, rather than using the command line. Invocation is typically achieved with the command smit. Experienced system administrators make use of the F6 function key which generates the command line that SMIT will invoke to complete it.
SMIT also generates a log of commands that are performed in the smit.script file. The smit.script file automatically records the commands with the command flags and parameters used. The smit.script file can be used as an executable shell script to rerun system configuration tasks. SMIT also creates the smit.log file, which contains additional detailed information that can be used by programmers in extending the SMIT system.
smit and smitty refer to the same program, though smitty invokes the text-based version, while smit will invoke an X Window System based interface if possible; however, if smit determines that X Window System capabilities are not present, it will present the text-based version instead of failing. Determination of X Window System capabilities is typically performed by checking for the existence of the DISPLAY variable.
Database
Object Data Manager (ODM) is a database of system information integrated into AIX, analogous to the registry in Microsoft Windows. A good understanding of the ODM is essential for managing AIX systems.
Data managed in ODM is stored and maintained as objects with associated attributes. Interaction with ODM is possible via application programming interface (API) library for programs, and command-line utilities such as odmshow, odmget, odmadd, odmchange and odmdelete for shell scripts and users. SMIT and its associated AIX commands can also be used to query and modify information in the ODM. ODM is stored on disk using Berkeley DB files.
Example of information stored in the ODM database are:
Network configuration
Logical volume management configuration
Installed software information
Information for logical devices or software drivers
List of all AIX supported devices
Physical hardware devices installed and their configuration
Menus, screens and commands that SMIT uses
See also
AOS, IBM's educational-market port of 4.3BSD
IBM PowerHA SystemMirror (formerly HACMP)
List of Unix systems
nmon
Operating systems timeline
Service Update Management Assistant
Vital Product Data (VPD)
References
External links
IBM AIX
IBM operating systems
Power ISA operating systems
PowerPC operating systems
IBM Aix
Object-oriented database management systems
1986 software
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AppleTalk is a discontinued proprietary suite of networking protocols developed by Apple Computer for their Macintosh computers. AppleTalk includes a number of features that allow local area networks to be connected with no prior setup or the need for a centralized router or server of any sort. Connected AppleTalk-equipped systems automatically assign addresses, update the distributed namespace, and configure any required inter-networking routing.
AppleTalk was released in 1985 and was the primary protocol used by Apple devices through the 1980s and 1990s. Versions were also released for the IBM PC and compatibles and the Apple IIGS. AppleTalk support was also available in most networked printers (especially laser printers), some file servers, and a number of routers.
The rise of TCP/IP during the 1990s led to a reimplementation of most of these types of support on that protocol, and AppleTalk became unsupported as of the release of Mac OS X v10.6 in 2009. Many of AppleTalk's more advanced autoconfiguration features have since been introduced in Bonjour, while Universal Plug and Play serves similar needs.
History
AppleNet
After the release of the Apple Lisa computer in January 1983, Apple invested considerable effort in the development of a local area networking (LAN) system for the machines. Known as AppleNet, it was based on the seminal Xerox XNS protocol stack but running on a custom 1 Mbit/s coaxial cable system rather than Xerox's 2.94 Mbit/s Ethernet. AppleNet was announced early in 1983 with a full introduction at the target price of $500 for plug-in AppleNet cards for the Lisa and the Apple II.
At that time, early LAN systems were just coming to market, including Ethernet, Token Ring, Econet, and ARCNET. This was a topic of major commercial effort at the time, dominating shows like the National Computer Conference (NCC) in Anaheim in May 1983. All of the systems were jockeying for position in the market, but even at this time, Ethernet's widespread acceptance suggested it was to become a de facto standard. It was at this show that Steve Jobs asked Gursharan Sidhu a seemingly innocuous question: "Why has networking not caught on?"
Four months later, in October, AppleNet was cancelled. At the time, they announced that "Apple realized that it's not in the business to create a networking system. We built and used AppleNet in-house, but we realized that if we had shipped it, we would have seen new standards coming up." In January, Jobs announced that they would instead be supporting IBM's Token Ring, which he expected to come out in a "few months".
AppleBus
Through this period, Apple was deep in development of the Macintosh computer. During development, engineers had made the decision to use the Zilog 8530 serial controller chip (SCC) instead of the lower-cost and more common UART to provide serial port connections. The SCC cost about $5 more than a UART, but offered much higher speeds of up to 250 kilobits per second (or higher with additional hardware) and internally supported a number of basic networking-like protocols like IBM's Bisync.
The SCC was chosen because it would allow multiple devices to be attached to the port. Peripherals equipped with similar SCCs could communicate using the built-in protocols, interleaving their data with other peripherals on the same bus. This would eliminate the need for more ports on the back of the machine, and allowed for the elimination of expansion slots for supporting more complex devices. The initial concept was known as AppleBus, envisioning a system controlled by the host Macintosh polling "dumb" devices in a fashion similar to the modern Universal Serial Bus.
AppleBus networking
The Macintosh team had already begun work on what would become the LaserWriter and had considered a number of other options to answer the question of how to share these expensive machines and other resources. A series of memos from Bob Belleville clarified these concepts, outlining the Mac, LaserWriter, and a file server system which would become the Macintosh Office. By late 1983 it was clear that IBM's Token Ring would not be ready in time for the launch of the Mac, and might miss the launch of these other products as well. In the end, Token Ring would not ship until October 1985.
Jobs' earlier question to Sidhu had already sparked a number of ideas. When AppleNet was cancelled in October, Sidhu led an effort to develop a new networking system based on the AppleBus hardware. This new system would not have to conform to any existing preconceptions, and was designed to be worthy of the Mac – a system that was user-installable, had zero configuration, and no fixed network addresses – in short, a true plug-and-play network. Considerable effort was needed, but by the time the Mac was released, the basic concepts had been outlined, and some of the low-level protocols were on their way to completion. Sidhu mentioned the work to Belleville only two hours after the Mac was announced.
The "new" AppleBus was announced in early 1984, allowing direct connection from the Mac or Lisa through a small box that is plugged into the serial port and connected via cables to the next computer upstream and downstream. Adaptors for Apple II and Apple III were also announced. Apple also announced that AppleBus networks could be attached to, and would appear to be a single node within, a Token Ring system. Details of how this would work were sketchy.
AppleTalk Personal Network
Just prior to its release in early 1985, AppleBus was renamed AppleTalk. Initially marketed as AppleTalk Personal Network, it comprised a family of network protocols and a physical layer.
The physical layer had a number of limitations, including a speed of only 230.4 kbit/s, a maximum distance of from end to end, and only 32 nodes per LAN. But as the basic hardware was built into the Mac, adding nodes only cost about $50 for the adaptor box. In comparison, Ethernet or Token Ring cards cost hundreds or thousands of dollars. Additionally, the entire networking stack required only about 6 kB of RAM, allowing it to run on any Mac.
The relatively slow speed of AppleTalk allowed further reductions in cost. Instead of using RS-422's balanced transmit and receive circuits, the AppleTalk cabling used a single common electrical ground, which limited speeds to about 500 kbit/s, but allowed one conductor to be removed. This meant that common three-conductor cables could be used for wiring. Additionally, the adaptors were designed to be "self-terminating", meaning that nodes at the end of the network could simply leave their last connector unconnected. There was no need for the wires to be connected back together into a loop, nor the need for hubs or other devices.
The system was designed for future expansion; the addressing system allowed for expansion to 255 nodes in a LAN (although only 32 could be used at that time), and by using "bridges" (which came to be known as "routers", although technically not the same) one could interconnect LANs into larger collections. "Zones" allowed devices to be addressed within a bridge-connected internet. Additionally, AppleTalk was designed from the start to allow use with any potential underlying physical link, and within a few years, the physical layer would be renamed LocalTalk, so as to differentiate it from the AppleTalk protocols.
The main advantage of AppleTalk was that it was completely maintenance-free. To join a device to a network, a user simply plugged the adaptor into the machine, then connected a cable from it to any free port on any other adaptor. The AppleTalk network stack negotiated a network address, assigned the computer a human-readable name, and compiled a list of the names and types of other machines on the network so the user could browse the devices through the Chooser. AppleTalk was so easy to use that ad hoc networks tended to appear whenever multiple Macs were in the same room. Apple would later use this in an advertisement showing a network being created between two seats in an airplane.
PhoneNet and other adaptors
A thriving 3rd party market for AppleTalk devices developed over the next few years. One particularly notable example was an alternate adaptor designed by BMUG and commercialized by Farallon as PhoneNET in 1987. This was essentially a replacement for Apple's connector that had conventional phone jacks instead of Apple's round connectors. PhoneNet allowed AppleTalk networks to be connected together using normal telephone wires, and with very little extra work, could run analog phones and AppleTalk on a single four-conductor phone cable.
Other companies took advantage of the SCC's ability to read external clocks in order to support higher transmission speeds, up to 1 Mbit/s. In these systems, the external adaptor also included its own clock, and used that to signal the SCC's clock input pins. The best-known such system was Centram's FlashTalk, which ran at 768 kbit/s, and was intended to be used with their TOPS networking system. A similar solution was the 850 kbit/s DaynaTalk, which used a separate box that plugged in between the computer and a normal LocalTalk/PhoneNet box. Dayna also offered a PC expansion card that ran up to 1.7 Mbit/s when talking to other Dayna PC cards. Several other systems also existed with even higher performance, but these often required special cabling that was incompatible with LocalTalk/PhoneNet, and also required patches to the networking stack that often caused problems.
AppleTalk over Ethernet
As Apple expanded into more commercial and education markets, they needed to integrate AppleTalk into existing network installations. Many of these organizations had already invested in a very expensive Ethernet infrastructure and there was no direct way to connect a Macintosh to Ethernet. AppleTalk included a protocol structure for interconnecting AppleTalk subnets and so as a solution, EtherTalk was initially created to use the Ethernet as a backbone between LocalTalk subnets. To accomplish this, organizations would need to purchase a LocalTalk-to-Ethernet bridge and Apple left it to third parties to produce these products. A number of companies responded, including Hayes and a few newly formed companies like Kinetics.
LocalTalk, EtherTalk, TokenTalk, and AppleShare
By 1987, Ethernet was clearly winning the standards battle over Token Ring, and in the middle of that year, Apple introduced EtherTalk 1.0, an implementation of the AppleTalk protocol over the Ethernet physical layer. Introduced for the newly released Macintosh II computer, Apple's first Macintosh with expansion slots, the operating system included a new Network control panel that allowed the user to select which physical connection to use for networking (from "Built-in" or "EtherTalk"). At introduction, Ethernet interface cards were available from 3Com and Kinetics that plugged into a Nubus slot in the machine. The new networking stack also expanded the system to allow a full 255 nodes per LAN. With EtherTalk's release, AppleTalk Personal Network was renamed LocalTalk, the name it would be known under for the bulk of its life. Token Ring would later be supported with a similar TokenTalk product, which used the same Network control panel and underlying software. Over time, many third-party companies would introduce compatible Ethernet and Token Ring cards that used these same drivers.
The appearance of a Macintosh with a direct Ethernet connection also magnified the Ethernet and LocalTalk compatibility problem: Networks with new and old Macs needed some way to communicate with each other. This could be as simple as a network of Ethernet Mac II's trying to talk to a LaserWriter that only connected to LocalTalk. Apple initially relied on the aforementioned LocalTalk-to-Ethernet bridge products, but contrary to Apple's belief that these would be low-volume products, by the end of 1987, 130,000 such networks were in use. AppleTalk was at that time the most used networking system in the world, with over three times the installations of any other vendor.
1987 also marked the introduction of the AppleShare product, a dedicated file server that ran on any Mac with 512 kB of RAM or more. A common AppleShare machine was the Mac Plus with an external SCSI hard drive. AppleShare was the #3 network operating system in the late 1980s, behind Novell NetWare and Microsoft's MS-Net. AppleShare was effectively the replacement for the failed Macintosh Office efforts, which had been based on a dedicated file server device.
AppleTalk Phase II and other developments
A significant re-design was released in 1989 as AppleTalk Phase II. In many ways, Phase II can be considered an effort to make the earlier version (never called Phase I) more generic. LANs could now support more than 255 nodes, and zones were no longer associated with physical networks but were entirely virtual constructs used simply to organize nodes. For instance, one could now make a "Printers" zone that would list all the printers in an organization, or one might want to place that same device in the "2nd Floor" zone to indicate its physical location. Phase II also included changes to the underlying inter-networking protocols to make them less "chatty", which had previously been a serious problem on networks that bridged over wide-area networks.
By this point, Apple had a wide variety of communications products under development, and many of these were announced along with AppleTalk Phase II. These included updates to EtherTalk and TokenTalk, AppleTalk software and LocalTalk hardware for the IBM PC, EtherTalk for Apple's A/UX operating system allowing it to use LaserPrinters and other network resources, and the Mac X.25 and MacX products.
Ethernet had become almost universal by 1990, and it was time to build Ethernet into Macs direct from the factory. However, the physical wiring used by these networks was not yet completely standardized. Apple solved this problem using a single port on the back of the computer into which the user could plug an adaptor for any given cabling system. This FriendlyNet system was based on the industry-standard Attachment Unit Interface or AUI, but deliberately chose a non-standard connector that was smaller and easier to use, which they called "Apple AUI", or AAUI. FriendlyNet was first introduced on the Quadra 700 and Quadra 900 computers, and used across much of the Mac line for some time. As with LocalTalk, a number of 3rd party FriendlyNet adaptors quickly appeared.
As 10BASE-T became the de facto cabling system for Ethernet, second-generation Power Macintosh machines added a 10BASE-T port in addition to AAUI. The PowerBook 3400c and lower-end Power Macs also added 10BASE-T. The Power Macintosh 7300/8600/9600 were the final Macs to include AAUI, and 10BASE-T became universal starting with the Power Macintosh G3 and PowerBook G3.
The capital-I Internet
From the beginning of AppleTalk, users wanted to connect the Macintosh to the TCP/IP network environments. In 1984, Bill Croft at Stanford University pioneered the development of IP packets encapsulated in DDP as part of the SEAGATE (Stanford Ethernet–AppleTalk Gateway) project. SEAGATE was commercialized by Kinetics in their LocalTalk-to-Ethernet bridge as an additional routing option. A few years later, MacIP, was separated from the SEAGATE code and became the de facto method for IP packets to be routed over LocalTalk networks. By 1986, Columbia University released the first version of the Columbia AppleTalk Package (CAP) that allowed higher integration of Unix, TCP/IP, and AppleTalk environments. In 1988, Apple released MacTCP, a system that allowed the Mac to support TCP/IP on machines with suitable Ethernet hardware. However, this left many universities with the problem of supporting IP on their many LocalTalk-equipped Macs. It was soon common to include MacIP support in LocalTalk-to-Ethernet bridges. MacTCP would not become a standard part of the Classic Mac OS until 1994, by which time it also supported SNMP and PPP.
For some time in the early 1990s, the Mac was a primary client on the rapidly expanding Internet. Among the better-known programs in wide use were Fetch, Eudora, eXodus, NewsWatcher, and the NCSA packages, especially NCSA Mosaic and its offspring, Netscape Navigator. Additionally, a number of server products appeared that allowed the Mac to host Internet content. Through this period, Macs had about 2 to 3 times as many clients connected to the Internet as any other platform, despite the relatively small overall microcomputer market share.
As the world quickly moved to IP for both LAN and WAN uses, Apple was faced with maintaining two increasingly outdated code bases on an ever-wider group of machines as well as the introduction of the PowerPC based machines. This led to the Open Transport efforts, which re-implemented both MacTCP and AppleTalk on an entirely new code base adapted from the Unix standard STREAMS. Early versions had problems and did not become stable for some time. By that point, Apple was deep in their ultimately doomed Copland efforts.
Legacy and abandonment
With the purchase of NeXT and subsequent development of Mac OS X, AppleTalk was strictly a legacy system. Support was added to OS X in order to provide support for a large number of existing AppleTalk devices, notably laser printers and file shares, but alternate connection solutions common in this era, notably USB for printers, limited their demand. As Apple abandoned many of these product categories, and all new systems were based on IP, AppleTalk became less and less common. AppleTalk support was finally removed from the MacOS in Mac OS X v10.6 in 2009.
However, the loss of AppleTalk did not reduce the desire for networking solutions that combined its ease of use with IP routing. Apple has led the development of many such efforts, from the introduction of the AirPort router to the development of the Zero-configuration networking system and their implementation of it, Bonjour.
As of 2020, AppleTalk support has been completely removed from legacy support with macOS 11 Big Sur.
Design
The AppleTalk design rigorously followed the OSI model of protocol layering. Unlike most of the early LAN systems, AppleTalk was not built using the archetypal Xerox XNS system. The intended target was not Ethernet, and it did not have 48-bit addresses to route. Nevertheless, many portions of the AppleTalk system have direct analogs in XNS.
One key differentiation for AppleTalk was it contained two protocols aimed at making the system completely self-configuring. The AppleTalk address resolution protocol (AARP) allowed AppleTalk hosts to automatically generate their own network addresses, and the Name Binding Protocol (NBP) was a dynamic system for mapping network addresses to user-readable names. Although systems similar to AARP existed in other systems, Banyan VINES for instance. Beginning about 2002 Multicast DNS provided capabilities similar to NBP.
Both AARP and NBP had defined ways to allow "controller" devices to override the default mechanisms. The concept was to allow routers to provide the information or "hardwire" the system to known addresses and names. On larger networks where AARP could cause problems as new nodes searched for free addresses, the addition of a router could reduce "chattiness." Together AARP and NBP made AppleTalk an easy-to-use networking system. New machines were added to the network by plugging them in and optionally giving them a name. The NBP lists were examined and displayed by a program known as the Chooser which would display a list of machines on the local network, divided into classes such as file-servers and printers.
Addressing
An AppleTalk address was a four-byte quantity. This consisted of a two-byte network number, a one-byte node number, and a one-byte socket number. Of these, only the network number required any configuration, being obtained from a router. Each node dynamically chose its own node number, according to a protocol (originally the LocalTalk Link Access Protocol LLAP and later, for Ethernet/EtherTalk, the AppleTalk Address Resolution Protocol, AARP) which handled contention between different nodes accidentally choosing the same number. For socket numbers, a few well-known numbers were reserved for special purposes specific to the AppleTalk protocol itself. Apart from these, all application-level protocols were expected to use dynamically-assigned socket numbers at both the client and server end.
Because of this dynamism, users could not be expected to access services by specifying their address. Instead, all services had names which, being chosen by humans, could be expected to be meaningful to users, and also could be sufficiently long to minimize the chance of conflicts.
As NBP names translated to an address, which included a socket number as well as a node number, a name in AppleTalk mapped directly to a service being provided by a machine, which was entirely separate from the name of the machine itself. Thus, services could be moved to a different machine and, so long as they kept the same service name, there was no need for users to do anything different in order to continue accessing the service. And the same machine could host any number of instances of services of the same type, without any network connection conflicts.
Contrast this with A records in the DNS, in which a name translates to a machine's address, not including the port number that might be providing a service. Thus, if people are accustomed to using a particular machine name to access a particular service, their access will break when the service is moved to a different machine. This can be mitigated somewhat by insistence on using CNAME records indicating service rather than actual machine names to refer to the service, but there is no way of guaranteeing that users will follow such a convention. Some newer protocols, such as Kerberos and Active Directory use DNS SRV records to identify services by name, which is much closer to the AppleTalk model.
Protocols
AppleTalk Address Resolution Protocol
AARP resolves AppleTalk addresses to link layer addresses. It is functionally equivalent to ARP and obtains address resolution by a method very similar to ARP.
AARP is a fairly simple system. When powered on, an AppleTalk machine broadcasts an AARP probe packet asking for a network address, intending to hear back from controllers such as routers. If no address is provided, one is picked at random from the "base subnet", 0. It then broadcasts another packet saying "I am selecting this address", and then waits to see if anyone else on the network complains. If another machine has that address, it will pick another address, and keep trying until it finds a free one. On a network with many machines it may take several tries before a free address is found, so for performance purposes the successful address is "written down" in NVRAM and used as the default address in the future. This means that in most real-world setups where machines are added a few at a time, only one or two tries are needed before the address effectively become constant.
AppleTalk Data Stream Protocol
This was a comparatively late addition to the AppleTalk protocol suite, done when it became clear that a TCP-style reliable connection-oriented transport was needed. Significant differences from TCP were that:
a connection attempt could be rejected
there were no "half-open" connections; once one end initiated a tear-down of the connection, the whole connection would be closed (i.e., ADSP is full-duplex, not dual simplex).
AppleTalk had an included attention message system which allowed short messages to be sent which would bypass the normal stream data flow. These were delivered reliably but out of order with respect to the stream. Any attention message would be delivered as soon as possible instead of waiting for the current stream byte sequence point to become current.
Apple Filing Protocol
The Apple Filing Protocol (AFP), formerly AppleTalk Filing Protocol, is the protocol for communicating with AppleShare file servers. Built on top of AppleTalk Session Protocol (for legacy AFP over DDP) or the Data Stream Interface (for AFP over TCP), it provides services for authenticating users (extensible to different authentication methods including two-way random-number exchange) and for performing operations specific to the Macintosh HFS filesystem. AFP is still in use in macOS, even though most other AppleTalk protocols have been deprecated.
AppleTalk Session Protocol
ASP was an intermediate protocol, built on top of ATP, which in turn was the foundation of AFP. It provided basic services for requesting responses to arbitrary commands d performing out-of-band status queries. It also allowed the server to send asynchronous attention messages to the client.
Datagram Delivery Protocol
DDP was the lowest-level data-link-independent transport protocol. It provided a datagram service with no guarantees of delivery. All application-level protocols, including the infrastructure protocols NBP, RTMP and ZIP, were built on top of DDP. AppleTalk's DDP corresponds closely to the Network layer of the Open Systems Interconnection (OSI) communication model.
Name Binding Protocol
Name Binding Protocol was a dynamic, distributed system for managing AppleTalk names. When a service started up on a machine, it registered a name for itself as chosen by a human administrator. At this point, NBP provided a system for checking that no other machine had already registered the same name. Later, when a client wanted to access that service, it used NBP to query machines to find that service. NBP provided browsability ("what are the names of all the services available?") as well as the ability to find a service with a particular name. Names were human readable, containing spaces, upper and lower case letters, and including support for searching.
AppleTalk Echo Protocol
AEP (AppleTalk Echo Protocol) is a transport layer protocol designed to test the reachability of network nodes. AEP generates packets to be sent to the network node and is identified in the Type field of a packet as an AEP packet. The packet is first passed to the source DDP. After it is identified as an AEP packet, it is forwarded to the node where the packet is examined by the DDP at the destination. After the packet is identified as an AEP packet, the packet is then copied and a field in the packet is altered to create an AEP reply packet, and is then returned to the source node.
Printer Access Protocol
PAP was the standard way of communicating with PostScript printers. It was built on top of ATP. When a PAP connection was opened, each end sent the other an ATP request which basically meant "send me more data". The client's response to the server was to send a block of PostScript code, while the server could respond with any diagnostic messages that might be generated as a result, after which another "send-more-data" request was sent. This use of ATP provided automatic flow control; each end could only send data to the other end if there was an outstanding ATP request to respond to.
PAP also provided for out-of-band status queries, handled by separate ATP transactions. Even while it was busy servicing a print job from one client, a PAP server could continue to respond to status requests from any number of other clients. This allowed other Macintoshes on the LAN that were waiting to print to display status messages indicating that the printer was busy, and what the job was that it was busy with.
Routing Table Maintenance Protocol
RTMP was the protocol by which routers kept each other informed about the topology of the network. This was the only part of AppleTalk that required periodic unsolicited broadcasts: every 10 seconds, each router had to send out a list of all the network numbers it knew about and how far away it thought they were.
Zone Information Protocol
ZIP was the protocol by which AppleTalk network numbers were associated with zone names. A zone was a subdivision of the network that made sense to humans (for example, "Accounting Department"); but while a network number had to be assigned to a topologically-contiguous section of the network, a zone could include several different discontiguous portions of the network.
Physical implementation
The initial default hardware implementation for AppleTalk was a high-speed serial protocol known as LocalTalk that used the Macintosh's built-in RS-422 ports at 230.4 kbit/s. LocalTalk used a splitter box in the RS-422 port to provide an upstream and downstream cable from a single port. The topology was a bus: cables were daisy-chained from each connected machine to the next, up to the maximum of 32 permitted on any LocalTalk segment. The system was slow by today's standards, but at the time the additional cost and complexity of networking on PC machines was such that it was common that Macs were the only networked personal computers in an office. Other larger computers, such as UNIX or VAX workstations, would commonly be networked via Ethernet.
Other physical implementations were also available. A very popular replacement for LocalTalk was PhoneNET, a 3rd party solution from Farallon Computing, Inc. (renamed Netopia, acquired by Motorola in 2007) that also used the RS-422 port and was indistinguishable from LocalTalk as far as Apple's LocalTalk port drivers were concerned, but ran over the two unused wires in standard four-wire phone cabling. Foreshadowing today's network hubs and switches, Farallon provided solutions for PhoneNet to be used in "star" as well as bus configurations, with both "passive" star connections (with the phone wires simply bridged to each other at a central point), and "active" star with "PhoneNet Star Controller" hub hardware. Apple's LocalTalk connectors didn't have a locking feature, so connectors could easily come loose, and the bus configuration resulted in any loose connector bringing down the whole network, and being hard to track down. PhoneNet RJ-11 connectors, on the other hand, snapped into place, and in a star configuration any wiring issue only affected one device, and problems were easy to pinpoint. PhoneNet's low cost, flexibility, and easy troubleshooting resulted in it being the dominant choice for Mac networks into the early 1990s.
AppleTalk protocols also came to run over Ethernet (first coaxial and then twisted pair) and Token Ring physical layers, labeled by Apple as EtherTalk and TokenTalk, respectively. EtherTalk gradually became the dominant implementation method for AppleTalk as Ethernet became generally popular in the PC industry throughout the 1990s. Besides AppleTalk and TCP/IP, any Ethernet network could also simultaneously carry other protocols such as DECnet and IPX.
Networking model
Versions
Cross-platform solutions
When AppleTalk was first introduced, the dominant office computing platform was the PC compatible running MS-DOS. Apple introduced the AppleTalk PC Card in early 1987, allowing PCs to join AppleTalk networks and print to LaserWriter printers. A year later AppleShare PC was released, allowing PCs to access AppleShare file servers.
The "TOPS Teleconnector" MS-DOS networking system over AppleTalk system enabled MS-DOS PCs to communicate over AppleTalk network hardware; it comprised an AppleTalk interface card for the PC and a suite of networking software allowing such functions as file, drive and printer sharing. As well as allowing the construction of a PC-only AppleTalk network, it allowed communication between PCs and Macs with TOPS software installed. (Macs without TOPS installed could use the same network but only to communicate with other Apple machines.) The Mac TOPS software did not match the quality of Apple's own either in ease of use or in robustness and freedom from crashes, but the DOS software was relatively simple to use in DOS terms, and was robust.
The BSD and Linux operating systems support AppleTalk through an open source project called Netatalk, which implements the complete protocol suite and allows them to both act as native file or print servers for Macintosh computers, and print to LocalTalk printers over the network.
The Windows Server operating systems supported AppleTalk starting with Windows NT and ending after Windows Server 2003. Miramar included AppleTalk in its PC MacLAN product which was discontinued by CA in 2007. GroupLogic continues to bundle its AppleTalk protocol with its ExtremeZ-IP server software for Macintosh-Windows integration which supports Windows Server 2008 and Windows Vista as well prior versions. HELIOS Software GmbH offers a proprietary implementation of the AppleTalk protocol stack, as part of their HELIOS UB2 server. This is essentially a File and Print Server suite that runs on a whole range of different platforms.
In addition, Columbia University released the Columbia AppleTalk Package (CAP) which implemented the protocol suite for various Unix flavors including Ultrix, SunOS, BSD and IRIX. This package is no longer actively maintained.
See also
Netatalk is a free, open-source implementation of the AppleTalk suite of protocols.
Network File System
Remote File Sharing
Samba
Server Message Block
Notes
References
Citations
Bibliography
Apple Inc. software
Network operating systems
Network protocols
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The Apple II series (trademarked with square brackets as "Apple ][" and rendered on later models as "Apple //") is a family of home computers, one of the first highly successful mass-produced microcomputer products, designed primarily by Steve Wozniak, manufactured by Apple Computer (now Apple Inc.), and launched in 1977 with the original Apple II.
In terms of ease of use, features, and expandability, the Apple II was a major advancement over its predecessor, the Apple I, a limited-production bare circuit board computer for electronics hobbyists. Through 1988, a number of models were introduced, with the most popular, the Apple IIe, remaining relatively unchanged into the 1990s.
A model with more advanced graphics and sound and a 16-bit processor, the Apple IIGS, was added in 1986. It remained compatible with earlier Apple II models, but the IIGS had more in common with mid-1980s systems like the Atari ST, Amiga, and Acorn Archimedes.
The Apple II was first sold on June 10, 1977. By the end of production in 1993, somewhere between five and six million Apple II series computers (including about 1.25 million Apple IIGS models) had been produced. The Apple II was one of the longest running mass-produced home computer series, with models in production for just under 17 years.
The Apple II became one of several recognizable and successful computers during the 1980s and early 1990s, although this was mainly limited to the US. It was aggressively marketed through volume discounts and manufacturing arrangements to educational institutions, which made it the first computer in widespread use in American secondary schools, displacing the early leader Commodore PET. The effort to develop educational and business software for the Apple II, including the 1979 release of the popular VisiCalc spreadsheet, made the computer especially popular with business users and families.
Despite the introduction of the Motorola 68000-based Macintosh in 1984, the Apple II series still reportedly accounted for 85% of the company's hardware sales in the first quarter of fiscal 1985. Apple continued to sell Apple II systems alongside the Macintosh until terminating the IIGS in December 1992 and the IIe in November 1993. The last II-series Apple in production, the IIe card for Macintoshes, was discontinued on October 15, 1993. The total Apple II sales of all of its models during its 16-year production run were about 6 million units, with the peak occurring in 1983 when 1 million were sold.
Hardware
All the machines in the series, except the //c, shared similar overall design elements. The plastic case was designed to look more like a home appliance than a piece of electronic equipment, and the machine could be opened without the use of tools, allowing access to the computer's internals.
The motherboard held eight expansion slots and an array of random access memory (RAM) sockets that could hold up to 48 kilobytes. Over the course of the Apple II series' life, an enormous amount of first- and third-party hardware was made available to extend the capabilities of the machine.
The //c was designed as a compact, portable unit, not intended to be disassembled, and could not use most of the expansion hardware sold for the other machines in the series.
All machines in the Apple II series had a built-in keyboard, with the exception of the IIgs which had a separate keyboard.
Apple IIs had color and high-resolution graphics modes, sound capabilities and a built-in BASIC programming language. The Apple II was targeted for the masses rather than just hobbyists and engineers, and influenced many of the microcomputers that followed it. Unlike preceding home microcomputers, it was sold as a finished consumer appliance rather than as a kit (unassembled or preassembled). The Apple II series eventually supported over 1,500 software programs.
Apple marketed the machine as a durable product, including a 1981 ad in which an Apple II survived a fire started when a cat belonging to one early user knocked over a lamp.
Software
The original Apple II provided an operating system in ROM along with a BASIC variant called Integer BASIC. The only form of storage available was cassette tape.
When the Disk II floppy disk drive was released in 1978, a new operating system, Apple DOS, was commissioned from Shepardson Microsystems and developed by Paul Laughton, adding support for the disk drive. The final and most popular version of this software was Apple DOS 3.3.
Apple DOS was superseded by ProDOS, which supported a hierarchical filesystem and larger storage devices. With an optional third-party Z80-based expansion card, the Apple II could boot into the CP/M operating system and run WordStar, dBase II, and other CP/M software. With the release of MousePaint in 1984 and the Apple IIGS in 1986, the platform took on the look of the Macintosh user interface, including a mouse.
Apple eventually released Applesoft BASIC, a more advanced variant of the language which users could run instead of Integer BASIC for more capabilities.
Some commercial Apple II software booted directly and did not use standard DOS disk formats. This discouraged the copying or modifying of the software on the disks, and improved loading speed.
Models
Apple II
The first Apple II computers went on sale on June 10, 1977 with a MOS Technology 6502 (later Synertek) microprocessor running at 1.023 MHz, 4 KB of RAM, an audio cassette interface for loading programs and storing data, and the Integer BASIC programming language built into the ROMs. The video controller displayed 40 columns by 24 lines of monochrome, upper-case-only (the original character set matches ASCII characters 0x20 to 0x5F) text on the screen, with NTSC composite video output suitable for display on a TV monitor, or on a regular TV set by way of a separate RF modulator. The original retail price of the computer was US$1298(with 4 KB of RAM) and US$2638 (with the maximum 48 KB of RAM). To reflect the computer's color graphics capability, the Apple logo on the casing was represented using rainbow stripes, which remained a part of Apple's corporate logo until early 1998. The earliest Apple IIs were assembled in Silicon Valley, and later in Texas; printed circuit boards were manufactured in Ireland and Singapore.
An external -inch floppy disk drive, the Disk II, attached via a controller card that plugged into one of the computer's expansion slots (usually slot 6), was used for data storage and retrieval to replace cassettes. The Disk II interface, created by Steve Wozniak, was regarded as an engineering masterpiece for its economy of electronic components.
Rather than having a dedicated sound-synthesis chip, the Apple II had a toggle circuit that could only emit a click through a built-in speaker or a line out jack; all other sounds (including two, three and, eventually, four-voice music and playback of audio samples and speech synthesis) were generated entirely by software that clicked the speaker at just the right times.
The Apple II's multiple expansion slots permitted a wide variety of third-party devices, including Apple II peripheral cards such as serial controllers, display controllers, memory boards, hard disks, networking components, and realtime clocks. There were plug-in expansion cards – such as the Z-80 SoftCard – that permitted the Apple to use the Z80 processor and run a multitude of programs developed under the CP/M operating system, including the dBase II database and the WordStar word processor. There was also a third-party 6809 card that would allow OS-9 Level One to be run. Third-party sound cards greatly improved audio capabilities, allowing simple music synthesis and text-to-speech functions. Eventually, Apple II accelerator cards were created to double or quadruple the computer's speed.
Rod Holt designed the Apple II's power supply. He employed a switched-mode power supply design, which was far smaller and generated less unwanted heat than the linear power supply some other home computers used.
The original Apple II was discontinued at the start of 1981, having been superseded by the Apple II+. By 1984, over six million machines had been sold.
Apple II Plus
The Apple II Plus, introduced in June 1979, included the Applesoft BASIC programming language in ROM. This Microsoft-authored dialect of BASIC, which was previously available as an upgrade, supported floating-point arithmetic, and became the standard BASIC dialect on the Apple II series (though it ran at a noticeably slower speed than Steve Wozniak's Integer BASIC).
Except for improved graphics and disk-booting support in the ROM, and the removal of the 2k 6502 assembler/disassembler to make room for the floating point BASIC, the II+ was otherwise identical to the original II. RAM prices fell during 1980–81 and all II+ machines came from the factory with a full 48k of memory already installed.
Apple II Europlus and J-Plus
After the success of the first Apple II in the United States, Apple expanded its market to include Europe, Australia and the Far East in 1979, with the Apple II Europlus (Europe, Australia) and the Apple II J-Plus (Japan). In these models, Apple made the necessary hardware, software and firmware changes in order to comply to standards outside of the US.
Apple IIe
The Apple II Plus was followed in 1983 by the Apple IIe, a cost-reduced yet more powerful machine that used newer chips to reduce the component count and add new features, such as the display of upper and lowercase letters and a standard 64 KB of RAM.
The IIe RAM was configured as if it were a 48 KB Apple II Plus with a language card. The machine had no slot 0, but instead had an auxiliary slot that could accept a 1 KB memory card to enable the 80-column display. This card contained only RAM; the hardware and firmware for the 80-column display was built into the Apple IIe. An "extended 80-column card" with more memory increased the machine's RAM to 128 KB.
The Apple IIe was the most popular machine in the Apple II series. It has the distinction of being the longest-lived Apple computer of all time—it was manufactured and sold with only minor changes for nearly 11 years. The IIe was the last Apple II model to be sold, and was discontinued in November 1993.
During its lifespan two variations were introduced: the Apple IIe Enhanced (four replacement chips to give it some of the features of the later model Apple IIc) and the Apple IIe Platinum (a modernized case color to match other Apple products of the era, along with the addition of a numeric keypad).
Some of the feature of the IIe were carried over from the less successful Apple III, among them the ProDOS operating system.
Apple IIc
The Apple IIc was released in April 1984, billed as a portable Apple II because it could be easily carried due to its size and carrying handle, which could be flipped down to prop the machine up into a typing position. Unlike modern portables it lacked a built-in display and battery. It was the first of three Apple II models to be made in the Snow White design language, and the only one that used its unique creamy off-white color.
The Apple IIc was the first Apple II to use the 65C02 low-power variant of the 6502 processor, and featured a built-in 5.25-inch floppy drive and 128 KB RAM, with a built-in disk controller that could control external drives, composite video (NTSC or PAL), serial interfaces for modem and printer, and a port usable by either a joystick or mouse. Unlike previous Apple II models, the IIc had no internal expansion slots at all.
Two different monochrome LC displays were sold for use with the IIc's video expansion port, although both were short-lived due to high cost and poor legibility. The IIc had an external power supply that converted AC power to 15 V DC, though the IIc itself will accept between 12 V and 17 V DC, allowing third parties to offer battery packs and automobile power adapters that connected in place of the supplied AC adapter.
Apple IIGS
The Apple IIGS, released on September 15, 1986, is the penultimate and most advanced model in the Apple II series, and a radical departure from prior models. It uses a 16-bit microprocessor, the 65C816 operating at 2.8 MHz with 24-bit addressing, allowing expansion up to 8 MB of RAM. The graphics are significantly improved, with 4096 colors and new modes with resolutions of 320×200 and 640×400. The audio capabilities are vastly improved, with a built-in music synthesizer that far exceeded any other home computer.
The Apple IIGS evolved the platform while still maintaining near-complete backward compatibility. Its Mega II chip contains the functional equivalent of an entire Apple IIe computer (sans processor). This, combined with the 65816's ability to execute 65C02 code directly, provides full support for legacy software, while also supporting 16-bit software running under a new OS.
The OS eventually included a Macintosh-like graphical Finder for managing disks and files and opening documents and applications, along with desk accessories. Later, the IIGS gained the ability to read and write Macintosh disks and, through third-party software, a multitasking Unix-like shell and TrueType font support.
The GS includes a 32-voice Ensoniq 5503 DOC sample-based sound synthesizer chip with 64 KB dedicated RAM, 256 KB (or later 1.125 MB) of standard RAM, built-in peripheral ports (switchable between IIe-style card slots and IIc-style onboard controllers for disk drives, mouse, RGB video, and serial devices) and, built-in AppleTalk networking.
Apple IIc Plus
The final Apple II model was the Apple IIc Plus introduced in 1988. It was the same size and shape as the IIc that came before it, but the 5.25-inch floppy drive had been replaced with a -inch drive, the power supply was moved inside the case, and the processor was a fast 4 MHz 65C02 processor that actually ran 8-bit Apple II software faster than the IIGS.
The IIc Plus also featured a new keyboard layout that matched the Platinum IIe and IIGS. Unlike the IIe IIc and IIGS, the IIc Plus came only in one version (American) and was not officially sold anywhere outside the US. The Apple IIc Plus ceased production in 1990, with its two-year production run being the shortest of all the Apple II computers.
Apple IIe Card
Although not an extension of the Apple II line, in 1990 the Apple IIe Card, an expansion card for the LC line of Macintosh computers, was released. Essentially a miniaturized Apple IIe computer on a card (using the Mega II chip from the Apple IIGS), it allowed the Macintosh to run 8-bit Apple IIe software through hardware emulation (although video was emulated in software and was slower at times than a IIe).
Many of the LC's built-in Macintosh peripherals could be "borrowed" by the card when in Apple II mode (i.e. extra RAM, 3.5-inch floppy, AppleTalk networking, hard disk). The IIe card could not, however, run software intended for the 16-bit Apple IIGS.
Advertising, marketing, and packaging
Mike Markkula, a retired Intel marketing manager, provided the early critical funding for Apple Computer. From 1977 to 1981, Apple used the Regis McKenna agency for its advertisements and marketing. In 1981, Chiat-Day acquired Regis McKenna's advertising operations and Apple used Chiat-Day. At Regis McKenna Advertising, the team assigned to launch the Apple II consisted of Rob Janoff, art director, Chip Schafer, copywriter and Bill Kelley, account executive. Janoff came up with the Apple logo with a bite out of it. The design was originally an olive green with matching company logotype all in lower case. Steve Jobs insisted on promoting the color capability of the Apple II by putting rainbow stripes on the Apple logo. In its letterhead and business card implementation, the rounded "a" of the logotype echoed the "bite" in the logo. This logo was developed simultaneously with an advertisement and a brochure; the latter being produced for distribution initially at the first West Coast Computer Faire.
Since the original Apple II, Apple has paid high attention to its quality of packaging, partly because of Steve Jobs' personal preferences and opinions on packaging and final product appearance. All of Apple's packaging for the Apple II series looked similar, featuring much clean white space and showing the Apple rainbow logo prominently. For several years up until the late 1980s, Apple used the Motter Tektura font for packaging, until changing to the Apple Garamond font.
Apple ran the first advertisement for the Apple II, a two-page spread ad titled "Introducing Apple II", in BYTE in July 1977. The first brochure, was entitled "Simplicity" and the copy in both the ad and brochure pioneered "demystifying" language intended to make the new idea of a home computer more "personal." The Apple II introduction ad was later run in the September 1977 issue of Scientific American.
Apple later aired eight television commercials for the Apple IIGS, emphasizing its benefits to education and students, along with some print ads.
Clones
The Apple II was frequently cloned, both in the United States and abroad, in a similar way to the IBM PC. According to some sources (see below), more than 190 different models of Apple II clones were manufactured. Most could not be legally imported into the United States. Apple sued and sought criminal charges against clone makers in more than a dozen countries.
Data storage
Cassette
Originally the Apple II used Compact Cassette tapes for program and data storage. A dedicated tape recorder along the lines of the Commodore Datasette was never produced; Apple recommended using the Panasonic RQ309 in some of its early printed documentation. The uses of common consumer cassette recorders and a standard video monitor or television set (with a third party R-F modulator) made the total cost of owning an Apple II less expensive and helped contribute to the Apple II's success.
Cassette storage may have been inexpensive, but it was also slow and unreliable. The Apple II's lack of a disk drive was "a glaring weakness" in what was otherwise intended to be a polished, professional product. Recognizing that the II needed a disk drive to be taken seriously, Apple set out to develop a disk drive and a DOS to run it. Wozniak spent the 1977 Christmas holidays designing a disk controller that reduced the number of chips used by a factor of 10 compared to existing controllers. Still lacking a DOS, and with Wozniak inexperienced in operating system design, Jobs approached Shepardson Microsystems with the project. On April 10, 1978, Apple signed a contract for $13,000 with Sheperdson to develop the DOS.
Even after disk drives made the cassette tape interfaces obsolete they were still used by enthusiasts as simple one-bit audio input-output ports. Ham radio operators used the cassette input to receive slow scan TV (single frame images). A commercial speech recognition Blackjack program was available, after some user-specific voice training it would recognize simple commands (Hit, stand). Bob Bishop's "Music Kaleidoscope" was a simple program that monitored the cassette input port and based on zero-crossings created color patterns on the screen, a predecessor to current audio visualization plug-ins for media players. Music Kaleidoscope was especially popular on projection TV sets in dance halls.
The OS Disk
Apple and many third-party developers made software available on tape at first, but after the Disk II became available in 1978, tape-based Apple II software essentially disappeared from the market. The initial price of the Disk II drive and controller was US$595, although a $100 off coupon was available through the Apple newsletter "Contact". The controller could handle two drives and a second drive (without controller) retailed for $495.
The Disk II single-sided floppy drive used 5.25-inch floppy disks; double-sided disks could be used, one side at a time, by turning them over and notching a hole for the write protect sensor. The first disk operating systems for the were and DOS 3.2, which stored 113.75 KB on each disk, organized into 35 tracks of 13 256-byte sectors each. After about two years, DOS 3.3 was introduced, storing 140 KB thanks to a minor firmware change on the disk controller that allowed it to store 16 sectors per track. (This upgrade was user-installable as two PROMs on older controllers.) After the release of DOS 3.3, the user community discontinued use of except for running legacy software. Programs that required DOS 3.2 were fairly rare; however, as DOS 3.3 was not a major architectural change aside from the number of sectors per track, a program called MUFFIN was provided with DOS 3.3 to allow users to copy files from DOS 3.2 disks to DOS 3.3 disks. It was possible for software developers to create a DOS 3.2 disk which would also boot on a system with firmware.
Later, double-sided drives, with heads to read both sides of the disk, became available from third-party companies. (Apple only produced double-sided 5.25-inch disks for the Lisa 1 computer).
On a DOS 3.x disk, tracks 0, 1, and most of track 2 were reserved to store the operating system. (It was possible, with a special utility, to reclaim most of this space for data if a disk did not need to be bootable.) A short ROM program on the disk controller had the ability to seek to track zero which it did without regard for the read/write head's current position, resulting in the characteristic "chattering" sound of a Disk II boot, which was the read/write head hitting the rubber stop block at the end of the rail – and read and execute code from sector 0. The code contained in there would then pull in the rest of the operating system. DOS stored the disk's directory on track 17, smack in the middle of the 35-track disks, in order to reduce the average seek time to the frequently used directory track. The directory was fixed in size and could hold a maximum of 105 files. Subdirectories were not supported.
Most game publishers did not include DOS on their floppy disks, since they needed the memory it occupied more than its capabilities; instead, they often wrote their own boot loaders and read-only file systems. This also served to discourage "crackers" from snooping around in the game's copy-protection code, since the data on the disk was not in files that could be accessed easily.
Some third-party manufacturers produced floppy drives that could write 40 tracks to most 5.25-inch disks, yielding 160 KB of storage per disk, but the format did not catch on widely, and no known commercial software was published on 40-track media. Most drives, even Disk IIs, could write 36 tracks; a two byte modification to DOS to format the extra track was common.
The Apple Disk II stored 140 KB on single-sided, "single-density" floppy disks, but it was very common for Apple II users to extend the capacity of a single-sided floppy disk to 280 KB by cutting out a second write-protect notch on the side of the disk using a "disk notcher" or hole puncher and inserting the disk flipped over. Double-sided disks, with notches on both sides, were available at a higher price, but in practice the magnetic coating on the reverse of nominally single-sided disks was usually of good enough quality to be used (both sides were coated in the same way to prevent warping, although only one side was certified for use). Early on, diskette manufacturers routinely warned that this technique would damage the read/write head of the drives or wear out the disk faster, and these warnings were frequently repeated in magazines of the day. In practice, however, this method was an inexpensive way to store twice as much data for no extra cost, and was widely used for commercially released floppies as well.
Later, Apple IIs were able to use 3.5-inch disks with a total capacity of 800 KB and hard disks. did not support these drives natively; third-party software was required, and disks larger than about 400 KB had to be split up into multiple "virtual disk volumes."
DOS 3.3 was succeeded by ProDOS, a 1983 descendant of the Apple ///'s SOS. It added support for subdirectories and volumes up to 32 MB in size. ProDOS became the DOS of choice; AppleWorks and other newer programs required it.
Legacy
Industry impact
The Apple II series of computers had an enormous impact on the technology industry and expanded the role of microcomputers in society. The Apple II was the first personal computer many people ever saw. Its price was within the reach of many middle-class families, and a partnership with MECC helped make the Apple II popular in schools. By the end of 1980 Apple had already sold over 100,000 Apple IIs. Its popularity bootstrapped the computer game and educational software markets and began the boom in the word processor and computer printer markets. The first spreadsheet application, VisiCalc, was initially released for the Apple II, and many businesses bought them just to run VisiCalc. Its success drove IBM in part to create the IBM PC, which many businesses purchased to run spreadsheet and word processing software, at first ported from Apple II versions.
The Apple II's slots, allowing any peripheral card to take control of the bus and directly access memory, enabled an independent industry of card manufacturers who together created a flood of hardware products that let users build systems that were far more powerful and useful (at a lower cost) than any competing system, most of which were not nearly as expandable and were universally proprietary. The first peripheral card was a blank prototyping card intended for electronics enthusiasts who wanted to design their own peripherals for the Apple II.
Specialty peripherals kept the Apple II in use in industry and education environments for many years after Apple Computer stopped supporting the Apple II. Well into the 1990s every clean-room (the super-clean facility where spacecraft are prepared for flight) at the Kennedy Space Center used an Apple II to monitor the environment and air quality. Most planetariums used Apple IIs to control their projectors and other equipment.
Even the game port was unusually powerful and could be used for digital and analog input and output. The early manuals included instructions for how to build a circuit with only four commonly available components (one transistor and three resistors) and a software routine to drive a common Teletype Model 33 machine. Don Lancaster used the game I/O to drive a LaserWriter printer.
Modern use
Today, emulators for various Apple II models are available to run Apple II software on macOS, Linux, Microsoft Windows, homebrew enabled Nintendo DS and other operating systems. Numerous disk images of Apple II software are available free over the Internet for use with these emulators. AppleWin and MESS are among the best emulators compatible with most Apple II images. The MESS emulator supports recording and playing back of Apple II emulation sessions, as does Home Action Replay Page (a.k.a. HARP).
In addition, an active retrocomputing community of vintage Apple II collectors and users, continue to restore, maintain and develop hardware and software for daily use of these original computers. There is still a small annual convention, KansasFest, dedicated to the platform.
In 2017, the band 8 Bit Weapon released the world's first 100% Apple II based music album entitled, "Class Apples." The album featured dance-oriented cover versions of classical music by Bach, Beethoven, and Mozart recorded directly off the Apple II motherboard.
See also
Apple Industrial Design Group
List of publications and periodicals devoted to the Apple II
Apple II peripheral cards
Apple II graphics
List of Apple II application software
List of Apple II games
List of Apple IIGS games
References
External links
epocalc Apple II clones list
"These Pictures Of Apple's First Employees Are Absolutely Wonderful", contains a c.1977 photograph taken inside Apple of early employees Chrisann Brennan, Mark Johnson, and Robert Martinengo standing in front of a stack of Apple IIs that they had tested, assembled, and were about to ship (Business Insider, December 26, 2013).
Apple II computers
Computer-related introductions in 1977
Products and services discontinued in 1993
Discontinued Apple Inc. products
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The Apple III (styled as apple ///) is a business-oriented personal computer produced by Apple Computer and released in 1980. Running the Apple SOS operating system, it was intended as the successor to the Apple II series, but was largely considered a failure in the market. It was designed to provide key features business users wanted in a personal computer: a true typewriter-style upper/lowercase keyboard (the Apple II only supported uppercase) and an 80-column display.
Work on the Apple III started in late 1978 under the guidance of Dr. Wendell Sander. It had the internal code name of "Sara", named after Sander's daughter. The system was announced on May 19, 1980 and released in late November that year. Serious stability issues required a design overhaul and a recall of the first 14,000 machines produced. The Apple III was formally reintroduced on November 9, 1981.
Damage to the computer's reputation had already been done, however, and it failed to do well commercially. Development stopped, and the Apple III was discontinued on April 24, 1984. Its last successor, the III Plus, was dropped from the Apple product line in September 1985.
An estimated 65,000–75,000 Apple III computers were sold. The Apple III Plus brought this up to approximately 120,000. Apple co-founder Steve Wozniak stated that the primary reason for the Apple III's failure was that the system was designed by Apple's marketing department, unlike Apple's previous engineering-driven projects. The Apple III's failure led Apple to reevaluate its plan to phase out the Apple II, prompting the eventual continuation of development of the older machine. As a result, later Apple II models incorporated some hardware and software technologies of the Apple III.
Overview
Design
Steve Wozniak and Steve Jobs expected hobbyists to purchase the Apple II, but because of VisiCalc and Disk II, small businesses purchased 90% of the computers. The Apple III was designed to be a business computer and successor. Though the Apple II contributed to the inspirations of several important business products, such as VisiCalc, Multiplan, and Apple Writer, the computer's hardware architecture, operating system, and developer environment are limited. Apple management intended to clearly establish market segmentation by designing the Apple III to appeal to the 90% business market, leaving the Apple II to home and education users. Management believed that "once the Apple III was out, the Apple II would stop selling in six months", Wozniak said.
The Apple III is powered by a 1.8-megahertz Synertek 6502A or 6502B 8-bit CPU and, like some of the later machines in the Apple II family, uses bank switching techniques to address memory beyond the 6502's traditional 64 KB limit, up to 256 KB in the III's case. Third-party vendors produced memory upgrade kits that allow the Apple III to reach up to 512 KB of random-access memory (RAM). Other Apple III built-in features include an 80-column, 24-line display with upper and lowercase characters, a numeric keypad, dual-speed (pressure-sensitive) cursor control keys, 6-bit (DAC) audio, and a built-in 140-kilobyte 5.25-inch floppy disk drive. Graphics modes include 560x192 in black and white, and 280x192 with 16 colors or shades of gray. Unlike the Apple II, the Disk III controller is part of the logic board.
The Apple III is the first Apple product to allow the user to choose both a screen font and a keyboard layout: either QWERTY or Dvorak. These choices cannot be changed while programs were running, unlike the Apple IIc, which has a keyboard switch directly above the keyboard, allowing the user to switch on the fly.
Software
The Apple III introduced an advanced operating system called Apple SOS, pronounced "apple sauce". Its ability to address resources by name allows the Apple III to be more scalable than the Apple II's addressing by physical location such as PR#6, CATALOG, D1. Apple SOS allows the full capacity of a storage device to be used as a single volume, such as the Apple ProFile hard disk drive, and it supports a hierarchical file system. Some of the features and code base of Apple SOS were later adopted into the Apple II's ProDOS and GS/OS operating systems, as well as Lisa 7/7 and Macintosh system software.
With a starting price between , the Apple III was more expensive than many of the CP/M-based business computers that were available at the time. Few software applications other than VisiCalc are available for the computer; according to a presentation at KansasFest 2012, fewer than 50 Apple III-specific software packages were ever published, most shipping when the III Plus was released. Because Apple did not view the Apple III as suitable for hobbyists, it did not provide much of the technical software information that accompanies the Apple II. Originally intended as a direct replacement to the Apple II series, it was designed to be backward compatible with Apple II software. However, since Apple did not want to encourage continued development of the II platform, Apple II compatibility exists only in a special Apple II Mode which is limited in its capabilities to the emulation of a basic Apple II Plus configuration with of RAM. Special chips were intentionally added to prevent access from Apple II Mode to the III's advanced features such as its larger amount of memory.
Peripherals
The Apple III has four expansion slots, a number that inCider in 1986 called "miserly". Apple II cards are compatible but risk violating government RFI regulations, and require Apple III-specific device drivers; BYTE stated that "Apple provides virtually no information on how to write them". As with software, Apple provided little hardware technical information with the computer but Apple III-specific products became available, such as one that made the computer compatible with the Apple IIe. Several new Apple-produced peripherals were developed for the Apple III. The original Apple III has a built-in real-time clock, which is recognized by Apple SOS. The clock was later removed from the "revised" model, and was instead made available as an add-on.
Along with the built-in floppy drive, the Apple III can also handle up to three additional external Disk III floppy disk drives. The Disk III is only officially compatible with the Apple III. The Apple III Plus requires an adaptor from Apple to use the Disk III with its DB-25 disk port.
With the introduction of the revised Apple III a year after launch, Apple began offering the ProFile external hard disk system. Priced at $3,499 for 5 MB of storage, it also required a peripheral slot for its controller card.
Backward compatibility
The Apple III has the built-in hardware capability to run Apple II software. In order to do so, an emulation boot disk is required that functionally turns the machine into a standard 48-kilobyte Apple II Plus, until it is powered off. The keyboard, internal floppy drive (and one external Disk III), display (color is provided through the 'B/W video' port) and speaker all act as Apple II peripherals. The paddle and serial ports can also function in Apple II mode, however with some limitations and compatibility issues.
Apple engineers added specialized circuitry with the sole purpose of blocking access to its advanced features when running in Apple II emulation mode. This was done primarily to discourage further development and interest in the Apple II line, and to push the Apple III as its successor. For example, no more than of RAM can be accessed, even if the machine has of RAM or higher present. Many Apple II programs require a minimum of of RAM, making them impossible to run on the Apple III. Similarly, access to lowercase support, 80 columns text, or its more advanced graphics and sound are blocked by this hardware circuitry, making it impossible for even skilled software programmers to bypass Apple's lockout. A third-party company, Titan Technologies, sold an expansion board called the III Plus II that allows Apple II mode to access more memory, a standard game port, and with a later released companion card, even emulate the Apple IIe.
Certain Apple II slot cards can be installed in the Apple III and used in native III-mode with custom written SOS device drivers, including Grappler Plus and Liron 3.5 Controller.
Revisions
After overheating issues were attributed to serious design flaws, a redesigned logic board was introduced in mid-December 1981 – which included a lower power supply requirement, wider circuit traces and better-designed chip sockets. The $3,495 revised model also includes 256 KB of RAM as the standard configuration. The 14,000 units of the original Apple III sold were returned and replaced with the entirely new revised model.
Apple III Plus
Apple discontinued the III in October 1983 because it violated FCC regulations, and the FCC required the company to change the redesigned computer's name. It introduced the Apple III Plus in December 1983 at a price of US$2,995. This newer version includes a built-in clock, video interlacing, standardized rear port connectors, 55-watt power supply, 256 KB of RAM as standard, and a redesigned, Apple IIe-like keyboard.
Owners of the Apple III could purchase individual III Plus upgrades, like the clock and interlacing feature, and obtain the newer logic board as a service replacement. A keyboard upgrade kit, dubbed "Apple III Plus upgrade kit" was also made available – which included the keyboard, cover, keyboard encoder ROM, and logo replacements. This upgrade had to be installed by an authorized service technician.
Design flaws
According to Wozniak, the Apple III "had 100 percent hardware failures". Former Apple executive Taylor Pohlman stated that:
Jobs insisted on the idea of having no fan or air vents, in order to make the computer run quietly. He would later push this same ideology onto almost all Apple models he had control of, from the Apple Lisa and Macintosh 128K to the iMac. To allow the computer to dissipate heat, the base of the Apple III was made of heavy cast aluminum, which supposedly acts as a heat sink. One advantage to the aluminum case was a reduction in RFI (Radio Frequency Interference), a problem which had plagued the Apple II series throughout its history. Unlike the Apple II series, the power supply was mounted – without its own shell – in a compartment separate from the logic board. The decision to use an aluminum shell ultimately led to engineering issues which resulted in the Apple III's reliability problems. The lead time for manufacturing the shells was high, and this had to be done before the motherboard was finalized. Later, it was realized that there was not enough room on the motherboard for all of the components unless narrow traces were used.
Many Apple IIIs were thought to have failed due to their inability to properly dissipate heat. inCider stated in 1986 that "Heat has always been a formidable enemy of the Apple ///", and some users reported that their Apple IIIs became so hot that the chips started dislodging from the board, causing the screen to display garbled data or their disk to come out of the slot "melted". BYTE wrote, "the integrated circuits tended to wander out of their sockets". It has been rumored Apple advised customers to tilt the front of the Apple III six inches above the desk and then drop it to reseat the chips as a temporary solution. Other analyses blame a faulty automatic chip insertion process, not heat.
Case designer Jerry Manock denied the design flaw charges, insisting that tests proved that the unit adequately dissipated the internal heat. The primary cause, he claimed, was a major logic board design problem. The logic board used "fineline" technology that was not fully mature at the time, with narrow, closely spaced traces. When chips were "stuffed" into the board and wave-soldered, solder bridges would form between traces that were not supposed to be connected. This caused numerous short circuits, which required hours of costly diagnosis and hand rework to fix. Apple designed a new circuit board with more layers and normal-width traces. The new logic board was laid out by one designer on a huge drafting board, rather than using the costly CAD-CAM system used for the previous board, and the new design worked.
Earlier Apple III units came with a built-in real time clock. The hardware, however, would fail after prolonged use. Assuming that National Semiconductor would test all parts before shipping them, Apple did not perform this level of testing. Apple was soldering chips directly to boards and could not easily replace a bad chip if one was found. Eventually, Apple solved this problem by removing the real-time clock from the Apple III's specification rather than shipping the Apple III with the clock pre-installed, and then sold the peripheral as a level 1 technician add-on.
BASIC
Microsoft and Apple each developed their own versions of BASIC for the Apple III. Apple III Microsoft BASIC was designed to run on the CP/M platform available for the Apple III. Apple Business BASIC shipped with the Apple III. Donn Denman ported Applesoft BASIC to SOS and reworked it to take advantage of the extended memory of the Apple III.
Both languages introduced a number of new or improved features over Applesoft BASIC. Both languages replaced Applesoft's single-precision floating-point variables using 5-byte storage with the somewhat-reduced-precision 4-byte variables, while also adding a larger numerical format. Apple III Microsoft BASIC provides double-precision floating-point variables, taking 8 bytes of storage, while Apple Business BASIC offers an extra-long integer type, also taking 8 bytes for storage. Both languages also retain 2-byte integers, and maximum 255-character strings.
Other new features common to both languages include:
Incorporation of disk-file commands within the language.
Operators for MOD and for integer-division.
An optional ELSE clause in IF...THEN statements.
HEX$() function for hexadecimal-format output.
INSTR function for finding a substring within a string.
PRINT USING statement to control format of output. Apple Business BASIC had an option, in addition to directly specifying the format with a string expression, of giving the line number where an IMAGE statement gave the formatting expression, similar to a FORMAT statement in FORTRAN.
Some features work differently in each language:
Microsoft BASIC additional features
function to replace Applesoft's command.
statement to input an entire line of text, regardless of punctuation, into a single string variable.
and statements to automatically direct output to paper.
and statements to left- or right-justify a string expression within a given string variable's character length.
function for output, and "&"- or "&O"-formatted expressions, for manipulating octal notation.
function for generating blank spaces outside of a statement, and function to do likewise with any character.
... statements, for loop structures built on general Boolean conditions without an index variable.
Bitwise Boolean (16-bit) operations (, , ), with additional operators , , .
Line number specification in the command.
options of (to skip to the statement after that which caused the error) or a specified line number (which replaces the idea of exiting error-handling by -line, thus avoiding Applesoft II's stack error problem).
Multiple parameters in user-defined () functions.
A return to the old Applesoft One concept of having multiple functions at different addresses, by establishing ten different functions, numbered to , with separate statements to define the address of each. The argument passed to a function can be of any specific type, including string. The returned value can also be of any type, by default the same type as the argument passed.
There is no support for graphics provided within the language, nor for reading analog controls or buttons; nor is there a means of defining the active window of the text screen.
Business BASIC additional features
Apple Business BASIC eliminates all references to absolute memory addresses. Thus, the POKE command and PEEK() function were not included in the language, and new features replaced the CALL statement and USR() function. The functionality of certain features in Applesoft that had been achieved with various PEEK and POKE locations is now provided by:
BUTTON() function to read game-controller buttons
WINDOW statement to define the active window of the text screen by its coordinates
KBD, HPOS, and VPOS system variables
External binary subroutines and functions are loaded into memory by a single INVOKE disk-command that loads separately-assembled code modules. A PERFORM statement is then used to call an INVOKEd procedure by name, with an argument-list. INVOKEd functions would be referenced in expressions by EXFN. (floating-point) or EXFN%. (integer), with the function name appended, plus the argument-list for the function.
Graphics are supported with an INVOKEd module, with features including displaying text within graphics in various fonts, within four different graphics modes available on the Apple III.
Reception
Despite devoting the majority of its R&D to the Apple III and so ignoring the II that for a while dealers had difficulty in obtaining the latter, the III's technical problems made marketing the computer difficult. Ed Smith, who after designing the APF Imagination Machine worked as a distributor's representative, described the III as "a complete disaster". He recalled that he "was responsible for going to every dealership, setting up the Apple III in their showroom, and then explaining to them the functions of the Apple III, which in many cases didn't really work".
Sales
Pohlman reported that Apple was only selling 500 units a month by late 1981, mostly as replacements. The company was able to eventually raise monthly sales to 5,000, but the IBM PC's successful launch had encouraged software companies to develop for it instead, prompting Apple to shift focus to the Lisa and Macintosh. The PC almost ended sales of the Apple III, the most closely comparable Apple computer model. By early 1984, sales were primarily to existing III owners, Apple itself—its 4,500 employees were equipped with some 3,000-4,500 units—and some small businesses. Apple finally discontinued the Apple III series on April 24, 1984, four months after introducing the III Plus, after selling only 65,000-75,000 units and replacing 14,000 defective units.
Jobs said that the company lost "infinite, incalculable amounts" of money on the Apple III. Wozniak estimated that Apple had spent $100 million on the III, instead of improving the II and better competing against IBM. Pohlman claimed that there was a "stigma" at Apple associated with having contributed to the computer. Most employees who worked on the III reportedly left Apple.
Legacy
The file system and some design ideas from Apple SOS, the Apple III's operating system, were part of Apple ProDOS and Apple GS/OS, the major operating systems for the Apple II series following the demise of the Apple III, as well as the Apple Lisa, which was the de facto business-oriented successor to the Apple III. The hierarchical file system influenced the evolution of the Macintosh: while the original Macintosh File System (MFS) was a flat file system designed for a floppy disk without subdirectories, subsequent file systems were hierarchical. By comparison, the IBM PC's first file system (again designed for floppy disks) was also flat and later versions (designed for hard disks) were hierarchical.
In popular culture
At the start of the Walt Disney Pictures film TRON, lead character Kevin Flynn (played by Jeff Bridges) is seen hacking into the ENCOM mainframe using an Apple III.
References
Sources
External links
The Ill-Fated Apple III
Many manuals and diagrams
Sara – Apple /// emulator
The Ill-Fated Apple III Low End Mac
Apple III Chaos: Apple's First Failure Low End Mac
Apple II family
Computer-related introductions in 1980
Products and services discontinued in 1984
Discontinued Apple Inc. products
8-bit computers
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In computer science, an AVL tree (named after inventors Adelson-Velsky and Landis) is a self-balancing binary search tree. In an AVL tree, the heights of the two child subtrees of any node differ by at most one; if at any time they differ by more than one, rebalancing is done to restore this property. Lookup, insertion, and deletion all take time in both the average and worst cases, where is the number of nodes in the tree prior to the operation. Insertions and deletions may require the tree to be rebalanced by one or more tree rotations.
The AVL tree is named after its two Soviet inventors, Georgy Adelson-Velsky and Evgenii Landis, who published it in their 1962 paper "An algorithm for the organization of information". It is the oldest self-balancing binary search tree data structure to be invented.
AVL trees are often compared with red–black trees because both support the same set of operations and take time for the basic operations. For lookup-intensive applications, AVL trees are faster than red–black trees because they are more strictly balanced. Similar to red–black trees, AVL trees are height-balanced. Both are, in general, neither weight-balanced nor -balanced for any ; that is, sibling nodes can have hugely differing numbers of descendants.
Definition
Balance factor
In a binary tree the balance factor of a node X is defined to be the height difference
of its two child sub-trees rooted by node X. A binary tree is defined to be an AVL tree if the invariant
holds for every node X in the tree.
A node X with is called "left-heavy", one with is called "right-heavy", and one with is sometimes simply called "balanced".
Properties
Balance factors can be kept up-to-date by knowing the previous balance factors and the change in height – it is not necessary to know the absolute height. For holding the AVL balance information, two bits per node are sufficient.
The height (counted as the maximal number of levels) of an AVL tree with nodes lies in the interval:
where is the golden ratio and
This is because an AVL tree of height contains at least nodes where is the Fibonacci sequence with the seed values
Operations
Read-only operations of an AVL tree involve carrying out the same actions as would be carried out on an unbalanced binary search tree, but modifications have to observe and restore the height balance of the sub-trees.
Searching
Searching for a specific key in an AVL tree can be done the same way as that of any balanced or unbalanced binary search tree. In order for search to work effectively it has to employ a comparison function which establishes a total order (or at least a total preorder) on the set of keys. The number of comparisons required for successful search is limited by the height and for unsuccessful search is very close to , so both are in .
Traversal
As a read-only operation the traversal of an AVL tree functions the same way as on any other binary tree. Exploring all nodes of the tree visits each link exactly twice: one downward visit to enter the subtree rooted by that node, another visit upward to leave that node's subtree after having explored it.
Once a node has been found in an AVL tree, the next or previous node can be accessed in amortized constant time. Some instances of exploring these "nearby" nodes require traversing up to links (particularly when navigating from the rightmost leaf of the root's left subtree to the root or from the root to the leftmost leaf of the root's right subtree; in the AVL tree of figure 1, navigating from node P to the next-to-the-right node Q takes 3 steps). Since there are links in any tree, the amortized cost is , or approximately 2.
Insert
When inserting a node into an AVL tree, you initially follow the same process as inserting into a Binary Search Tree. If the tree is empty, then the node is inserted as the root of the tree. If the tree is not empty, then we go down the root, and recursively go down the tree searching for the location to insert the new node. This traversal is guided by the comparison function. In this case, the node always replaces a NULL reference (left or right) of an external node in the tree i.e., the node is either made a left-child or a right-child of the external node.
After this insertion, if a tree becomes unbalanced, only ancestors of the newly inserted node are unbalanced. This is because only those nodes have their sub-trees altered. So it is necessary to check each of the node's ancestors for consistency with the invariants of AVL trees: this is called "retracing". This is achieved by considering the balance factor of each node.
Since with a single insertion the height of an AVL subtree cannot increase by more than one, the temporary balance factor of a node after an insertion will be in the range For each node checked, if the temporary balance factor remains in the range from –1 to +1 then only an update of the balance factor and no rotation is necessary. However, if the temporary balance factor is ±2, the subtree rooted at this node is AVL unbalanced, and a rotation is needed. With insertion as the code below shows, the adequate rotation immediately perfectly rebalances the tree.
In figure 1, by inserting the new node Z as a child of node X the height of that subtree Z increases from 0 to 1.
Invariant of the retracing loop for an insertion
The height of the subtree rooted by Z has increased by 1. It is already in AVL shape.
for (X = parent(Z); X != null; X = parent(Z)) { // Loop (possibly up to the root)
// BF(X) has to be updated:
if (Z == right_child(X)) { // The right subtree increases
if (BF(X) > 0) { // X is right-heavy
// ==> the temporary BF(X) == +2
// ==> rebalancing is required.
G = parent(X); // Save parent of X around rotations
if (BF(Z) < 0) // Right Left Case (see figure 3)
N = rotate_RightLeft(X, Z); // Double rotation: Right(Z) then Left(X)
else // Right Right Case (see figure 2)
N = rotate_Left(X, Z); // Single rotation Left(X)
// After rotation adapt parent link
} else {
if (BF(X) < 0) {
BF(X) = 0; // Z’s height increase is absorbed at X.
break; // Leave the loop
}
BF(X) = +1;
Z = X; // Height(Z) increases by 1
continue;
}
} else { // Z == left_child(X): the left subtree increases
if (BF(X) < 0) { // X is left-heavy
// ==> the temporary BF(X) == -2
// ==> rebalancing is required.
G = parent(X); // Save parent of X around rotations
if (BF(Z) > 0) // Left Right Case
N = rotate_LeftRight(X, Z); // Double rotation: Left(Z) then Right(X)
else // Left Left Case
N = rotate_Right(X, Z); // Single rotation Right(X)
// After rotation adapt parent link
} else {
if (BF(X) > 0) {
BF(X) = 0; // Z’s height increase is absorbed at X.
break; // Leave the loop
}
BF(X) = -1;
Z = X; // Height(Z) increases by 1
continue;
}
}
// After a rotation adapt parent link:
// N is the new root of the rotated subtree
// Height does not change: Height(N) == old Height(X)
parent(N) = G;
if (G != null) {
if (X == left_child(G))
left_child(G) = N;
else
right_child(G) = N;
} else
tree->root = N; // N is the new root of the total tree
break;
// There is no fall thru, only break; or continue;
}
// Unless loop is left via break, the height of the total tree increases by 1.
In order to update the balance factors of all nodes, first observe that all nodes requiring correction lie from child to parent along the path of the inserted leaf. If the above procedure is applied to nodes along this path, starting from the leaf, then every node in the tree will again have a balance factor of −1, 0, or 1.
The retracing can stop if the balance factor becomes 0 implying that the height of that subtree remains unchanged.
If the balance factor becomes ±1 then the height of the subtree increases by one and the retracing needs to continue.
If the balance factor temporarily becomes ±2, this has to be repaired by an appropriate rotation after which the subtree has the same height as before (and its root the balance factor 0).
The time required is for lookup, plus a maximum of retracing levels ( on average) on the way back to the root, so the operation can be completed in time.
Delete
The preliminary steps for deleting a node are described in section Binary search tree#Deletion.
There, the effective deletion of the subject node or the replacement node decreases the height of the corresponding child tree either from 1 to 0 or from 2 to 1, if that node had a child.
Starting at this subtree, it is necessary to check each of the ancestors for consistency with the invariants of AVL trees. This is called "retracing".
Since with a single deletion the height of an AVL subtree cannot decrease by more than one, the temporary balance factor of a node will be in the range from −2 to +2.
If the balance factor remains in the range from −1 to +1 it can be adjusted in accord with the AVL rules. If it becomes ±2 then the subtree is unbalanced and needs to be rotated. (Unlike insertion where a rotation always balances the tree, after delete, there may be BF(Z) ≠ 0 (see figures 2 and 3), so that after the appropriate single or double rotation the height of the rebalanced subtree decreases by one meaning that the tree has to be rebalanced again on the next higher level.) The various cases of rotations are described in section Rebalancing.
Invariant of the retracing loop for a deletion
The height of the subtree rooted by N has decreased by 1. It is already in AVL shape.
for (X = parent(N); X != null; X = G) { // Loop (possibly up to the root)
G = parent(X); // Save parent of X around rotations
// BF(X) has not yet been updated!
if (N == left_child(X)) { // the left subtree decreases
if (BF(X) > 0) { // X is right-heavy
// ==> the temporary BF(X) == +2
// ==> rebalancing is required.
Z = right_child(X); // Sibling of N (higher by 2)
b = BF(Z);
if (b < 0) // Right Left Case (see figure 3)
N = rotate_RightLeft(X, Z); // Double rotation: Right(Z) then Left(X)
else // Right Right Case (see figure 2)
N = rotate_Left(X, Z); // Single rotation Left(X)
// After rotation adapt parent link
} else {
if (BF(X) == 0) {
BF(X) = +1; // N’s height decrease is absorbed at X.
break; // Leave the loop
}
N = X;
BF(N) = 0; // Height(N) decreases by 1
continue;
}
} else { // (N == right_child(X)): The right subtree decreases
if (BF(X) < 0) { // X is left-heavy
// ==> the temporary BF(X) == -2
// ==> rebalancing is required.
Z = left_child(X); // Sibling of N (higher by 2)
b = BF(Z);
if (b > 0) // Left Right Case
N = rotate_LeftRight(X, Z); // Double rotation: Left(Z) then Right(X)
else // Left Left Case
N = rotate_Right(X, Z); // Single rotation Right(X)
// After rotation adapt parent link
} else {
if (BF(X) == 0) {
BF(X) = -1; // N’s height decrease is absorbed at X.
break; // Leave the loop
}
N = X;
BF(N) = 0; // Height(N) decreases by 1
continue;
}
}
// After a rotation adapt parent link:
// N is the new root of the rotated subtree
parent(N) = G;
if (G != null) {
if (X == left_child(G))
left_child(G) = N;
else
right_child(G) = N;
} else
tree->root = N; // N is the new root of the total tree
if (b == 0)
break; // Height does not change: Leave the loop
// Height(N) decreases by 1 (== old Height(X)-1)
}
// If (b != 0) the height of the total tree decreases by 1.
The retracing can stop if the balance factor becomes ±1 (it must have been 0) meaning that the height of that subtree remains unchanged.
If the balance factor becomes 0 (it must have been ±1) then the height of the subtree decreases by one and the retracing needs to continue.
If the balance factor temporarily becomes ±2, this has to be repaired by an appropriate rotation. It depends on the balance factor of the sibling Z (the higher child tree in figure 2) whether the height of the subtree decreases by one –and the retracing needs to continue– or does not change (if Z has the balance factor 0) and the whole tree is in AVL-shape.
The time required is for lookup, plus a maximum of retracing levels ( on average) on the way back to the root, so the operation can be completed in time.
Set operations and bulk operations
In addition to the single-element insert, delete and lookup operations, several set operations have been defined on AVL trees: union, intersection and set difference. Then fast bulk operations on insertions or deletions can be implemented based on these set functions. These set operations rely on two helper operations, Split and Join. With the new operations, the implementation of AVL trees can be more efficient and highly-parallelizable.
The function Join on two AVL trees and and a key will return a tree containing all elements in , as well as . It requires to be greater than all keys in and smaller than all keys in . If the two trees differ by height at most one, Join simply create a new node with left subtree , root and right subtree . Otherwise, suppose that is higher than for more than one (the other case is symmetric). Join follows the right spine of until a node which is balanced with . At this point a new node with left child , root and right child is created to replace c. The new node satisfies the AVL invariant, and its height is one greater than . The increase in height can increase the height of its ancestors, possibly invalidating the AVL invariant of those nodes. This can be fixed either with a double rotation if invalid at the parent or a single left rotation if invalid higher in the tree, in both cases restoring the height for any further ancestor nodes. Join will therefore require at most two rotations. The cost of this function is the difference of the heights between the two input trees.
function JoinRightAVL(TL, k, TR)
(l, k', c) = expose(TL)
if (Height(c) <= Height(TR)+1)
T' = Node(c, k, TR)
if (Height(T') <= Height(l)+1) then return Node(l, k', T')
else return rotateLeft(Node(l, k', rotateRight(T')))
else
T' = JoinRightAVL(c, k, TR)
T'' = Node(l, k', T')
if (Height(T') <= Height(l)+1) return T''
else return rotateLeft(T'')
function JoinLeftAVL(TL, k, TR)
/* symmetric to JoinRightAVL */
function Join(TL, k, TR)
if (Height(TL)>Height(TR)+1) return JoinRightAVL(TL, k, TR)
if (Height(TR)>Height(TL)+1) return JoinLeftAVL(TL, k, TR)
return Node(TL, k, TR)
Here Height(v) is the height of a subtree (node) . (l,k,r) = expose(v) extracts 's left child , the key of 's root, and the right child . Node(l,k,r) means to create a node of left child , key , and right child .
To split an AVL tree into two smaller trees, those smaller than key , and those larger than key , first draw a path from the root by inserting into the AVL. After this insertion, all values less than will be found on the left of the path, and all values greater than will be found on the right. By applying Join, all the subtrees on the left side are merged bottom-up using keys on the path as intermediate nodes from bottom to top to form the left tree, and the right part is asymmetric. The cost of Split is , order of the height of the tree.
function Split(T, k)
if (T = nil) return (nil, false, nil)
(L,m,R) = expose(T)
if (k = m) return (L, true, R)
if (k<m)
(L',b,R') = Split(L,k)
return (L', b, Join(R', m, R))
if (k>m)
(L',b,R') = Split(R, k)
return (Join(L, m, L'), b, R'))
The union of two AVL trees and representing sets and , is an AVL that represents .
function Union(t1, t2):
if t1 = nil:
return t2
if t2 = nil:
return t1
(t<, b, t>) = Split(t2, t1.root)
return Join(Union(left(t1), t<), t1.root, Union(right(t1), t>))
Here, Split is presumed to return two trees: one holding the keys less its input key, one holding the greater keys. (The algorithm is non-destructive, but an in-place destructive version exists as well.)
The algorithm for intersection or difference is similar, but requires the Join2 helper routine that is the same as Join but without the middle key. Based on the new functions for union, intersection or difference, either one key or multiple keys can be inserted to or deleted from the AVL tree. Since Split calls Join but does not deal with the balancing criteria of AVL trees directly, such an implementation is usually called the "join-based" implementation.
The complexity of each of union, intersection and difference is for AVL trees of sizes and . More importantly, since the recursive calls to union, intersection or difference are independent of each other, they can be executed in parallel with a parallel depth . When , the join-based implementation has the same computational DAG as single-element insertion and deletion.
Rebalancing
If during a modifying operation the height difference between two child subtrees changes, this may, as long as it is < 2, be reflected by an adaption of the balance information at the parent. During insert and delete operations a (temporary) height difference of 2 may arise, which means that the parent subtree has to be "rebalanced". The given repair tools are the so-called tree rotations, because they move the keys only "vertically", so that the ("horizontal") in-order sequence of the keys is fully preserved (which is essential for a binary-search tree).
Let X be the node that has a (temporary) balance factor of −2 or +2. Its left or right subtree was modified. Let Z be the higher child (see figures 2 and 3). Note that both children are in AVL shape by induction hypothesis.
In case of insertion this insertion has happened to one of Z's children in a way that Z's height has increased.
In case of deletion this deletion has happened to the sibling t1 of Z in a way so that t1's height being already lower has decreased. (This is the only case where Z's balance factor may also be 0.)
There are four possible variants of the violation:
And the rebalancing is performed differently:
Thereby, the situations are denoted as where C (= child direction) and B (= balance) come from the set } with The balance violation of case is repaired by a simple rotation whereas the case is repaired by a double rotation
The cost of a rotation, either simple or double, is constant.
Simple rotation
Figure 2 shows a Right Right situation. In its upper half, node X has two child trees with a balance factor of +2. Moreover, the inner child t23 of Z (i.e., left child when Z is right child, or right child when Z is left child) is not higher than its sibling t4. This can happen by a height increase of subtree t4 or by a height decrease of subtree t1. In the latter case, also the pale situation where t23 has the same height as t4 may occur.
The result of the left rotation is shown in the lower half of the figure. Three links (thick edges in figure 2) and two balance factors are to be updated.
As the figure shows, before an insertion, the leaf layer was at level h+1, temporarily at level h+2 and after the rotation again at level h+1. In case of a deletion, the leaf layer was at level h+2, where it is again, when t23 and t4 were of same height. Otherwise the leaf layer reaches level h+1, so that the height of the rotated tree decreases.
Code snippet of a simple left rotation
node *rotate_Left(node *X, node *Z) {
// Z is by 2 higher than its sibling
t23 = left_child(Z); // Inner child of Z
right_child(X) = t23;
if (t23 != null)
parent(t23) = X;
left_child(Z) = X;
parent(X) = Z;
// 1st case, BF(Z) == 0,
// only happens with deletion, not insertion:
if (BF(Z) == 0) { // t23 has been of same height as t4
BF(X) = +1; // t23 now higher
BF(Z) = –1; // t4 now lower than X
} else
{ // 2nd case happens with insertion or deletion:
BF(X) = 0;
BF(Z) = 0;
}
return Z; // return new root of rotated subtree
}
Double rotation
Figure 3 shows a Right Left situation. In its upper third, node X has two child trees with a balance factor of +2. But unlike figure 2, the inner child Y of Z is higher than its sibling t4. This can happen by the insertion of Y itself or a height increase of one of its subtrees t2 or t3 (with the consequence that they are of different height) or by a height decrease of subtree t1. In the latter case, it may also occur that t2 and t3 are of the same height.
The result of the first, the right, rotation is shown in the middle third of the figure. (With respect to the balance factors, this rotation is not of the same kind as the other AVL single rotations, because the height difference between Y and t4 is only 1.) The result of the final left rotation is shown in the lower third of the figure. Five links (thick edges in figure 3) and three balance factors are to be updated.
As the figure shows, before an insertion, the leaf layer was at level h+1, temporarily at level h+2 and after the double rotation again at level h+1. In case of a deletion, the leaf layer was at level h+2 and after the double rotation it is at level h+1, so that the height of the rotated tree decreases.
Code snippet of a right-left double rotation
node *rotate_RightLeft(node *X, node *Z) {
// Z is by 2 higher than its sibling
Y = left_child(Z); // Inner child of Z
// Y is by 1 higher than sibling
t3 = right_child(Y);
left_child(Z) = t3;
if (t3 != null)
parent(t3) = Z;
right_child(Y) = Z;
parent(Z) = Y;
t2 = left_child(Y);
right_child(X) = t2;
if (t2 != null)
parent(t2) = X;
left_child(Y) = X;
parent(X) = Y;
// 1st case, BF(Y) == 0,
// only happens with deletion, not insertion:
if (BF(Y) == 0) {
BF(X) = 0;
BF(Z) = 0;
} else
// other cases happen with insertion or deletion:
if (BF(Y) > 0) { // t3 was higher
BF(X) = –1; // t1 now higher
BF(Z) = 0;
} else {
// t2 was higher
BF(X) = 0;
BF(Z) = +1; // t4 now higher
}
BF(Y) = 0;
return Y; // return new root of rotated subtree
}
Comparison to other structures
Both AVL trees and red–black (RB) trees are self-balancing binary search trees and they are related mathematically. Indeed, every AVL tree can be colored red–black, but there are RB trees which are not AVL balanced. For maintaining the AVL (or RB) tree's invariants, rotations play an important role. In the worst case, even without rotations, AVL or RB insertions or deletions require inspections and/or updates to AVL balance factors (or RB colors). RB insertions and deletions and AVL insertions require from zero to three tail-recursive rotations and run in amortized time, thus equally constant on average. AVL deletions requiring rotations in the worst case are also on average. RB trees require storing one bit of information (the color) in each node, while AVL trees mostly use two bits for the balance factor, although, when stored at the children, one bit with meaning «lower than sibling» suffices. The bigger difference between the two data structures is their height limit.
For a tree of size
an AVL tree's height is at most
where the golden ratio, and .
a RB tree's height is at most
.
AVL trees are more rigidly balanced than RB trees with an asymptotic relation AVL/RB ≈0.720 of the maximal heights. For insertions and deletions, Ben Pfaff shows in 79 measurements a relation of AVL/RB between 0.677 and 1.077 with median ≈0.947 and geometric mean ≈0.910.
See also
WAVL tree
Splay tree
Scapegoat tree
B-tree
T-tree
List of data structures
References
Further reading
Donald Knuth. The Art of Computer Programming, Volume 3: Sorting and Searching, Third Edition. Addison-Wesley, 1997. . Pages 458–475 of section 6.2.3: Balanced Trees.
.
External links
1962 in computing
Articles with example pseudocode
Binary trees
Soviet inventions
Search trees
Amortized data structures
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Astrology is a range of divinatory practices, recognized as pseudoscientific since the 18th century, that claim to discern information about human affairs and terrestrial events by studying the apparent positions of celestial objects. Different cultures have employed forms of astrology since at least the 2nd millennium BCE, these practices having originated in calendrical systems used to predict seasonal shifts and to interpret celestial cycles as signs of divine communications. Most, if not all, cultures have attached importance to what they observed in the sky, and some—such as the Hindus, Chinese, and the Maya—developed elaborate systems for predicting terrestrial events from celestial observations. Western astrology, one of the oldest astrological systems still in use, can trace its roots to 19th–17th century BCE Mesopotamia, from where it spread to Ancient Greece, Rome, the Islamic world, and eventually Central and Western Europe. Contemporary Western astrology is often associated with systems of horoscopes that purport to explain aspects of a person's personality and predict significant events in their lives based on the positions of celestial objects; the majority of professional astrologers rely on such systems.
Throughout most of its history, astrology was considered a scholarly tradition and was common in academic circles, often in close relation with astronomy, alchemy, meteorology, and medicine. It was present in political circles and is mentioned in various works of literature, from Dante Alighieri and Geoffrey Chaucer to William Shakespeare, Lope de Vega, and Calderón de la Barca. During the Enlightenment, however, astrology lost its status as an area of legitimate scholarly pursuit. Following the end of the 19th century and the wide-scale adoption of the scientific method, researchers have successfully challenged astrology on both theoretical and experimental grounds, and have shown it to have no scientific validity or explanatory power. Astrology thus lost its academic and theoretical standing in the western world, and common belief in it largely declined, until a continuing resurgence starting in the 1960s. In India, belief in astrology is long-standing, widespread and continuing.
Etymology
The word astrology comes from the early Latin word astrologia, which derives from the Greek —from ἄστρον astron ("star") and -λογία -logia, ("study of"—"account of the stars"). The word entered the English language via Latin and medieval French, and its use overlapped considerably with that of astronomy (derived from the Latin astronomia). By the 17th century, astronomy became established as the scientific term, with astrology referring to divinations and schemes for predicting human affairs.
History
Many cultures have attached importance to astronomical events, and the Indians, Chinese, and Maya developed elaborate systems for predicting terrestrial events from celestial observations. A form of astrology was practised in the Old Babylonian period of Mesopotamia, . Vedāṅga Jyotiṣa is one of earliest known Hindu texts on astronomy and astrology (Jyotisha). The text is dated between 1400 BCE to final centuries BCE by various scholars according to astronomical and linguistic evidences. Chinese astrology was elaborated in the Zhou dynasty (1046–256 BCE). Hellenistic astrology after 332 BCE mixed Babylonian astrology with Egyptian Decanic astrology in Alexandria, creating horoscopic astrology. Alexander the Great's conquest of Asia allowed astrology to spread to Ancient Greece and Rome. In Rome, astrology was associated with "Chaldean wisdom". After the conquest of Alexandria in the 7th century, astrology was taken up by Islamic scholars, and Hellenistic texts were translated into Arabic and Persian. In the 12th century, Arabic texts were imported to Europe and translated into Latin. Major astronomers including Tycho Brahe, Johannes Kepler and Galileo practised as court astrologers. Astrological references appear in literature in the works of poets such as Dante Alighieri and Geoffrey Chaucer, and of playwrights such as Christopher Marlowe and William Shakespeare.
Throughout most of its history, astrology was considered a scholarly tradition. It was accepted in political and academic contexts, and was connected with other studies, such as astronomy, alchemy, meteorology, and medicine. At the end of the 17th century, new scientific concepts in astronomy and physics (such as heliocentrism and Newtonian mechanics) called astrology into question. Astrology thus lost its academic and theoretical standing, and common belief in astrology has largely declined.
Ancient world
Astrology, in its broadest sense, is the search for meaning in the sky. Early evidence for humans making conscious attempts to measure, record, and predict seasonal changes by reference to astronomical cycles, appears as markings on bones and cave walls, which show that lunar cycles were being noted as early as 25,000 years ago. This was a first step towards recording the Moon's influence upon tides and rivers, and towards organising a communal calendar. Farmers addressed agricultural needs with increasing knowledge of the constellations that appear in the different seasons—and used the rising of particular star-groups to herald annual floods or seasonal activities. By the 3rd millennium BCE, civilisations had sophisticated awareness of celestial cycles, and may have oriented temples in alignment with heliacal risings of the stars.
Scattered evidence suggests that the oldest known astrological references are copies of texts made in the ancient world. The Venus tablet of Ammisaduqa is thought to have been compiled in Babylon around 1700 BCE. A scroll documenting an early use of electional astrology is doubtfully ascribed to the reign of the Sumerian ruler Gudea of Lagash ( – 2124 BCE). This describes how the gods revealed to him in a dream the constellations that would be most favourable for the planned construction of a temple. However, there is controversy about whether these were genuinely recorded at the time or merely ascribed to ancient rulers by posterity. The oldest undisputed evidence of the use of astrology as an integrated system of knowledge is therefore attributed to the records of the first dynasty of Mesopotamia (1950–1651 BCE). This astrology had some parallels with Hellenistic Greek (western) astrology, including the zodiac, a norming point near 9 degrees in Aries, the trine aspect, planetary exaltations, and the dodekatemoria (the twelve divisions of 30 degrees each). The Babylonians viewed celestial events as possible signs rather than as causes of physical events.
The system of Chinese astrology was elaborated during the Zhou dynasty (1046–256 BCE) and flourished during the Han dynasty (2nd century BCE to 2nd century CE), during which all the familiar elements of traditional Chinese culture – the Yin-Yang philosophy, theory of the five elements, Heaven and Earth, Confucian morality – were brought together to formalise the philosophical principles of Chinese medicine and divination, astrology, and alchemy.
The ancient Arabs that inhabited the Arabian Peninsula before the advent of Islam used to profess a widespread belief in fatalism (ḳadar) alongside a fearful consideration for the sky and the stars, which they held to be ultimately responsible for every phenomena that occurs on Earth and for the destiny of humankind. Accordingly, they shaped their entire lives in accordance with their interpretations of astral configurations and phenomena.
Ancient objections
The Hellenistic schools of philosophical skepticism criticized the rationality of astrology. Criticism of astrology by academic skeptics such as Cicero, Carneades, and Favorinus; and Pyrrhonists such as Sextus Empiricus has been preserved.
Carneades argued that belief in fate denies free will and morality; that people born at different times can all die in the same accident or battle; and that contrary to uniform influences from the stars, tribes and cultures are all different.
Cicero stated the twins objection (that with close birth times, personal outcomes can be very different), later developed by Augustine. He argued that since the other planets are much more distant from the Earth than the Moon, they could have only very tiny influence compared to the Moon's. He also argued that if astrology explains everything about a person's fate, then it wrongly ignores the visible effect of inherited ability and parenting, changes in health worked by medicine, or the effects of the weather on people.
Favorinus argued that it was absurd to imagine that stars and planets would affect human bodies in the same way as they affect the tides, and equally absurd that small motions in the heavens cause large changes in people's fates.
Sextus Empiricus argued that it was absurd to link human attributes with myths about the signs of the zodiac, and wrote an entire book, Against the Astrologers (Πρὸς ἀστρολόγους, Pros astrologous), compiling arguments against astrology. Against the Astrologers was the fifth section of a larger work arguing against philosophical and scientific inquiry in general, Against the Professors (Πρὸς μαθηματικούς, Pros mathematikous).
Plotinus, a neoplatonist, argued that since the fixed stars are much more distant than the planets, it is laughable to imagine the planets' effect on human affairs should depend on their position with respect to the zodiac. He also argues that the interpretation of the Moon's conjunction with a planet as good when the moon is full, but bad when the moon is waning, is clearly wrong, as from the Moon's point of view, half of its surface is always in sunlight; and from the planet's point of view, waning should be better, as then the planet sees some light from the Moon, but when the Moon is full to us, it is dark, and therefore bad, on the side facing the planet in question.
Hellenistic Egypt
In 525 BCE, Egypt was conquered by the Persians. The 1st century BCE Egyptian Dendera Zodiac shares two signs – the Balance and the Scorpion – with Mesopotamian astrology.
With the occupation by Alexander the Great in 332 BCE, Egypt became Hellenistic. The city of Alexandria was founded by Alexander after the conquest, becoming the place where Babylonian astrology was mixed with Egyptian Decanic astrology to create Horoscopic astrology. This contained the Babylonian zodiac with its system of planetary exaltations, the triplicities of the signs and the importance of eclipses. It used the Egyptian concept of dividing the zodiac into thirty-six decans of ten degrees each, with an emphasis on the rising decan, and the Greek system of planetary Gods, sign rulership and four elements. 2nd century BCE texts predict positions of planets in zodiac signs at the time of the rising of certain decans, particularly Sothis. The astrologer and astronomer Ptolemy lived in Alexandria. Ptolemy's work the Tetrabiblos formed the basis of Western astrology, and, "...enjoyed almost the authority of a Bible among the astrological writers of a thousand years or more."
Greece and Rome
The conquest of Asia by Alexander the Great exposed the Greeks to ideas from Syria, Babylon, Persia and central Asia. Around 280 BCE, Berossus, a priest of Bel from Babylon, moved to the Greek island of Kos, teaching astrology and Babylonian culture. By the 1st century BCE, there were two varieties of astrology, one using horoscopes to describe the past, present and future; the other, theurgic, emphasising the soul's ascent to the stars. Greek influence played a crucial role in the transmission of astrological theory to Rome.
The first definite reference to astrology in Rome comes from the orator Cato, who in 160 BCE warned farm overseers against consulting with Chaldeans, who were described as Babylonian 'star-gazers'. Among both Greeks and Romans, Babylonia (also known as Chaldea) became so identified with astrology that 'Chaldean wisdom' became synonymous with divination using planets and stars. The 2nd-century Roman poet and satirist Juvenal complains about the pervasive influence of Chaldeans, saying, "Still more trusted are the Chaldaeans; every word uttered by the astrologer they will believe has come from Hammon's fountain."
One of the first astrologers to bring Hermetic astrology to Rome was Thrasyllus, astrologer to the emperor Tiberius, the first emperor to have had a court astrologer, though his predecessor Augustus had used astrology to help legitimise his Imperial rights.
Medieval world
Hindu
The main texts upon which classical Indian astrology is based are early medieval compilations, notably the , and Sārāvalī by .
The Horāshastra is a composite work of 71 chapters, of which the first part (chapters 1–51) dates to the 7th to early 8th centuries and the second part (chapters 52–71) to the later 8th century. The Sārāvalī likewise dates to around 800 CE. English translations of these texts were published by N.N. Krishna Rau and V.B. Choudhari in 1963 and 1961, respectively.
Islamic
Astrology was taken up by Islamic scholars following the collapse of Alexandria to the Arabs in the 7th century, and the founding of the Abbasid empire in the 8th. The second Abbasid caliph, Al Mansur (754–775) founded the city of Baghdad to act as a centre of learning, and included in its design a library-translation centre known as Bayt al-Hikma 'House of Wisdom', which continued to receive development from his heirs and was to provide a major impetus for Arabic-Persian translations of Hellenistic astrological texts. The early translators included Mashallah, who helped to elect the time for the foundation of Baghdad, and Sahl ibn Bishr, (a.k.a. Zael), whose texts were directly influential upon later European astrologers such as Guido Bonatti in the 13th century, and William Lilly in the 17th century. Knowledge of Arabic texts started to become imported into Europe during the Latin translations of the 12th century.
Europe
In the seventh century, Isidore of Seville argued in his Etymologiae that astronomy described the movements of the heavens, while astrology had two parts: one was scientific, describing the movements of the Sun, the Moon and the stars, while the other, making predictions, was theologically erroneous.
The first astrological book published in Europe was the Liber Planetis et Mundi Climatibus ("Book of the Planets and Regions of the World"), which appeared between 1010 and 1027 AD, and may have been authored by Gerbert of Aurillac. Ptolemy's second century AD Tetrabiblos was translated into Latin by Plato of Tivoli in 1138. The Dominican theologian Thomas Aquinas followed Aristotle in proposing that the stars ruled the imperfect 'sublunary' body, while attempting to reconcile astrology with Christianity by stating that God ruled the soul. The thirteenth century mathematician Campanus of Novara is said to have devised a system of astrological houses that divides the prime vertical into 'houses' of equal 30° arcs, though the system was used earlier in the East. The thirteenth century astronomer Guido Bonatti wrote a textbook, the Liber Astronomicus, a copy of which King Henry VII of England owned at the end of the fifteenth century.
In Paradiso, the final part of the Divine Comedy, the Italian poet Dante Alighieri referred "in countless details" to the astrological planets, though he adapted traditional astrology to suit his Christian viewpoint, for example using astrological thinking in his prophecies of the reform of Christendom.
John Gower in the fourteenth century defined astrology as essentially limited to the making of predictions. The influence of the stars was in turn divided into natural astrology, with for example effects on tides and the growth of plants, and judicial astrology, with supposedly predictable effects on people. The fourteenth-century sceptic Nicole Oresme however included astronomy as a part of astrology in his Livre de divinacions. Oresme argued that current approaches to prediction of events such as plagues, wars, and weather were inappropriate, but that such prediction was a valid field of inquiry. However, he attacked the use of astrology to choose the timing of actions (so-called interrogation and election) as wholly false, and rejected the determination of human action by the stars on grounds of free will. The friar Laurens Pignon (c. 1368–1449) similarly rejected all forms of divination and determinism, including by the stars, in his 1411 Contre les Devineurs. This was in opposition to the tradition carried by the Arab astronomer Albumasar (787-886) whose Introductorium in Astronomiam and De Magnis Coniunctionibus argued the view that both individual actions and larger scale history are determined by the stars.
In the late 15th century, Giovanni Pico della Mirandola forcefully attacked astrology in Disputationes contra Astrologos, arguing that the heavens neither caused, nor heralded earthly events. His contemporary, Pietro Pomponazzi, a "rationalistic and critical thinker", was much more sanguine about astrology and critical of Pico's attack.
Renaissance and Early Modern
Renaissance scholars commonly practised astrology. Gerolamo Cardano cast the horoscope of king Edward VI of England, while John Dee was the personal astrologer to queen Elizabeth I of England. Catherine de Medici paid Michael Nostradamus in 1566 to verify the prediction of the death of her husband, king Henry II of France made by her astrologer Lucus Gauricus. Major astronomers who practised as court astrologers included Tycho Brahe in the royal court of Denmark, Johannes Kepler to the Habsburgs, Galileo Galilei to the Medici, and Giordano Bruno who was burnt at the stake for heresy in Rome in 1600. The distinction between astrology and astronomy was not entirely clear. Advances in astronomy were often motivated by the desire to improve the accuracy of astrology. Kepler, for example, was driven by a belief in harmonies between Earthly and celestial affairs, yet he disparaged the activities of most astrologers as "evil-smelling dung".
Ephemerides with complex astrological calculations, and almanacs interpreting celestial events for use in medicine and for choosing times to plant crops, were popular in Elizabethan England. In 1597, the English mathematician and physician Thomas Hood made a set of paper instruments that used revolving overlays to help students work out relationships between fixed stars or constellations, the midheaven, and the twelve astrological houses. Hood's instruments also illustrated, for pedagogical purposes, the supposed relationships between the signs of the zodiac, the planets, and the parts of the human body adherents believed were governed by the planets and signs. While Hood's presentation was innovative, his astrological information was largely standard and was taken from Gerard Mercator's astrological disc made in 1551, or a source used by Mercator. Despite its popularity, Renaissance astrology had what historian Gabor Almasi calls "elite debate", exemplified by the polemical letters of Swiss physician Thomas Erastus who fought against astrology, calling it "vanity" and "superstition." Then around the time of the new star of 1572 and the comet of 1577 there began what Almasi calls an "extended epistemological reform" which began the process of excluding religion, astrology and anthropocentrism from scientific debate. By 1679, the yearly publication La Connoissance des temps eschewed astrology as a legitimate topic.”
Enlightenment period and onwards
During the Enlightenment, intellectual sympathy for astrology fell away, leaving only a popular following supported by cheap almanacs. One English almanac compiler, Richard Saunders, followed the spirit of the age by printing a derisive Discourse on the Invalidity of Astrology, while in France Pierre Bayle's Dictionnaire of 1697 stated that the subject was puerile. The Anglo-Irish satirist Jonathan Swift ridiculed the Whig political astrologer John Partridge.
In the second half of the Seventeenth Century, the Society of Astrologers (1647–1684), a trade, educational, and social organization, sought to unite London's often fractious astrologers in the task of revitalizing Astrology. Following the template of the popular “Feasts of Mathematicians” they endeavored to defend their art in the face of growing religious criticism. The Society hosted banquets, exchanged “instruments and manuscripts”, proposed research projects, and funded the publication of sermons that depicted astrology as a legitimate biblical pursuit for Christians. They commissioned sermons that argued Astrology was divine, Hebraic, and scripturally supported by Bible passages about the Magi and the sons of Seth. According to historian Michelle Pfeffer, “The society's public relations campaign ultimately failed.” Modern historians have mostly neglected the Society of Astrologers in favor of the still extant Royal Society (1660), even though both organizations initially had some of the same members.
Astrology saw a popular revival starting in the 19th century, as part of a general revival of spiritualism and—later, New Age philosophy, and through the influence of mass media such as newspaper horoscopes. Early in the 20th century the psychiatrist Carl Jung developed some concepts concerning astrology, which led to the development of psychological astrology.
Principles and practice
Advocates have defined astrology as a symbolic language, an art form, a science, and a method of divination. Though most cultural astrology systems share common roots in ancient philosophies that influenced each other, many use methods that differ from those in the West. These include Hindu astrology (also known as "Indian astrology" and in modern times referred to as "Vedic astrology") and Chinese astrology, both of which have influenced the world's cultural history.
Western
Western astrology is a form of divination based on the construction of a horoscope for an exact moment, such as a person's birth. It uses the tropical zodiac, which is aligned to the equinoctial points.
Western astrology is founded on the movements and relative positions of celestial bodies such as the Sun, Moon and planets, which are analysed by their movement through signs of the zodiac (twelve spatial divisions of the ecliptic) and by their aspects (based on geometric angles) relative to one another. They are also considered by their placement in houses (twelve spatial divisions of the sky). Astrology's modern representation in western popular media is usually reduced to sun sign astrology, which considers only the zodiac sign of the Sun at an individual's date of birth, and represents only 1/12 of the total chart.
The horoscope visually expresses the set of relationships for the time and place of the chosen event. These relationships are between the seven 'planets', signifying tendencies such as war and love; the twelve signs of the zodiac; and the twelve houses. Each planet is in a particular sign and a particular house at the chosen time, when observed from the chosen place, creating two kinds of relationship. A third kind is the aspect of each planet to every other planet, where for example two planets 120° apart (in 'trine') are in a harmonious relationship, but two planets 90° apart ('square') are in a conflicted relationship. Together these relationships and their interpretations are said to form "...the language of the heavens speaking to learned men."
Along with tarot divination, astrology is one of the core studies of Western esotericism, and as such has influenced systems of magical belief not only among Western esotericists and Hermeticists, but also belief systems such as Wicca, which have borrowed from or been influenced by the Western esoteric tradition. Tanya Luhrmann has said that "all magicians know something about astrology," and refers to a table of correspondences in Starhawk's The Spiral Dance, organised by planet, as an example of the astrological lore studied by magicians.
Hindu
The earliest Vedic text on astronomy is the Vedanga Jyotisha; Vedic thought later came to include astrology as well.
Hindu natal astrology originated with Hellenistic astrology by the 3rd century BCE, though incorporating the Hindu lunar mansions. The names of the signs (e.g. Greek 'Krios' for Aries, Hindi 'Kriya'), the planets (e.g. Greek 'Helios' for Sun, astrological Hindi 'Heli'), and astrological terms (e.g. Greek 'apoklima' and 'sunaphe' for declination and planetary conjunction, Hindi 'apoklima' and 'sunapha' respectively) in Varaha Mihira's texts are considered conclusive evidence of a Greek origin for Hindu astrology. The Indian techniques may also have been augmented with some of the Babylonian techniques.
Chinese and East Asian
Chinese astrology has a close relation with Chinese philosophy (theory of the three harmonies: heaven, earth and man) and uses concepts such as yin and yang, the Five phases, the 10 Celestial stems, the 12 Earthly Branches, and shichen (時辰 a form of timekeeping used for religious purposes). The early use of Chinese astrology was mainly confined to political astrology, the observation of unusual phenomena, identification of portents and the selection of auspicious days for events and decisions.
The constellations of the Zodiac of western Asia and Europe were not used; instead the sky is divided into Three Enclosures (三垣 sān yuán), and Twenty-Eight Mansions (二十八宿 èrshíbā xiù) in twelve Ci (十二次). The Chinese zodiac of twelve animal signs is said to represent twelve different types of personality. It is based on cycles of years, lunar months, and two-hour periods of the day (the shichen). The zodiac traditionally begins with the sign of the Rat, and the cycle proceeds through 11 other animal signs: the Ox, Tiger, Rabbit, Dragon, Snake, Horse, Goat, Monkey, Rooster, Dog, and Pig. Complex systems of predicting fate and destiny based on one's birthday, birth season, and birth hours, such as ziping and Zi Wei Dou Shu () are still used regularly in modern-day Chinese astrology. They do not rely on direct observations of the stars.
The Korean zodiac is identical to the Chinese one. The Vietnamese zodiac is almost identical to the Chinese, except for second animal being the Water Buffalo instead of the Ox, and the fourth animal the Cat instead of the Rabbit. The Japanese have since 1873 celebrated the beginning of the new year on 1 January as per the Gregorian calendar. The Thai zodiac begins, not at Chinese New Year, but either on the first day of the fifth month in the Thai lunar calendar, or during the Songkran festival (now celebrated every 13–15 April), depending on the purpose of the use.
Theological viewpoints
Ancient
Augustine (354430) believed that the determinism of astrology conflicted with the Christian doctrines of man's free will and responsibility, and God not being the cause of evil, but he also grounded his opposition philosophically, citing the failure of astrology to explain twins who behave differently although conceived at the same moment and born at approximately the same time.
Medieval
Some of the practices of astrology were contested on theological grounds by medieval Muslim astronomers such as Al-Farabi (Alpharabius), Ibn al-Haytham (Alhazen) and Avicenna. They said that the methods of astrologers conflicted with orthodox religious views of Islamic scholars, by suggesting that the Will of God can be known and predicted. For example, Avicenna's 'Refutation against astrology', Risāla fī ibṭāl aḥkām al-nojūm, argues against the practice of astrology while supporting the principle that planets may act as agents of divine causation. Avicenna considered that the movement of the planets influenced life on earth in a deterministic way, but argued against the possibility of determining the exact influence of the stars. Essentially, Avicenna did not deny the core dogma of astrology, but denied our ability to understand it to the extent that precise and fatalistic predictions could be made from it. Ibn Qayyim al-Jawziyya (1292–1350), in his Miftah Dar al-SaCadah, also used physical arguments in astronomy to question the practice of judicial astrology. He recognised that the stars are much larger than the planets, and argued: And if you astrologers answer that it is precisely because of this distance and smallness that their influences are negligible, then why is it that you claim a great influence for the smallest heavenly body, Mercury? Why is it that you have given an influence to [the head] and [the tail], which are two imaginary points [ascending and descending nodes]?
Modern
Martin Luther denounced astrology in his Table Talk. He asked why twins like Esau and Jacob had two different natures yet were born at the same time. Luther also compared astrologers to those who say their dice will always land on a certain number. Although the dice may roll on the number a couple of times, the predictor is silent for all the times the dice fails to land on that number.
The Catechism of the Catholic Church maintains that divination, including predictive astrology, is incompatible with modern Catholic beliefs such as free will:
Scientific analysis and criticism
The scientific community rejects astrology as having no explanatory power for describing the universe, and considers it a pseudoscience. Scientific testing of astrology has been conducted, and no evidence has been found to support any of the premises or purported effects outlined in astrological traditions. There is no proposed mechanism of action by which the positions and motions of stars and planets could affect people and events on Earth that does not contradict basic and well understood aspects of biology and physics. Those who have faith in astrology have been characterised by scientists including Bart J. Bok as doing so "...in spite of the fact that there is no verified scientific basis for their beliefs, and indeed that there is strong evidence to the contrary".
Confirmation bias is a form of cognitive bias, a psychological factor that contributes to belief in astrology. Astrology believers tend to selectively remember predictions that turn out to be true, and do not remember those that turn out false. Another, separate, form of confirmation bias also plays a role, where believers often fail to distinguish between messages that demonstrate special ability and those that do not. Thus there are two distinct forms of confirmation bias that are under study with respect to astrological belief.
Demarcation
Under the criterion of falsifiability, first proposed by the philosopher of science Karl Popper, astrology is a pseudoscience. Popper regarded astrology as "pseudo-empirical" in that "it appeals to observation and experiment," but "nevertheless does not come up to scientific standards." In contrast to scientific disciplines, astrology has not responded to falsification through experiment.
In contrast to Popper, the philosopher Thomas Kuhn argued that it was not lack of falsifiability that makes astrology unscientific, but rather that the process and concepts of astrology are non-empirical. Kuhn thought that, though astrologers had, historically, made predictions that categorically failed, this in itself does not make astrology unscientific, nor do attempts by astrologers to explain away failures by claiming that creating a horoscope is very difficult. Rather, in Kuhn's eyes, astrology is not science because it was always more akin to medieval medicine; astrologers followed a sequence of rules and guidelines for a seemingly necessary field with known shortcomings, but they did no research because the fields are not amenable to research, and so "they had no puzzles to solve and therefore no science to practise." While an astronomer could correct for failure, an astrologer could not. An astrologer could only explain away failure but could not revise the astrological hypothesis in a meaningful way. As such, to Kuhn, even if the stars could influence the path of humans through life, astrology is not scientific.
The philosopher Paul Thagard asserts that astrology cannot be regarded as falsified in this sense until it has been replaced with a successor. In the case of predicting behaviour, psychology is the alternative. To Thagard a further criterion of demarcation of science from pseudoscience is that the state-of-the-art must progress and that the community of researchers should be attempting to compare the current theory to alternatives, and not be "selective in considering confirmations and disconfirmations." Progress is defined here as explaining new phenomena and solving existing problems, yet astrology has failed to progress having only changed little in nearly 2000 years. To Thagard, astrologers are acting as though engaged in normal science believing that the foundations of astrology were well established despite the "many unsolved problems", and in the face of better alternative theories (psychology). For these reasons Thagard views astrology as pseudoscience.
For the philosopher Edward W. James, astrology is irrational not because of the numerous problems with mechanisms and falsification due to experiments, but because an analysis of the astrological literature shows that it is infused with fallacious logic and poor reasoning.
Effectiveness
Astrology has not demonstrated its effectiveness in controlled studies and has no scientific validity. Where it has made falsifiable predictions under controlled conditions, they have been falsified. One famous experiment included 28 astrologers who were asked to match over a hundred natal charts to psychological profiles generated by the California Psychological Inventory (CPI) questionnaire. The double-blind experimental protocol used in this study was agreed upon by a group of physicists and a group of astrologers nominated by the National Council for Geocosmic Research, who advised the experimenters, helped ensure that the test was fair and helped draw the central proposition of natal astrology to be tested. They also chose 26 out of the 28 astrologers for the tests (two more volunteered afterwards). The study, published in Nature in 1985, found that predictions based on natal astrology were no better than chance, and that the testing "...clearly refutes the astrological hypothesis."
In 1955, the astrologer and psychologist Michel Gauquelin stated that though he had failed to find evidence that supported indicators like zodiacal signs and planetary aspects in astrology, he did find positive correlations between the diurnal positions of some planets and success in professions that astrology traditionally associates with those planets. The best-known of Gauquelin's findings is based on the positions of Mars in the natal charts of successful athletes and became known as the Mars effect. A study conducted by seven French scientists attempted to replicate the claim, but found no statistical evidence. They attributed the effect to selective bias on Gauquelin's part, accusing him of attempting to persuade them to add or delete names from their study.
Geoffrey Dean has suggested that the effect may be caused by self-reporting of birth dates by parents rather than any issue with the study by Gauquelin. The suggestion is that a small subset of the parents may have had changed birth times to be consistent with better astrological charts for a related profession. The number of births under astrologically undesirable conditions was also lower, indicating that parents choose dates and times to suit their beliefs. The sample group was taken from a time where belief in astrology was more common. Gauquelin had failed to find the Mars effect in more recent populations, where a nurse or doctor recorded the birth information.
Dean, a scientist and former astrologer, and psychologist Ivan Kelly conducted a large scale scientific test that involved more than one hundred cognitive, behavioural, physical, and other variables—but found no support for astrology. Furthermore, a meta-analysis pooled 40 studies that involved 700 astrologers and over 1,000 birth charts. Ten of the tests—which involved 300 participants—had the astrologers pick the correct chart interpretation out of a number of others that were not the astrologically correct chart interpretation (usually three to five others). When date and other obvious clues were removed, no significant results suggested there was any preferred chart.
Lack of mechanisms and consistency
Testing the validity of astrology can be difficult, because there is no consensus amongst astrologers as to what astrology is or what it can predict. Most professional astrologers are paid to predict the future or describe a person's personality and life, but most horoscopes only make vague untestable statements that can apply to almost anyone.
Many astrologers claim that astrology is scientific, while some have proposed conventional causal agents such as electromagnetism and gravity. Scientists reject these mechanisms as implausible since, for example, the magnetic field, when measured from Earth, of a large but distant planet such as Jupiter is far smaller than that produced by ordinary household appliances.
Western astrology has taken the earth's axial precession (also called precession of the equinoxes) into account since Ptolemy's Almagest, so the "first point of Aries", the start of the astrological year, continually moves against the background of the stars. The tropical zodiac has no connection to the stars, and as long as no claims are made that the constellations themselves are in the associated sign, astrologers avoid the concept that precession seemingly moves the constellations. Charpak and Broch, noting this, referred to astrology based on the tropical zodiac as being "...empty boxes that have nothing to do with anything and are devoid of any consistency or correspondence with the stars." Sole use of the tropical zodiac is inconsistent with references made, by the same astrologers, to the Age of Aquarius, which depends on when the vernal point enters the constellation of Aquarius.
Astrologers usually have only a small knowledge of astronomy, and often do not take into account basic principles—such as the precession of the equinoxes, which changes the position of the sun with time. They commented on the example of Élizabeth Teissier, who claimed that, "The sun ends up in the same place in the sky on the same date each year", as the basis for claims that two people with the same birthday, but a number of years apart, should be under the same planetary influence. Charpak and Broch noted that, "There is a difference of about twenty-two thousand miles between Earth's location on any specific date in two successive years", and that thus they should not be under the same influence according to astrology. Over a 40-year period there would be a difference greater than 780,000 miles.
Reception in the social sciences
The general consensus of astronomers and other natural scientists is that astrology is a pseudoscience which carries no predictive capability, with many philosophers of science considering it a "paradigm or prime example of pseudoscience." Some scholars in the social sciences have cautioned against categorizing astrology, especially ancient astrology, as "just" a pseudoscience or projecting the distinction backwards into the past. Thagard, while demarcating it as a pseudoscience, notes that astrology "should be judged as not pseudoscientific in classical or Renaissance times...Only when the historical and social aspects of science are neglected does it become plausible that pseudoscience is an unchanging category." Historians of science such as Tamsyn Barton, Roger Beck, Francesca Rochberg, and Wouter J. Hanegraaff argue that such a wholesale description is anachronistic when applied to historical contexts, stressing that astrology was not pseudoscience before the 18th century and the importance of the discipline to the development of medieval science. R. J. Hakinson writes in the context of Hellenistic astrology that "the belief in the possibility of [astrology] was, at least some of the time, the result of careful reflection on the nature and structure of the universe."
Nicholas Campion, both an astrologer and academic historian of astrology, argues that Indigenous astronomy is largely used as a synonym for astrology in academia, and that modern Indian and Western astrology are better understood as modes of cultural astronomy or ethnoastronomy. Roy Willis and Patrick Curry draw a distinction between propositional episteme and metaphoric metis in the ancient world, identifying astrology with the latter and noting that the central concern of astrology "is not knowledge (factual, let alone scientific) but (ethical, spiritual and pragmatic)". Similarly, historian of science Justin Niermeier-Dohoney writes that astrology was "more than simply a science of prediction using the stars and comprised a vast body of beliefs, knowledge, and practices with the overarching theme of understanding the relationship between humanity and the rest of the cosmos through an interpretation of stellar, solar, lunar, and planetary movement." Scholars such as Assyriologist Matthew Rutz have begun using the term "astral knowledge" rather than astrology "to better describe a category of beliefs and practices much broader than the term 'astrology' can capture."
Cultural impact
Western politics and society
In the West, political leaders have sometimes consulted astrologers. For example, the British intelligence agency MI5 employed Louis de Wohl as an astrologer after claims surfaced that Adolf Hitler used astrology to time his actions. The War Office was "...interested to know what Hitler's own astrologers would be telling him from week to week." In fact, de Wohl's predictions were so inaccurate that he was soon labelled a "complete charlatan", and later evidence showed that Hitler considered astrology "complete nonsense". After John Hinckley's attempted assassination of US President Ronald Reagan, first lady Nancy Reagan commissioned astrologer Joan Quigley to act as the secret White House astrologer. However, Quigley's role ended in 1988 when it became public through the memoirs of former chief of staff, Donald Regan.
There was a boom in interest in astrology in the late 1960s. The sociologist Marcello Truzzi described three levels of involvement of "Astrology-believers" to account for its revived popularity in the face of scientific discrediting. He found that most astrology-believers did not claim it was a scientific explanation with predictive power. Instead, those superficially involved, knowing "next to nothing" about astrology's 'mechanics', read newspaper astrology columns, and could benefit from "tension-management of anxieties" and "a cognitive belief-system that transcends science." Those at the second level usually had their horoscopes cast and sought advice and predictions. They were much younger than those at the first level, and could benefit from knowledge of the language of astrology and the resulting ability to belong to a coherent and exclusive group. Those at the third level were highly involved and usually cast horoscopes for themselves. Astrology provided this small minority of astrology-believers with a "meaningful view of their universe and [gave] them an understanding of their place in it." This third group took astrology seriously, possibly as an overarching religious worldview (a sacred canopy, in Peter L. Berger's phrase), whereas the other two groups took it playfully and irreverently.
In 1953, the sociologist Theodor W. Adorno conducted a study of the astrology column of a Los Angeles newspaper as part of a project examining mass culture in capitalist society. Adorno believed that popular astrology, as a device, invariably leads to statements that encouraged conformity—and that astrologers who go against conformity, by discouraging performance at work etc., risk losing their jobs. Adorno concluded that astrology is a large-scale manifestation of systematic irrationalism, where individuals are subtly led—through flattery and vague generalisations—to believe that the author of the column is addressing them directly. Adorno drew a parallel with the phrase opium of the people, by Karl Marx, by commenting, "occultism is the metaphysic of the dopes."
A 2005 Gallup poll and a 2009 survey by the Pew Research Center reported that 25% of US adults believe in astrology, while a 2018 Pew survey found a figure of 29%. According to data released in the National Science Foundation's 2014 Science and Engineering Indicators study, "Fewer Americans rejected astrology in 2012 than in recent years." The NSF study noted that in 2012, "slightly more than half of Americans said that astrology was 'not at all scientific,' whereas nearly two-thirds gave this response in 2010. The comparable percentage has not been this low since 1983." Astrology apps became popular in the late 2010s, some receiving millions of dollars in Silicon Valley venture capital.
India and Japan
In India, there is a long-established and widespread belief in astrology. It is commonly used for daily life, particularly in matters concerning marriage and career, and makes extensive use of electional, horary and karmic astrology. Indian politics have also been influenced by astrology. It is still considered a branch of the Vedanga. In 2001, Indian scientists and politicians debated and critiqued a proposal to use state money to fund research into astrology, resulting in permission for Indian universities to offer courses in Vedic astrology.
In February 2011, the Bombay High Court reaffirmed astrology's standing in India when it dismissed a case that challenged its status as a science.
In Japan, strong belief in astrology has led to dramatic changes in the fertility rate and the number of abortions in the years of Fire Horse. Adherents believe that women born in hinoeuma years are unmarriageable and bring bad luck to their father or husband. In 1966, the number of babies born in Japan dropped by over 25% as parents tried to avoid the stigma of having a daughter born in the hinoeuma year.
Literature and music
The fourteenth-century English poets John Gower and Geoffrey Chaucer both referred to astrology in their works, including Gower's Confessio Amantis and Chaucer's The Canterbury Tales. Chaucer commented explicitly on astrology in his Treatise on the Astrolabe, demonstrating personal knowledge of one area, judicial astrology, with an account of how to find the ascendant or rising sign.
In the fifteenth century, references to astrology, such as with similes, became "a matter of course" in English literature.
In the sixteenth century, John Lyly's 1597 play, The Woman in the Moon, is wholly motivated by astrology, while Christopher Marlowe makes astrological references in his plays Doctor Faustus and Tamburlaine (both c. 1590), and Sir Philip Sidney refers to astrology at least four times in his romance The Countess of Pembroke's Arcadia (c. 1580). Edmund Spenser uses astrology both decoratively and causally in his poetry, revealing "...unmistakably an abiding interest in the art, an interest shared by a large number of his contemporaries." George Chapman's play, Byron's Conspiracy (1608), similarly uses astrology as a causal mechanism in the drama. William Shakespeare's attitude towards astrology is unclear, with contradictory references in plays including King Lear, Antony and Cleopatra, and Richard II. Shakespeare was familiar with astrology and made use of his knowledge of astrology in nearly every play he wrote, assuming a basic familiarity with the subject in his commercial audience. Outside theatre, the physician and mystic Robert Fludd practised astrology, as did the quack doctor Simon Forman. In Elizabethan England, "The usual feeling about astrology ... [was] that it is the most useful of the sciences."
In seventeenth century Spain, Lope de Vega, with a detailed knowledge of astronomy, wrote plays that ridicule astrology. In his pastoral romance La Arcadia (1598), it leads to absurdity; in his novela Guzman el Bravo (1624), he concludes that the stars were made for man, not man for the stars. Calderón de la Barca wrote the 1641 comedy Astrologo Fingido (The Pretended Astrologer); the plot was borrowed by the French playwright Thomas Corneille for his 1651 comedy Feint Astrologue.
The most famous piece of music influenced by astrology is the orchestral suite The Planets. Written by the British composer Gustav Holst (1874–1934), and first performed in 1918, the framework of The Planets is based upon the astrological symbolism of the planets. Each of the seven movements of the suite is based upon a different planet, though the movements are not in the order of the planets from the Sun. The composer Colin Matthews wrote an eighth movement entitled Pluto, the Renewer, first performed in 2000. In 1937, another British composer, Constant Lambert, wrote a ballet on astrological themes, called Horoscope. In 1974, the New Zealand composer Edwin Carr wrote The Twelve Signs: An Astrological Entertainment for orchestra without strings. Camille Paglia acknowledges astrology as an influence on her work of literary criticism Sexual Personae (1990).
Astrology features strongly in Eleanor Catton's The Luminaries, recipient of the 2013 Man Booker Prize.
See also
Astrology and science
Astrology software
Barnum effect
List of astrological traditions, types, and systems
List of topics characterised as pseudoscience
Jewish astrology
Scientific skepticism
Notes
References
Sources
Further reading
External links
Digital International Astrology Library (ancient astrological works)
Biblioastrology (www.biblioastrology.com) (specialised bibliography)
Paris Observatory
Astrology – Merriam-Webster
Pseudoscience
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Angela Maria "Ani" DiFranco (; born September 23, 1970) is an American-Canadian singer-songwriter. She has released more than 20 albums. DiFranco's music has been classified as folk rock and alternative rock, although it has additional influences from punk, funk, hip hop and jazz. She has released all her albums on her own record label, Righteous Babe.
DiFranco supports many social and political movements by performing benefit concerts, appearing on benefit albums and speaking at rallies. Through the Righteous Babe Foundation, DiFranco has backed grassroots cultural and political organizations supporting causes including abortion rights and LGBT visibility. She counts American folk singer and songwriter Pete Seeger among her mentors.
DiFranco released a memoir, No Walls and the Recurring Dream, on May 7, 2019, via Viking Books and made The New York Times Best Seller list.
Early life and education
DiFranco was born in Buffalo, New York, on September 23, 1970, the daughter of Elizabeth (Ross) and Dante Americo DiFranco, who had met while attending the Massachusetts Institute of Technology. Her father was of Italian descent, and her mother was from Montreal. DiFranco started playing Beatles covers at local bars and busking with her guitar teacher, Michael Meldrum, at the age of nine. By 14 she was writing her own songs. She played them at bars and coffee houses throughout her teens. DiFranco graduated from the Buffalo Academy for Visual and Performing Arts high school at 16 and began attending classes at Buffalo State College. She was living by herself, having moved out of her mother's apartment after she became an emancipated minor when she was 15.
Career
DiFranco started her own record company, Righteous Babe Records, in 1989 at age 19. She released her self-titled debut album in the winter of 1990, shortly after relocating to New York City. There, she took poetry classes at The New School, where she met poet Sekou Sundiata, who was to become a friend and mentor. She toured steadily for the next 15 years, pausing only to record albums. Appearances at Canadian folk festivals and increasingly larger venues in the U.S. reflected her increasing popularity on the North American folk and roots scene. Throughout the early and mid-1990s DiFranco toured solo and also as a duo with Canadian drummer Andy Stochansky.
In September 1995, DiFranco participated in a concert at the Rock and Roll Hall of Fame in Cleveland Ohio, inaugurating the opening of the Woody Guthrie Archives in New York City. She later released a CD on Righteous Babe of the concert Til We Outnumber Em featuring artists such as DiFranco, Billy Bragg, Ramblin' Jack Elliott, Arlo Guthrie, Indigo Girls, Dave Pirner, Tim Robbins, and Bruce Springsteen with 100 percent of proceeds going to the Woody Guthrie Foundation and Archives and the Rock and Roll Hall of Fame Museum educational department.
In 1996, bassist Sara Lee joined the touring group, whose live rapport is showcased on the 1997 album Living in Clip. DiFranco would later release Lee's solo album Make It Beautiful on Righteous Babe. In 1998, Stochansky left to pursue a solo career as a singer-songwriter. A new touring ensemble consisting of Jason Mercer on bass, Julie Wolf on keyboards, and Daren Hahn on drums, augmented at times by a horn section, accompanied DiFranco on tour between 1998 and 2002.
The 1990s were a period of heightened exposure for DiFranco, as she continued playing ever larger venues around the world and attracted international attention of the press, including cover stories in Spin, Ms., and Magnet, among others, as well as appearances on MTV and VH1. Her playfully ironic cover of the Bacharach/David song "Wishin' and Hopin'" appeared under the opening titles of the film My Best Friend's Wedding.
She guest starred on a 1998 episode of the Fox sitcom King of the Hill, as the voice of Peggy's feminist guitar teacher, Emily.
Beginning in 1999, Righteous Babe Records began releasing albums by other artists including Sara Lee, Sekou Sundiata, Arto Lindsay, Bitch and Animal, That One Guy, Utah Phillips, Hamell on Trial, Andrew Bird, Kurt Swinghammer, Buddy Wakefield, Anaïs Mitchell and Nona Hendryx.
On September 11, 2001, DiFranco was in Manhattan and later penned the poem "Self Evident" about the experience. The poem was featured in the book It's a Free Country: Personal Freedom in America After September 11. The poem's title also became the name of DiFranco's first book of poetry released exclusively in Italy by Minimum Fax. It was later also featured in Verses, a book of her poetry published in the U.S. by Seven Stories press. DiFranco has written and performed many spoken-word pieces throughout her career and was showcased as a poet on the HBO series Def Poetry in 2005.
Since her 2005 release Knuckle Down (co-produced by Joe Henry) DiFranco's touring band and recordings have featured bass player Todd Sickafoose and in turns other musicians such as Allison Miller, Andy Borger, Herlin Riley, and Terence Higgins on drums and Mike Dillon on percussion and vibes.
On September 11, 2007, she released the first retrospective of her career, a two-disc compilation entitled Canon and simultaneously a retrospective collection of poetry book Verses. On September 30, 2008, she released Red Letter Year.
In 2009, DiFranco appeared at Pete Seeger's 90th birthday celebration at Madison Square Garden, debuting her revamped version of the 1930s labor anthem "Which Side Are You On?" in a duet with Bruce Cockburn and also duetting with Kris Kristofferson on the folk classic "There's a Hole in the Bucket".
DiFranco released an album on January 17, 2012, ¿Which Side Are You On?. It includes collaborations with Pete Seeger, Ivan Neville, Cyril Neville, Skerik, Adam Levy, Righteous Babe recording artist Anaïs Mitchell, CC Adcock, and a host of New Orleans-based horn players known for their work in such outfits as Galactic, Bonerama, and Rebirth Brass Band.
In 2014, she released her eighteenth album, Allergic to Water. In 2017, she released her nineteenth, Binary.
On May 7, 2019, DiFranco released a memoir, No Walls and the Recurring Dream, via Viking Books. It is described as a "coming-of-age story".
In 2021, DiFranco released the album Revolutionary Love which was largely inspired by Valarie Kaur's book See No Stranger.
Personal life
DiFranco came out as bisexual in her twenties, and has written songs about love and sex with women and men. She addressed the controversy about her sexuality in the song "In or Out" on the album Imperfectly (1992). However, in 2015 she told the blog GoPride.com that she was ""not so queer anymore, but definitely a woman-centered woman and just a human rights-centered artist." In a 2019 interview with Jezebel, she stated that she preferred the term "queer" because "bisexual" "always sounded very medical, like something you do to a frog in 9th grade science or something", and further added that "the irony is I'm pretty fuckin' hetero, which is unfortunate for me because many of my deepest connections are with women. But, naw, I just like what's in boys' pants better.". In 1998, she married her sound engineer Andrew Gilchrist in a Unitarian Universalist service in Canada. DiFranco and Gilchrist divorced in 2003.
In 1990, she wrote "Lost Woman Song", which was inspired by her abortions at ages eighteen and twenty.
DiFranco's father died in the summer of 2004. In July 2005, DiFranco developed tendinitis and took a nine-month hiatus from touring. In January 2007 DiFranco gave birth to her first child, a daughter, at her Buffalo home. She married the child's father, Mike Napolitano, also her regular producer, in 2009. In an interview on September 13, 2012, DiFranco mentioned that she was pregnant with her second child. In April 2013, she gave birth to her second child, a son.
DiFranco has resided in the Bywater, New Orleans, neighborhood since 2008.
DiFranco has described herself as an atheist. On the subject of religion, DiFranco has stated:
DiFranco has spoken critically of cancel culture, saying it is "just gonna get us nowhere" and "The human family can't divorce each other". DiFranco herself has received criticism for planning a 2013 songwriting retreat at Nottoway, a former slave plantation, and wrote that she "[sympathized] with both sides" regarding the controversial trans-exclusionary policies of the Michigan Womyn's Music Festival.
Critical reception
DiFranco has been a critical success for much of her career, with a career album average of 72 on Metacritic. Living in Clip, DiFranco's 1998 double live album, is the only one to achieve gold record status to date. DiFranco was praised by The Buffalo News in 2006 as "Buffalo's leading lady of rock music".
Starting in 2003, DiFranco was nominated four consecutive times for Best Recording Package at the Grammy Awards, winning in 2004 for Evolve.
On July 21, 2006, DiFranco received the Woman of Courage Award at the National Organization for Women (NOW) Conference and Young Feminist Summit in Albany, New York. DiFranco was one of the first musicians to receive the award, given each year to a woman who has set herself apart by her contributions to the feminist movement.
In 2009, DiFranco received the Woody Guthrie Award for being a voice of positive social change.
Music
Style
DiFranco's guitar playing is often characterized by a signature staccato style, rapid fingerpicking and many alternate tunings. She delivers many of her lines in a speaking style notable for its rhythmic variation. Her lyrics, which often include alliteration, metaphor, word play and a more or less gentle irony, have also received praise for their sophistication.
Although DiFranco's music has been classified as both folk rock and alternative rock, she has reached across genres since her earliest albums incorporating first punk, then funk, hiphop, and jazz influences.
While primarily an acoustic guitarist she has used a variety of instruments and styles: brass instrumentation was prevalent in 1998's Little Plastic Castle; a simple walking bass in her 1997 cover of Hal David and Burt Bacharach's "Wishin' and Hopin' "; strings on the 1997 live album Living in Clip and 2004's Knuckle Down; and electronics and synthesizers in 1999's To the Teeth and 2006's Reprieve.
DiFranco has stated that "folk music is not an acoustic guitar – that's not where the heart of it is. I use the word 'folk' in reference to punk music and rap music. It's an attitude, it's an awareness of one's heritage, and it's a community. It's subcorporate music that gives voice to different communities and their struggle against authority."
Musical collaborations, cover versions, and samples
DiFranco has collaborated with a wide range of artists. In 1997, she appeared on Canadian songwriter Bruce Cockburn's Charity of Night album. In 1998, she produced fellow folksinger Dan Bern's album Fifty Eggs.
She developed a deep association with folksinger and social activist Utah Phillips throughout the mid-1990s, sharing her stage and her audience with the older musician until his death in 2008 and resulting in two collaborative albums: The Past Didn't Go Anywhere (1996) and Fellow Workers (1999, with liner notes by Howard Zinn). The Past is built around Phillips's storytelling, an important part of his art that had not previously been documented on recordings; on the album, DiFranco provides musical settings for his speaking voice. The followup, Fellow Workers, was recorded live in Daniel Lanois's Kingsway Studio in New Orleans and features Phillips fronting DiFranco's touring band for a collection of songs and stories.
Prince recorded two songs with DiFranco in 1999, "Providence" on her To the Teeth album, and "Eye Love U, But Eye Don't Trust U Anymore" on Prince's Rave Un2 the Joy Fantastic album. Funk and soul jazz musician Maceo Parker and rapper Corey Parker have both appeared on DiFranco's albums and featured appearances by her on theirs. Parker and DiFranco toured together in 1999.
She has appeared on several compilations of the songs of Pete Seeger and frequented his Hudson Clearwater Revival Festival. In 2001, she appeared on Brazilian artist Lenine's album Falange Canibal. In 2002, her rendition of Greg Brown's "The Poet Game" appeared on Going Driftless: An Artist's Tribute to Greg Brown. Also in 2002 she recorded a duet with Jackie Chan of the Irving Gordon song "Unforgettable" for a record of unlikely collaborations, When Pigs Fly: Songs You Never Thought You'd Hear.
In 2005, she appeared on Dar Williams' record My Better Self, duetting on William's cover of Pink Floyd's "Comfortably Numb". She performed with Cyndi Lauper on "Sisters of Avalon" a track from Lauper's 2005 The Body Acoustic album. In 2006, she produced Hamell on Trial's album Songs for Parents Who Enjoy Drugs. In 2008, she appeared on Todd Sickafoose's album Tiny Resisters. In 2010, she co-produced a track with Margaret Cho called "Captain Cameltoe" for the comedian's Cho Dependant album. In 2011, she appeared on Rob Wasserman's album Note of Hope, an exploration of the writings of Woody Guthrie with musical accompaniment, though the track in which she appeared, "Voice", was actually recorded 13 years earlier. Also in 2011 she duetted with Greg Dulli on the Twilight Singers record Dynamite Steps.
Other artists have covered and sampled DiFranco's work throughout the years. Her spoken word poem "Self Evident" was covered by Public Enemy founder Chuck D's group called Impossebulls. Alana Davis had some commercial success with DiFranco's song "32 Flavors".
Samples from the track "Coming Up" were used by DJ Spooky in his album Live Without Dead Time, produced for AdBusters Magazine in 2003.
In 2010, DiFranco played Persephone on Anaïs Mitchell's album Hadestown.
DiFranco was approached by Zoe Boekbinder to work on their Prison Music Project, an album of collaborations between incarcerated and formerly incarcerated writers and musicians on the outside. DiFranco co-produced the project with Boekbinder and co-wrote and performed "Nowhere but Barstow and Prison." The album Long Time Gone was released on Righteous Babe Records in 2020 after ten years in the making.
Lyrical content
Although much of DiFranco's material is autobiographical, it is often also strongly political. Many of her songs are concerned with contemporary social issues such as racism, sexism, sexual abuse, homophobia, reproductive rights, poverty, and war. In 2008, she donated a song to Aid Still Required's CD to assist with the restoration of the devastation done to Southeast Asia from the 2004 tsunami.
The combination of personal and political is partially responsible for DiFranco's early popularity among politically active college students, particularly those of the left wing, some of whom set up fan pages on the web to document DiFranco's career as early as 1994. DiFranco's rapid rise in popularity in the mid-1990s was fueled mostly by personal contact and word of mouth rather than mainstream media.
Label independence
Ani cites her anti-corporate ethos for the main reason she decided to start her own label. This has allowed her a considerable degree of creative freedom over the years, including, for example, providing all instrumentals and vocals and recording the album herself at her home on an analog 8-track reel to reel, and handling much of the artwork and packaging design for her 2004 album Educated Guess. She has referenced this independence from major labels in song more than once, including "The Million You Never Made" (Not a Pretty Girl), which discusses the act of turning down a lucrative contract, "The Next Big Thing" (Not So Soft), which describes an imagined meeting with a label head-hunter who evaluates the singer based on her looks, and "Napoleon" (Dilate), which sympathizes sarcastically with an unnamed friend who did sign with a label.
The business grew organically starting in 1990 with the first cassette tape. Connections were made when women in colleges started duplicating and sharing tapes. Offers to play at colleges started coming in and her popularity grew largely by word of mouth and through women's groups or organizations. Zango and Goldenrod, two music distributors specializing in women's music, started carrying DiFranco's music. In general they sold music to independent music stores and women's book stores. In 1995, Righteous Babe Records signed with Koch International for DiFranco's release of Not a Pretty Girl. Her records could then be found in large and small record stores alike.
DiFranco has occasionally joined with Prince in discussing publicly the problems associated with major record companies. Righteous Babe Records employs a number of people in her hometown of Buffalo. In a 1997 open letter to Ms. magazine she expressed displeasure that what she considers a way to ensure her own artistic freedom was seen by others solely in terms of its financial success.
Activism
From the earliest days of her career, DiFranco has lent her voice and her name to a broad range of social movements, performing benefit concerts, appearing on benefit albums, speaking at rallies, and offering info table space to organizations at her concerts and the virtual equivalent on her website, among other methods and actions. In 1999, she created her own not-for-profit organization; as the Buffalo News has reported, "Through the Righteous Babe Foundation, DiFranco has backed various grassroots cultural and political organizations, supporting causes ranging from abortion rights to gay visibility."
During the first Gulf War, DiFranco participated in the anti-war movement. In early 1993 she played Pete Seeger's Clearwater Folk Festival for the first time. In 1998, she was a featured performer in the Dead Man Walking benefit concert series raising money for Sister Helen Prejean's "Not in Our Name" anti-death penalty organization. DiFranco's commitment to opposing the death penalty is longstanding; she has also been a long time supporter of the Southern Center for Human Rights.
During the 2000 U.S. presidential election, she actively supported and voted for Green Party candidate Ralph Nader, though in an open letter she made clear that if she lived in a swing state, she would vote for Al Gore to prevent George W. Bush from being elected.
In 2004, DiFranco visited Burma in order to learn about the Burmese resistance movement and the country's fight for democracy. During her travels she met with then-detained resistance leader Aung San Suu Kyi. Her song "In The Way" was later featured on For the Lady, a benefit CD that donated all proceeds to the United States Campaign for Burma.
During the 2004 presidential primaries, she supported liberal, anti-war Democrat Dennis Kucinich, who appeared on stage with her during several of her concerts. After the primary season ended, and John Kerry was the clear Democratic candidate, DiFranco launched a "Vote Dammit!" tour of swing states encouraging audience members to vote. In 2005, she lobbied Congress against the proliferation of nuclear power in general and the placement of nuclear waste dumps on Indian land in particular. In 2008, she again backed Kucinich in his bid for the presidency.
In 2002, Righteous Babe Records established the "Aiding Buffalo's Children" program in conjunction with members of the local community to raise funds for Buffalo's public school system. To kick off the program, DiFranco donated "a day's pay"—the performance fee from her concert that year at Shea's Performing Arts Center— to ABC and challenged her fans to do the same. Aiding Buffalo's Children has since been folded into the Community Foundation of Greater Buffalo, contributing to a variety of charitable funds.
In 2005, when Hurricane Katrina devastated DiFranco's newly adopted home town of New Orleans, she collected donations from fans around the world through The Righteous Babe Store website for the Katrina Piano Fund, helping musicians replace instruments lost in the hurricane, raising over $47,500 for the cause.
In 2010, after the Deepwater Horizon oil spill, she performed at the "For Our Coast" benefit concert joining Marianne Faithfull, C. C. Adcock and others at the Acadiana Center for the Arts Theater in Lafayette, raising money for Gulf Aid Acadiana, and the Gulf Aid show with Lenny Kravitz, Mos Def, and others at Mardi Gras World River City in New Orleans, both shows raising money to help protect the wetlands, clean up the coast and to assist the fishermen and their families affected by the spill.
DiFranco also sits on the board for The Roots of Music, founded by Rebirth Brass Band drummer Derrick Tabb. The organization provides free marching band instruction to children in the New Orleans area in addition to academic tutoring and mentoring.
DiFranco joined about 500,000 people at the March for Women's Lives in DC in April 2004. As an honored guest she marched in the front row for the three-mile route, along with Margaret Cho, Janeane Garofalo, Whoopi Goldberg, Gloria Steinem and others. Later in the day, Ani played a few songs on the main stage in front of the Capitol, including "Your Next Bold Move".
Scot Fisher, formerly Righteous Babe label president and DiFranco's manager for many years, has been a longtime advocate of the preservation movement in Buffalo. In 1999, he and DiFranco purchased a decaying church on the verge of demolition in downtown Buffalo and began the lengthy process of restoring it. In 2006, the building opened its doors again, first briefly as "The Church" and then as "Babeville," housing two concert venues, the record label's business office, and Hallwalls Contemporary Arts Center.
DiFranco is also a member of the Toronto-based charity Artists Against Racism for which she participated in a radio PSA.
Awards and nominations
Discography
Studio albums
Ani DiFranco (1990)
Not So Soft (1991)
Imperfectly (1992)
Puddle Dive (1993)
Out of Range (1994)
Not a Pretty Girl (1995)
Dilate (1996)
Little Plastic Castle (1998)
Up Up Up Up Up Up (1999)
To the Teeth (1999)
Revelling/Reckoning (2001)
Evolve (2003)
Educated Guess (2004)
Knuckle Down (2005)
Reprieve (2006)
Red Letter Year (2008)
¿Which Side Are You On? (2012)
Allergic to Water (2014)
Binary (2017)
Revolutionary Love (2021)
with Utah Phillips
The Past Didn't Go Anywhere (1996)
Fellow Workers (1999)
Live albums
1994 – An Acoustic Evening With
1994 – Women in (E)motion (German Release)
1997 – Living in Clip
2002 – So Much Shouting, So Much Laughter
2004 – Atlanta – 10.9.03 (Official Bootleg series #1)
2004 – Sacramento – 10.25.03 (Official Bootleg series #1)
2004 – Portland – 4.7.04 (Official Bootleg series #1)
2005 – Boston – 11.16.03 (Official Bootleg series #1)
2005 – Chicago – 1.17.04 (Official Bootleg series #1)
2005 – Madison – 1.25.04 (Official Bootleg series #1)
2005 – Rome – 11.15.04 (Official Bootleg series #1)
2006 – Carnegie Hall – 4.6.02 (Official Bootleg series No. 1 – available in stores)
2007 – Boston – 11.10.06 (Official Bootleg series #1)
2008 – Hamburg – 10.18.07 (Official Bootleg series #1)
2009 – Saratoga, CA – 9.18.06 (Official Bootleg series #1)
2009 – Chicago – 9.22.07 (Official Bootleg series #1)
2010 – Live at Bull Moose Music (Limited edition)
2012 – Buffalo – April 22, 2012 (Official Bootleg series #2)
2013 – London – October 29, 2008 (Official Bootleg series #2)
2014 – Ridgefield, CT – November 18, 2009 (Official Bootleg series #2)
2014 – Harrisburg, PA – January 23, 2008 (Official Bootleg series #2)
2015 – New York, NY – March 30, 1995 (Official Bootleg series #2)
2016 – Glenside, PA – November 11, 2012 (Official Bootleg series #2)
2016 – Melbourne, FL – January 19, 2016 (Official Bootleg series #2)
2018 – Charlottesville, VA 5.12.18 (Official Bootleg series #3)
2019 – Woodstock, NY Jun 16, 2019 (Official Bootleg series #3)
2020 – Keene, NH Nov 16, 2019 (Official Bootleg series #3)
2021 – Revolutionary Love: Live at Big Blue
EPs
1996 – More Joy, Less Shame
1999 – Little Plastic Remixes (limited distribution)
2000 – Swing Set
2016 – Play God
Videos
2002 – Render: Spanning Time with Ani DiFranco
2004 – Trust
2008 – Live at Babeville
Compilations
1993 – Like I Said: Songs 1990–91
1995 – Live from Mountain Stage, Vol. 8 – "Buildings & Bridges (live)"
1996 – Women's Work – "Cradle and All (live)"
1996 – Women: Live from Mountain Stage – "Egos Like Hairdos (live)"
1997 – Divine Divas: A World of Women's Voices – "Amazing Grace"
1998 – Live at World Café Vol. 6 – "Buildings & Bridges (live)"
1998 – Modern Day Storytellers – "Buildings & Bridges"
1998 – Rare on Air Vol. 4 (KCRW) – "Gravel (live)"
1998 – Where Have All the Flowers Gone: Songs of Pete Seeger – "My Name is Lisa Kalvelage"
1998 – Women of Spirit – "Done Wrong"
1999 – Respect: A Century of Women in Music – "32 Flavors"
2000 – Badlands: A Tribute to Bruce Springsteen's Nebraska – "Used Cars"
2000 – Best of Hard Rock Café Live – "Little Plastic Castle (live)"
2000 – 'Til We Outnumber 'Em – Performed "Do Re Mi" solo and "Ramblin' Round" with Indigo Girls; Producer
2001 – Live @ The World Café Vol. 10 – "32 Flavors"
2001 – Best of Sessions at West 54th – "32 Flavors"
2002 – Gascd – "Your Next Bold Move"
2002 – Going Driftless: An Artist Tribute to Greg Brown – "The Poet Game"
2002 – When Pigs Fly: Songs You Never Thought You'd Hear – "Unforgettable" w/ Jackie Chan
2003 – Peace Not War – "Self Evident"
2004 – Peace Not War Vol. 2 – "Animal"
2004 – For the Lady – "In the Way"
2005 – Bonnaroo Music Festival 2004 (CD & DVD) – "Evolve (live)"
2006 – Music Is Hope – "Napoleon (remix)"
2006 – Dead Man Walking: Music from and Inspired by the Motion Picture – "Crime for Crime", "Fuel", "Up Up Up Up Up Up"
2007 – Canon
2007 – Sowing the Seed: The 10th Anniversary Appleseed Recordings – "Waist Deep in the Big Muddy"
2007 – Cool as Folk: Cambridge Folk Festival – "Cradle and All (live)"
2009 – Singing Through the Hard Times: A Utah Phillips Celebration – "The International"
2011 – Note of Hope: A Celebration of Woody Guthrie – "Voice"
2011 – Every Mother Counts – "Present/Infant" (Remix)
2012 – Occupy This Album – "Which Side Are You On? (a capella)"
2019 – No Walls Mixtape
2020 – Prison Music Project: Long Time Gone – "Nowhere but Barstow and Prison"
As producer
1998 – Dan Bern – Fifty Eggs
2010 – Margaret Cho – Cho Dependent – co-producer on "Captain Cameltoe"
2017 – Peter Mulvey – Are You Listening?
2020 – Prison Music Project: Long Time Gone
Other contributions
1989 – Demo tape (unreleased)
2001 – John Gorka – The Company You Keep – backing vocals on "Oh Abraham"
2006 – Jason Karaban – Doomed to Make Choices
2006 – Twilight Singers – Powder Burns – Featured on "Bonnie Brae," "Candy Cane Crawl," and "Powder Burns"
2008 – Dr. John – The City That Care Forgot – Contributed backing vocals to the title track.
2009 – Jason Karaban – Sobriety Kills
2010 – Anaïs Mitchell – Hadestown
2010 – Preservation Hall Jazz Band – Preservation: An Album to Benefit Preservation Hall & The Preservation Hall Music Outreach Program – Featured on "Freight Train"
2011 – Twilight Singers – Dynamite Steps – Featured on "Blackbird and the Fox"
2016 – Ryan Harvey – Featured on "Old Man Trump"
2019 – Rising Appalachia – Leylines – Featured on "Speak Out"
2021 – Pieta Brown – Featured on "We Are Not Machines"
Poetry
2004 – Self-evident: poesie e disegni
2007 – Verses
References
External links
The Righteous Babe homepage
Ani DiFranco at Rolling Stone
1970 births
American activists
20th-century American women guitarists
20th-century American guitarists
20th-century atheists
20th-century American LGBT people
21st-century American bass guitarists
21st-century American composers
21st-century American singer-songwriters
21st-century American women guitarists
21st-century American women singers
21st-century atheists
21st-century American LGBT people
21st-century women composers
Activists from New York (state)
American abortion-rights activists
American acoustic guitarists
American anti–death penalty activists
American atheists
American contraltos
American folk guitarists
American folk rock musicians
American folk singers
American gun control activists
American people of Canadian descent
American people of Italian descent
American rock songwriters
American street performers
American women rock singers
American women singer-songwriters
Anti-corporate activists
Atheist feminists
Bisexual feminists
Bisexual singers
Bisexual composers
Bisexual songwriters
Bisexual women musicians
Buffalo State College alumni
Feminist musicians
Grammy Award winners
Guitarists from New York (state)
LGBT people from New York (state)
American LGBT rights activists
American LGBT singers
American LGBT songwriters
American LGBT composers
Living people
Musicians from Buffalo, New York
The New School alumni
Righteous Babe Records artists
Singer-songwriters from New York (state)
Women bass guitarists
American bisexual musicians
American bisexual writers
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Aesthetics (also spelled esthetics) is the branch of philosophy concerned with the nature of beauty and the nature of taste; and functions as the philosophy of art. Aesthetics examines the philosophy of aesthetic value, which is determined by critical judgements of artistic taste; thus, the function of aesthetics is the "critical reflection on art, culture and nature".
Aesthetics studies natural and artificial sources of experiences and how people form a judgement about those sources of experience. It considers what happens in our minds when we engage with objects or environments such as viewing visual art, listening to music, reading poetry, experiencing a play, watching a fashion show, movie, sports or exploring various aspects of nature. The philosophy of art specifically studies how artists imagine, create, and perform works of art, as well as how people use, enjoy, and criticize art. Aesthetics considers why people like some works of art and not others, as well as how art can affect our moods and our beliefs. Both aesthetics and the philosophy of art try to find answers to what exactly is art and what makes good art.
Etymology
The word aesthetic is derived from the Ancient Greek (, "perceptive, sensitive, pertaining to sensory perception"), which in turn comes from (, "I perceive, sense, learn") and is related to (, "perception, sensation"). Aesthetics in this central sense has been said to start with the series of articles on "The Pleasures of the Imagination", which the journalist Joseph Addison wrote in the early issues of the magazine The Spectator in 1712.
The term aesthetics was appropriated and coined with new meaning by the German philosopher Alexander Baumgarten in his dissertation Meditationes philosophicae de nonnullis ad poema pertinentibus () in 1735; Baumgarten chose "aesthetics" because he wished to emphasize the experience of art as a means of knowing. Baumgarten's definition of aesthetics in the fragment Aesthetica (1750) is occasionally considered the first definition of modern aesthetics.
The term was introduced into the English language by Thomas Carlyle in his Life of Friedrich Schiller (1825).
History of aesthetics
The history of the philosophy of art as aesthetics covering the visual arts, the literary arts, the musical arts and other artists forms of expression can be dated back at least to Aristotle and the ancient Greeks. Aristotle writing of the literary arts in his Poetics stated that epic poetry, tragedy, comedy, dithyrambic poetry, painting, sculpture, music, and dance are all fundamentally acts of mimesis ("imitation"), each varying in imitation by medium, object, and manner. He applies the term mimesis both as a property of a work of art and also as the product of the artist's intention and contends that the audience's realisation of the mimesis is vital to understanding the work itself. Aristotle states that mimesis is a natural instinct of humanity that separates humans from animals and that all human artistry "follows the pattern of nature". Because of this, Aristotle believed that each of the mimetic arts possesses what Stephen Halliwell calls "highly structured procedures for the achievement of their purposes." For example, music imitates with the media of rhythm and harmony, whereas dance imitates with rhythm alone, and poetry with language. The forms also differ in their object of imitation. Comedy, for instance, is a dramatic imitation of men worse than average; whereas tragedy imitates men slightly better than average. Lastly, the forms differ in their manner of imitation – through narrative or character, through change or no change, and through drama or no drama. Eric Auerbach has extended the discussion of history of aesthetics in his book titled Mimesis.
Aesthetics and the philosophy of art
Some distinguish aesthetics from the philosophy of art, claiming that the former is the study of beauty and taste while the latter is the study of works of art. But aesthetics typically considers questions of beauty as well as of art. It examines topics such as art works, aesthetic experience, and aesthetic judgments. Aesthetic experience refers to the sensory contemplation or appreciation of an object (not necessarily a work of art), while artistic judgement refers to the recognition, appreciation or criticism of art in general or a specific work of art. In the words of one philosopher, "Philosophy of art is about art. Aesthetics is about many things—including art. But it is also about our experience of breathtaking landscapes or the pattern of shadows on the wall opposite your office.
Philosophers of art weigh a culturally contingent conception of art versus one that is purely theoretical. They study the varieties of art in relation to their physical, social, and cultural environments. Aesthetic philosophers sometimes also refer to psychological studies to help understand how people see, hear, imagine, think, learn, and act in relation to the materials and problems of art. Aesthetic psychology studies the creative process and the aesthetic experience.
Aesthetic judgment, universals, and ethics
Aesthetic judgment
Aesthetics examines affective domain response to an object or phenomenon. Judgments of aesthetic value rely on the ability to discriminate at a sensory level. However, aesthetic judgments usually go beyond sensory discrimination.
For David Hume, delicacy of taste is not merely "the ability to detect all the ingredients in a composition", but also the sensitivity "to pains as well as pleasures, which escape the rest of mankind." Thus, sensory discrimination is linked to capacity for pleasure.
For Immanuel Kant (Critique of Judgment, 1790), "enjoyment" is the result when pleasure arises from sensation, but judging something to be "beautiful" has a third requirement: sensation must give rise to pleasure by engaging reflective contemplation. Judgments of beauty are sensory, emotional and intellectual all at once. Kant (1790) observed of a man "If he says that canary wine is agreeable he is quite content if someone else corrects his terms and reminds him to say instead: It is agreeable to me," because "Everyone has his own (sense of) taste". The case of "beauty" is different from mere "agreeableness" because, "If he proclaims something to be beautiful, then he requires the same liking from others; he then judges not just for himself but for everyone, and speaks of beauty as if it were a property of things."
Viewer interpretations of beauty may on occasion be observed to possess two concepts of value: aesthetics and taste. Aesthetics is the philosophical notion of beauty. Taste is a result of an education process and awareness of elite cultural values learned through exposure to mass culture. Bourdieu examined how the elite in society define the aesthetic values like taste and how varying levels of exposure to these values can result in variations by class, cultural background, and education. According to Kant, beauty is subjective and universal; thus certain things are beautiful to everyone. In the opinion of Władysław Tatarkiewicz, there are six conditions for the presentation of art: beauty, form, representation, reproduction of reality, artistic expression and innovation. However, one may not be able to pin down these qualities in a work of art.
The question of whether there are facts about aesthetic judgments belongs to the branch of metaphilosophy known as meta-aesthetics.
Factors involved in aesthetic judgment
Aesthetic judgement is closely tied to disgust. Responses like disgust show that sensory detection is linked in instinctual ways to facial expressions including physiological responses like the gag reflex. Disgust is triggered largely by dissonance; as Darwin pointed out, seeing a stripe of soup in a man's beard is disgusting even though neither soup nor beards are themselves disgusting. Aesthetic judgments may be linked to emotions or, like emotions, partially embodied in physical reactions. For example, the awe inspired by a sublime landscape might physically manifest with an increased heart-rate or pupil dilation.
As seen, emotions are conformed to 'cultural' reactions, therefore aesthetics is always characterized by 'regional responses', as Francis Grose was the first to affirm in his 'Rules for Drawing Caricaturas: With an Essay on Comic Painting' (1788), published in W. Hogarth, The Analysis of Beauty, Bagster, London s.d. (1791? [1753]), pp. 1–24. Francis Grose can therefore be claimed to be the first critical 'aesthetic regionalist' in proclaiming the anti-universality of aesthetics in contrast to the perilous and always resurgent dictatorship of beauty. 'Aesthetic Regionalism' can thus be seen as a political statement and stance which vies against any universal notion of beauty to safeguard the counter-tradition of aesthetics related to what has been considered and dubbed un-beautiful just because one's culture does not contemplate it, e.g. Edmund Burke's sublime, what is usually defined as 'primitive' art, or un-harmonious, non-cathartic art, camp art, which 'beauty' posits and creates, dichotomously, as its opposite, without even the need of formal statements, but which will be 'perceived' as ugly.
Likewise, aesthetic judgments may be culturally conditioned to some extent. Victorians in Britain often saw African sculpture as ugly, but just a few decades later, Edwardian audiences saw the same sculptures as beautiful. Evaluations of beauty may well be linked to desirability, perhaps even to sexual desirability. Thus, judgments of aesthetic value can become linked to judgments of economic, political, or moral value. In a current context, a Lamborghini might be judged to be beautiful partly because it is desirable as a status symbol, or it may be judged to be repulsive partly because it signifies over-consumption and offends political or moral values.
The context of its presentation also affects the perception of artwork; artworks presented in a classical museum context are liked more and rated more interesting than when presented in a sterile laboratory context. While specific results depend heavily on the style of the presented artwork, overall, the effect of context proved to be more important for the perception of artwork than the effect of genuineness (whether the artwork was being presented as original or as a facsimile/copy).
Aesthetic judgments can often be very fine-grained and internally contradictory. Likewise aesthetic judgments seem often to be at least partly intellectual and interpretative. What a thing means or symbolizes is often what is being judged. Modern aestheticians have asserted that will and desire were almost dormant in aesthetic experience, yet preference and choice have seemed important aesthetics to some 20th-century thinkers. The point is already made by Hume, but see Mary Mothersill, "Beauty and the Critic's Judgment", in The Blackwell Guide to Aesthetics, 2004. Thus aesthetic judgments might be seen to be based on the senses, emotions, intellectual opinions, will, desires, culture, preferences, values, subconscious behaviour, conscious decision, training, instinct, sociological institutions, or some complex combination of these, depending on exactly which theory is employed.
A third major topic in the study of aesthetic judgments is how they are unified across art forms. For instance, the source of a painting's beauty has a different character to that of beautiful music, suggesting their aesthetics differ in kind. The distinct inability of language to express aesthetic judgment and the role of social construction further cloud this issue.
Aesthetic universals
The philosopher Denis Dutton identified six universal signatures in human aesthetics:
Expertise or virtuosity. Humans cultivate, recognize, and admire technical artistic skills.
Nonutilitarian pleasure. People enjoy art for art's sake, and do not demand that it keep them warm or put food on the table.
Style. Artistic objects and performances satisfy rules of composition that place them in a recognizable style.
Criticism. People make a point of judging, appreciating, and interpreting works of art.
Imitation. With a few important exceptions like abstract painting, works of art simulate experiences of the world.
Special focus. Art is set aside from ordinary life and made a dramatic focus of experience.
Artists such as Thomas Hirschhorn have indicated that there are too many exceptions to Dutton's categories. For example, Hirschhorn's installations deliberately eschew technical virtuosity. People can appreciate a Renaissance Madonna for aesthetic reasons, but such objects often had (and sometimes still have) specific devotional functions. "Rules of composition" that might be read into Duchamp's Fountain or John Cage's 4′33″ do not locate the works in a recognizable style (or certainly not a style recognizable at the time of the works' realization). Moreover, some of Dutton's categories seem too broad: a physicist might entertain hypothetical worlds in his/her imagination in the course of formulating a theory. Another problem is that Dutton's categories seek to universalize traditional European notions of aesthetics and art forgetting that, as André Malraux and others have pointed out, there have been large numbers of cultures in which such ideas (including the idea "art" itself) were non-existent.
Aesthetic ethics
Aesthetic ethics refers to the idea that human conduct and behaviour ought to be governed by that which is beautiful and attractive. John Dewey has pointed out that the unity of aesthetics and ethics is in fact reflected in our understanding of behaviour being "fair"—the word having a double meaning of attractive and morally acceptable. More recently, James Page has suggested that aesthetic ethics might be taken to form a philosophical rationale for peace education.
Beauty
Beauty is one of the main subjects of aesthetics, together with art and taste. Many of its definitions include the idea that an object is beautiful if perceiving it is accompanied by aesthetic pleasure. Among the examples of beautiful objects are landscapes, sunsets, humans and works of art. Beauty is a positive aesthetic value that contrasts with ugliness as its negative counterpart.
Different intuitions commonly associated with beauty and its nature are in conflict with each other, which poses certain difficulties for understanding it. On the one hand, beauty is ascribed to things as an objective, public feature. On the other hand, it seems to depend on the subjective, emotional response of the observer. It is said, for example, that "beauty is in the eye of the beholder". It may be possible to reconcile these intuitions by affirming that it depends both on the objective features of the beautiful thing and the subjective response of the observer. One way to achieve this is to hold that an object is beautiful if it has the power to bring about certain aesthetic experiences in the perceiving subject. This is often combined with the view that the subject needs to have the ability to correctly perceive and judge beauty, sometimes referred to as "sense of taste". Various conceptions of how to define and understand beauty have been suggested. Classical conceptions emphasize the objective side of beauty by defining it 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, on the other hand, focus more on the subjective side by drawing 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.
New Criticism and "The Intentional Fallacy"
During the first half of the twentieth century, a significant shift to general aesthetic theory took place which attempted to apply aesthetic theory between various forms of art, including the literary arts and the visual arts, to each other. This resulted in the rise of the New Criticism school and debate concerning the intentional fallacy. At issue was the question of whether the aesthetic intentions of the artist in creating the work of art, whatever its specific form, should be associated with the criticism and evaluation of the final product of the work of art, or, if the work of art should be evaluated on its own merits independent of the intentions of the artist.
In 1946, William K. Wimsatt and Monroe Beardsley published a classic and controversial New Critical essay entitled "The Intentional Fallacy", in which they argued strongly against the relevance of an author's intention, or "intended meaning" in the analysis of a literary work. For Wimsatt and Beardsley, the words on the page were all that mattered; importation of meanings from outside the text was considered irrelevant, and potentially distracting.
In another essay, "The Affective Fallacy," which served as a kind of sister essay to "The Intentional Fallacy" Wimsatt and Beardsley also discounted the reader's personal/emotional reaction to a literary work as a valid means of analyzing a text. This fallacy would later be repudiated by theorists from the reader-response school of literary theory. One of the leading theorists from this school, Stanley Fish, was himself trained by New Critics. Fish criticizes Wimsatt and Beardsley in his essay "Literature in the Reader" (1970).
As summarized by Berys Gaut and Livingston in their essay "The Creation of Art": "Structuralist and post-structuralists theorists and critics were sharply critical of many aspects of New Criticism, beginning with the emphasis on aesthetic appreciation and the so-called autonomy of art, but they reiterated the attack on biographical criticisms' assumption that the artist's activities and experience were a privileged critical topic." These authors contend that: "Anti-intentionalists, such as formalists, hold that the intentions involved in the making of art are irrelevant or peripheral to correctly interpreting art. So details of the act of creating a work, though possibly of interest in themselves, have no bearing on the correct interpretation of the work."
Gaut and Livingston define the intentionalists as distinct from formalists stating that: "Intentionalists, unlike formalists, hold that reference to intentions is essential in fixing the correct interpretation of works." They quote Richard Wollheim as stating that, "The task of criticism is the reconstruction of the creative process, where the creative process must in turn be thought of as something not stopping short of, but terminating on, the work of art itself."
Derivative forms of aesthetics
A large number of derivative forms of aesthetics have developed as contemporary and transitory forms of inquiry associated with the field of aesthetics which include the post-modern, psychoanalytic, scientific, and mathematical among others.
Post-modern aesthetics and psychoanalysis
Early-twentieth-century artists, poets and composers challenged existing notions of beauty, broadening the scope of art and aesthetics. In 1941, Eli Siegel, American philosopher and poet, founded Aesthetic Realism, the philosophy that reality itself is aesthetic, and that "The world, art, and self explain each other: each is the aesthetic oneness of opposites."
Various attempts have been made to define Post-Modern Aesthetics. The challenge to the assumption that beauty was central to art and aesthetics, thought to be original, is actually continuous with older aesthetic theory; Aristotle was the first in the Western tradition to classify "beauty" into types as in his theory of drama, and Kant made a distinction between beauty and the sublime. What was new was a refusal to credit the higher status of certain types, where the taxonomy implied a preference for tragedy and the sublime to comedy and the Rococo.
Croce suggested that "expression" is central in the way that beauty was once thought to be central. George Dickie suggested that the sociological institutions of the art world were the glue binding art and sensibility into unities. Marshall McLuhan suggested that art always functions as a "counter-environment" designed to make visible what is usually invisible about a society. Theodor Adorno felt that aesthetics could not proceed without confronting the role of the culture industry in the commodification of art and aesthetic experience. Hal Foster attempted to portray the reaction against beauty and Modernist art in The Anti-Aesthetic: Essays on Postmodern Culture. Arthur Danto has described this reaction as "kalliphobia" (after the Greek word for beauty, κάλλος kallos). André Malraux explains that the notion of beauty was connected to a particular conception of art that arose with the Renaissance and was still dominant in the eighteenth century (but was supplanted later). The discipline of aesthetics, which originated in the eighteenth century, mistook this transient state of affairs for a revelation of the permanent nature of art. Brian Massumi suggests to reconsider beauty following the aesthetical thought in the philosophy of Deleuze and Guattari. Walter Benjamin echoed Malraux in believing aesthetics was a comparatively recent invention, a view proven wrong in the late 1970s, when Abraham Moles and Frieder Nake analyzed links between beauty, information processing, and information theory. Denis Dutton in "The Art Instinct" also proposed that an aesthetic sense was a vital evolutionary factor.
Jean-François Lyotard re-invokes the Kantian distinction between taste and the sublime. Sublime painting, unlike kitsch realism, "... will enable us to see only by making it impossible to see; it will please only by causing pain."
Sigmund Freud inaugurated aesthetical thinking in Psychoanalysis mainly via the "Uncanny" as aesthetical affect. Following Freud and Merleau-Ponty, Jacques Lacan theorized aesthetics in terms of sublimation and the Thing.
The relation of Marxist aesthetics to post-modern aesthetics is still a contentious area of debate.
Aesthetics and science
The field of experimental aesthetics was founded by Gustav Theodor Fechner in the 19th century. Experimental aesthetics in these times had been characterized by a subject-based, inductive approach. The analysis of individual experience and behaviour based on experimental methods is a central part of experimental aesthetics. In particular, the perception of works of art, music, or modern items such as websites or other IT products is studied. Experimental aesthetics is strongly oriented towards the natural sciences. Modern approaches mostly come from the fields of cognitive psychology (aesthetic cognitivism) or neuroscience (neuroaesthetics).
In the 1970s, Abraham Moles and Frieder Nake were among the first to analyze links between aesthetics, information processing, and information theory.
In the 1990s, Jürgen Schmidhuber described an algorithmic theory of beauty which takes the subjectivity of the observer into account and postulates that among several observations classified as comparable by a given subjective observer, the most aesthetically pleasing is the one that is encoded by the shortest description. He uses the differences between these lengths to account for subjective differences between the aesthetic tastes of different observers, as one's ability to efficiently describe an observation is based on their particular mental method of encoding data and the proximity of the observation to the subject's prior knowledge. The theory is inspired by principles of algorithmic information theory, especially minimum description length, which prefers mathematical models that use the least information to describe data. As an example, Schmidhuber notes that mathematicians tend to aesthetically prefer simple proofs with a short description in their formal language. Another concrete example describes an aesthetically pleasing human face whose proportions can be described by very few bits of information, drawing inspiration from less detailed 15th century proportion studies by Leonardo da Vinci and Albrecht Dürer. Schmidhuber's theory explicitly distinguishes between that which is beautiful and that which is interesting, stating that interestingness corresponds to the first derivative of subjectively perceived beauty. He supposes that every observer continually tries to improve the predictability and compressibility of their observations by identifying regularities like repetition, symmetry, and fractal self-similarity. Whenever the observer's learning process (which may be a predictive artificial neural network) leads to improved data compression such that the observation sequence can be described by fewer bits than before, the temporary interestingness of the data corresponds to the number of saved bits. This compression progress is proportional to the observer's internal reward, also called curiosity reward. A reinforcement learning algorithm is used to maximize future expected reward by learning to execute action sequences that cause additional interesting input data with yet unknown but learnable predictability or regularity. The principles can be implemented on artificial agents which then exhibit a form of artificial curiosity.
Truth in beauty and mathematics
Mathematical considerations, such as symmetry and complexity, are used for analysis in theoretical aesthetics. This is different from the aesthetic considerations of applied aesthetics used in the study of mathematical beauty. Aesthetic considerations such as symmetry and simplicity are used in areas of philosophy, such as ethics and theoretical physics and cosmology to define truth, outside of empirical considerations. Beauty and Truth have been argued to be nearly synonymous, as reflected in the statement "Beauty is truth, truth beauty" in the poem "Ode on a Grecian Urn" by John Keats, or by the Hindu motto "Satyam Shivam Sundaram" (Satya (Truth) is Shiva (God), and Shiva is Sundaram (Beautiful)). The fact that judgments of beauty and judgments of truth both are influenced by processing fluency, which is the ease with which information can be processed, has been presented as an explanation for why beauty is sometimes equated with truth. Recent research found that people use beauty as an indication for truth in mathematical pattern tasks. However, scientists including the mathematician David Orrell and physicist Marcelo Gleiser have argued that the emphasis on aesthetic criteria such as symmetry is equally capable of leading scientists astray.
Computational approaches
Computational approaches to aesthetics emerged amid efforts to use computer science methods "to predict, convey, and evoke emotional response to a piece of art. It this field, aesthetics is not considered to be dependent on taste but is a matter of cognition, and, consequently, learning. In 1928, the mathematician George David Birkhoff created an aesthetic measure M = O/C as the ratio of order to complexity.
Since about 2005, computer scientists have attempted to develop automated methods to infer aesthetic quality of images. Typically, these approaches follow a machine learning approach, where large numbers of manually rated photographs are used to "teach" a computer about what visual properties are of relevance to aesthetic quality. A study by Y. Li and C.J. Hu employed Birkhoff's measurement in their statistical learning approach where order and complexity of an image determined aesthetic value. The image complexity was computed using information theory while the order was determined using fractal compression. There is also the case of the Acquine engine, developed at Penn State University, that rates natural photographs uploaded by users.
There have also been relatively successful attempts with regard to chess and music. Computational approaches have also been attempted in film making as demonstrated by a software model developed by Chitra Dorai and a group of researchers at the IBM T.J. Watson Research Center. The tool predicted aesthetics based on the values of narrative elements. A relation between Max Bense's mathematical formulation of aesthetics in terms of "redundancy" and "complexity" and theories of musical anticipation was offered using the notion of Information Rate.
Evolutionary aesthetics
Evolutionary aesthetics refers to evolutionary psychology theories in which the basic aesthetic preferences of Homo sapiens are argued to have evolved in order to enhance survival and reproductive success. One example being that humans are argued to find beautiful and prefer landscapes which were good habitats in the ancestral environment. Another example is that body symmetry and proportion are important aspects of physical attractiveness which may be due to this indicating good health during body growth. Evolutionary explanations for aesthetical preferences are important parts of evolutionary musicology, Darwinian literary studies, and the study of the evolution of emotion.
Applied aesthetics
As well as being applied to art, aesthetics can also be applied to cultural objects, such as crosses or tools. For example, aesthetic coupling between art-objects and medical topics was made by speakers working for the US Information Agency. Art slides were linked to slides of pharmacological data, which improved attention and retention by 'simultaneous activation of intuitive right brain with rational left'. It can also be used in topics as diverse as cartography, mathematics, gastronomy, fashion and website design.
Other approaches
Guy Sircello has pioneered efforts in analytic philosophy to develop a rigorous theory of aesthetics, focusing on the concepts of beauty, love and sublimity. In contrast to romantic theorists, Sircello argued for the objectivity of beauty and formulated a theory of love on that basis.
British philosopher and theorist of conceptual art aesthetics, Peter Osborne, makes the point that "'post-conceptual art' aesthetic does not concern a particular type of contemporary art so much as the historical-ontological condition for the production of contemporary art in general ...". Osborne noted that contemporary art is 'post-conceptual' in a public lecture delivered in 2010.
Gary Tedman has put forward a theory of a subjectless aesthetics derived from Karl Marx's concept of alienation, and Louis Althusser's antihumanism, using elements of Freud's group psychology, defining a concept of the 'aesthetic level of practice'.
Gregory Loewen has suggested that the subject is key in the interaction with the aesthetic object. The work of art serves as a vehicle for the projection of the individual's identity into the world of objects, as well as being the irruptive source of much of what is uncanny in modern life. As well, art is used to memorialize individuated biographies in a manner that allows persons to imagine that they are part of something greater than themselves.
Criticism
The philosophy of aesthetics as a practice has been criticized by some sociologists and writers of art and society. Raymond Williams, for example, argues that there is no unique and or individual aesthetic object which can be extrapolated from the art world, but rather that there is a continuum of cultural forms and experience of which ordinary speech and experiences may signal as art. By "art" we may frame several artistic "works" or "creations" as so though this reference remains within the institution or special event which creates it and this leaves some works or other possible "art" outside of the frame work, or other interpretations such as other phenomenon which may not be considered as "art".
Pierre Bourdieu disagrees with Kant's idea of the "aesthetic". He argues that Kant's "aesthetic" merely represents an experience that is the product of an elevated class habitus and scholarly leisure as opposed to other possible and equally valid "aesthetic" experiences which lay outside Kant's narrow definition.
Timothy Laurie argues that theories of musical aesthetics "framed entirely in terms of appreciation, contemplation or reflection risk idealizing an implausibly unmotivated listener defined solely through musical objects, rather than seeing them as a person for whom complex intentions and motivations produce variable attractions to cultural objects and practices".
See also
Aesthetics of science
Art and Theosophy
Art periods
Esthesic and poietic
Everyday Aesthetics
History of aesthetics before the 20th century
Japanese aesthetics
Medieval aesthetics
Mise en scène
Theological aesthetics
Theory of art
References
Sources
Further reading
Mario Perniola, 20th Century Aesthetics. Towards A Theory of Feeling, translated by Massimo Verdicchio, London, New Delhi, New York, Sydney: Bloomsbury, 2013, .
Handbook of Phenomenological Aesthetics. Edited by Hans Rainer Sepp and Lester Embree. (Series: Contributions To Phenomenology, Vol. 59) Springer, Dordrecht / Heidelberg / London / New York 2010.
Theodor W. Adorno, Aesthetic Theory, Minneapolis, University of Minnesota Press, 1997.
Ayn Rand, The Romantic Manifesto: A Philosophy of Literature, New York: New American Library, 1971
Derek Allan, Art and the Human Adventure, Andre Malraux's Theory of Art, Rodopi, 2009
Derek Allan. Art and Time, Cambridge Scholars, 2013.
Augros, Robert M., Stanciu, George N., The New Story of Science: mind and the universe, Lake Bluff, Ill.: Regnery Gateway, 1984. (has significant material on Art, Science and their philosophies)
John Bender and Gene Blocker, Contemporary Philosophy of Art: Readings in Analytic Aesthetics 1993.
René Bergeron. L'Art et sa spiritualité. Québec, QC.: Éditions du Pelican, 1961.
Christine Buci-Glucksmann (2003), Esthétique de l'éphémère, Galilée. (French)
Noël Carroll (2000), Theories of Art Today, University of Wisconsin Press.
Mario Costa (1999) (in Italian), L'estetica dei media. Avanguardie e tecnologia, Milan: Castelvecchi, .
Benedetto Croce (1922), Aesthetic as Science of Expression and General Linguistic.
E.S. Dallas (1866), The Gay Science, 2 volumes, on the aesthetics of poetry.
Danto, Arthur (2003), The Abuse of Beauty: Aesthetics and the Concept of Art, Open Court.
Stephen Davies (1991), Definitions of Art.
Terry Eagleton (1990), The Ideology of the Aesthetic. Blackwell.
Susan L. Feagin and Patrick Maynard (1997), Aesthetics. Oxford Readers.
Penny Florence and Nicola Foster (eds.) (2000), Differential Aesthetics. London: Ashgate.
Berys Gaut and Dominic McIver Lopes (eds.), Routledge Companion to Aesthetics. 3rd ed. London and New York: Routledge, 2013.
Annemarie Gethmann-Siefert (1995), Einführung in die Ästhetik, Munich, W. Fink.
David Goldblatt and Lee B. Brown, ed. (2010), Aesthetics: A Reader in the Philosophy of the Arts. 3rd ed. Pearson Publishing.
Theodore Gracyk (2011), The Philosophy of Art: An Introduction. Polity Press.
Greenberg, Clement (1960), "Modernist Painting", The Collected Essays and Criticism 1957–1969, The University of Chicago Press, 1993, 85–92.
Evelyn Hatcher (ed.), Art as Culture: An Introduction to the Anthropology of Art. 1999
Georg Wilhelm Friedrich Hegel (1975), Aesthetics. Lectures on Fine Art, trans. T.M. Knox, 2 vols. Oxford: Clarendon Press.
Hans Hofmann and Sara T Weeks; Bartlett H Hayes; Addison Gallery of American Art; Search for the real, and other essays (Cambridge, Massachusetts, M.I.T. Press, 1967)
Michael Ann Holly and Keith Moxey (eds.), Art History and Visual Studies. Yale University Press, 2002.
Carol Armstrong and Catherine de Zegher (eds.), Women Artists at the Millennium. Massachusetts: October Books/MIT Press, 2006.
Kant, Immanuel (1790), Critique of Judgement, Translated by Werner S. Pluhar, Hackett Publishing Co., 1987.
Kelly, Michael (Editor in Chief) (1998) Encyclopedia of Aesthetics. New York, Oxford, Oxford University Press. 4 vol. pp. xvii–521, pp. 555, pp. 536, pp. 572; 2224 total pages; 100 b/w photos; . Covers philosophical, historical, sociological, and biographical aspects of Art and Aesthetics worldwide.
Søren Kierkegaard (1843), Either/Or, translated by Alastair Hannay, London, Penguin, 1992
Peter Kivy (ed.), The Blackwell Guide to Aesthetics. 2004
Carolyn Korsmeyer (ed.), Aesthetics: The Big Questions. 1998
Lyotard, Jean-François (1979), The Postmodern Condition, Manchester University Press, 1984.
Merleau-Ponty, Maurice (1969), The Visible and the Invisible, Northwestern University Press.
David Novitz (1992), The Boundaries of Art.
Mario Perniola, The Art and Its Shadow, foreword by Hugh J. Silverman, translated by Massimo Verdicchio, London-New York, Continuum, 2004.
Griselda Pollock, "Does Art Think?" In: Dana Arnold and Margaret Iverson (eds.) Art and Thought. Oxford: Basil Blackwell, 2003. 129–174. .
Griselda Pollock, Encounters in the Virtual Feminist Museum: Time, Space and the Archive. Routledge, 2007. .
Griselda Pollock, Generations and Geographies in the Visual Arts. Routledge, 1996. .
George Santayana (1896), The Sense of Beauty. Being the Outlines of Aesthetic Theory. New York, Modern Library, 1955.
Elaine Scarry, On Beauty and Being Just. Princeton, 2001.
Friedrich Schiller, (1795), On the Aesthetic Education of Man. Dover Publications, 2004.
Alan Singer and Allen Dunn (eds.), Literary Aesthetics: A Reader. Blackwell Publishing Limited, 2000.
Jadranka Skorin-Kapov, The Intertwining of Aesthetics and Ethics: Exceeding of Expectations, Ecstasy, Sublimity. Lexington Books, 2016.
Władysław Tatarkiewicz, A History of Six Ideas: an Essay in Aesthetics, The Hague, 1980.
Władysław Tatarkiewicz, History of Aesthetics, 3 vols. (1–2, 1970; 3, 1974), The Hague, Mouton.
Markand Thakar Looking for the 'Harp' Quartet: An Investigation into Musical Beauty. University of Rochester Press, 2011.
Leo Tolstoy, What Is Art?, Penguin Classics, 1995.
Roger Scruton, Beauty: A Very Short Introduction, Oxford University Press, 2009.
Roger Scruton, The Aesthetic Understanding: Essays in the Philosophy of Art and Culture (1983)
The London Philosophy Study Guide offers many suggestions on what to read, depending on the student's familiarity with the subject: Aesthetics
John M. Valentine, Beginning Aesthetics: An Introduction to the Philosophy of Art. McGraw-Hill, 2006.
von Vacano, Diego, "The Art of Power: Machiavelli, Nietzsche and the Making of Aesthetic Political Theory," Lanham MD: Lexington: 2007.
Thomas Wartenberg, The Nature of Art. 2006.
John Whitehead, Grasping for the Wind. 2001.
Ludwig Wittgenstein, Lectures on aesthetics, psychology and religious belief, Oxford, Blackwell, 1966.
Richard Wollheim, Art and its objects, 2nd edn, 1980, Cambridge University Press,
Gino Zaccaria, The Enigma of Art. On the Provenance of Artistic Creation, 2021, Brill,
Ben Shneiderman, The Power of Aesthetic: Enhancing Visual Appeal in Your Designs , Ben, 1968.
Jean-Marc Rouvière, Au prisme du readymade, incises sur l'identité équivoque de l'objet préface de Philippe Sers et G. Litichevesky, Paris L'Harmattan 2023
Indian aesthetics
External links
Aesthetics in Continental Philosophy article in the Internet Encyclopedia of Philosophy
Medieval Theories of Aesthetics article in the Internet Encyclopedia of Philosophy
Revue online Appareil
Postscript 1980 – Some Old Problems in New Perspectives
Aesthetics in Art Education: A Look Toward Implementation
More about Art, culture and Education
The Concept of the Aesthetic
Aesthetics entry in the Routledge Encyclopedia of Philosophy
Philosophy of Aesthetics entry in the Philosophy Archive
Washington State Board for Community & Technical Colleges: Introduction to Aesthetics
Beauty , BBC Radio 4 discussion with Angie Hobbs, Susan James & Julian Baggini (In Our Time, 19 May 2005)
1730s neologisms
Humanities
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The Aster CT-80 is a 1982 personal computer developed by the small Dutch company MCP (later renamed to Aster Computers), was sold in its first incarnation as a kit for hobbyists. Later it was sold ready to use. It consisted of several Eurocard PCB's with DIN 41612 connectors, and a backplane all based on a 19-inch rack configuration. It was the first commercially available Dutch personal/home computer. The Aster computer could use the software written for the popular Tandy TRS-80 computer while fixing many of the problems of that computer, but it could also run CP/M software, with a large amount of free memory Transient Program Area, (TPA) and a full 80×25 display, and it could be used as a Videotext terminal. Although the Aster was a clone of the TRS-80 Model I it was in fact more compatible with the TRS-80 Model III and ran all the software of these systems including games. It also had a built-in speaker which was compatible with such games software.
Models
Three models were sold. The first model (launched June 1982) looked like the IBM PC, a rectangular base unit with two floppy drives on the front, and a monitor on top with a separate detachable keyboard. The second incarnation was a much smaller unit the width of two 5" floppy drives stacked on top of each other, and the third incarnation looked like a flattened Apple with a built-in keyboard.
All units ran much faster than the original TRS-80, at 4 MHz, (with a software selectable throttle to the original speed for compatibility purposes) and the display supported upper and lower case, hardware snow suppression (video ram bus arbitration logic), and an improved character font set. The floppy disk interface supported dual density, and disk capacities up to 800 KB, more than four times the capacity of the original TRS-80. A special version of NewDos/80, (an improved TRS-DOS compatible Disk operating system) was used to support these disk capacities when using the TRS-80 compatibility mode.
For the educational market a version of the first model was produced with a new plastic enclosure (the First Asters had an all-metal enclosure) that also had an opening on the top in which a cassette recorder could be placed. This model was used in a cluster with one Aster (with disk drives) for the teacher, and eight disk less versions for the pupils. The pupils could download software from the teachers computer through a network based on a fast serial connection, as well as sending back their work to the teachers computer. There was also hardware in place through which the teacher could see the display of each pupils screen on his own monitor.
Working modes
The Aster used 64 KB of RAM and had the unique feature of supporting two fundamentally different internal architectures: when turned on without a boot floppy or with a TRS-DOS floppy, the Aster would be fully TRS-80 compatible, with 48 KB of RAM. When the boot loader detected a CP/M floppy, the Aster would reconfigure its internal memory architecture on the fly to optimally support CP/M with 60 KB free RAM for programs (TPA) and an 80 x 25 display. This dual-architecture capability only existed on one other TRS-80 clone, the LOBO Max-80.
With a special configuration tool, the CT-80 could reconfigure its floppy drivers to read and write the floppies of about 80 other CP/M systems.
A third mode was entered with a special boot floppy which turned the Aster into a Videotex terminal with a 40x25 display and a Videotex character set, The software used the built in RS-232 interface of the Aster to control a modem through which it could contact a Prestel service provider.
Sales
Most Aster CT-80's (about 10 thousand of them) were sold to schools for computer education, in a project first known as the "honderd scholen project" (one hundred schools project), but which later involved many more than just one hundred schools. MCP received this order from the Dutch government because their computer met all the technical and other demands, including the demand that the computers should be of Dutch origin and should be built in the Netherlands. Another important demand was that the computers could be used in a network (Aster developed special software and hardware for that). Later however the Government turned around and gave 50% of the order to Philips and their P2000 homecomputer even though the P2000 did not meet all the technical demands, was made in Austria and did not have network hardware nor software.
Company
Aster computers was based in the small town of Arkel near the town of Gorinchem.
Initially Aster computer b.v. was called MCP (Music print Computer Product), because it was specialized in producing computer assisted printing of sheet music. The director of the company was interested in Microprocessor technology and noticed there was a market for selling kits to computer building amateurs, so they started selling electronic kits to hobbyists, and employed four persons at that time . They also assembled kits for people without soldering skills, especially the "junior Computer" from Elektor (a copy of the KIM-1), and the ZX80 from Sinclair. Among the kits sold there were also alternative floppy disk drives for TRS-80 computers. But these needed the infamous TRS-80 expansion interface, which was very expensive, and had a very unreliable floppy disk controller because it used the WD1771 floppy disk controller chip without an external "data separator". To fix this problem MCP developed a small plugin board which could be plugged into the socket for the WD1771, and which contained a data separator, and a socket for the WD1791 to support dual-density operation. Still, the expansion interface was expensive and due to its design it was also unreliable. So they decided to also develop their own alternative in the form of an improved floppy disk controller and printer interface that could be built right into a floppy disk enclosure. The lack of RAM expansion offered by this solution was solved by a service in which the 16 KB RAM chips inside the base unit would be replaced by 64 KB RAM chips.
While this went on MCP renamed itself to MCP CHIP but ran into problems with the German computer magazine CHIP, and had to return to its former name. At that time MCP did also sell imported home computers like the TRS-80, the Video Genie (another TRS-80 clone), the Luxor ABC 80 and the Apple II.
They also sold the exotic Olivetti M20, a very early 16-bit personal computer that was one of the very few systems to use a Z8000 CPU.
After designing their own fully functional replacement for the TRS-80 expansion interface (which was never commercialized) the company realized that they could do better than just re-designing the expansion interface. They observed that the TRS-80 was a great computer but it lacked in several areas. The display logic and resulting display 'snow' was irritating, as was the missing lower case support, the CPU speed could be improved, the quality and layout of the keyboard was bothersome, and the floppy disk capacity and reliability was low. Also the more interesting software offered for CP/M systems could not run well on a TRS-80. So they decided to design a TRS-80 and CP/M software-compatible computer system, which (following the lead of Apple Computer) they decided to name after a "typical Dutch flower". So they called it the Aster CT-80 (CP/M/Tandy-1980). Why they went with Aster, and not the more well known Tulip is unknown, perhaps they thought it would be to presumptuous, or perhaps the fact that "Aster" is also a Dutch girls' name has something to do with it. Remarkably "Aster" was also the name given to a Dutch Supercomputer much later, in 2002.
The first version of the Aster consisted of four "Eurocards", one Z80 CPU card with 64 KB memory, one Motorola MC6845-based video card, one double density floppy disk controller card and one "keyboard/RS-232/cassette interface" card. Plus a "backplane card", (which connected all the other cards) and a keyboard. And was intended for hobbyists, to be sold as a kit consisting of the parts and the PCB's for the computer and attached keyboard. After selling a few kits, MCP became convinced there was a much bigger market for an improved model sold as a completed working system. However the original kit version lacked many features that prevented its use as a serious computer system. Because the original designer had left the company another employee completely redesigned most of the system, (adding a display snow remover circuit, true 80/64 column text mode support, (with different size letters for TRS-80 and CP/M mode, so that in TRS-80 mode the full screen was also used, not just a 64×16 portion of the 80×25 screen) with an improved font set (adding "gray scale" version of the TRS-80 mozaik graphics and many special PETSCII like characters), and a more flexible and reliable floppy disk controller and keyboard interface plus many other small improvements), also an enclosure was developed for the main computer system, (in the form of a 19-inch rack for the Eurocards) and for two floppy disk drives and the power supply. A software engineer was hired to write the special "dual boot mode" BIOS and the special CP/M BIOS. The "dual boot mode" BIOS actually discovered whether a TRS-DOS, or Aster CP/M disk was placed in the drive, and would, depending on the type of disk, reorganise the internal memory architecture of the system, to either be 100% TRS-80 compatible or optimally support CP/M, with as much "workspace" as possible, and the 80×25 video mode. It also was responsible for switching to ROM BASIC when the system was turned on with the break key pressed, and later supported a primitive LAN system, using the RS-232 port with modified cabling. The very first of the ready made computers were sold with the "kit" versions of the euro cards, the version with redesigned cards came a month or so later.
Soon the little shop became much too small and they moved to a much larger factory building nearby (formerly a window glass factory), and started mass-producing the Aster for a period of a few years, in which time its staff grew twentyfold.
After the Aster having been a few years on the Market Tandy released its own improved model, the TRS-80 Model III computer which solved many of the same problems that the Aster also had solved, but the model 3 still did not fully support CP/M as the Aster did. In the meantime IBM had released its original IBM PC, which incidentally looked remarkably like the Asters base with floppy drives + separate keyboard set-up.
The Aster was chosen for Dutch schools by the Dutch ministry of education, in a set-up with eight disk-less Asters, and one Aster with high-capacity floppy drives all connected by a LAN based on the Aster's high-speed serial port hardware, and special cables that permitted that any single computer on the LAN could broadcast to all other computers. The floppy based system was operated by the teacher who could send programs from his floppy disk, and data, to the student's disk-less systems thanks to the special BIOS in those systems. The students could send programs and data back to the teacher through the same LAN, or could save to a cassette recorder built into the disk-less units. Through a special "video-switch" the teacher was also able to see a copy of each student's display on his own screen. About a thousand of such systems were sold for many hundreds of Dutch schools.
Because of cash flow problems (resulting from growing too fast, insufficient financial backing, technical problems, and a sudden problem with Z80 processor deliveries) the company suddenly folded even before it came to full fruition.
Perhaps the Aster computer inspired another Dutch computer firm to name their computer after another typical Dutch flower—the Tulip's Tulip System-1 which appeared about the same time Aster folded.
Most of the engineers who designed the hardware and software of the Aster went on to design hardware and software for the (then new) MSX system for a company called "Micro Technology b.v.".
Unreleased add ons
To enhance and modernize the Aster CT-80 the company also designed three alternative video display adapters to supplement or replace the TRS-80 compatible video card, (due to the modular nature of the Aster it was simply a matter of changing the video card, and/or CPU card to upgrade the system):
A very High resolution monochrome video card with blitter and hardware text line and arc drawing capability, was designed for CAD applications, based on the NEC μPD7220 chip designed for graphic terminals, but was also used by some personal computers like the DEC Rainbow, and notably also for the Tulip System I.
A colour video card with sprite capability based on the same TMS9918 video chip as the TI-99/4 and MSX computers, designed for gaming, and more creative and colorful educational software. A working prototype of this card was finished.
A replacement card for the original TRS-80 compatible video card, software compatible to the original one, but with added color and very high resolution capabilities. was also on the drawing board. Based on a newer, slightly more flexible, version of the Asters original Motorola MC6845 video chip, the Rockwell 6545, it worked by adding a new video mode, one with the ability to reprogram an extended, (2048 characters instead of 256 characters) version of the character set, supported by an extended character memory of the video card that did not use one (8 bit) byte per character, but an 11 bit "word", so it could address each one of the available 2048 unique programmable characters. This meant it could provide a separate programmable character for all of the 1024 (64x16) or 2000 (80x25) characters on the screen. By filling the character pointer memory with values from zero to 1999 this essentially turned the text mode display into a very high resolution graphics mode, with the "font memory", acting as the high resolution Raster graphics video memory. Because the characters were 8 x 12 pixels this meant that video resolutions of 512 x 192 pixels (in 64x16 character mode), or 640 x 300 pixels (in 80x25 character mode) were created, which was quite high for the time. The "double width" mode of the TRS-80 was also supported, so 256 x 192 pixels (in 32x16 character mode), or 320 x 300 pixels (in 40x25 character mode) were also possible. The video card also supported 16 foreground and 16 background colors per character, by providing one byte per character position (2K) of "color ram". One nibble of such a byte then controlled the foreground color, and the other nibble controlled the background color, a system very similar to the ZX Spectrum, in fact in the 256x192 mode the display mode was virtually identical to the video of the ZX Spectrum. The color memory was also available in the "normal" TRS-80 and CP/M text modes, which meant that existing TRS-80 and CP/M software could be easily modified to add color. This video card would also support fast scrolling of high resolution color screens for games, because it had the indirection of the character pointers, so it was possible to quickly scroll the high resolution display, (or use other effects) by simply manipulating the 1920/1024 bytes of text video instead of the 24,576 bytes of high-resolution video memory.
A hard disk interface was also in the works, which would, add a SCSI interface, and the necessary software. A working prototype was developed that added a 40MB hard disk.
On the software front, work was being done to implement the replacement for the aging "user interface" of CP/M, (the Command Console Processor CCP) with the more modern ZCPR.
Finally a replacement for the aging Z80 processor was being developed in the form of an Intel 8086 board, and additional 512K 16 bit memory boards. Such replacements of CPU and memory system components were possible because the Aster CT-80 was designed to use a backplane that was designed to support both 8 and 16 bit processors, and used a modular Eurocard based design with slots to spare for expansion. In theory the system could support the Z80 and the 8086 simultaneously. Plans were formulated to support CP/M-86 and even MS-DOS.
Unfortunately none of these extensions to the system became available because the company folded before any of them could be released.
External links
Pictures of the Aster CT-80 model one from a Spanish computer museum, the educational model with an opening for a cassette player is the one on the right
A picture of the Aster CT-80 model two used for a business application
A picture of the Aster CT-80 model three without cover (Computermuseumgroningen does not have this item anymore)
Preliminary manual for the Aster CT-80 (in dutch)
Notes
Z80-based home computers
Home computers
Personal computers
TRS-80
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The Atari ST is a line of personal computers from Atari Corporation and the successor to the Atari 8-bit family. The initial model, the Atari 520ST, had limited release in April–June 1985 and was widely available in July. It was the first personal computer with a bitmapped color GUI, using a version of Digital Research's GEM from February 1985. The Atari 1040ST, released in 1986 with 1 MB of RAM, was the first home computer with a cost-per-kilobyte of less than US$1.
After Jack Tramiel purchased the assets of the Atari, Inc. consumer division to create Atari Corporation, the 520ST was designed in five months by a small team led by Shiraz Shivji. Alongside the Macintosh, Amiga, Apple IIGS, and Acorn Archimedes, the ST is part of a mid-1980s generation of computers with 16- or 32-bit processors, 256 KB or more of RAM, and mouse-controlled graphical user interfaces. "ST" officially stands for "Sixteen/Thirty-two", referring to the Motorola 68000's 16-bit external bus and 32-bit internals.
The ST was sold with either Atari's color monitor or less expensive monochrome monitor. Color graphics modes are available only on the former while the highest-resolution mode requires the monochrome monitor. Some models can display the color modes on a TV. In Germany and some other markets, the ST gained a foothold for CAD and desktop publishing. With built-in MIDI ports, it was popular for music sequencing and as a controller of musical instruments among amateur and professional musicians. The primary competitor of the Atari ST was the Amiga from Commodore.
The 520ST and 1040ST were followed by the Mega series, the STE, and the portable STacy. In the early 1990s, Atari released three final evolutions of the ST with significant technical differences from the original models: TT030 (1990), Mega STE (1991), and Falcon (1992). Atari discontinued the entire ST computer line in 1993, shifting the company's focus to the Jaguar video game console.
Development
The Atari ST was born from the rivalry between home computer makers Atari, Inc. and Commodore International. Jay Miner, one of the designers of the custom chips in the Atari 2600 and Atari 8-bit family, tried to convince Atari management to create a new chipset for a video game console and computer. When his idea was rejected, he left Atari to form a small think tank called Hi-Toro in 1982 and began designing the new "Lorraine" chipset.
Amiga ran out of capital to complete Lorraine's development, and Atari, by then owned by Warner Communications, paid Amiga to continue its work. In return, Atari received exclusive use of the Lorraine design for one year as a video game console. After that time, Atari had the right to add a keyboard and market the complete computer, designated the 1850XLD.
Tramel Technology
After leaving Commodore International in January 1984, Jack Tramiel formed Tramel (without an "i") Technology, Ltd. with his sons and other ex-Commodore employees and, in April, began planning a new computer. Interested in Atari's overseas manufacturing and worldwide distribution network, Tramiel negotiated with Warner in May and June 1984. He secured funding and bought Atari's consumer division, which included the console and home computer departments, in July. As executives and engineers left Commodore to join Tramel Technology, Commodore responded by filing lawsuits against four former engineers for infringement of trade secrets. The Tramiels did not purchase the employee contracts with the assets of Atari, Inc. and re-hired approximately 100 of the 900 former employees. Tramel Technology soon changed its name to Atari Corporation.
Commodore and Amiga
Amid rumors that Tramiel was negotiating to buy Atari, Amiga Corp. entered discussions with Commodore. This led to Commodore wanting to purchase Amiga Corporation outright, which Commodore believed would cancel any outstanding contracts, including Atari's. Instead of Amiga Corp. delivering Lorraine to Atari, Commodore delivered a check of $500,000 on Amiga's behalf, in effect returning the funds Atari invested in Amiga for the chipset. Tramiel countered by suing Amiga Corp. on August 13, 1984, seeking damages and an injunction to bar Amiga (and effectively Commodore) from producing anything with its technology.
The lawsuit left the Amiga team in limbo during mid-1984. Commodore eventually moved forward, with plans to improve the chipset and develop an operating system. Commodore announced the Amiga 1000 with the Lorraine chipset in July 1985, but it wasn't available in quantity until 1986. The delay gave Atari time to deliver the Atari 520ST in June 1985. In March 1987, the two companies settled the dispute out of court in a closed decision.
ST hardware
The lead architect of the new computer project at Tramel Technology and Atari Corporation was ex-Commodore employee Shiraz Shivji, who previously worked on the Commodore 64's development. Different CPUs were investigated, including the 32-bit National Semiconductor NS32000, but engineers were disappointed with its performance, and they moved to the Motorola 68000. The Atari ST design was completed in 5 months in 1984, concluding with it being shown at the January 1985 Consumer Electronics Show.
A custom sound processor called AMY had been in development at Atari, Inc. and was considered for the new ST computer design. The chip needed more time to complete, so AMY was dropped in favor of a commodity Yamaha YM2149F variant of the General Instrument AY-3-8910.
Operating system
Soon after the Atari buyout, Microsoft suggested to Tramiel that it could port Windows to the platform, but the delivery date was out by two years. Another possibility was Digital Research, which was working on a new GUI-based system then known as Crystal, soon to become GEM. Another option was to write a new operating system, but this was rejected as Atari management was unsure whether the company had the required expertise.
Digital Research was fully committed to the Intel platform, so a team from Atari was sent to the Digital Research headquarters to work with the "Monterey Team", which comprised a mixture of Atari and Digital Research engineers. Atari's Leonard Tramiel was the Atari person overseeing "Project Jason" (also known as The Operating System) for the Atari ST series, named for designer and developer Jason Loveman.
GEM is based on CP/M-68K, a direct port of CP/M to the 68000. By 1985, CP/M was becoming increasingly outdated; it did not support subdirectories, for example. Digital Research was also in the process of building GEMDOS, a disk operating system for GEM, and debated whether a port of it could be completed in time for product delivery in June. The decision was eventually taken to port it, resulting in a GEMDOS file system which became part of Atari TOS (for "The Operating System", colloquially known as the "Tramiel Operating System"). This gave the ST a fast, hierarchical file system, essential for hard drives, and provided programmers with function calls similar to MS-DOS. The Atari ST character set is based on codepage 437.
Release
After six months of intensive effort following Tramiel's takeover, Atari announced the 520ST at the Winter Consumer Electronics Show in Las Vegas in January 1985. InfoWorld assessed the prototypes shown at computer shows as follows:Pilot production models of the Atari machine are much slicker than the hand-built models shown at earlier computer fairs; it doesn't look like a typical Commodore 64-style, corner-cutting, low-cost Jack Tramiel product of the past.Atari unexpectedly displayed the ST at Atlanta COMDEX in May. Similarities to the original Macintosh and Tramiel's role in its development resulted in it being nicknamed "Jackintosh". Atari's rapid development of the ST amazed many, but others were skeptical, citing its "cheap" appearance, Atari's uncertain financial health, and poor relations between Tramiel-led Commodore and software developers.
Atari ST print advertisements stated, "America, We Built It For You", and quoted Atari president Sam Tramiel: "We promised. We delivered. With pride, determination, and good old ATARI know how". But Atari was out of cash, Jack Tramiel admitted that sales of its 8-bit family were "very, very slow", and employees feared that he would shut the company down.
In early 1985, the 520ST shipped to the press, developers, and user groups, and in early July 1985 for general retail sales. It saved the company. By November, Atari stated that more than 50 thousand 520STs had been sold, "with U.S. sales alone well into five figures". The machine had gone from concept to store shelves in a little under one year.
Atari had intended to release the 130ST with 128 KB of RAM and the 260ST with 256 KB. However, the ST initially shipped without TOS in ROM and required booting TOS from floppy, taking 206 KB RAM away from applications. The 260ST was launched in Europe on a limited basis. Early models have six ROM sockets for easy upgrades to TOS. New ROMs were released a few months later and were included in new machines and as an upgrade for older machines.
Atari originally intended to include GEM's GDOS (Graphical Device Operating System), which allows programs to send GEM VDI (Virtual Device Interface) commands to drivers loaded by GDOS. This allows developers to send VDI instructions to other devices simply by pointing to it. However, GDOS was not ready at the time the ST started shipping and was included in software packages and with later ST machines. Later versions of GDOS support vector fonts.
A limited set of GEM fonts were included in the ROMs, including the ST's standard 8x8 pixel graphical character set. It contains four characters which can be placed together in a square, forming the face of J. R. "Bob" Dobbs (the figurehead of the Church of the SubGenius).
The ST was less expensive than most contemporaries, including the Macintosh Plus, and is faster than many. Largely as a result of its price and performance factor, the ST became fairly popular, especially in Europe where foreign-exchange rates amplified prices. The company's English advertising slogan of the era was "Power Without the Price". An Atari ST and terminal emulation software was much cheaper than a Digital VT220 terminal, commonly needed by offices with central computers.
By late 1985, the 520STM added an RF modulator for TV display.
Industry reaction
Computer Gaming World stated that Tramiel's poor pre-Atari reputation would likely make computer stores reluctant to deal with the company, hurting its distribution of the ST. One retailer said, "If you can believe Lucy when she holds the football for Charlie Brown, you can believe Jack Tramiel"; another said that because of its experience with Tramiel, "our interest in Atari is zero, zilch". Neither Atari nor Commodore could persuade large chains like ComputerLand or BusinessLand to sell its products. Observers criticized Atari's erratic discussion of its stated plans for the new computer, as it shifted between using mass merchandisers, specialty computer stores, and both. When asked at COMDEX, Atari executives could not name any computer stores that would carry the ST. After a meeting with Atari, one analyst said, "We've seen marketing strategies changed before our eyes".
Tramiel's poor reputation influenced potential software developers. One said, "Dealing with Commodore is like dealing with Attila the Hun. I don't know if Tramiel will be following his old habits ... I don't see a lot of people rushing to get software on the machine." Large business-software companies like Lotus, Ashton-Tate, and Microsoft did not promise software for either the ST or Amiga, and the majority of software companies were hesitant to support another platform beyond the IBM PC, Apple, and Commodore 64. Philippe Kahn of Borland said, "These days, if I were a consumer, I'd stick with companies [such as Apple and IBM] I know will be around".
At Las Vegas COMDEX in November 1985, the industry was surprised by more than 30 companies exhibiting ST software while the Amiga had almost none. After Atlanta COMDEX, The New York Times reported that "more than 100 software titles will be available for the [ST], most written by small software houses that desperately need work", and contrasted the "small, little-known companies" at Las Vegas with the larger ones like Electronic Arts and Activision, which planned Amiga applications.
Trip Hawkins of Electronic Arts said, "I don't think Atari understands the software business. I'm still skeptical about its resources and its credibility." Although Michael Berlyn of Infocom promised that his company would quickly publish all of its games for the new computer, he doubted many others would soon do so. Spinnaker and Lifetree were more positive, both promising to release ST software. Spinnaker said that "Atari has a vastly improved attitude toward software developers. They are eager to give us technical support and machines". Lifetree said, "We are giving Atari high priority". Some, such as Software Publishing Corporation, were unsure of whether to develop for the ST or the Amiga. John C. Dvorak wrote that the public saw both Commodore and Atari as selling "cheap disposable" game machines, in part because of their computers' sophisticated graphics.
Design
The original 520ST case design was created by Ira Velinsky, Atari's chief Industrial Designer. It is wedge-shaped, with bold angular lines and a series of grilles cut into the rear for airflow. The keyboard has soft tactile feedback and rhomboid-shaped function keys across the top. It is an all-in-one unit, similar to earlier home computers like the Commodore 64, but with a larger keyboard with cursor keys and a numeric keypad. The original has an external floppy drive (SF354) and AC adapter. Starting with the 1040ST, the floppy drive and power supply are integrated into the base unit.
Ports
The ports on the 520ST remained largely unchanged over its history.
Standard
RS-232c serial port (DB25 male, operating as basic 9-conductor DTE)
Centronics printer port (DB25 female, officially compliant only with the most basic unidirectional standard with a single, "Busy" input line; unofficially offering some bidirectional capabilities)
Atari joystick ports (DE-9 male) for the mouse and game controllers
2 MIDI ports (5-pin DIN, "IN" and "OUT")
Because of its bi-directional design, the Centronics printer port can be used for joystick input, and several games used available adaptors that used the printer socket, providing two additional 9-pin joystick ports.
ST-specific
Monitor port (custom 13-pin DIN, 12 of the pins in a rectangular pattern, carrying signals for both RGB and monochrome monitors, monophonic audio and, in later models, composite video)
ACSI (similar to SCSI) DMA port (custom-sized 19-pin D-sub, for hard disks and laser printers, capable of up to 2 MByte/s with efficient programming)
Floppy port (14-pin DIN, listed as operating at 250 kbit/s)
ST cartridge port (double-sided 40-contact edge connector socket, for 128 KB ROM cartridges)
Monitor
The ST supports a monochrome or colour monitor. The colour hardware supports two resolutions: 320 × 200 pixels, with 16 of 512 colours; and 640 × 200, with 4 of 512 colours. The monochrome monitor was less expensive and has a single resolution of 640 × 400 at 71.25 Hz. The attached monitor determines available resolutions, so each application either supports both types of monitors or only one. Most ST games require colour with productivity software favouring the monochrome.
Floppy drive
Atari initially used single-sided 3.5 inch floppy disk drives that could store up to 360 KB. Later drives were double-sided and stored 720 KB. Some commercial software, particularly games, shipped by default on single-sided disks, even supplying two 360 KB floppies instead of a single double-sided one, to avoid alienating early adopters.
Some software uses formats which allow the full disk to be read by double-sided drives but still lets single-sided drives access side A of the disk. Many magazine coverdisks (such as the first 30 issues of ST Format) were designed this way, as were a few games. The music in Carrier Command and the intro sequence in Populous are not accessible to single-sided drives, for example.
STs with double-sided drives can read disks formatted by MS-DOS, but IBM PC compatibles can not read Atari disks because of differences in the layout of data on track 0.
Later systems
1040ST
Atari upgraded the basic design in 1986 with the 1040STF, stylized as 1040STF: essentially a 520ST with twice the RAM and with the power supply and a double-sided floppy drive built-in instead of external. This adds to the size of the machine, but reduces cable clutter. The joystick and mouse ports, formerly on the right side of the machine, are in a niche underneath the keyboard. An "FM" variant includes an RF modulator allowing a television to be used instead of a monitor.
The trailing "F" and "FM" were often dropped in common usage. In BYTE magazine's March 1986 cover photo of the system, the name plate reads 1040STFM but in the headline and article it's simply "1040ST".
The 1040ST is one of the earliest personal computers shipped with a base RAM configuration of 1 MB. With a list price of in the US, BYTE hailed it as the first computer to break the $1000 per megabyte price barrier. Compute! noted that the 1040ST is the first computer with one megabyte of RAM to sell for less than $2,500.
A limited number of 1040STFs shipped with a single-sided floppy drive.
Mega
Initial sales were strong, especially in Europe, where Atari sold 75% of its computers. West Germany became Atari's strongest market, with small business owners using them for desktop publishing and CAD.
To address this growing market segment, Atari introduced the ST1 at Comdex in 1986. Renamed to Mega, it includes a high-quality detached keyboard, a stronger case to support the weight of a monitor, and an internal bus expansion connector. An optional 20 MB hard drive can be placed below or above the main case. Initially equipped with 2 or 4 MB of RAM (a 1 MB version, the Mega 1, followed), the Mega machines can be combined with Atari laser's printer for a low-cost desktop publishing package.
A custom blitter coprocessor improved some graphics performance, but was not included in all models. Developers wanting to use it had to detect its presence in their programs. Properly written applications using the GEM API automatically make use of the blitter.
STE
In late 1989, Atari Corporation released the 520STE and 1040STE (also written STE), enhanced version of the ST with improvements to the multimedia hardware and operating system. It features an increased color palette of 4,096 colors from the ST's 512 (though the maximum displayable palette without programming tricks is still limited to 16 in the lowest 320 × 200 resolution, and even fewer in higher resolutions), genlock support, and a blitter coprocessor (stylized as "BLiTTER") which can quickly move large blocks of data (particularly, graphics data) around in RAM. The STE is the first Atari with PCM audio; using a new chip, it added the ability to play back 8-bit (signed) samples at 6258 Hz, 12517 Hz, 25033 Hz, and even 50066 Hz, via direct memory access (DMA). The channels are arranged as either a mono track or a track of LRLRLRLR... bytes. RAM is now much more simply upgradable via SIMMs.
Two enhanced joystick ports were added (two normal joysticks can be plugged into each port with an adapter), with the new connectors placed in more easily accessed locations on the side of the case. The enhanced joystick ports were re-used in the Atari Jaguar console and are compatible.
The STE models initially had software and hardware conflicts resulting in some applications and video games written for the ST line being unstable or even completely unusable, primarily caused by programming direct hardware calls which bypassed the operating system. Furthermore, even having a joystick plugged in would sometimes cause strange behavior with a few applications (such as the WYSIWYG word-processor application 1st Word Plus). Very little use was made of the extra features of the STE: STE-enhanced and STE-only software was rare.
The last STE machine, the Mega STE, is an STE in a grey Atari TT case that had a switchable 16 MHz, dual-bus design (16-bit external, 32-bit internal), optional Motorola 68881 FPU, built-in 1.44 MB "HD" 3-inch floppy disk drive, VME expansion slot, a network port (very similar to that used by Apple's LocalTalk) and an optional built-in 3" hard drive. It also shipped with TOS 2.00 (better support for hard drives, enhanced desktop interface, memory test, 1.44 MB floppy support, bug fixes). It was marketed as more affordable than a TT but more powerful than an ordinary ST.
Atari TT
In 1990, Atari released the high-end workstation-oriented Atari TT030, based on a 32 MHz Motorola 68030 processor. The "TT" name ("Thirty-two/Thirty-two") continued the nomenclature because the 68030 chip has 32-bit buses both internally and externally. Originally planned with a 68020 CPU, the TT has improved graphics and more powerful support chips. The case has a new design with an integrated hard-drive enclosure.
Falcon
The final model of ST computer is the Falcon030. Like the TT, it is 68030-based, at 16 MHz, but with improved video modes and an on-board Motorola 56001 audio digital signal processor. Like the Atari STE, it supports sampling frequencies above 44.1 kHz; the sampling master clock is 98340 Hz (which can be divided by a number between 2 and 16 to get the actual sampling frequencies). It can play the STE sample frequencies (up to 50066 Hz) in 8 or 16 bit, mono or stereo, all by using the same DMA interface as the STE, with a few additions. It can both play back and record samples, with 8 mono channels and 4 stereo channels, allowing musicians to use it for recording to hard drive. Although the 68030 microprocessor can use 32-bit memory, the Falcon uses a 16-bit bus, which reduces performance and cost. In another cost-reduction measure, Atari shipped the Falcon in an inexpensive case much like that of the STF and STE. Aftermarket upgrade kits allow it to be put in a desktop or rack-mount case, with the keyboard separate.
Released in 1992, the Falcon was discontinued by Atari the following year. In Europe, C-Lab licensed the Falcon design from Atari and released the C-Lab Falcon Mk I, identical to Atari's Falcon except for slight modifications to the audio circuitry. The Mk II added an internal 500 MB SCSI hard disk; and the Mk X further added a desktop case. C-Lab Falcons were also imported to the US by some Atari dealers.
Software
As with the Atari 8-bit family of computers, software publishers attributed their reluctance to produce Atari ST products in part to—as Compute! reported in 1988—the belief in the existence of a "higher-than-normal amount of software piracy". That year, WordPerfect threatened to discontinue the Atari ST version of its word processor because the company discovered that pirate bulletin board systems (BBSs) were distributing it, causing ST-Log to warn that "we had better put a stop to piracy now ... it can have harmful effects on the longevity and health of your computer". In 1989, magazines published a letter by Gilman Louie, head of Spectrum HoloByte. He stated that he had been warned by competitors that releasing a game like Falcon on the ST would fail because BBSs would widely disseminate it. Within 30 days of releasing the non-copy protected ST version, the game was available on BBSs with maps and code wheels. Because the ST market was smaller than that for the IBM PC, it was more vulnerable to piracy which, Louie said, seemed to be better organized and more widely accepted for the ST. He reported that the Amiga version sold in six weeks twice as much as the ST version in nine weeks, and that the Mac and PC versions had four times the sales. Computer Gaming World stated "This is certainly the clearest exposition ... we have seen to date" of why software companies produced less software for the ST than for other computers.
Several third-party OSes were developed for, or ported to, the Atari ST. Unix clones include Idris, Minix, and the MiNT OS which was developed specifically for the Atari ST.
Audio
Plenty of professional quality MIDI-related software was released. The popular Windows and Macintosh applications Cubase and Logic Pro originated on the Atari ST (the latter as Creator, Notator, Notator-SL, and Notator Logic). Another popular and powerful ST music sequencer application, KCS, contains a "Multi-Program Environment" that allows ST users to run other applications, such as the synthesizer patch editing software XoR (now known as Unisyn on the Macintosh), from within the sequencer application.
Music tracker software became popular on the ST, such as the TCB Tracker, aiding the production of quality music from the Yamaha synthesizer, now called chiptunes.
Due to the ST having comparatively large amounts of memory for the time, sound sampling packages became feasible. Replay Professional features a sound sampler using the ST cartridge port to read in parallel from the cartridge port from the ADC. For output of digital sound, it uses the on-board frequency output, sets it to 128 kHz (inaudible) and then modulates the amplitude of that.
MasterTracks Pro originated on Macintosh, then ST, then IBM PC version. It continued on Windows and macOS, along with the original company's notation applications Encore.
Applications
Professional desktop publishing software includes PageStream and Calamus. Word processors include WordPerfect, Microsoft Write, AtariWorks, Signum, Script and First Word (bundled with the machine). Spreadsheets include 3D-Calc, and databases include Zoomracks. Graphics applications include NEOchrome, DEGAS & DEGAS Elite, Deluxe Paint, STAD, and Cyber Paint (which author Jim Kent would later evolve into Autodesk Animator) with advanced features such as 3D design and animation. The Spectrum 512 paint program uses rapid palette switching to expand the on-screen color palette to 512 (up to 46 colors per scan line).
3D computer graphics applications (like Cyber Studio CAD-3D, which author Tom Hudson later developed into Autodesk 3D Studio), brought 3D modelling, sculpting, scripting, and computer animation to the desktop. Video capture and editing applications use dongles connected to the cartridge port for low frame rate, mainly silent and monochrome, but progressed to sound and basic color in still frames. At the end, Spectrum 512 and CAD-3D teamed up to produce realistic 512-color textured 3D renderings, but processing was slow, and Atari's failure to deliver a machine with a math coprocessor had Hudson and Yost looking towards the PC as the future before a finished product could be delivered to the consumer.
Garry Kasparov became the first chess player to register a copy of ChessBase, a popular commercial database program for storing and searching records of chess games. The first version was built for Atari ST with his collaboration in January 1987. In his autobiography Child of Change, he regards this facility as "the most important development in chess research since printing".
Graphical touchscreen point of sale software for restaurants was originally developed for Atari ST by Gene Mosher under the ViewTouch copyright and trademark. Instead of using GEM, he developed a GUI and widget framework for the application using the NEOchrome paint program.
Software development
The 520ST was bundled with both Digital Research Logo and Atari ST BASIC. Third-party BASIC systems with better performance were eventually released: HiSoft BASIC, GFA BASIC, FaST BASIC, DBASIC, LDW BASIC, Omikron BASIC, BASIC 1000D and STOS. In the later years of the Atari ST, Omikron Basic was bundled with it in Germany.
Atari's initial development kit from Atari is a computer and manuals. The cost discouraged development. The later Atari Developer's Kit consists of software and manuals for . It includes a resource kit, C compiler (first Alcyon C, then Mark Williams C), debugger, 68000 assembler, and non-disclosure agreement. The third-party Megamax C development package was .
Other development tools include 68000 assemblers (MadMac from Atari, HiSoft Systems's Devpac, TurboAss, GFA-Assembler), Pascal (OSS Personal Pascal, Maxon Pascal, PurePascal), Modula-2, C compilers (Lattice C, Pure C, Megamax C, GNU C, Aztec C, AHCC), LISP, and Prolog.
Games
The ST had success in gaming due to the low cost, fast performance, and colorful graphics compared to contemporary PCs or 8-bit systems. ST game developers include Peter Molyneux, Doug Bell, Jeff Minter, Éric Chahi, Jez San, and David Braben.
The realtime pseudo-3D role-playing video game Dungeon Master, was developed and released first on the ST, and is considered to be the best-selling software ever produced for the platform. Simulation games like Falcon and Flight Simulator II use the ST's graphics hardware, as do many arcade ports. The 1987 first person shooter, MIDI Maze, uses the MIDI ports to connect up to 16 machines for networked deathmatch play. The critically acclaimed Another World was originally released for ST and Amiga in 1991 with its engine developed on the ST and the rotoscoped animation created on the Amiga. While American developers stopped making ST games around 1991 (The Secret of Monkey Island was the last major American-coded title) it remained popular with many European developers (primarily in France and Britain) until 1993.
The ST's lack of hardware scrolling meant that many games used smaller screen windows, or flick-screen gameplay instead of scrolling. Combined with sound hardware that was not considered the equal of the Amiga or Commodore 64, the machine's performance for 2D arcade games was seen as its weakest point. Games simultaneously released on the Amiga that do not use the Amiga's superior graphics and sound capabilities were often accused by video game magazines of simply being ST ports.. While the ST was often the lead machine, or jointly with the Amiga version, for the 68000 coded versions, later titles such as Lemmings, Cannon Fodder, Turrican II, Sensible Soccer, The Chaos Engine and Civilization were usually coded for the Amiga in 32 colors first and later converted down to the ST in 16 colors.
Emulators
Spectre GCR emulates the Macintosh. MS-DOS emulators were released in the late 1980s. PC-Ditto has a software-only version, and a hardware version that plugs into the cartridge slot or kludges internally. After running the software, an MS-DOS boot disk is required to load the system. Both run MS-DOS programs in CGA mode, though much more slowly than on an IBM PC. Other options are the PC-Speed (NEC V30), AT-Spee (Intel 80286), and ATonce-386SX (Intel 80386SX) hardware emulator boards.
Music industry
The ST's low cost, built-in MIDI ports, and fast, low-latency response times made it a favorite with musicians.
Prominent Russian film music and song composer Aleksandr Zatsepin started using personal computers for work with Atari 1040ST and continued using Cubase and Vienna Symphonic Library.
German electronic music pioneers Tangerine Dream relied heavily on the Atari ST in the studio and for live performances during the late 1980s and 1990s.
The album notes for Mike Oldfield's Earth Moving state that it was recorded using an Atari ST and C-Lab MIDI software.
The Fatboy Slim album You've Come a Long Way, Baby was created using an Atari ST.
In the Paris performance of Jean Michel Jarre's album Waiting for Cousteau, the Paris La Défense – Une Ville En Concert, musicians have attached Atari ST machines with C-Lab Unitor software to their keyboards, as seen in the TV live show and video recordings.
White Town's "Your Woman", which reached #1 in the UK singles charts, was created using an Atari ST.
The Utah Saints used a 520ST and 1040ST running Cubase during the recording of both of their albums, Utah Saints and Two, with their 1040ST still occasionally used for re-recording or remixing early tracks up to 2015.
Atari Teenage Riot programmed most of their music on an Atari ST, including the entire album Is This Hyperreal? (June 2011).
Cabaret Voltaire founder Richard H. Kirk said in 2016 that he continues to write music on an Atari 1040ST with C-Lab.
Darude used Cubase on an Atari 1040ST when he created his 2000 hit "Sandstorm".
Depeche Mode used a combination of an Atari ST and Cubase in the studio during the production of Songs of Faith and Devotion in 1992. The machine is visible in the documentary included with the 2006 remaster of the album.
Record producer Jimmy Hotz used an Atari ST to produce Fleetwood Mac's "Tango In The Night" album, and records for B.B. King and Dave Mason.
British DJ and house producer Joey Negro.
British songwriters and record producers Stock, Aitken, and Waterman.
British synth pop duo Pet Shop Boys replaced their Fairlight CMI with an Atari ST, with their programmer Pete Gleadall saying "[Atari ST] was just much easier to work with".
Canadian industrial band Skinny Puppy used the Atari ST with Steinberg Pro 24 software to produce several of their albums, including Rabies and The Process. A 1040ST can be seen in footage of the band jamming in their studio during The Process''' writing sessions.
Technical specifications
All STs are made up of both custom and commercial chips.
Custom chips:
ST Shifter "Video shift register chip": Enables bitmap graphics using 32 KB of contiguous memory for all resolutions. Screen address has to be a multiple of 256.
ST GLU "Generalized Logic Unit": Control logic for the system used to connect the ST's chips. Not part of the data path, but needed to bridge chips with each other.
ST MMU "Memory Management Unit": Provides signals needed for CPU/blitter/DMA and Shifter to access dynamic RAM. Even memory accesses are given to CPU/blitter/DMA while odd cycles are reserved for DRAM refresh or used by Shifter for displaying contents of the frame buffer.
ST DMA "Direct Memory Access": Used for floppy and hard drive data transfers. Can directly access main memory in the ST.
Support chips:
MC6850P ACIA "Asynchronous Common Interface Adapter": Enables the ST to directly communicate with MIDI devices and keyboard (two chips used). for MIDI, for keyboard.
MC68901 MFP "Multi Function Peripheral": Used for interrupt generation/control, serial and misc. control input signals. Atari TT030 has two MFP chips.
WD-1772-PH "Western Digital Floppy Disk Controller": Floppy controller chip.
YM2149F PSG "Programmable Sound Generator": Provides three-voice sound synthesis, also used for floppy signalling, serial control output and printer parallel port.
HD6301V1 "Hitachi keyboard processor": Used for keyboard scanning and mouse/joystick ports.
ST/STF/STM/STFM
As originally released in the 520ST:
CPU: Motorola 68000 16-/32-bit CPU @ 8 MHz. 16-bit data/32-bit internal/24-bit address.
RAM: 512 KB or 1 MB
Display modes (60 Hz NTSC, 50 Hz PAL, 71.2 Hz monochrome):
Low resolution: 320 × 200 (16 color), palette of 512 colors
Medium resolution: 640 × 200 (4 color), palette of 512 colors
High resolution: 640 × 400, monochrome
Sound: Yamaha YM2149 3-voice squarewave plus 1-voice white noise mono Programmable Sound Generator
Drive: Single-sided 3" floppy disk drive, 360 KB capacity when formatted to standard 9 sector, 80 track layout.
Ports: TV out (on ST-M and ST-FM models, NTSC or PAL standard RF modulated), MIDI in/out (with 'out-thru'), RS-232 serial, Centronics parallel (printer), monitor (RGB or Composite Video color and mono, 13-pin DIN), extra disk drive port (14-pin DIN), DMA port (ACSI port, Atari Computer System Interface) for hard disks and Atari Laser Printer (sharing RAM with computer system), joystick and mouse ports (9-pin MSX standard)
Operating System: TOS v1.00 (TOS meaning The Operating System) with the Graphics Environment Manager (GEM)
Very early machines have the OS on a floppy disk before a final version was burned into ROM. This version of TOS was bootstrapped from a small core boot ROM.
In 1986, most production models became STFs, with an integrated single- (520STF) or double-sided (1040STF) double density floppy disk drive built-in, but no other changes. Also in 1986, the 520STM (or 520STM) added an RF Modulator for allowing the low and medium resolution color modes when connected to a TV. Later F and FM'' models of the 520 had a built-in double-sided disk drive instead of a single-sided one.
STE
As originally released in the 520STE/1040STE:
All of the features of the 520STFM/1040STFM
Extended palette of 4,096 available colors to choose from
Blitter chip (stylized as BLiTTER) to copy/fill/clear large data blocks with a max write rate of 4 Mbytes/s
Hardware support for horizontal and vertical fine scrolling and split screen (using the Shifter video chip)
DMA sound chip with 2-channels stereo 8-bit PCM sound at 6.25/12.5/25/50 kHz and stereo RCA audio-out jacks (using enhancements to the Shifter video chip to support audio shifting)
National LMC 1992 audio controller chip, allowing adjustable left/right/master volume and bass and treble EQ via a Microwire interface
Memory: 30-pin SIMM memory slots (SIPP packages in earliest versions) allowing upgrades up to 4 MB Allowable memory sizes including only 0.5, 1.0, 2.0, 2.5 and 4.0 MB due to configuration restraints (however, 2.5 MB is not officially supported and has compatibility problems). Later third-party upgrade kits allow a maximum of 14MB w/Magnum-ST, bypassing the stock MMU with a replacement unit and the additional chips on a separate board fitting over it.
Ability to synchronize the video timings with an external device so that a video Genlock device can be used without having to make any modifications to computer's hardware
Analogue joypad ports (2), with support for devices such as paddles and light pens in addition to joysticks/joypads. The Atari Jaguar joypads and Power Pad joypads (gray version of Jaguar joypads marketed for the STE and Falcon) can be used without an adapter. Two standard Atari-style digital joysticks could be plugged into each analogue port with an adapter.
TOS 1.06 (also known as TOS 1.6) or TOS 1.62 (which fixed some major backwards-compatibility bugs in TOS 1.6) in two socketed 128 KB ROM chips.
Socketed PLCC 68000 CPU
Models
The members of the ST family are listed below, in roughly chronological order:
520ST original model with 512 KB RAM, external power supply, no floppy disk drive. The early models had only a bootstrap ROM and TOS had to be loaded from disk.
520ST+ same as the original model 520ST, but with 1 MB of RAM,
260ST originally intended to be a 256 KB variant, but actually sold in small quantities in Europe with 512 KB. Used after the release of the 520ST+ to differentiate the cheaper 512 KB models from the 1 MB models. Because the early 520STs were sold with TOS on disk, which used up 192 KB of RAM, the machine only had around 256 KB left.
520STM a 520ST with a built-in modulator for TV output and 512 KB RAM.
520STFM a 520STM with a redesigned motherboard in a larger case with a built-in floppy disk drive (in some cases a single-sided drive only), and 512 KB RAM.
520STF a 520STFM without RF modulator
1040STF a 520STFM with 1 MB of RAM and a built-in double-sided floppy disk drive, but without RF modulator
1040STFM a 520STFM with 1 MB of RAM and a built-in double-sided floppy disk drive with RF modulator
Mega ST (MEGA 1, MEGA 2, MEGA 4) redesigned motherboard with 1, 2 or 4 MB of RAM, respectively, in a much improved "pizza box" case with a detached keyboard. All MEGA mainboards have a PLCC socket for the BLiTTER chip and some early models did not include the BLiTTER chip. They also included a real-time clock and internal expansion connector. Some early MEGA 2 had a MEGA 4 mainboard with half of the memory chip places unpopulated and the MEGA 2 can be upgraded by adding the additional DRAM chips and some resistors for the control lines. The MEGA 1 mainboards had a redesigned memory chip area and could not be upgraded in this way as there are only places for the 1 MByte DRAM chips.
520STE and 1040STE a 520STFM/1040STFM with enhanced sound, a BLiTTER chip, and a 4096-color palette, in the older 1040-style all-in-one case
Mega STE same hardware as 1040STE except for a faster 16 MHz processor with 16K cache, an onboard SCSI controller, additional faster RS232 port, VME expansion port, in an ST gray version of the TT case
STacy a portable (but definitely not laptop) version of the ST with the complete ST keyboard, an LCD screen simulating 640x400 hi-res, and a mini-trackball intended mostly for travelers and musicians because of the backlit screen and its built-in midi ports. Originally designed to operate on 12 standard C cell flashlight batteries for portability, when Atari finally realized how quickly the machine would use up a set of batteries (especially when rechargeable batteries of the time supplied insufficient power compared to the intended alkalines), they simply glued the lid of the battery compartment shut.
ST BOOK a later portable ST, more portable than the STacy, but sacrificing several features in order to achieve this, notably the backlight and internal floppy disk drive. Files were meant to be stored on a small amount (one megabyte) of internal flash memory 'on the road' and transferred using serial or parallel links, memory flashcards or external (and externally powered) floppy disk to a desktop ST once back indoors. The screen is highly reflective for the time, but still hard to use indoors or in low light, it is fixed to the 640 × 400 1-bit mono mode, and no external video port was provided. Despite its limitations, it gained some popularity, particularly amongst musicians.
Unreleased
The 130ST was intended to be a 128 KB variant. It was announced at the 1985 CES alongside the 520ST but never produced. The 4160STE was a 1040STE, but with 4 MB of RAM. A small quantity of development units were produced, but the system was never officially released. Atari did produce a quantity of 4160STE metallic case badges which found their way to dealers, so it's not uncommon to find one attached to systems which were originally 520/1040STE. No such labels were produced for the base of the systems.
Related systems
Atari Transputer Workstation is a standalone machine developed in conjunction with Perihelion Hardware, containing modified ST hardware and up to 17 transputers capable of massively parallel operations for tasks such as ray tracing.
Clones
Following Atari's departure from the computer market, both Medusa Computer Systems and Milan Computer manufactured Atari Falcon/TT-compatible machines with 68040 and 68060 processors. The FireBee is an Atari ST/TT clone based on the Coldfire processor. The GE-Soft Eagle is a 32 MHz TT clone.
Peripherals
SF354: Single-sided double-density 3-inch floppy drive (360 KB) with external power supply
SF314: Double-sided double-density 3-inch floppy drive (720 KB) with external power supply
PS3000: Combined 12-inch color monitor and 360k 3-inch floppy drive (SF354). Speaker. Manufactured by JVC in limited quantity (≈1000), only a few working models remain.
SM124: Monochrome monitor, 12-inch screen, 640 × 400 pixels, 70 Hz refresh
SM125: Monochrome monitor, 12-inch screen, up/down/sideways swivel stand, speaker, 640x400 pixels, 70 Hz refresh
SM147: Monochrome monitor, 14-inch screen, no speaker, replacement for SM124
SC1224: Color monitor, 12-inch screen, 640 × 200 pixels plus speaker
SC1425: Color monitor, 14-inch screen, One speaker on the left of screen, a jack to plug ear-listeners
SC1435: Color monitor, 14-inch screen, stereo speakers, replacement for SC1224 (rebadged Magnavox 1CM135)
SM195: Monochrome monitor, 19-inch screen for TT030. 1280 × 960 pixels. 70 Hz refresh
SH204: External hard drive, 20 MB MFM drive, "shoe box" case made of metal
SH205: External hard drive, Mega ST matching case, 20 MB MFM 3.5-inch (Tandon TM262) or 5.25-inch (Segate ST225) drive with ST506 interface (became later the Megafile 20)
Megafile 20, 30, 60: External hard drive, Mega ST matching case, ACSI bus; Megafile 30 and 60 had a 5.25-inch RLL (often a Seagate ST238R 30 MByte or Seagate ST277R 60 MByte drive) with ST506 interface
Megafile 44: Removable cartridge drive, ACSI bus, Mega ST matching case
SLM804: Laser printer, connected through ACSI DMA port, used ST's memory and processor to build pages for printing
SLM605: Laser printer, connected through ACSI DMA port, smaller than SLM804.
See also
Bitstream Speedo Fonts – the fonts included in the Atari ST
References
External links
"The little green desktop"
Atarimania: Atari ST software preservation project
Atari ST Computer Systems, Peripherals and Prototypes
BYTE Magazine September 1986, Atari ST Software Development
68000-based home computers
All-in-one desktop computers
Atari ST
Home computers
Products introduced in 1985
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The following is a list of current and past, non-classified notable artificial intelligence projects.
Specialized projects
Brain-inspired
Blue Brain Project, an attempt to create a synthetic brain by reverse-engineering the mammalian brain down to the molecular level.
Google Brain, a deep learning project part of Google X attempting to have intelligence similar or equal to human-level.
Human Brain Project, ten-year scientific research project, based on exascale supercomputers.
Cognitive architectures
4CAPS, developed at Carnegie Mellon University under Marcel A. Just
ACT-R, developed at Carnegie Mellon University under John R. Anderson.
AIXI, Universal Artificial Intelligence developed by Marcus Hutter at IDSIA and ANU.
CALO, a DARPA-funded, 25-institution effort to integrate many artificial intelligence approaches (natural language processing, speech recognition, machine vision, probabilistic logic, planning, reasoning, many forms of machine learning) into an AI assistant that learns to help manage your office environment.
CHREST, developed under Fernand Gobet at Brunel University and Peter C. Lane at the University of Hertfordshire.
CLARION, developed under Ron Sun at Rensselaer Polytechnic Institute and University of Missouri.
CoJACK, an ACT-R inspired extension to the JACK multi-agent system that adds a cognitive architecture to the agents for eliciting more realistic (human-like) behaviors in virtual environments.
Copycat, by Douglas Hofstadter and Melanie Mitchell at the Indiana University.
DUAL, developed at the New Bulgarian University under Boicho Kokinov.
FORR developed by Susan L. Epstein at The City University of New York.
IDA and LIDA, implementing Global Workspace Theory, developed under Stan Franklin at the University of Memphis.
OpenCog Prime, developed using the OpenCog Framework.
Procedural Reasoning System (PRS), developed by Michael Georgeff and Amy L. Lansky at SRI International.
Psi-Theory developed under Dietrich Dörner at the Otto-Friedrich University in Bamberg, Germany.
Soar, developed under Allen Newell and John Laird at Carnegie Mellon University and the University of Michigan.
Society of Mind and its successor The Emotion Machine proposed by Marvin Minsky.
Subsumption architectures, developed e.g. by Rodney Brooks (though it could be argued whether they are cognitive).
Games
AlphaGo, software developed by Google that plays the Chinese board game Go.
Chinook, a computer program that plays English draughts; the first to win the world champion title in the competition against humans.
Deep Blue, a chess-playing computer developed by IBM which beat Garry Kasparov in 1997.
Halite, an artificial intelligence programming competition created by Two Sigma in 2016.
Libratus, a poker AI that beat world-class poker players in 2017, intended to be generalisable to other applications.
The Matchbox Educable Noughts and Crosses Engine (sometimes called the Machine Educable Noughts and Crosses Engine or MENACE) was a mechanical computer made from 304 matchboxes designed and built by artificial intelligence researcher Donald Michie in 1961.
Quick, Draw!, an online game developed by Google that challenges players to draw a picture of an object or idea and then uses a neural network to guess what the drawing is.
The Samuel Checkers-playing Program (1959) was among the world's first successful self-learning programs, and as such a very early demonstration of the fundamental concept of artificial intelligence (AI).
Stockfish AI, an open source chess engine currently ranked the highest in many computer chess rankings.
TD-Gammon, a program that learned to play world-class backgammon partly by playing against itself (temporal difference learning with neural networks).
Internet activism
Serenata de Amor, project for the analysis of public expenditures and detect discrepancies.
Knowledge and reasoning
Braina, an intelligent personal assistant application with a voice interface for Windows OS.
Cyc, an attempt to assemble an ontology and database of everyday knowledge, enabling human-like reasoning.
Eurisko, a language by Douglas Lenat for solving problems which consists of heuristics, including some for how to use and change its heuristics.
Google Now, an intelligent personal assistant with a voice interface in Google's Android and Apple Inc.'s iOS, as well as Google Chrome web browser on personal computers.
Holmes a new AI created by Wipro.
Microsoft Cortana, an intelligent personal assistant with a voice interface in Microsoft's various Windows 10 editions.
Mycin, an early medical expert system.
Open Mind Common Sense, a project based at the MIT Media Lab to build a large common sense knowledge base from online contributions.
Siri, an intelligent personal assistant and knowledge navigator with a voice-interface in Apple Inc.'s iOS and macOS.
SNePS, simultaneously a logic-based, frame-based, and network-based knowledge representation, reasoning, and acting system.
Viv (software), a new AI by the creators of Siri.
Wolfram Alpha, an online service that answers queries by computing the answer from structured data.
Motion and manipulation
AIBO, the robot pet for the home, grew out of Sony's Computer Science Laboratory (CSL).
Cog, a robot developed by MIT to study theories of cognitive science and artificial intelligence, now discontinued.
Music
Melomics, a bioinspired technology for music composition and synthesization of music, where computers develop their own style, rather than mimic musicians.
Natural language processing
AIML, an XML dialect for creating natural language software agents.
Apache Lucene, a high-performance, full-featured text search engine library written entirely in Java.
Apache OpenNLP, a machine learning based toolkit for the processing of natural language text. It supports the most common NLP tasks, such as tokenization, sentence segmentation, part-of-speech tagging, named entity extraction, chunking and parsing.
Artificial Linguistic Internet Computer Entity (A.L.I.C.E.), an award-winning natural language processing chatterbot.
ChatGPT, a chatbot built on top of OpenAI's GPT-3.5 and GPT-4 (paid) family of large language models.
Cleverbot, successor to Jabberwacky, now with 170m lines of conversation, Deep Context, fuzziness and parallel processing. Cleverbot learns from around 2 million user interactions per month.
ELIZA, a famous 1966 computer program by Joseph Weizenbaum, which parodied person-centered therapy.
FreeHAL, a self-learning conversation simulator (chatterbot) which uses semantic nets to organize its knowledge to imitate a very close human behavior within conversations.
GPT-3, a 2020 language model developed by OpenAI that can produce text difficult to distinguish from that written by a human.
Jabberwacky, a chatbot by Rollo Carpenter, aiming to simulate natural human chat.
LaMDA, a family of conversational neural language models developed by Google.
Mycroft, a free and open-source intelligent personal assistant that uses a natural language user interface.
PARRY, another early chatterbot, written in 1972 by Kenneth Colby, attempting to simulate a paranoid schizophrenic.
SHRDLU, an early natural language processing computer program developed by Terry Winograd at MIT from 1968 to 1970.
SYSTRAN, a machine translation technology by the company of the same name, used by Yahoo!, AltaVista and Google, among others.
Speech recognition
CMU Sphinx, a group of speech recognition systems developed at Carnegie Mellon University
DeepSpeech, an open-source Speech-To-Text engine based on Baidu's deep speech research paper.
Whisper, an open-source speech recognition system developed at OpenAI
Speech synthesis
15.ai, a real-time artificial intelligence text-to-speech tool developed by an anonymous researcher from MIT
Amazon Polly, a speech synthesis software by Amazon
Festival Speech Synthesis System, a general multi-lingual speech synthesis system developed at the Centre for Speech Technology Research (CSTR) at the University of Edinburgh
WaveNet, a deep neural network for generating raw audio
Other
1 the Road, the first novel marketed by an AI.
Synthetic Environment for Analysis and Simulations (SEAS), a model of the real world used by Homeland security and the United States Department of Defense that uses simulation and AI to predict and evaluate future events and courses of action.
Multipurpose projects
Software libraries
Apache Mahout, a library of scalable machine learning algorithms.
Deeplearning4j, an open-source, distributed deep learning framework written for the JVM.
Keas, a high level open-source software library for machine learning (works on top of other libraries).
Microsoft Cognitive Toolkit (previously known as CNTK), an open source toolkit for building artificial neural networks.
Open NN, a comprehensive C++ library implementing neural networks.
Python, an open-source Tensor and Dynamic neural network in Python.
TensorFlow, an open-source software library for machine learning.
Theano, a Python library and optimizing compiler for manipulating and evaluating mathematical expressions, especially matrix-valued ones.
GUI frameworks
Neural Designer, a commercial deep learning tool for predictive analytics.
Neuroph, a Java neural network framework.
OpenCog, a GPL-licensed framework for artificial intelligence written in C++, Python and Scheme.
PolyAnalyst: A commercial tool for data mining, text mining, and knowledge management.
RapidMiner, an environment for machine learning and data mining, now developed commercially.
Weka, a free implementation of many machine learning algorithms in Java.
Cloud services
Data Applied, a web based data mining environment.
Watson, a pilot service by IBM to uncover and share data-driven insights, and to spur cognitive applications.
See also
Comparison of cognitive architectures
Comparison of deep-learning software
References
External links
AI projects on GitHub
AI projects on SourceForge
Artificial intelligence projects
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Aaliyah Dana Haughton ( ; January 16, 1979 – August 25, 2001) was an American singer and actress. She has been credited with helping to redefine contemporary R&B, pop, and hip hop, earning her the nicknames the "Princess of R&B" and "Queen of Urban Pop".
Born in Brooklyn and raised in Detroit, she first gained recognition at the age of 10, when she appeared on the television show Star Search and performed in concert alongside Gladys Knight. At the age of 12, Aaliyah signed with Jive Records and her uncle Barry Hankerson's Blackground Records. Hankerson introduced her to R. Kelly, who became her mentor, as well as lead songwriter and producer of her debut album, Age Ain't Nothing but a Number. The album sold three million copies in the United States and was certified double platinum by the Recording Industry Association of America (RIAA). After allegations of an illegal marriage with Kelly, Aaliyah ended her contract with Jive and signed with Atlantic Records.
Aaliyah worked with record producers Timbaland and Missy Elliott for her second album, One in a Million, which sold three million copies in the United States and more than eight million copies worldwide. In 2000, Aaliyah appeared in her first film, Romeo Must Die. She contributed to the film's soundtrack, which spawned the single "Try Again". The song topped the Billboard Hot 100 solely on airplay, making Aaliyah the first artist in Billboard history to achieve this goal. After completing Romeo Must Die, Aaliyah filmed her role in Queen of the Damned, and released, in 2001, her third and final album Aaliyah, which topped the Billboard 200.
On August 25, 2001, Aaliyah was killed in an airplane accident in the Bahamas at the age of 22 along with eight other passengers when the overloaded aircraft, which she was traveling in, crashed shortly after takeoff. The pilot was later found to have traces of cocaine and alcohol in his body and was not qualified to fly the aircraft designated for the flight. Aaliyah's family later filed a wrongful death lawsuit against the aircraft's operator, Blackhawk International Airways, which was settled out of court. In the decades since her death, Aaliyah's music has continued to achieve commercial success, aided by several posthumous releases. She has sold 8.1 million albums in the US and an estimated 24 to 32 million albums worldwide. Billboard lists her as the tenth most successful female R&B artist of the past 25 years, and the 27th most successful in history. Her accolades include three American Music Awards and two MTV VMAs, along with five Grammy Award nominations.
Early life
Aaliyah Dana Haughton was born on January 16, 1979, in Brooklyn, New York, the younger child of Diane and Michael "Miguel" Haughton, a warehouse worker. She was of African-American descent. Her name is the feminine form of the Arabic "Ali", meaning "highest, most exalted one, the best." Aaliyah was fond of her name, calling it "beautiful" and saying she was "very proud of it" and strove to live up to her name every day. When she was five years old, her family moved to Detroit, Michigan, where she was raised along with her older brother, Rashad.
In Detroit, her father began working in the warehouse business, one of his brother-in-law Barry Hankerson's widening interests. Her mother stayed home and raised she and her brother.
At an early age her mother enrolled her in voice lessons. Eventually, she started performing at weddings, church choir, and charity events. Aaliyah attended a Catholic school, Gesu Elementary, where in first grade she was cast in the stage play Annie, which inspired her to become an entertainer.
Aaliyah's mother was a vocalist, and her uncle Hankerson was an entertainment lawyer who had been married to Gladys Knight. As a child, Aaliyah traveled with Knight and worked with an agent in New York to audition for commercials and television programs, including Family Matters. After failing to land a role on the show she continued her acting through the Gesu Players. In 1989 at age ten she appeared on Star Search, where she performed "My Funny Valentine". Aaliyah chose to begin auditioning. Her mother made the decision to drop her surname. She auditioned for several record labels and at age 11 appeared in concerts alongside Knight. During her childhood, she had several pet animals including ducks, snakes and iguanas. Her cousin Jomo had a pet alligator, which Aaliyah felt was too much, remarking, "that was something I wasn't going to stroke."
Education
When she was growing up, Aaliyah attended Detroit schools and believed she was well-liked, but got teased for her short stature. She recalled coming into her own before age 15 and came to love her height. Her mother told her to be happy she was small and complimented her. Other children disliked Aaliyah, but she did not stay focused on them. "You always have to deal with people who are jealous, but there were so few it didn't even matter. The majority of kids supported me, which was wonderful. When it comes to dealing with negative people, I just let it in one ear and out the other. Those people were invisible to me." Even in her adult life, she considered herself small. She had "learned to accept and love" herself and added: "the most important thing is to think highly of yourself because if you don't, no one else will".
During her audition for acceptance to the Detroit High School for the Fine and Performing Arts, Aaliyah sang the song "Ave Maria" in its entirety in the Italian language. Aaliyah, who maintained a perfect 4.0 grade-point average when graduating from high school, felt education was important. She saw fit to keep her grades up despite the pressures and time constraints brought on her during the early parts of her career. She called herself a perfectionist and recalled always being a good student. Aaliyah reflected: "I always wanted to maintain that, even in high school when I first started to travel. I wanted to keep that 4.0. Being in the industry, you know, I don't want kids to think, 'I can just sing and forget about school.' I think it's very important to have an education, and even more important to have something to fall back on." She did this in her own life, as she planned to "fall back on" another part of the entertainment industry. She believed that she could teach music history or open her own school to teach that or drama if she did not make a living as a recording artist because, as she reasoned, "when you pick a career it has to be something you love".
Career
1991–1995: Age Ain't Nothing but a Number
After Hankerson signed a distribution deal with Jive Records, he signed Aaliyah to his Blackground Records label at the age of 12. Hankerson later introduced her to recording artist and producer R. Kelly, who became Aaliyah's mentor, as well as lead songwriter and producer of her first album, recorded when she was 14. Aaliyah's debut album, Age Ain't Nothing but a Number, was released under her mononym "Aaliyah", by Jive and Blackground Records on May 24, 1994; it debuted at number 24 on the Billboard 200 chart, selling 38,000 copies in its first week. It peaked at number 18 on the Billboard 200 and it was certified two times Platinum by the RIAA. To date the album has sold over 3 million copies in the US. In Canada, the album was certified gold by Music Canada for 50,000 copies in shipments. In 2014, Vibe magazine estimated that the album had sold six million copies globally.
Upon its release, Age Ain't Nothing But a Number received generally favorable reviews from music critics. Some writers noted that Aaliyah's "silky vocals" and "sultry voice" blended with Kelly's new jack swing helped define R&B in the 1990s. Her sound was also compared to that of female quartet En Vogue. Christopher John Farley of Time magazine called the album a "beautifully restrained work", noting that Aaliyah's "girlish, breathy vocals rode calmly on R. Kelly's rough beats". Stephen Thomas Erlewine of AllMusic felt that the album had its "share of filler", but described the singles as "slyly seductive". He also wrote that the songs on the album were "frequently better" than that of Kelly's second studio album, 12 Play. The single "At Your Best (You Are Love)" was criticized by Billboard for being out of place on the album and for its length.
Aaliyah's debut single, "Back & Forth", peaked at number 5 on the Hot 100 and topped the Hot R&B/Hip-Hop Songs chart for three weeks. Two more singles charted: a cover of the Isley Brothers' "At Your Best (You Are Love)" peaked at number 6 on the Billboard Hot 100, and the album's title track, "Age Ain't Nothing but a Number", peaked at number 75. Additionally, she released "The Thing I Like" as part of the soundtrack to the 1994 film A Low Down Dirty Shame.
1996–2000: One in a Million and Romeo Must Die
In 1996, Aaliyah left Jive Records and signed with Atlantic Records. She worked with record producers Timbaland and Missy Elliott, who contributed to her second studio album, One in a Million. Elliott recalled Timbaland and herself being nervous to work with Aaliyah, since Aaliyah had already released her successful debut album while Elliott and Timbaland were just starting out. Elliott also feared she would be a diva, but reflected that Aaliyah "came in and was so warming; she made us immediately feel like family." The album yielded the lead single "If Your Girl Only Knew", which peaked at number 11 on the Billboard Hot 100 and topped the Billboard Hot R&B/Hip-Hop Songs for two weeks. It also generated the singles "Hot Like Fire" and "4 Page Letter". One in a Million peaked at number 18 on the Billboard 200, and was certified double platinum by the RIAA on June 16, 1997, denoting shipments of two million copies. The album went on to sell 3 million copies in the US and over eight million copies worldwide. The year after her album was released, Aaliyah was featured on Timbaland & Magoo's debut single, "Up Jumps da Boogie".
In 1997 Aaliyah graduated with a 4.0 GPA from the Detroit High School for the Fine and Performing Arts, where she majored in drama. The same year, she began her acting career, playing herself in the police drama television series New York Undercover. During this time, Aaliyah participated in the Children's Benefit Concert, a charity concert at the Beacon Theatre in New York. She also became the spokesperson for the Tommy Hilfiger Corporation. During her campaign with Tommy Hilfiger, the company sold over 2,400 pairs of the red, white and blue baggy jeans she wore in their advertisements. In December 1997, she performed the Christmas carol "What Child Is This?" at the annual Christmas in Washington television special. She also contributed to the soundtrack album for the animated film Anastasia, performing a cover version of "Journey to the Past" that earned songwriters Lynn Ahrens and Stephen Flaherty a nomination for the Academy Award for Best Original Song. Aaliyah performed the song at the 1998 Academy Awards ceremony, becoming the youngest singer to perform at the event. Also in 1998, she released the song "Are You That Somebody?" which was featured on the Dr. Dolittle soundtrack. The song peaked at number 21 on the Billboard Hot 100 and earned Aaliyah her first Grammy Award nomination.
In 1999, Aaliyah landed her first big-screen acting role in Romeo Must Die. She starred opposite martial artist Jet Li, playing a couple who fall in love amid their warring families. Released on March 24, 2000, the movie grossed US$18.6 million in its first weekend, ranking number two at the box office. Aaliyah purposely stayed away from reviews of the film to "make it easier on" herself, but she heard "that people were able to get into me, which is what I wanted." In contrast, some critics felt there was no chemistry between her and Jet Li, as well as viewing the film as too simplistic. This was echoed by Elvis Mitchell of The New York Times, who wrote that while Aaliyah was "a natural" and the film was conceived as a spotlight for both her and Li, "they have so little chemistry together you'd think they're putting out a fire instead of shooting off sparks.
In addition to acting, Aaliyah served as an executive producer of the film's soundtrack, for which she contributed four songs. "Try Again" was released as a single from the soundtrack; the song topped the Billboard Hot 100, making Aaliyah the first artist to top the chart based solely on airplay; this led the song to be released in a 12-inch vinyl and 7-inch single. The music video won the Best Female Video and Best Video from a Film awards at the 2000 MTV Video Music Awards. It also earned her a Grammy Award nomination for Best Female R&B Vocalist. The soundtrack went on to sell 1.5 million copies in the United States.
2001: Aaliyah and Queen of the Damned
After completing Romeo Must Die, Aaliyah began to work on her second film, Queen of the Damned. She played the role of an ancient vampire, Queen Akasha, which she described as a "manipulative, crazy, sexual being". Filming both Romeo Must Die and Queen of the Damned delayed the release of the album. Aaliyah had not intended for her albums to have such a gap between them. "I wanted to take a break after One in a Million to just relax, think about how I wanted to approach the next album. Then, when I was ready to start back up, "Romeo" happened, and so I had to take another break and do that film and then do the soundtrack, then promote it. The break turned into a longer break than I anticipated." Ultimately, she filmed Queen of the Damned and recorded her third album at the same time so that it could be released in 2001. Aaliyah enjoyed balancing her singing and acting careers. Though she called music a "first" for her, she also had been acting since she was young and had wanted to begin acting "at some point in my career", but "wanted it to be the right time and the right vehicle" and felt Romeo Must Die "was it". Connie Johnson of the Los Angeles Times argued that Aaliyah having to focus on her film career may have caused her to not give the album "the attention it merited."
During the recording stages for the album, Aaliyah's publicist disclosed that the album's release date was most likely in October 2000. Eventually, she finished recording the album in March 2001; after a year of recording tracks that began in March of the previous year.
Aaliyah was released five years after One in a Million on July 17, 2001, and it debuted at number two on the Billboard 200, selling 187,000 copies in its first week. The first single from the album, "We Need a Resolution", peaked at number 59 on the Billboard Hot 100. The week after Aaliyah's death, her third album rose from number 19 to number 1 on the Billboard 200. "Rock the Boat" was released as a posthumous single. The music video premiered on BET's Access Granted, and it became the most viewed and highest rated episode in the history of the show. The song peaked at number 14 on the Billboard Hot 100. Promotional posters for Aaliyah that had been put up in major cities such as New York and Los Angeles became makeshift memorials for grieving fans. In February 2002, the album was certified double Platinum by the RIAA.
"More than a Woman" and "I Care 4 U" were released as posthumous singles and peaked within the top 25 of the Billboard Hot 100. "More than a Woman" reached number one on the UK singles chart making Aaliyah the first female deceased artist to reach number one on the UK singles chart. "More than a Woman" was replaced by George Harrison's "My Sweet Lord" which is the only time in the UK singles chart's history when a dead artist has replaced another dead artist at number one.
Aaliyah was signed to appear in several future films, including a romantic film titled Some Kind of Blue, and a Whitney Houston–produced remake of the 1976 film Sparkle. Houston recalled Aaliyah being "so enthusiastic" about the film; the project was shelved after she died. Before her death Aaliyah filmed some scenes for the sequels of The Matrix as the character Zee. A portion of her role in The Matrix Reloaded was filmed; these unused scenes were included in the tribute section of the Matrix Ultimate Collection series.
Artistry
Voice
Aaliyah had the vocal range of a soprano, and with the release of her debut album Age Ain't Nothing but a Number, writer Dimitri Ehrlich of Entertainment Weekly compared her style and sound to R&B group En Vogue. Ehrlich also expressed that Aaliyah's "silky vocals are more agile than those of self-proclaimed queen of hip-hop soul Mary J. Blige." In her review for Aaliyah's second studio album One in a Million Vibe magazine, music critic Dream Hampton said that Aaliyah's "deliciously feline" voice has the same "pop appeal" as Janet Jackson's. According to Rolling Stone "the most remarkable thing about Aaliyah's voice, besides its flexibility and crisp range, was its almost preternatural poise — she always seemed to be holding her power in reserve, to know every side of the scenarios she described". While, Siân Pattenden from Mixmag stated that, "She doesn't try to toss the caber with vocal athleticism. There's no shouting, screeching, wailing or jazz-style noodling. Everything is underplayed: Ms Haughton's range is displayed by the slightest high-octave backing and tiniest harmonies".
Aaliyah herself said her vocal styling consisted of her singing softly while utilizing her falsetto. She further explained saying, "My signature style is breathy, tone-y, airy. It's simple but I can ride a crazy track." Although she frequently sang in a softer tone, there were moments when she utilized other facets of her voice. "Never Givin' Up" (1996) and "The One I Gave My Heart To" (1997) are a few stand-out vocal highlights. Daryl Simmons the producer of "The One I Gave My Heart To", recalled Aaliyah doing opera vocal warm-up exercises in preparation for the songs recording. While commenting on her doing opera vocal warm ups Simmons mentioned, "It was the furthest thing I would have ever thought that she could do. It just blew my mind." The song's writer, Diane Warren praised her vocals on the song, saying: "It showed her vocal range, and I know a couple of people thought she wouldn't be able to do that song. I thought, 'No, she'll be able to do that." Variety echoed a similar sentiment as warren, saying "The One I Gave My Heart To" "showcased Aaliyah's ability to hit higher notes." Discussing her approach on "Never Givin' Up" producer Craig King said, "lyrically and vocally she just took you to places that you didn't know she could go".
Musical style
From the very beginning, she opted "for an edgier, more mature sound", and her songs were often uptempo and at the same time often dark, revolving around "matters of the heart". She "easily straddled the hip-hop and pop worlds, never projecting the frilliness of her ingénue peers". In 2001, Aaliyah called her sound "street but sweet", pairing feminine vocals with a gritty urban rhythm track. In another interview she further spoke about her artistry, saying, "I love to fuse other types of music with my own". She explored a wide range of genres such as R&B, pop, hip hop, funk, soul, and dance-pop.
Discussing her lyrical content in The New Rolling Stone Album Guide (2004), Keith Harris said "When it came to sexual availability, she was between En Vogue maliciously taunting 'You're never gonna get it' and Tweet blankly cooing 'Oops, there goes my shirt.'" Lyrically, "Her first two albums carefully toed the line between adolescence and adulthood, displaying a woman exploring the terrain of love, trust, and lust; one who exuded a playful innocence while hinting at a more sultry side." Aaliyah did not usually write her own lyrics. The only time she had a hand in writing is on the song "Death of a Playa" from the "Hot Like Fire" single (1997). She co-wrote that song with her brother Rashad Haughton, and "it reflects Aaliyah's dark perspective on romance". Of her role in crafting her music, Aaliyah said, "I like to have the final say but I was trained as a singer, actress and dancer, the interpreter, bringing other people's words to life. I need the songs to reflect me in one way or another". After her R. Kelly–produced debut album, Aaliyah worked with Timbaland and Missy Elliott, whose productions were more electronic. The duo "mixed choppy, nervous rhythms over loops of computer-generated backing tracks, and incorporating harmonies which – within the genre's limited horizons – seemed daring". They also created, the "Freeze-and-stop style of singing on top of bass-heavy instrumentals" which became Aaliyah's signature style.
Aaliyah's songs have been said to have "crisp production" and "staccato arrangements" that "extend genre boundaries" while containing "old-school" soul music. Kelefah Sanneh of The New York Times called her "a digital diva who wove a spell with ones and zeroes", and writes that her songs comprised "simple vocal riffs, repeated and refracted to echo the manipulated loops that create digital rhythm", as Timbaland's "computer-programmed beats fitted perfectly with her cool, breathy voice to create a new kind of electronic music." She released "musically risky singles into a notoriously fickle pop market", without being "concerned about conforming to the stereotypes of the marketplace". Her songs "gracefully walk a line between commerciality and experimentation". Reviewing her album, British publication NME felt that Aaliyah's "radical" third album was "intended to consolidate her position as U.S. R&B's most experimental artist".
As her albums progressed, writers felt that Aaliyah matured, calling her progress a "near-flawless declaration of strength and independence". ABC News noted that her music was "evolving from the punchy pop-influenced hip hop and R&B to a more mature, introspective sound", on her third album. Stephen Thomas Erlewine of AllMusic described her album Aaliyah as "a statement of maturity and a stunning artistic leap forward", and called it one of the strongest urban soul records of its time. She portrayed "unfamiliar sounds, styles and emotions", but managed to please critics with the contemporary sound it contained. Ernest Hardy of Rolling Stone felt that Aaliyah was displaying stronger technique, giving her best vocal performances. Altogether, Aaliyah's music can be described as alternative R&B, progressive soul, and neo soul, according to Time Farley.
Influences
As an artist, Aaliyah said she was inspired by a number of performers. These include Michael Jackson, Stevie Wonder, Sade, Trent Reznor of Nine Inch Nails, Korn, Donnie Hathaway, Johnny Mathis, Janet Jackson, Whitney Houston, and Barbra Streisand. Aaliyah said that Michael Jackson's Thriller was her "favorite album" and that "nothing will ever top Thriller." She said she had always wanted to work with Janet Jackson, to whom she had often been compared, saying, "I admire her a great deal. She's a total performer ... I'd love to do a duet with Janet Jackson." Jackson reciprocated Aaliyah's affection, saying, "I've loved her from the beginning because she always comes out and does something different, musically." Jackson also said she would have enjoyed collaborating with Aaliyah.
Music videos
According to director Paul Hunter from day one, "Aaliyah wanted her videos to stand out from clips by other R&B singers". He stated, "You can watch programming all day and see a certain type of video by female artists, "Then when one of hers comes on it's something special, something different to look at. That's what she was about." Christopher John Farley from Time stated that Aaliyah's "videos, for the most part, are about mood, not about storylines... Her videos are usually lushly shot and infused with sexual tension, though not in overt and obvious ways".
Alisha Acquaye from Teen Vogue felt that, "There's much to gather while watching an Aaliyah music video" in fact, she thinks that watching them is "actually an understatement". Acquaye further explained, "There's a state of hypnosis you submit to as she envelops you through sight and sound, tugging at your heartstrings. Between a sequence of sensual, strong movements, infectious instrumentals, and intuitive lyrics that spark emotions of desire, sex, and empowerment, you are enraptured in Aaliyah's physical presence".
Most of Aaliyah's videos included dance routines. While discussing her video choreography Billboard mentioned that she "coined the smooth choreography and tomboyish style that would inspire [R&B]'s future generations for years to come". Vibe praised several videos saying, "Looking back on her videos like "Try Again" and "Are You That Somebody," Aaliyah's talent in all of those techniques of dancing are apparent, as she's able to hit every syncopated word and beat with ease as if she's moving on air". Kyann-Sian Williams from NME named "Are You That Somebody?" as a visual that, "pushed the boundaries when it came to dance breaks in music videos". Williams declared, "Until that time, dance breaks were usually reserved for boybands like *NSync and the Backstreet Boys, but Aaliyah claimed it for R&B stars too".
Public image
Aaliyah focused on her public image while protecting her private life. She felt that it was "important ... to differentiate yourself from the rest of the pack". USA Today said, "Her slinky vocal style and eye-popping videos made her a crossover star, while her persistent protection of her privacy added an air of intrigue about her". According to Aaliyah, "I put a lot of pressure on myself to be true to myself and not let anything else influence me to do what someone else is doing. Being a little edgy and sexy is me. My image isn't a put-on. I'm happy to put over that dark edge in my videos, because it's always been there. I used to wear my sunglasses or have my hair over one eye a lot more when I was younger. [Now] I'm happy with all aspects of myself."
She often wore baggy clothes and sunglasses, stating that she wanted to be herself. Aaliyah also wore black clothing, starting a trend for similar fashion among women in United States and Japan. In 1998, she hired a personal trainer to keep in shape, and exercised five days a week and ate diet foods. As her career progressed, "she went through so many fashion revamps". For example, When she changed her hairstyle, Aaliyah took her mother's advice and covered her left eye, much like Veronica Lake. The look has become known as her signature and been referred to as fusion of "unnerving emotional honesty" and "a sense of mystique". In regards to her fashion choices, writer Jeff Lorez described her as a "model of understatement". According to Lorez, " She's beautiful, but hardly in a high-gloss, supermodel way—more like a really good-looking girl next door. And rather than bling-blinging her ice in a ghetto-fabulous manner befitting her Trumped-up surroundings, she blings on the down-low: A subtle bracelet here, a winking pendant there, offset by her simple black jeans and matching sweater. Trés cool". Former TRL host Carson Daly said that she was "cutting edge, always one step ahead of the curve and that the TRL audience looks to her to figure out what's hot and what's new".
Aaliyah was often praised for her "clean-cut image" and "moral values". Robert Christgau of The Village Voice wrote of Aaliyah's artistry and image, "she was lithe and dulcet in a way that signified neither jailbait nor hottie—an ingenue whose selling point was sincerity, not innocence and the obverse it implies." Emil Wilbekin, told CNN: "Aaliyah is an excellent role model because she started her career in the public eye at age 15 with a gold album, Age Ain't Nothing but a Number. And then her second album, One in a Million went double platinum. She had the leading role in Romeo Must Die, which was a box office success. She's won numerous awards, several MTV music video awards, and aside from her professional successes, many of her lyrics are very inspirational and uplifting. She also carried herself in a very professional manner. She was well-spoken. She was beautiful, but she didn't use her beauty to sell her music. She used her talent. Many young hip-hop fans greatly admire her."
She was also seen by others as a sex symbol and didn't have a problem with being considered one. "I know that people think I'm sexy and I am looked at as that, and it is cool with me," she stated. "It's wonderful to have sex appeal. If you embrace it, it can be a very beautiful thing. I am totally cool with that. Definitely. I see myself as sexy. If you are comfortable with it, it can be very classy and it can be very appealing." Aaliyah also felt though her image was "risque and sexy", it was important to remain respectable because she wanted to make songs that everyone could relate to without it being vulgar. When she participated in fashion designer Tommy Hilfiger's All America Tour Tommy Jean ads, she wore boxer shorts, baggy jeans and a tube top. Hilfiger's brother, Andy, called it "a whole new look" that was "classy but sexy". The single "We Need a Resolution" was argued to have transformed "the once tomboy into a sexy grown woman".
Personal life
Family
Aaliyah's family played a major role in the course of her career. Beginning in 1995, Aaliyah's father Michael Haughton served as her personal manager, and her mother assisted him. Aaliyah's brother Rashad Haughton and her cousin Jomo Hankerson were with her when she worked. After her father became ill, her brother Rashad became her manager.
Aaliyah was known to have usually been accompanied by members of her family. Her brother Rashad stated that the filming of "Rock the Boat" was the only time her family was not present during a video shoot. In October 2001, Rashad said: "It really boggles everyone [that] from Day One, every single video she ever shot there's always been myself or my mother or my father there. The circumstances surrounding this last video were really strange because my mother had eye surgery and couldn't fly. That really bothered her because she always traveled. My dad had to take care of my mom at that time. And I went to Australia to visit some friends. We really couldn't understand why we weren't there. You ask yourself maybe we could have stopped it. But you can't really answer the question. There's always gonna be that question of why." Her friend Kidada Jones said in the last year of Aaliyah's life, her parents had given her more freedom and she had spoken about wanting a family.
Illegal marriage
With the release of Age Ain't Nothing but a Number, rumors circulated about a relationship between Aaliyah and R. Kelly, including the allegation that they had secretly married without her parents' knowledge. Vibe magazine later revealed a marriage certificate that listed the couple married on August 31, 1994, in Sheraton Gateway Suites in Rosemont, Illinois. Aaliyah, who was 15 at the time, was listed as 18 on the certificate; R. Kelly was 27. The marriage was annulled by her parents in February 1995, but the pair denied the allegations, saying that neither was married and that the certificate was a forgery.
Aaliyah reportedly developed an intimate relationship with Kelly during the recording of her debut album. She told Vibe magazine in 1994 that she and Kelly would "go watch a movie" and "go eat" when she got tired and would then "come back and work". She described the relationship between her and Kelly as "rather close." In December 1994, Aaliyah told the Chicago Sun-Times that whenever she was asked about being married to Kelly, she urged them not to believe "all that mess" and that she and Kelly were "close" and "people took it the wrong way".
Jamie Foster Brown in the 1994 issue of Sister 2 Sister wrote that "R. Kelly told me that he and Aaliyah got together, and it was just magic." Brown also reported hearing about a sexual relationship between them. "I've been hearing about Robert and Aaliyah for a while—that she was pregnant. Or that she was coming and going in and out of his house. People would see her walking his dog, 12 Play, with her basketball cap and sunglasses on. Every time I asked the label, they said it was platonic. But I kept hearing complaints from people about her being in the studio with all those men." Brown later added "at 15, you have all those hormones and no brains attached to them".
In his 2011 book The Man Behind the Man: Looking from the Inside Out, Demetrius Smith Sr., Kelly's former tour manager, revealed that Kelly married Aaliyah after she told him that she was pregnant. In the 2019 documentary Surviving R. Kelly, Smith described how he helped Aaliyah forge the necessary documents to show she was 18 to marry Kelly. Smith also said he was "not proud" of his role in facilitating their marriage. Additionally, the documentary revealed that Jovante Cunningham, a former backup dancer, claimed to have witnessed Kelly having sex with Aaliyah on his tour bus.
Aaliyah admitted in court documents that she had lied about her age. In May 1997, she filed suit in Cook County seeking to have all records of the marriage expunged because she was not old enough under state law to get married without her parents' consent. It was reported that she cut off all professional and personal ties with Kelly after the marriage was annulled and ceased contact with him. In a 2014 interview, Aaliyah's cousin Jomo Hankerson said that she "got villainized" for her relationship with Kelly and the scandal over the marriage made it difficult to find producers for her second album. "We were coming off of a multi-platinum debut album and except for a couple of relationships with Jermaine Dupri and Puffy, it was hard for us to get producers on the album." Hankerson also expressed confusion over why "they were upset" with Aaliyah given her age at the time.
Aaliyah was known to avoid answering questions about Kelly after the professional split. During an interview with Christopher John Farley, she was asked whether she was still in contact with him and would ever work with him again. Farley said Aaliyah responded with a "firm, frosty 'no to both questions. Vibe magazine said Aaliyah changed the subject anytime "you bring up the marriage with her". A spokeswoman for Aaliyah said in 2000 that when "R. Kelly comes up, she doesn't even speak his name, and nobody's allowed to ask about it at all." Kelly later said that Aaliyah had opportunities to address their relationship after they separated professionally but chose not to. In 2019, Damon Dash revealed to Hip Hop Motivation that Aaliyah did not even speak of her relationship with Kelly in private; he tried multiple times to discuss it with her, but she would only say that Kelly was a "bad man". Dash said he was unable to watch Surviving R. Kelly because its interviews with visibly traumatized girls struggling to discuss their encounters with Kelly reminded him of how Aaliyah behaved when trying to recount her relationship with Kelly. Dash later appeared in Surviving R. Kelly, Part II in 2020.
Other allegations were made about Kelly regarding underage girls in the years after Aaliyah's death, and their marriage was used as an example of his involvement with them. He has refused to discuss his relationship with her, citing her death. "Out of respect for her, and her mom and her dad, I will not discuss Aaliyah. That was a whole other situation, a whole other time, it was a whole other thing, and I'm sure that people also know that." In 2016, Kelly said that he was as in love with Aaliyah as he was with "anybody else." Aaliyah's mother, Diane Haughton, reflected that everything "that went wrong in her life" began with her relationship with Kelly.
After the documentary Surviving R. Kelly aired in January 2019, pressure from the public using the Mute R. Kelly hashtag escalated and RCA Records dropped Kelly from the label. In February 2019, Kelly was indicted on ten counts of aggravated criminal sexual abuse. In July 2019, he was arrested on federal charges of sex crimes, human trafficking, child pornography, racketeering, and obstruction of justice. When his trial began in August 2021, Kelly faced 22 federal criminal charges that involved allegedly abusing 11 girls and women between 1994 and 2018. Aaliyah's illegal marriage to Kelly was heavily featured in the court case. On September 27, 2021, a federal court jury found Kelly guilty of nine counts including racketeering, sexual exploitation of a child, kidnapping, bribery, sex trafficking, and a violation of the Mann Act. The judge ordered that Kelly remain in custody pending sentencing, which was set for May 4, 2022. On June 29, 2022, Kelly was sentenced to 30 years in prison.
Relationship with Damon Dash
Aaliyah was dating the co-founder of Roc-A-Fella Records, Damon Dash, at the time of her death. Although they were not formally engaged, Dash claimed the couple had planned to marry in interviews given after Aaliyah's death. In the summer of 2000, Aaliyah was introduced to Dash by his accountant and they formed a friendship. Aaliyah never publicly addressed their relationship as anything but platonic. Due to their hectic work schedules, Aaliyah and Dash were separated for long periods of time. Jay-Z mentioned Aaliyah and Dash in the remix of her song "Miss You", released in 2003. In August 2021, Dash told Entertainment Tonight Kevin Frazier, "I was reflecting [that] there hasn't been one day since she's passed, not one in the 20 years, that I haven't either heard her name, heard her record, or seen a picture of her ... Every single day she's present in my life and I feel lucky for that."
Death
On August 25, 2001, at 6:50 p.m. (EDT), Aaliyah and some employees of her record company boarded a twin-engine Cessna 402 light aircraft at the Marsh Harbour Airport in Abaco Islands, the Bahamas, to travel to Opa-Locka Airport in Florida after they completed filming the video for "Rock the Boat". They had a flight scheduled the next day, but with filming finishing early, Aaliyah and her entourage were eager to return to the US and decided to leave immediately. The designated airplane was smaller than the Cessna 404 on which they had originally arrived, but the whole party and all the equipment were accommodated on board. The plane crashed and caught fire shortly after takeoff, about from the end of the runway.
Aaliyah and the eight others on board—pilot Luis Morales III, hair stylist Eric Forman, Anthony Dodd, security guard Scott Gallin, family friend Keith Wallace, make-up stylist Christopher Maldonado, and Blackground Records employees Douglas Kratz and Gina Smith—were killed.
The passengers had grown impatient because the Cessna was supposed to arrive at 4:30 pm. EDT, but did not arrive until 6:15 pm. Charter pilot Lewis Key claimed to have overheard passengers arguing with the pilot, Morales, before takeoff, adding that Morales warned them that there was too much weight for a "safe flight". Key added: "He tried to convince them the plane was overloaded, but they insisted they had chartered the plane and they had to be in Miami Saturday night." Key indicated that Morales gave in to the passengers and that he had trouble starting one of the engines.
According to findings from an inquest conducted by the coroner's office in the Bahamas, Aaliyah had "severe burns and a blow to the head" in addition to severe shock and a weak heart. The coroner theorized that she went into such a state of shock that even if she had survived the crash, her recovery would have been nearly impossible given the severity of her injuries. The bodies were taken to the morgue at Princess Margaret Hospital in Nassau, where they were kept for relatives to help identify them. Some of them were badly burned.
As the subsequent investigation determined, the aircraft was overloaded by when it attempted to take off, and was carrying one more passenger than it was certified for. The National Transportation Safety Board reported, "The airplane was seen lifting off the runway, and then nose down, impacting in a marsh on the south side of the departure end of runway 27." The report indicated that the pilot was not approved to fly the plane. Morales falsely obtained his FAA license by showing hundreds of hours never flown, and he may also have falsified how many hours he had flown to get a job with his employer, Blackhawk International Airways. Additionally, toxicology tests performed on Morales revealed traces of cocaine and alcohol in his system.
Funeral
Aaliyah's private funeral Mass was held on August 31, 2001, at the Church of St. Ignatius Loyola in Manhattan, following a procession from the Frank E. Campbell Funeral Chapel. Her body was set in a silver-plated copper-deposit casket, which was carried in a horse-drawn, glass hearse. An estimated 800 mourners attended the procession.
Among those in attendance at the private ceremony were Missy Elliott, Timbaland, Gladys Knight, Lil' Kim, and Sean Combs. After the service, 22 white doves were released to symbolize each year of her life.
Aaliyah's brother Rashad delivered the eulogy and described his sister as giving him strength: "Aaliyah, you left, but I'll see you always next to me and I can see you smiling through the sunshine. When our life is over, our book is done. I hope God keeps me strong until I see her again." He read the names of the other victims of the crash and concluded by asking mourners to pray for them as well. As Diane Haughton and the mourners left, they sang Aaliyah's song "One in a Million".
Posthumous releases
2001–2011: Aaliyah Memorial Fund, Queen of the Damned and compilations
Immediately after Aaliyah's death, there was uncertainty over whether the music video for "Rock the Boat" would ever air. It made its world premiere on BET's Access Granted on October 9, 2001. She won two posthumous awards at the American Music Awards of 2002; Favorite Female R&B Artist and Favorite R&B/Soul Album for Aaliyah. Her second and final film, Queen of the Damned, was released in February 2002. Before its release, Aaliyah's brother, Rashad, re-dubbed some of her lines during post-production. It grossed US$15.2 million in its first weekend, ranking number one at the box office. On the first anniversary of Aaliyah's death, a candlelight vigil was held in Times Square; millions of fans observed a moment of silence; and throughout the United States, radio stations played her music in remembrance. In December 2002, a collection of previously unreleased material was released as Aaliyah's first posthumous album, I Care 4 U. A portion of the proceeds was donated to the Aaliyah Memorial Fund, a program that benefits the Revlon UCLA Women's Cancer Research Program and Harlem's Sloan Kettering Cancer Center. It debuted at number three on the US Billboard 200, selling 280,000 copies in its first week. The album's lead single, "Miss You", peaked at number three on the Billboard Hot 100 and topped the Hot R&B/Hip-Hop Songs chart for three weeks. In August of the following year, luxury fashion house Dior donated profits from sales in honor of Aaliyah.
In April 2005, Aaliyah's second posthumous album, a double CD+DVD box set titled Ultimate Aaliyah, was released in the United Kingdom by Blackground Records. Andy Kellman of AllMusic remarked "Ultimate Aaliyah adequately represents the shortened career of a tremendous talent who benefited from some of the best songwriting and production work by Timbaland, Missy Elliott, and R. Kelly." A documentary movie Aaliyah Live in Amsterdam was released in 2011, shortly before the tenth anniversary of Aaliyah's death. The documentary, by Pogus Caesar, contained previously unseen footage shot of her career beginnings in 1995 when she was appearing in the Netherlands.
2012–2014: Proposed posthumous album
In March 2012, music producer Jeffrey "J-Dub" Walker announced on his Twitter account that a song "Steady Ground", which he produced for Aaliyah's third album, would be included in the forthcoming posthumous Aaliyah album. This second proposed posthumous album would feature this song using demo vocals, as Walker claims the originals were somehow lost by his sound engineer. Aaliyah's brother Rashad later denied Walker's claim, claiming that "no official album [is] being released and supported by the Haughton family." On August 5, 2012, Blackground Records released the track "Enough Said" online. It was produced by Noah "40" Shebib and features Canadian rapper Drake. Four days later, Jomo Hankerson confirmed a posthumous album is being produced and that it was scheduled to be released by the end of 2012 by Blackground Records. The album was reported to include 16 unreleased songs and have contributions from Aaliyah's longtime collaborators Timbaland and Missy Elliott, among others. On August 13, Timbaland and Missy Elliott dismissed rumors about being contacted or participating for the project. Elliott's manager Mona Scott-Young said to XXL, "Although Missy and Timbaland always strive to keep the memory of their close friend alive, we have not been contacted about the project nor are there any plans at this time to participate. We've seen the reports surfacing that they have been confirmed to participate but that is not the case. Both Missy and Timbaland are very sensitive to the loss still being felt by the family so we wanted to clear up any misinformation being circulated." Elliott herself said, "Tim and I carry Aaliyah with us everyday, like so many of the people who love her. She will always live in our hearts. We have nothing but love and respect for her memory and for her loved ones left behind still grieving her loss. They are always in our prayers."
In June 2013, Aaliyah was featured on a new track by Chris Brown, titled "Don't Think They Know"; with Aaliyah singing the song's hook. The video features dancing holographic versions of Aaliyah. The song appears on Brown's sixth studio album, X. Timbaland voiced his disapproval for "Enough Said" and "Don't Think They Know" in July 2013. He exclaimed, "Aaliyah music only work with its soulmate, which is me". Soon after, Timbaland apologized to Chris Brown over his remarks, which he explained were made due to Aaliyah and her death being a "very sensitive subject". In January 2014, producer Noah "40" Shebib confirmed that the posthumous album was shelved due to the negative reception surrounding Drake's involvement. Aaliyah was featured on the Tink track "Million", which was released in May 2015 and contained samples from her song "One in a Million".
2015–present: Merchandise, catalogue rerelease and Unstoppable
In September 2015, Aaliyah by Xyrena, an official tribute fragrance, was announced. In November 2015, Timbaland teased that he was working on a new mixtape; a month later on December 16, he revealed the mixtape title, cover, and track listing which included Aaliyah. The 'Kings Stay Kings' mixtape was released on Christmas 2015 and it included an unreleased Aaliyah song titled "Shakin" featuring rapper Strado. In August 2017 MAC Cosmetics announced that an Aaliyah collection would be made available in the summer of 2018. The Aaliyah for Mac collection was released on June 20 online and June 21 in stores; along with the MAC collection, MAC and i-D Magazine partnered up to release a short film titled "A-Z of Aaliyah" which coincided with the launch. The Aaliyah for Mac collectors box was priced at $250 and sold out within minutes.
On August 21, 2019, the Madame Tussauds museum revealed a wax figure of Aaliyah at their Las Vegas location. The lifesize figure was modelled on Aaliyah's iconic "Try Again" outfit and makeup. It was unveiled by her brother, Rashad, to an invited audience. Four days later, Aaliyah's family announced that they were in talks with record companies to discuss the future of her discography, with a view of making it available for download and streaming.
In January 2021, it was announced that Aaliyah would have her own Funko Pop!figurine. The collectible was styled in Aaliyah's 1994 era and was released March 2021 worldwide. In August 2021, it was reported that the album and Aaliyah's other recorded work for Blackground (since rebranded as Blackground Records 2.0) would be re-released on physical, digital, and streaming services in a deal between the label and Empire Distribution. One in a Million was reissued on August 20, despite Aaliyah's estate issuing a statement in response to Blackground 2.0's announcement, denouncing the "unscrupulous endeavor to release Aaliyah's music without any transparency or full accounting to the estate". After the album's re-release, One in a Million re-entered the UK Official Hip Hop and R&B Albums Chart Top 40 at number eight. In the US, the album reached the top ten for on the Billboard 200 for the first time at number ten, selling 26,000 album-equivalent units in the week ending of August 26.
On August 25, 2021, Barry Hankerson revealed in an interview with Big Tigger for WVEE that a fourth (and likely final) studio album, titled Unstoppable, would be released in "a matter of weeks". The album will feature Drake, Snoop Dogg, Ne-Yo, Chris Brown, Future and use previously unreleased vocals from before Aaliyah's passing. Hankerson shared that this will be the end of new music for the late star and added, "I think it's wonderful. It's a very emotional process to do. It's very difficult to hear her sing when she's not here, but we got through it." Aaliyah was reissued September 10, 2021. After the album's re-release, Aaliyah re-entered the UK Official Hip Hop and R&B Albums Chart Top 40 at number seven and re-entered the US Billboard 200 chart at number 13. In celebration of the reissue, Blackground released an animated commercial titled "It's Been A Long Time" (in a similar style to the album's original 2001 commercial), directed by Takahiro Tanaka, showing Aaliyah resurrecting her music from out of a large underground vault. Compilation albums I Care 4 U and Ultimate Aaliyah were reissued October 8, 2021. While the I Care 4 U album failed to rechart, Ultimate Aaliyah peaked at number 8 on the UK R&B Albums Chart Top 40 and charted for the first time in the US at number 41 on the Billboard 200.
On December 14, 2021, it was announced that a new single would be released by Aaliyah, featuring The Weeknd. The mid-tempo track, "Poison", was released on December 17, 2021. The single was written by Static Major, The Weeknd and Belly and produced by DannyBoyStyles and Nick Lamb. On January 4, 2022, Hankerson confirmed that Unstoppable would be released later that month, however, there was no sign of the album, nor any announcement from the label and as of 2023 remains unreleased.
Legacy and influence
Aaliyah has been credited for helping redefine R&B, pop and hip hop in the 1990s, "leaving an indelible imprint on the music industry as a whole." According to Billboard, she revolutionized R&B with her sultry mix of pop, soul and hip hop. Peter Piatkowski from PopMatters, stated, "Much like Janet Jackson's Control set a template of sorts for dance-pop divas in the 1980s, Aaliyah's patented brand of Black pop, which was a mélange of hip-hop, electropop, and soul, set a standard against which other young urban-pop singers were judged". In a 2001 review of her third album, Ernest Hardy from Rolling Stone professed that Aaliyah's impact on R&B and pop has been enormous. Steve Huey of AllMusic wrote Aaliyah ranks among the "elite" artists of the R&B genre, as she "played a major role in popularizing the stuttering, futuristic production style that consumed hip-hop and urban soul in the late 1990s." Critic Bruce Britt stated that by combining "schoolgirl charm with urban grit, Aaliyah helped define the teen-oriented sound that has resulted in contemporary pop phenom's like Brandy, Christina Aguilera and Destiny's Child".
Described as one of "R&B's most important artists" during the 1990s, her second studio album, One in a Million, became one of the most influential R&B albums of the decade. Music critic Simon Reynolds cited "Are You That Somebody?" as "the most radical pop single" of 1998. Kelefah Sanneh of The New York Times wrote that rather than being the song's focal point, Aaliyah "knew how to disappear into the music, how to match her voice to the bass line", and consequently "helped change the way popular music sounds; the twitchy, beat-driven songs of Destiny's Child owe a clear debt to 'Are You That Somebody'." Sanneh asserted that by the time of her death in 2001, Aaliyah "had recorded some of the most innovative and influential pop songs of the last five years." Music publication Popdust called Aaliyah an unlikely queen of the underground for her influence on the underground alternative music scene. The publication also mentioned that the forward-thinking music Aaliyah made with Timbaland and the experimental music being made by many underground alternative artists are "somewhat cut from the same cloth". While compiling a list of artists that take cues from Aaliyah, MTV Hive stated that it's easy to spot her influence on underground movements like dubstep, strains of indie pop, and lo-fi R&B movements. Erika Ramirez, an associate editor of Billboard, said at the time of Aaliyah's career "there weren't many artists using the kind of soft vocals the ways she was using it, and now you see a lot of artists doing that and finding success". Ramirez argued that Aaliyah's second album One in a Million was "very much ahead of its time, with the bass and electro kind of R&B sounds that they produced", and that the sound, "really stood out" at its time, was being replicated.
There has been continuing belief that Aaliyah would have achieved greater career success had it not been for her death. Emil Wilbekin mentioned the deaths of The Notorious B.I.G. and Tupac Shakur in conjunction with hers and added: "Her just-released third album and scheduled role in a sequel to The Matrix could have made her another Janet Jackson or Whitney Houston". Director of Queen of the Damned Michael Rymer said of Aaliyah, "God, that girl could have gone so far" and spoke of her having "such a clarity about what she wanted. Nothing was gonna step in her way. No ego, no nervousness, no manipulation. There was nothing to stop her." On July 18, 2014, it was announced that Alexandra Shipp replaced Zendaya for the role of Aaliyah for the Lifetime TV biopic movie Aaliyah: The Princess of R&B, which premiered on November 15, 2014. Zendaya drew criticism because people felt that she was too light skinned and did not greatly resemble Aaliyah. She voiced her strong respect for Aaliyah before dropping out of the project. She explained her choice to withdraw from the film in videos on Instagram. Aaliyah's family has been vocal in their disapproving of the film. Her cousin Jomo Hankerson stated the family would prefer a "major studio release along the lines" of What's Love Got to Do with It, the biopic based on the life of Tina Turner. Aaliyah's family has consulted a lawyer to stop Lifetime from using "any of the music, or any of the photographs and videos" they own and Jomo Hankerson claimed the TV network "didn't reach out." On August 9, 2014, it was announced that Chattrisse Dolabaille and Izaak Smith had been cast as Aaliyah's collaborators Missy Elliott and Timbaland. Dolabaille and Smith both received criticism for their appearances in comparison with that of Missy Elliot and Timbaland. Despite negative reviews, the film's premiere drew 3.2 million viewers, becoming the second highest rated television movie of 2014.
On August 17, 2021, Atria Books (an imprint of Simon & Schuster) published Kathy Iandoli's Baby Girl: Better Known as Aaliyah, a biography that draws on interviews with Aaliyah's friends, mentors and family, and document how her career influenced a new generation of artists. It has not been authorized by the Haughton family. On August 5, 2022, Beyoncé released "The Queens Remix" to her single "Break My Soul", in which she name-drops Aaliyah, along with other cultural icons. On June 14, 2023, Aaliyah was the subject of the documentary Superstar: Aaliyah, which was broadcast on ABC. The documentary included interviews with Damon Dash, Barry Hankerson, Sevyn Streeter, Will.i.am, Justine Skye, and author Kathy Iandoli, and discussed Aaliyah's life, career and legacy.
Achievements
Aaliyah has sold 8.1 million albums in the United States and an estimated 24 to 32 million albums worldwide. Throughout the years, she has earned several honorific nicknames, including "Princess of R&B", "Pop Princess", and "Queen of Urban Pop",
as she "proved she was a muse in her own right". While Ernest Hardy of Rolling Stone dubbed her the "undisputed queen of the midtempo come-on". She also has been referred to as a pop and R&B icon for her impact on those genres.
At the 2001 MTV Video Music Awards, Aaliyah was honored by Janet Jackson, Missy Elliott, Timbaland, Ginuwine and her brother, Rashad, who all paid tribute to her. Also during 2001, the United States Social Security Administration ranked the name Aaliyah as one of the 100 most popular names for newborn girls. In 2003 Aaliyah was ranked as one of "The Top 40 Women of the Video Era" in VH1's The Greatest series. Also, in 2003 in memory of Aaliyah, the Entertainment Industry Foundation created the Aaliyah Memorial Fund to donate money raised to charities she supported. In 2008, she was ranked at number 18 on BET's "Top 25 Dancers of All Time". In December 2009, Billboard magazine ranked Aaliyah at number 70 on its Top Artists of the Decade, while her album Aaliyah was ranked at number 181 on the magazine's Top 200 Albums of the Decade. In 2010 Billboard listed her as the tenth most successful female R&B artist of the past 25 years, and 27th most successful R&B artist overall. In 2011, Essence ranked her at number 14 on its 50 Most Influential R&B Starts list. In 2012, VH1 ranked her number 48 on their "Greatest Women in Music". In 2014, NME ranked her at number 18 on NME 100 most influential artist list. In August 2018, Billboard ranked Aaliyah at number 47 on their Top 60 Female Artists of All-Time list. In 2020, the publication included her on its list of the 100 Greatest Music Video Artists of All Time. Rolling Stone ranked her at number 40 on their 200 Best Singers of All Time list. In September 2023, she was inducted into the National Rhythm & Blues Hall of Fame.
Discography
Studio albums
Age Ain't Nothing but a Number (1994)
One in a Million (1996)
Aaliyah (2001)
Unstoppable (TBA)
Compilation albums
I Care 4 U (2002)
Ultimate Aaliyah (2005)
Filmography
See also
List of artists who reached number one in the United States
List of awards and nominations received by Aaliyah
List of fatalities from aviation accidents
References
Bibliography
External links
Aaliyah on Grammy Awards
1979 births
2001 deaths
20th-century American actresses
20th-century African-American women singers
21st-century American actresses
21st-century African-American women singers
Actresses from Brooklyn
Actresses from Detroit
African-American actresses
African-American Catholics
African-American female dancers
African-American female models
Alternative R&B musicians
American child singers
American contemporary R&B singers
American female dancers
American film actresses
American neo soul singers
American women hip hop singers
American women pop singers
American sopranos
Atlantic Records artists
Burials at Ferncliff Cemetery
Child marriage in the United States
Child pop musicians
Dancers from Michigan
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Midwest hip hop musicians
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Musicians killed in aviation accidents or incidents
Progressive soul musicians
Singers from Brooklyn
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Victims of aviation accidents or incidents in 2001
Victims of aviation accidents or incidents in the Bahamas
Virgin Records artists
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An armoured fighting vehicle (British English) or armored fighting vehicle (American English) (AFV) is an armed combat vehicle protected by armour, generally combining operational mobility with offensive and defensive capabilities. AFVs can be wheeled or tracked. Examples of AFVs are tanks, armoured cars, assault guns, self-propelled artilleries, infantry fighting vehicles (IFV), and armoured personnel carriers (APC).
Armoured fighting vehicles are classified according to their characteristics and intended role on the battlefield. The classifications are not absolute; two countries may classify the same vehicle differently, and the criteria change over time. For example, relatively lightly armed armoured personnel carriers were largely superseded by infantry fighting vehicles with much heavier armament in a similar role.
Successful designs are often adapted to a wide variety of applications. For example, the MOWAG Piranha, originally designed as an APC, has been adapted to fill numerous roles such as a mortar carrier, infantry fighting vehicle, and assault gun.
Armoured fighting vehicles began to appear in use in World War I with the armoured car, the tank, the self-propelled gun, and the personnel carrier seeing use. By World War II, armies had large numbers of AFVs, together with other vehicles to carry troops this permitted highly mobile manoeuvre warfare.
Evolution
The concept of a highly mobile and protected fighting unit has been around for centuries; from Hannibal's war elephants to Leonardo's contraptions, military strategists endeavoured to maximize the mobility and survivability of their soldiers.
Armoured fighting vehicles were not possible until internal combustion engines of sufficient power became available at the start of the 20th century.
History
Pre-modern
Modern armoured fighting vehicles represent the realization of an ancient concept – that of providing troops with mobile protection and firepower. Armies have deployed war machines and cavalries with rudimentary armour in battle for millennia. Use of these animals and engineering designs sought to achieve a balance between the conflicting paradoxical needs of mobility, firepower and protection.
Siege machine
Siege engines, such as battering rams and siege towers, would often be armoured in order to protect their crews from enemy action. Polyidus of Thessaly developed a very large movable siege tower, the helepolis, as early as 340 BC, and Greek forces used such structures in the Siege of Rhodes (305 BC).
The idea of a protected fighting vehicle has been known since antiquity. Frequently cited is Leonardo da Vinci's 15th-century sketch of a mobile, protected gun-platform; the drawings show a conical, wooden shelter with apertures for cannons around the circumference. The machine was to be mounted on four wheels which would be turned by the crew through a system of hand cranks and cage (or "lantern") gears. Leonardo claimed: "I will build armoured wagons which will be safe and invulnerable to enemy attacks. There will be no obstacle which it cannot overcome." Modern replicas have demonstrated that the human crew would have been able to move it over only short distances.
War wagon
Hussite forces in Bohemia developed war wagons – medieval horse-drawn wagons that doubled as wagon forts – around 1420 during the Hussite Wars. These heavy wagons were given protective sides with firing slits; their heavy firepower came from either a cannon or from a force of hand-gunners and crossbowmen, supported by light cavalry and infantry using pikes and flails. Heavy arquebuses mounted on wagons were called arquebus à croc. These carried a ball of about .
Modern
By the end of World War II, most modern armies had vehicles to carry infantry, artillery and anti-aircraft weaponry. Most modern AFVs are superficially similar in design to their World War II counterparts, but with significantly better armour, weapons, engines, electronics, and suspension. The increase in the capacity of transport aircraft makes possible and practicable the transport of AFVs by air. Many armies are replacing some or all of their traditional heavy vehicles with lighter airmobile versions, often with wheels instead of tracks.
Armed and armoured car
The first modern AFVs were armed cars, dating back virtually to the invention of the motor car. The British inventor F. R. Simms designed and built the Motor Scout in 1898. It was the first armed, petrol-engine powered vehicle ever built. It consisted of a De Dion-Bouton quadricycle with a Maxim machine gun mounted on the front bar. An iron shield offered some protection for the driver from the front, but it lacked all-around protective armour.
The armoured car was the first modern fully armoured fighting vehicle. The first of these was the Simms's Motor War Car, also designed by Simms and built by Vickers, Sons & Maxim in 1899. The vehicle had Vickers armour 6 mm thick and was powered by a four-cylinder 3.3-litre 16 hp Cannstatt Daimler engine giving it a maximum speed of around . The armament, consisting of two Maxim guns, was carried in two turrets with 360° traverse.
Another early armoured car of the period was the French Charron, Girardot et Voigt 1902, presented at the Salon de l'Automobile et du cycle in Brussels, on 8 March 1902. The vehicle was equipped with a Hotchkiss machine gun, and with 7 mm armour for the gunner. Armoured cars were first used in large numbers on both sides during World War I as scouting vehicles.
Tank
In 1903, H. G. Wells published the short story "The Land Ironclads," positing indomitable war machines that would bring a new age of land warfare, the way steam-powered ironclad warships had ended the age of sail.
Wells's literary vision was realized in 1916, when, amidst the pyrrhic standstill of the Great War, the British Landship Committee deployed revolutionary armoured vehicles to break the stalemate. The tank was envisioned as an armoured machine that could cross ground under fire from machine guns and reply with its own mounted machine guns and naval artillery. These first British tanks of World War I moved on caterpillar tracks that had substantially lower ground pressure than wheeled vehicles, enabling them to pass the muddy, pocked terrain and slit trenches of the Battle of the Somme.
Troop transport
The tank eventually proved highly successful and, as technology improved, it became a weapon that could cross large distances at much higher speeds than supporting infantry and artillery. The need to provide the units that would fight alongside the tank led to the development of a wide range of specialised AFVs, especially during the Second World War (1939–1945).
The armoured personnel carrier, designed to transport infantry troops to the frontline, emerged towards the end of World War I. During the first actions with tanks, it had become clear that close contact with infantry was essential in order to secure ground won by the tanks. Troops on foot were vulnerable to enemy fire, but they could not be transported in the tank because of the intense heat and noxious atmosphere. In 1917, Lieutenant G. J. Rackham was ordered to design an armoured vehicle that could fight and carry troops or supplies. The Mark IX tank was built by Armstrong, Whitworth & Co., although just three vehicles had been finished at the time of the Armistice in November 1918, and only 34 were built in total.
Tankette
Different tank classifications emerged in the interwar period. The tankette was conceived as a mobile, two-man model, mainly intended for reconnaissance. In 1925, Sir John Carden and Vivian Loyd produced the first such design to be adopted – the Carden Loyd tankette. Tankettes saw use in the Royal Italian Army during the Italian invasion of Ethiopia (1935–1936), the Spanish Civil War (1936–1939), and almost everywhere Italian soldiers fought during World War II. The Imperial Japanese Army used tankettes for jungle warfare.
Self-propelled artillery
The British Gun Carrier Mark I, the first Self-propelled artillery, was fielded in 1917. It was based on the first tank, the British Mark I, and carried a heavy field-gun. The next major advance was the Birch gun (1925), developed for the British motorised warfare experimental brigade (the Experimental Mechanized Force). This mounted a field gun, capable of the usual artillery trajectories and even anti-aircraft use, on a tank chassis.
During World War II, most major military powers developed self-propelled artillery vehicles. These had guns mounted on a tracked chassis (often that of an obsolete or superseded tank) and provided an armoured superstructure to protect the gun and its crew. The first British design, "Bishop", carried the 25 pdr gun-howitzer in an extemporised mounting on a tank chassis that severely limited the gun's performance. It was replaced by the more effective Sexton. The Germans built many lightly armoured self-propelled anti-tank guns using captured French equipment (for example Marder I), their own obsolete light tank chassis (Marder II), or ex-Czech chassis (Marder III). These led to better-protected tank destroyers, built on a medium-tank chassis such as the Jagdpanzer IV or the Jagdpanther.
Anti-aircraft vehicle
The Self-propelled anti-aircraft weapon debuted in WWI. The German 88 mm anti-aircraft gun was truck-mounted and used to great effect against British tanks, and the British QF 3-inch 20 cwt was mounted on trucks for use on the Western Front. Although the Birch gun was a general purpose artillery piece on an armoured tracked chassis, it was capable of elevation for anti-aircraft use. Vickers Armstrong developed one of the first SPAAGs based on the chassis of the Mk.E 6-ton light tank/Dragon Medium Mark IV tractor, mounting a Vickers QF-1 "Pom-Pom" gun of 40 mm. The Germans fielded the Sd.Kfz. 10/4 and 6/2, cargo halftracks mounting single 20 mm or 37 mm AA guns (respectively) by the start of the war.
Self-propelled multiple rocket-launcher
Rocket launchers such as the Soviet Katyusha originated in the late 1930s. The Wehrmacht fielded self-propelled rocket artillery in World War II – the Panzerwerfer and Wurfrahmen 40 equipped half-track armoured fighting vehicles. Many modern multiple rocket launchers are self propelled by either truck or tank chassis.
Design
Survivability
The level of armour protection between AFVs varies greatly – a main battle tank will normally be designed to take hits from other tank guns and anti-tank missiles, whilst light reconnaissance vehicles are often only armoured "just in case". Whilst heavier armour provides better protection, it makes vehicles less mobile (for a given engine power), limits its air-transportability, increases cost, uses more fuel and may limit the places it can go – for example, many bridges may be unable to support the weight of a main battle tank. A trend toward composite armour is taking the place of steel – composites are stronger for a given weight, allowing the tank to be lighter for the same protection as steel armour, or better protected for the same weight. Armour is being supplemented with active protection systems on a number of vehicles, allowing the AFV to protect itself from incoming projectiles.
The level of protection also usually varies considerably throughout the individual vehicle too, depending on the role of the vehicle and the likely direction of attack. For example, a main battle tank will usually have the heaviest armour on the hull front and the turret, lighter armour on the sides of the hull and the thinnest armour on the top and bottom of the tank. Other vehicles – such as the MRAP family – may be primarily armoured against the threat from IEDs and so will have heavy, sloped armour on the bottom of the hull.
Firepower
Weaponry varies by a very wide degree between AFVs – lighter vehicles for infantry carrying, reconnaissance or specialist roles may have only a autocannon or machine gun (or no armament at all), whereas heavy self-propelled artillery will carry howitzers, mortars or rocket launchers. These weapons may be mounted on a pintle, affixed directly to the vehicle or placed in a turret or cupola.
The greater the recoil of the weapon on an AFV, the larger the turret ring needs to be. A larger turret ring necessitates a larger vehicle. To avoid listing to the side, turrets on amphibious vehicles are usually located at the centre of the vehicle.
Grenade launchers provide a versatile launch platform for a plethora of munitions including, smoke, phosphorus, tear gas, illumination, anti-personnel, infrared and radar-jamming rounds.
Turret stabilization is an important capability because it enables firing on the move and prevents crew fatigue.
Maneuverability
Modern AFVs have primarily used either petrol (gasoline) or diesel piston engines. More recently, gas turbines have been used. Most early AFVs used petrol engines, as they offer a good power-to-weight ratio. However, they fell out of favour during World War II due to the flammability of the fuel.
Most current AFVs are powered by a diesel engine; modern technology, including the use of turbo-charging, helps to overcome the lower power-to-weight ratio of diesel engines compared to petrol.
Gas turbine (turboshaft) engines offer a very high power-to-weight ratio and were starting to find favour in the late 20th century – however, they offer very poor fuel consumption and as such some armies are switching from gas turbines back to diesel engines (i.e. the Russian T-80 used a gas turbine engine, whereas the later T-90 does not). The US M1 Abrams is a notable example of a gas turbine powered tank.
Modern classification by type and role
Notable armoured fighting vehicles extending from post-World War I to today.
Tank
The tank is an all terrain AFV incorporating artillery which is designed to fill almost all battlefield roles and to engage enemy forces by the use of direct fire in the frontal assault role. Though several configurations have been tried, particularly in the early experimental "golden days" of tank development, a standard, mature design configuration has since emerged to a generally accepted pattern. This features a main tank gun or artillery gun, mounted in a fully rotating turret atop a tracked automotive hull, with various additional secondary weapon systems throughout.
Philosophically, the tank is, by its very nature, an offensive weapon. Being a protective encasement with at least one gun position, it is essentially a pillbox or small fortress (though these are static fortifications of a purely defensive nature) that can move toward the enemy – hence its offensive utility. Psychologically, the tank is a force multiplier that has a positive morale effect on the infantry it accompanies. It also instills fear in the opposing force who can often hear and even feel their arrival.
Tank classifications
Tanks were classified either by size or by role.
Classification by relative size was common, as this also tended to influence the tanks' role.
Light tanks are smaller tanks with thinner armour and lower-powered guns, allowing for better tactical mobility and ease of strategic transport. These are intended for armoured reconnaissance, skirmishing, artillery observation, expeditionary warfare and supplementing airborne or naval landings. Light tanks are typically cheaper to build and maintain, but fare poorly against heavier tanks. They may be held in reserve for exploiting any breakthroughs in enemy lines, with the goal of disrupting communications and supply lines.
Medium tanks are mid-sized tanks with adequate armour and guns, and fair mobility, allowing for a balance of fighting abilities, mobility, cost-effectiveness, and transportability. Medium tanks are effective in groups when used against enemy tanks.
Heavy tanks are larger tanks with thick armour and more powerful guns, but less mobile and more difficult to transport. They were intended to be more than a match for typical enemy medium tanks, easily penetrating their armour while being much less susceptible to their attacks. Heavy tanks cost more to both build and maintain, and their heavy armour proved most effective when deployed in support infantry assaulting entrenched fortifications.
Over time, tanks tended to be designed with heavier armour and weapons, increasing the weight of all tanks, so these classifications are relative to the average for the nation's tanks for any given period. An older tank design might be reclassified over time, such as a tank being first deployed as a medium tank, but in later years relegated to light tank roles.
Tanks were also classified by roles that were independent of size, such as cavalry tank, cruiser tank, fast tank, infantry tank, "assault" tank, or "breakthrough" tank. Military theorists initially tended to assign tanks to traditional military infantry, cavalry, and artillery roles, but later developed more specialized roles unique to tanks.
In modern use, the heavy tank has fallen out of favour, being supplanted by more heavily armed and armoured descendant of the medium tanks – the universal main battle tank. The light tank has, in many armies, lost favour to cheaper, faster, lighter armoured cars; however, light tanks (or similar vehicles with other names) are still in service with a number of forces as reconnaissance vehicles, most notably the Russian Marines with the PT-76, the British Army with the Scimitar, and the Chinese Army with the Type 63.
Main battle tank
Modern main battle tanks or "universal tanks" incorporate recent advances in automotive, artillery, armour, and electronic technology to combine the best characteristics of the historic medium and heavy tanks into a single, all-around type. They are also the most expensive to mass-produce. A main battle tank is distinguished by its high level of firepower, mobility and armour protection relative to other vehicles of its era. It can cross comparatively rough terrain at high speeds, but its heavy dependency on fuel, maintenance, and ammunition makes it logistically demanding. It has the heaviest armour of any AFVs on the battlefield, and carries a powerful precision-guided munition weapon systems that may be able to engage a wide variety of both ground targets and air targets. Despite significant advances in anti-tank warfare, it still remains the most versatile and fearsome land-based weapon-systems of the 21st-century, valued for its shock action and high survivability.
Tankette
A tankette is a tracked armed and armoured vehicle resembling a small "ultra-light tank" or "super-light tank" roughly the size of a car, mainly intended for light infantry support or scouting. They were one or two-man vehicles armed with a machine gun. Colloquially it may also simply mean a "small tank".
Tankettes were designed and built by several nations between the 1920s and 1940s following the British Carden Loyd tankette which was a successful implementation of "one man tank" ideas from Giffard Le Quesne Martel. They were very popular with smaller countries. Some saw some combat (with limited success) in World War II. However, the vulnerability of their light armour eventually caused the concept to be abandoned. However, the German Army uses a modern design of air-transportable armoured weapons carriers, the Wiesel AWC, which resembles the concept of a tankette.
Super-heavy tank
The term "super-heavy tank" has been used to describe armoured fighting vehicles of extreme size, generally over 75 tonnes. Programs have been initiated on several occasions with the aim of creating an invincible siegeworks/breakthrough vehicle for penetrating enemy formations and fortifications without fear of being destroyed in combat. Examples were designed in World War I and World War II (such as the Panzer VIII Maus), along with a few in the Cold War. However, few working prototypes were built and there is no clear evidence any of these vehicles saw combat, as their immense size would have made most designs impractical.
Missile tank
A missile tank is a tank fulfilling the role of a main battle tank, but using only anti-tank surface-to-surface missiles for main armament. Several nations have experimented with prototypes, notably the Soviet Union during the tenure of Nikita Khrushchev (projects Object 167, Object 137Ml, Object 155Ml, Object 287, Object 775),
Flame tank
A flame tank is an otherwise-standard tank equipped with a flamethrower, most commonly used to supplement combined arms attacks against fortifications, confined spaces, or other obstacles. The type only reached significant use in the Second World War, during which the United States, Soviet Union, Germany, Italy, Japan and the United Kingdom (including members of the British Commonwealth) all produced flamethrower-equipped tanks. Usually, the flame projector replaced one of the tank's machineguns, however, some flame projectors replaced the tank's main gun. Fuel for the flame weapon was generally carried inside the tank, although a few designs mounted the fuel externally, such as the armoured trailer used on the Churchill Crocodile.
Flame tanks have been superseded by thermobaric weapons such as the Russian TOS-1.
Infantry tank
The idea for this tank was developed during World War I by British and French. The infantry tank was designed to work in concert with infantry in the assault, moving mostly at a walking pace, and carrying heavy armour to survive defensive fire. Its main purpose was to suppress enemy fire, crush obstacles such as barbed-wire entanglements, and protect the infantry on their advance into and through enemy lines by giving mobile overwatch and cover. The French Renault FT was the first iteration of this concept.
The British and French retained the concept between the wars and into the Second World War era. Because infantry tanks did not need to be fast, they could carry heavy armour. One of the best-known infantry tanks was the Matilda II of World War II. Other examples include the French R-35, the British Valentine, and the British Churchill.
Cruiser tank
A cruiser tank, or cavalry tank, was designed to move fast and exploit penetrations of the enemy front. The idea originated in "Plan 1919", a British plan to break the trench deadlock of World War I in part via the use of high-speed tanks. The first cruiser tank was the British Whippet.
Between the wars, this concept was implemented in the "fast tanks" pioneered by J. Walter Christie. These led to the Soviet BT tank series and the British cruiser tank series.
During World War II, British cruiser tanks were designed to complement infantry tanks, exploiting gains made by the latter to attack and disrupt the enemy rear areas. In order to give them the required speed, cruiser designs sacrificed armour and armament compared to the infantry tanks. Pure British cruisers were generally replaced by more capable medium tanks such as the US Sherman and, to a lesser extent, the Cromwell by 1943.
The Soviet fast tank (bistrokhodniy tank, or BT tank) classification also came out of the infantry/cavalry concept of armoured warfare and formed the basis for the British cruisers after 1936. The T-34 was a development of this line of tanks as well, though their armament, armour, and all-round capability places them firmly in the medium tank category.
Armoured car
The armoured car is a wheeled, often lightly armoured, vehicle adapted as a fighting machine. Its earliest form consisted of a motorised ironside chassis fitted with firing ports. By World War I, this had evolved into a mobile fortress equipped with command equipment, searchlights, and machine guns for self-defence. It was soon proposed that the requirements for the armament and layout of armoured cars be somewhat similar to those on naval craft, resulting in turreted vehicles. The first example carried a single revolving cupola with a Vickers gun; modern armoured cars may boast heavier armament – ranging from twin machine guns to large calibre cannon.
Some multi-axled wheeled fighting vehicles can be quite heavy, and superior to older or smaller tanks in terms of armour and armament. Others are often used in military marches and processions, or for the escorting of important figures. Under peacetime conditions, they form an essential part of most standing armies. Armoured car units can move without the assistance of transporters and cover great distances with fewer logistical problems than tracked vehicles.
During World War II, armoured cars were used for reconnaissance alongside scout cars. Their guns were suitable for some defence if they encountered enemy armoured fighting vehicles, but they were not intended to engage enemy tanks. Armoured cars have since been used in the offensive role against tanks with varying degrees of success, most notably during the South African Border War, Toyota War, the Invasion of Kuwait, and other lower-intensity conflicts.
Aerosledge
An aerosledge is a type of propeller-driven snowmobile, running on skis, used for communications, mail deliveries, medical aid, emergency recovery and border patrolling in northern Russia, as well as for recreation. Aerosledges were used by the Soviet Red Army during the Winter War and World War II.
Some early aerosledges were built by young Igor Sikorsky in 1909–10, before he built multi-engine airplanes and helicopters. They were very light plywood vehicles on skis, propelled by old airplane engines and propellers.
Scout car
A scout car is a military armoured reconnaissance vehicle, capable of off-road mobility and often carrying mounted weapons such as machine guns for offensive capabilities and crew protection. They often only carry an operational crew aboard, which differentiates them from wheeled armoured personnel carriers (APCs) and infantry mobility vehicles (IMVs), but early scout cars, such as the open-topped US M3 scout car could carry a crew of seven. The term is often used synonymously with the more general term armoured car, which also includes armoured civilian vehicles. They are also differentiated by being designed and built for purpose, as opposed to improvised "technicals" which might serve in the same role.
Reconnaissance vehicle
A reconnaissance vehicle, also known as a scout vehicle, is a military vehicle used for forward reconnaissance. Both tracked and wheeled reconnaissance vehicles are in service. In some nations, light tanks such as the M551 Sheridan and AMX-13 are also used by scout platoons. Reconnaissance vehicles are usually designed with a low profile or small size and are lightly armoured, relying on speed and cover to escape detection. Their armament ranges from a medium machine gun to an autocannon. Modern examples are often fitted with ATGMs and a wide range of sensors.
Some armoured personnel carriers and infantry mobility vehicle, such as the M113, TPz Fuchs, and Cadillac Gage Commando double in the reconnaissance role.
Internal security vehicle
An internal security vehicle (ISV), also known as an armoured security vehicle (ASV), is a combat vehicle used for suppressing civilian unrest. Security vehicles are typically armed with a turreted heavy machine gun and auxiliary medium machine gun. The vehicle is designed to minimize firepower dead space and the vehicles weapons can be depressed to a maximum of 12°. Non-lethal water cannons and tear gas cannons can provide suppressive fire in lieu of unnecessary deadly fire.
The vehicle must be protected against weapons typical of riots. Protection from improvised incendiary devices is achieved though coverage of the air intake and exhaust ports as well as a strong locking mechanism on the fuel opening. Turret and door locks prevent access to the interior of the vehicle by rioters. Vision blocks, ballistic glass and window shutters and outside surveillance cameras allow protected observation from within the vehicle. Wheeled 4x4 and 6x6 configurations are typical of security vehicles. Tracked security vehicles are often cumbersome and leave negative political connotations for being perceived as an imperial invading force.
Military light utility vehicle
Military light utility vehicles are the lightest weight class of military vehicles. It refers to light 4x4 military vehicles with light or no armour and all-terrain mobility. This type of vehicle originated in the first half of the 20th century when horses and other draft animals were replaced with mechanization. Light utility vehicles such as the Willys Jeep were frequently mounted with .50-calibre machineguns and other small weapons for hit-and-run tactics in WWII, especially by the British Special Air Service who used Jeeps to raid Axis airfields during the North Africa campaign. After WWII, vehicles like the Toyota Mega Cruiser and Humvee filled this role. In the 21st century, improvised explosive devices continue to pose threat to mobile infantry resulting in light utility vehicles being made heavier and with more armour.
Improvised fighting vehicle
An improvised fighting vehicle is a combat vehicle resulting from modifications to a civilian or military non-combat vehicle in order to give it a fighting capability. Such modifications usually consist of the grafting of armour plating and weapon systems. Various militaries have procured such vehicles, ever since the introduction of the first automobiles into military service.
During the early days, the absence of a doctrine for the military use of automobiles or of an industry dedicated to producing them, lead to much improvisation in the creation of early armoured cars, and other such vehicles. Later, despite the advent of arms industries in many countries, several armies still resorted to using ad hoc contraptions, often in response to unexpected military situations, or as a result of the development of new tactics for which no available vehicle was suitable. The construction of improvised fighting vehicles may also reflect a lack of means for the force that uses them. This is especially true in underdeveloped countries and even in developing countries, where various armies and guerrilla forces have used them, as they are more affordable than military-grade combat vehicles.
Modern examples include military gun truck used by units of regular armies or other official government armed forces, based on a conventional military cargo truck, that is able to carry a large weight of weapons and armour. They have mainly been used by regular armies to escort military convoys in regions subject to ambush by guerrilla forces. "Narco tanks", used by Mexican drug cartels in the Mexican drug war, are built from such trucks, which combines operational mobility, tactical offensive, and defensive capabilities.
Troop carriers
Troop-carrying AFVs are divided into three main types – armoured personnel carriers (APCs), infantry fighting vehicles (IFVs) and infantry mobility vehicles (IMV). The main difference between the three is their intended role – the APC is designed purely to transport troops and is armed for self-defence only – whereas the IFV is designed to provide close-quarters and anti-armour fire support to the infantry it carries. IMV is a wheeled armoured personnel carrier serving as a military patrol, reconnaissance or security vehicle.
Armoured personnel carrier
Armoured personnel carriers (APCs) are intended to carry infantry quickly and relatively safely to the point where they are deployed. In the Battle of Amiens, 8 August 1918, the British Mk V* tank (a lengthened Mark V) carried a small number of machine gunners as an experiment, but the men were debilitated by the conditions inside the vehicle. Later that year the first purpose-built APC, the British Mk IX tank (Mark Nine), appeared. In 1944, the Canadian general Guy Simonds ordered the conversion of redundant armoured vehicles to carry troops (generically named "Kangaroos"). This proved highly successful, even without training, and the concept was widely used in the 21st Army Group. Post-war, specialised designs were built, such as the Soviet BTR-60 and US M113.
Infantry fighting vehicle
An infantry fighting vehicle (IFV), also known as a mechanized infantry combat vehicle (MICV), is a type of armoured fighting vehicle used to carry infantry into battle and provide direct fire support. The first example of an IFV was the West German Schützenpanzer Lang HS.30 which served in the Bundeswehr from 1958 until the early 1980s.
IFVs are similar to armoured personnel carriers (APCs) and infantry carrier vehicles (ICVs), designed to transport a section or squad of infantry (generally between five and ten men) and their equipment. They are differentiated from APCswhich are purely "troop-transport" vehicles armed only for self-defencebecause they are designed to give direct fire support to the dismounted infantry and so usually have significantly enhanced armament. IFVs also often have improved armour and some have firing ports (allowing the infantry to fire personal weapons while mounted).
They are typically armed with an autocannon of 20 to 57 mm calibre, 7.62mm machine guns, anti-tank guided missiles (ATGMs) and/or surface-to-air missiles (SAMs). IFVs are usually tracked, but some wheeled vehicles fall into this category. IFVs are generally less heavily armed and armoured than main battle tanks. They sometimes carry anti-tank missiles to protect and support infantry against armoured threats, such as the NATO TOW missile and Soviet Bastion, which offer a significant threat to tanks. Specially equipped IFVs have taken on some of the roles of light tanks; they are used by reconnaissance organizations, and light IFVs are used by airborne units which must be able to fight without the heavy firepower of tanks.
Infantry mobility vehicle
An infantry mobility vehicle (IMV) or protected patrol vehicle (PPV) is a wheeled armoured personnel carrier (APC) serving as a military patrol, reconnaissance or security vehicle. Examples include the ATF Dingo, AMZ Dzik, AMZ Tur, Mungo ESK, and Bushmaster IMV. This term also applies to the vehicles currently being fielded as part of the MRAP program.
IMVs were developed in response to the threats of modern counterinsurgency warfare, with an emphasis on Ambush Protection and Mine-Resistance. Similar vehicles existed long before the term IMV was coined, such as the French VAB and South African Buffel. The term is coming more into use to differentiate light 4x4 wheeled APCs from the traditional 8x8 wheeled APCs. It is a neologism for what might have been classified in the past as an armoured scout car, such as the BRDM, but the IMV is distinguished by having a requirement to carry dismountable infantry. The up-armoured M1114 Humvee variant can be seen as an adaptation of the unarmoured Humvee to serve in the IMV role.
Amphibious vehicles
Many modern military vehicles, ranging from light wheeled command and reconnaissance, through armoured personnel carriers and tanks, are manufactured with amphibious capabilities. Contemporary wheeled armoured amphibians include the French Véhicule de l'Avant Blindé and Véhicule Blindé Léger. The latter is a small, lightly armoured 4×4 all-terrain vehicle that is fully amphibious and can swim at 5.4 km/h. The VAB (Véhicule de l'Avant Blindé – 'armoured vanguard vehicle') is a fully amphibious armoured personnel carrier powered in the water by two water jets, that entered service in 1976 and produced in numerous configurations, ranging from basic personnel carrier, anti-tank missile platform.
During the Cold War the Soviet bloc states developed a number of amphibious APCs, fighting vehicles and tanks, both wheeled and tracked. Most of the vehicles the Soviets designed were amphibious, or could ford deep water. Wheeled examples are the BRDM-1 and BRDM-2 4x4 armoured scout cars, as well as the BTR-60, BTR-70, BTR-80 and BTR-94 8x8 armoured personnel carriers and the BTR-90 infantry fighting vehicle.
The United States started developing a long line of Landing Vehicle Tracked (LVT) designs from . The US Marine Corps currently uses the AAV7-A1 Assault Amphibious Vehicle, which was to be succeeded by the Expeditionary Fighting Vehicle, which was capable of planing on water and can achieve water speeds of 37–46 km/h. The EFV project has been cancelled.
A significant number of tracked armoured vehicles that are primarily intended for land-use, have some amphibious capability, tactically useful inland, reducing dependence on bridges. They use their tracks, sometimes with added propeller or water jets for propulsion. As long as the banks have a shallow enough slopes to enter or leave the water they can cross rivers and water obstacles.
Some heavy tanks can operate amphibiously with a fabric skirt to add buoyancy. The Sherman DD tank used in the Normandy landings had this setup. When in water the waterproof float screen was raised and propellers deployed. Some modern vehicles use a similar skirt.
Airborne vehicles
Lightweight armoured fighting vehicles designed or modified to be carried by aircraft and delivered by air drop, helicopter lift, glider, or air landing with infantry to provide heavier tactical firepower and mobility. The air-equivalent to amphibious vehicles, the main advantage of airborne forces is their ability to be deployed into combat zones without land passage, as long as the airspace is accessible. Airborne vehicles are limited only by the tonnage capacity of their transport aircraft. Airborne vehicles typically lack the armour and supplies necessary for prolonged combat, so they are utilized for establishing an airhead to bring in larger forces before carrying out other combat objectives. One modern example is the German Wiesel AWC. The USA also created the M22 Locust as a way to aid paratroopers/ being paradropped in as it was very lightly armored and very small.
Armoured engineering vehicle
Modern engineering AFV's utilize chassis based on main battle tank platforms: these vehicles are as well armoured and protected as tanks, designed to keep up with tanks, breach obstacles to help tanks get to wherever it needs to be, perform utility functions necessary to expedite mission objectives of tanks, and to conduct other earth-moving and engineering work on the battlefield. These vehicles go by different names depending upon the country of use or manufacture. In the United States the term "combat engineer vehicle (CEV)" is used, in the United Kingdom the term "Armoured Vehicle Royal Engineers (AVRE)" is used, while in Canada and other commonwealth nations the term "armoured engineer vehicle (AEV)" is used. There is no set template for what such a vehicle will look like, yet likely features include a large dozer blade or mine ploughs, a large calibre demolition cannon, augers, winches, excavator arms and cranes, or lifting booms.
Although the term "armoured engineer vehicle" is used specifically to describe these multi-purpose tank-based engineering vehicles, that term is also used more generically in British and Commonwealth militaries to describe all heavy tank-based engineering vehicles used in the support of mechanized forces. Thus, "armoured engineer vehicle" used generically would refer to AEV, AVLB, Assault Breachers, and so on. Good examples of this type of vehicle include the UK Trojan AVRE, the Russian IMR, and the US M728 Combat Engineer Vehicle.
Breaching vehicle
A breaching vehicle is especially designed to clear pathways for troops and other vehicles through minefields and along roadside bombs and other improvised explosive devices. These vehicles are equipped with mechanical or other means for the breaching of man-made obstacles. Common types of breaching vehicles include mechanical flails, mine plough vehicles, and mine roller vehicles.
Armoured bulldozer
The armoured bulldozer is a basic tool of combat engineering. These combat engineering vehicles combine the earth moving capabilities of the bulldozer with armour which protects the vehicle and its operator in or near combat. Most are civilian bulldozers modified by addition of vehicle armour/military equipment, but some are tanks stripped of armament and fitted with a dozer blade. Some tanks have bulldozer blades while retaining their armament, but this does not make them armoured bulldozers as such, because combat remains the primary role – earth moving is a secondary task.
Armoured recovery vehicle
An armoured recovery vehicle (ARV) is a type of vehicle recovery armoured fighting vehicle used to repair battle- or mine-damaged as well as broken-down armoured vehicles during combat, or to tow them out of the danger zone for more extensive repairs. To this end the term armoured repair and recovery vehicle (ARRV) is also used.
ARVs are normally built on the chassis of a main battle tank (MBT), but some are also constructed on the basis of other armoured fighting vehicles, mostly armoured personnel carriers (APCs). ARVs are usually built on the basis of a vehicle in the same class as they are supposed to recover; a tank-based ARV is used to recover tanks, while an APC-based one recovers APCs, but does not have the power to tow a much heavier tank.
Armoured vehicle-launched bridge
An armoured vehicle-launched bridge (AVLB) is a combat support vehicle, sometimes regarded as a subtype of combat engineering vehicle, designed to assist militaries in rapidly deploying tanks and other armoured fighting vehicles across rivers. The AVLB is usually a tracked vehicle converted from a tank chassis to carry a folding metal bridge instead of weapons. The AVLB's job is to allow armoured or infantry units to cross water, when a river too deep for vehicles to wade through is reached, and no bridge is conveniently located (or sufficiently sturdy, a substantial concern when moving 60-ton tanks).
The bridge layer unfolds and launches its cargo, providing a ready-made bridge across the obstacle in only minutes. Once the span has been put in place, the AVLB vehicle detaches from the bridge, and moves aside to allow traffic to pass. Once all of the vehicles have crossed, it crosses the bridge itself and reattaches to the bridge on the other side. It then retracts the span ready to move off again. A similar procedure can be employed to allow crossings of small chasms or similar obstructions. AVLBs can carry bridges of or greater in length. By using a tank chassis, the bridge layer is able to cover the same terrain as main battle tanks, and the provision of armour allows them to operate even in the face of enemy fire. However, this is not a universal attribute: some exceptionally sturdy 6x6 or 8x8 truck chassis have lent themselves to bridge-layer applications.
Combat engineer section carriers
Combat engineer section carriers are used to transport sappers (combat engineers) and can be fitted with bulldozers' blades and other mine-breaching devices. They are often used as APCs because of their carrying ability and heavy protection. They are usually armed with machine guns and grenade launchers and usually tracked to provide enough tractive force to push blades and rakes. Some examples are the U.S. M113 APC, IDF Puma, Nagmachon, Husky, and U.S. M1132 ESV (a Stryker variant).
Air defence vehicles
An anti-aircraft vehicle, also known as a self-propelled anti-aircraft gun (SPAAG) or self-propelled air defense system (SPAD), is a mobile vehicle with a dedicated anti-aircraft capability.
Specific weapon systems used include machine guns, anti-aircraft autocannons, larger anti-air guns, or surface-to-air-missiles, and some mount both guns and longer-ranged missiles (e.g. the Pantsir-S1). Platforms used include both trucks and heavier combat vehicles such as armored personnel carriers and tanks, which add protection from aircraft, artillery, and small arms fire for front line deployment.
Anti-aircraft guns are usually mounted in a quickly-traversing turret with a high rate of elevation, for tracking fast-moving aircraft. They are often in dual or quadruple mounts, allowing a high rate of fire. In addition, most anti-aircraft guns can be used in a direct-fire role against surface targets to great effect. In the early 21st century, missiles (generally mounted on similar turrets) largely supplanted anti-aircraft guns, though guns have recently shown revived utility against slow, low-flying drones.
Artillery tractor
An artillery tractor, also referred to as a gun tractor, is a specialized heavy-duty form of tractor unit used to tow artillery pieces of varying weights and calibres. It may be wheeled, tracked, or half-tracked.
There are two main types of artillery tractors, depending on the type of traction: wheeled and tracked.
Wheeled tractors are usually variations of lorries adapted for military service.
Tracked tractors run on continuous track; in some cases are built on a modified tank chassis with the superstructure replaced with a compartment for the gun crew or ammunition.
In addition, half-track tractors were used in the interwar period and in World War II, especially by the Wehrmacht. This type of tractor was mostly discontinued postwar.
Self-propelled artillery
Self-propelled artillery vehicles give mobility to artillery. Within the term are covered self-propelled guns (or howitzers) and rocket artillery. They are highly mobile, usually based on tracked chassis carrying either a large howitzer or other field gun or alternatively a mortar or some form of rocket or missile launcher. They are usually used for long-range indirect bombardment support on the battlefield.
In the past, self-propelled artillery has included direct-fire "Gun Motor Carriage" vehicles, such as assault guns and tank destroyers (also known as self-propelled anti-tank guns). These have been heavily armoured vehicles, the former providing danger-close fire-support for infantry and the latter acting as specialized anti-tank vehicles.
Modern self-propelled artillery vehicles may superficially resemble tanks, but they are generally lightly armoured, too lightly to survive in direct-fire combat. However, they protect their crews against shrapnel and small arms and are therefore usually included as armoured fighting vehicles. Many are equipped with machine guns for defence against enemy infantry.
The key advantage of self-propelled over towed artillery is that it can be brought into action much faster. Before towed artillery can be used, it has to stop, unlimber and the guns set up. To move position, the guns must be limbered up again and brought – usually towed – to the new location. By comparison, self-propelled artillery in combination with modern communications, can stop at a chosen location and begin firing almost immediately, then quickly move on to a new position. This ability is very useful in a mobile conflict and particularly on the advance.
Conversely, towed artillery was and remains cheaper to build and maintain. It is also lighter and can be taken to places that self-propelled guns cannot reach, so despite the advantages of the self-propelled artillery, towed guns remain in the arsenals of many modern armies.
Assault gun
An assault gun is a gun or howitzer mounted on a motor vehicle or armoured chassis, designed for use in the direct fire role in support of infantry when attacking other infantry or fortified positions.
Historically, the custom-built fully armoured assault guns usually mounted the gun or howitzer in a fully enclosed casemate on a tank chassis. The use of a casemate instead of a gun turret limited these weapons' field of fire, but allowed a larger gun to be fitted relative to the chassis, more armour to be fitted for the same weight, and provided a cheaper construction. In most cases, these turretless vehicles also presented a lower profile as a target for the enemy.
Self-propelled siege mortar
A siege mortar is a form of self-propelled gun that holds a siege mortar. The only siege mortar ever built was the Karl-Gerät. It could be argued that these could be classified as a Mortar carrier.
Mortar carrier
A mortar carrier is a self-propelled artillery vehicle carrying a mortar as its primary weapon. Mortar carriers cannot be fired while on the move and some must be dismounted to fire. In U.S. Army doctrine, mortar carriers provide close and immediate indirect fire support for maneuver units while allowing for rapid displacement and quick reaction to the tactical situation. The ability to relocate not only allows fire support to be provided where it is needed faster, but also allows these units to avoid counter-battery fire. Mortar carriers have traditionally avoided direct contact with the enemy. Many units report never using secondary weapons in combat.
Prior to the Iraq War, American 120 mm mortar platoons reorganized from six M1064 mortar carriers and two M577 fire direction centres (FDC) to four M1064 and one FDC. The urban environment of Iraq made it difficult to utilize mortars. New technologies such as mortar ballistic computers and communication equipment and are being integrated. Modern era combat is becoming more reliant on direct fire support from mortar carrier machine guns.
Multiple rocket launcher
A multiple rocket launcher is a type of unguided rocket artillery system. Like other rocket artillery, multiple rocket launchers are less accurate and have a much lower (sustained) rate of fire than batteries of traditional artillery guns. However, they have the capability of simultaneously dropping many hundreds of kilograms of explosive, with devastating effect.
The Korean Hwacha is an example of an early weapon system with a resemblance to the modern-day multiple rocket launcher. The first self-propelled multiple rocket launchers – and arguably the most famous – were the Soviet BM-13 Katyushas, first used during World War II and exported to Soviet allies afterwards. They were simple systems in which a rack of launch rails was mounted on the back of a truck. This set the template for modern multiple rocket launchers. The first modern multiple rocket launcher was the German 15 cm Nebelwerfer 41 of the 1930s, a small towed artillery piece. Only later in World War II did the British deploy similar weapons in the form of the Land Mattress.The Americans mounted tubular launchers atop M4 Sherman tanks to create the T34 Calliope rocket launching tank, only used in small numbers, as their closest equivalent to the Katyusha.
Missile vehicle
Missile vehicles are trucks or tractor units designed to carry rockets or missiles. The missile vehicle may be a self-propelled unit, or the missile holder/launcher may be on a trailer towed by a prime mover. They are used in the military forces of a number of countries in the world. Long missiles are commonly transported parallel to the ground on these vehicles, but elevated into an inclined or vertical position for launching.
A Transporter erector launcher (TEL) is a missile vehicle with an integrated prime mover (tractor unit) that can carry, elevate to firing position and launch one or more missiles. Such vehicles exist for both surface-to-air missiles and surface-to-surface missiles.
Tank destroyer
Tank destroyers and tank hunters are armed with an anti-tank gun or anti-tank missile launcher, and are designed specifically to engage enemy armoured vehicles. Many have been based on a tracked tank chassis, while others are wheeled. Since World War II, main battle tanks have largely replaced gun-armed tank destroyers; although lightly armoured anti-tank guided missile (ATGM) carriers are commonly used for supplementary long-range anti-tank engagements.
In post-Cold War conflict, the resurgence of expeditionary warfare has seen the emergence of gun-armed wheeled vehicles, sometimes called "protected gun systems", which may bear a superficial resemblance to tank destroyers, but are employed as direct fire support units typically providing support in low intensity operations such as Iraq and Afghanistan. These have the advantage of easier deployment, as only the largest air transports can carry a main battle tank, and their smaller size makes them more effective in urban combat.
Many forces' IFVs carry anti-tank missiles in every infantry platoon, and attack helicopters have also added anti-tank capability to the modern battlefield. But there are still dedicated anti-tank vehicles with very heavy long-range missiles, or intended for airborne use. There have also been dedicated anti-tank vehicles built on ordinary armoured personnel carrier or armoured car chassis. Examples include the U.S. M901 ITV (Improved TOW Vehicle) and the Norwegian NM142, both on an M113 chassis, several Soviet ATGM launchers based on the BRDM scout car, the British FV438 Swingfire and FV102 Striker and the German Raketenjagdpanzer series built on the chassis of the HS 30 and Mardar IFVs.
Armoured train
An armoured train is a railway train protected with armour. They are usually equipped with rail cars armed with artillery, autocannons, machine guns, tank turrets and anti-aircraft guns. They were mostly used during the late 19th to mid-20th century, when they offered an innovative way to quickly move large amounts of firepower. Their use was discontinued in most countries when road vehicles became much more powerful and offered more flexibility, and because armoured trains were too vulnerable to track sabotage and attacks from the air. However, the Russian Federation used improvised armoured trains in the Second Chechen War in the late 1990s and 2000s. Armoured trains carrying ballistic missiles have also been used.
The rail cars on an armoured train were designed for many tasks, such as carrying artillery and machine guns, infantry units, anti-tank and anti-aircraft guns. During World War II, the Germans would sometimes put a Fremdgerät (captured AFVs such as the French Somua S-35 or Czech PzKpfw 38(t)), or obsolescent Panzer II light tanks on a flatbed rail car, which could quickly be offloaded by means of a ramp and used away from the railway line to chase down enemy partisans.
Different types of armour were used to protect armoured trains from attack. In addition to various metal plates, concrete and sandbags were used in some cases on armoured trains.
Armoured trains were sometimes escorted by a kind of rail-tank called a draisine. One such example was the Italian 'Littorina' armoured trolley, which had a cab in the front and rear, each with a control set so it could be driven down the tracks in either direction. Littorina mounted two dual 7.92mm MG13 machine gun turrets from Panzer I light tanks.
See also
References
Sources
External links
US Wheeled armoured fighting vehicles
Military vehicles by type
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African Americans, also known as Afro-Americans or Black Americans, are an ethnic group consisting of Americans with partial or total ancestry from any of the black racial groups of Africa. The term "African American" generally denotes descendants of enslaved Africans who are from the United States. While some Black immigrants or their children may also come to identify as African American, the majority of first-generation immigrants do not, preferring to identify with their nation of origin.
African Americans constitute the third largest racial ethnic group in the U.S. after White Americans and Hispanic and Latino Americans. Most African Americans are descendants of enslaved people within the boundaries of the present United States. On average, African Americans are of West and Central African, Western European, and Native American ancestry.
African American history began in the 16th century, with Africans from West and Central Africa being sold to European slave traders and transported across the Atlantic to the Western Hemisphere. After arriving in the Americas, they were sold as slaves to European colonists and put to work on plantations, particularly in the southern colonies. A few were able to achieve freedom through manumission or escape and founded independent communities before and during the American Revolution. After the United States was founded in 1783, most Black people continued to be enslaved, being most concentrated in the American South, with four million enslaved only liberated during and at the end of the Civil War in 1865. During Reconstruction, they gained citizenship and the right to vote; due to the widespread policy and ideology of White supremacy, they were largely treated as second-class citizens and found themselves soon disenfranchised in the South. These circumstances changed due to participation in the military conflicts of the United States, substantial migration out of the South, the elimination of legal racial segregation, and the civil rights movement which sought political and social freedom. However, racism against African Americans remains a problem into the 21st century. In 2008, Barack Obama became the first African American to be elected president of the United States.
African American culture has had a significant influence on worldwide culture, making numerous contributions to visual arts, literature, the English language, philosophy, politics, cuisine, sports, and music. The African American contribution to popular music is so profound that virtually all American music, including jazz, gospel, blues, disco, hip hop, R&B, soul and rock, has its origins either partially or entirely in the African American community.
History
Colonial era
The vast majority of those who were enslaved and transported in the transatlantic slave trade were people from Central and West Africa, who had been captured directly by the slave traders in coastal raids, or sold by other West Africans, or by half-European "merchant princes" to European slave traders, who brought them to the Americas. Enslaved Africans were kidnapped and sold off to the Americas before modern day African countries were formed, meaning they were taken from several ethnic groups from the continent of Africa who all had different cultures and languages.
The first African slaves arrived via Santo Domingo to the San Miguel de Gualdape colony (most likely located in the Winyah Bay area of present-day South Carolina), founded by Spanish explorer Lucas Vázquez de Ayllón in 1526. The ill-fated colony was almost immediately disrupted by a fight over leadership, during which the slaves revolted and fled the colony to seek refuge among local Native Americans. De Ayllón and many of the colonists died shortly afterward of an epidemic and the colony was abandoned. The settlers and the slaves who had not escaped returned to Haiti, whence they had come.
The marriage between Luisa de Abrego, a free Black domestic servant from Seville, and Miguel Rodríguez, a White Segovian conquistador in 1565 in St. Augustine (Spanish Florida), is the first known and recorded Christian marriage anywhere in what is now the continental United States.
The first recorded Africans in English America (including most of the future United States) were "20 and odd negroes" who came to Jamestown, Virginia via Cape Comfort in August 1619 as indentured servants. As many Virginian settlers began to die from harsh conditions, more and more Africans were brought to work as laborers.
An indentured servant (who could be White or Black) would work for several years (usually four to seven) without wages. The status of indentured servants in early Virginia and Maryland was similar to slavery. Servants could be bought, sold, or leased and they could be physically beaten for disobedience or running away. Unlike slaves, they were freed after their term of service expired or was bought out, their children did not inherit their status, and on their release from contract they received "a year's provision of corn, double apparel, tools necessary", and a small cash payment called "freedom dues". Africans could legally raise crops and cattle to purchase their freedom. They raised families, married other Africans and sometimes intermarried with Native Americans or European settlers.
By the 1640s and 1650s, several African families owned farms around Jamestown and some became wealthy by colonial standards and purchased indentured servants of their own. In 1640, the Virginia General Court recorded the earliest documentation of lifetime slavery when they sentenced John Punch, a Negro, to lifetime servitude under his master Hugh Gwyn for running away.
In the Spanish Florida some Spanish married or had unions with Pensacola, Creek or African women, both slave and free, and their descendants created a mixed-race population of mestizos and mulattos. The Spanish encouraged slaves from the colony of Georgia to come to Florida as a refuge, promising freedom in exchange for conversion to Catholicism. King Charles II issued a royal proclamation freeing all slaves who fled to Spanish Florida and accepted conversion and baptism. Most went to the area around St. Augustine, but escaped slaves also reached Pensacola. St. Augustine had mustered an all-Black militia unit defending Spanish Florida as early as 1683.
One of the Dutch African arrivals, Anthony Johnson, would later own one of the first Black "slaves", John Casor, resulting from the court ruling of a civil case.
The popular conception of a race-based slave system did not fully develop until the 18th century. The Dutch West India Company introduced slavery in 1625 with the importation of eleven Black slaves into New Amsterdam (present-day New York City). All the colony's slaves, however, were freed upon its surrender to the English.
Massachusetts was the first English colony to legally recognize slavery in 1641. In 1662, Virginia passed a law that children of enslaved women took the status of the mother, rather than that of the father, as under common law. This legal principle was called partus sequitur ventrum.
By an act of 1699, the colony ordered all free Blacks deported, virtually defining as slaves all people of African descent who remained in the colony. In 1670, the colonial assembly passed a law prohibiting free and baptized Blacks (and Indians) from purchasing Christians (in this act meaning White Europeans) but allowing them to buy people "of their owne nation".
In the Spanish Louisiana although there was no movement toward abolition of the African slave trade, Spanish rule introduced a new law called coartación, which allowed slaves to buy their freedom, and that of others. Although some did not have the money to buy their freedom, government measures on slavery allowed many free Blacks. That brought problems to the Spaniards with the French Creoles who also populated Spanish Louisiana, French creoles cited that measure as one of the system's worst elements.
First established in South Carolina in 1704, groups of armed White men—slave patrols—were formed to monitor enslaved Black people. Their function was to police slaves, especially fugitives. Slave owners feared that slaves might organize revolts or slave rebellions, so state militias were formed in order to provide a military command structure and discipline within the slave patrols so they could be used to detect, encounter, and crush any organized slave meetings which might lead to revolts or rebellions.
The earliest African American congregations and churches were organized before 1800 in both northern and southern cities following the Great Awakening. By 1775, Africans made up 20% of the population in the American colonies, which made them the second largest ethnic group after English Americans.
From the American Revolution to the Civil War
During the 1770s, Africans, both enslaved and free, helped rebellious American colonists secure their independence by defeating the British in the American Revolutionary War. Blacks played a role in both sides in the American Revolution. Activists in the Patriot cause included James Armistead, Prince Whipple, and Oliver Cromwell. Around 15,000 Black Loyalists left with the British after the war, most of them ending up as free Black people in England or its colonies, such as the Black Nova Scotians and the Sierra Leone Creole people.
In the Spanish Louisiana, Governor Bernardo de Gálvez organized Spanish free Black men into two militia companies to defend New Orleans during the American Revolution. They fought in the 1779 battle in which Spain captured Baton Rouge from the British. Gálvez also commanded them in campaigns against the British outposts in Mobile, Alabama, and Pensacola, Florida. He recruited slaves for the militia by pledging to free anyone who was seriously wounded and promised to secure a low price for coartación (buy their freedom and that of others) for those who received lesser wounds. During the 1790s, Governor Francisco Luis Héctor, baron of Carondelet reinforced local fortifications and recruit even more free Black men for the militia. Carondelet doubled the number of free Black men who served, creating two more militia companies—one made up of Black members and the other of pardo (mixed race). Serving in the militia brought free Black men one step closer to equality with Whites, allowing them, for example, the right to carry arms and boosting their earning power. However, actually these privileges distanced free Black men from enslaved Blacks and encouraged them to identify with Whites.
Slavery had been tacitly enshrined in the U.S. Constitution through provisions such as Article I, Section 2, Clause 3, commonly known as the 3/5 compromise. Because of Section 9, Clause 1, Congress was unable to pass an Act Prohibiting Importation of Slaves until 1807. Fugitive slave laws (derived from the Fugitive Slave Clause of the Constitution—Article IV, Section 2, Clause 3) were passed by Congress in 1793 and 1850, guaranteeing the right for a slaveholder to recover an escaped slave within the U.S. Slave owners, who viewed slaves as property, made it a federal crime to assist those who had escaped slavery or to interfere with their capture. Slavery, which by then meant almost exclusively Black people, was the most important political issue in the Antebellum United States, leading to one crisis after another. Among these were the Missouri Compromise, the Compromise of 1850, the Dred Scott decision, and John Brown's raid on Harpers Ferry.
Prior to the Civil War, eight serving presidents owned slaves, a practice protected by the U.S. Constitution. By 1860, there were 3.5 to 4.4 million enslaved Black people in the U.S. due to the Atlantic slave trade, and another 488,000–500,000 Blacks lived free (with legislated limits) across the country. With legislated limits imposed upon them in addition to "unconquerable prejudice" from Whites according to Henry Clay, some Black people who were not enslaved left the U.S. for Liberia in West Africa. Liberia began as a settlement of the American Colonization Society (ACS) in 1821, with the abolitionist members of the ACS believing Blacks would face better chances for freedom and equality in Africa.
The slaves not only constituted a large investment, they produced America's most valuable product and export: cotton. They helped build the United States Capitol, the White House and other Washington, D.C.-based buildings.) Similar building projects existed in the slave states.
By 1815, the domestic slave trade had become a major economic activity in the United States; it lasted until the 1860s. Historians estimate nearly one million in total took part in the forced migration of this new "Middle Passage". The historian Ira Berlin called this forced migration of slaves the "central event" in the life of a slave between the American Revolution and the Civil War, writing that whether slaves were directly uprooted or lived in fear that they or their families would be involuntarily moved, "the massive deportation traumatized black people". Individuals lost their connection to families and clans, and many ethnic Africans lost their knowledge of varying tribal origins in Africa.
The 1863 photograph of Wilson Chinn, a branded slave from Louisiana, like the one of Gordon and his scarred back, served as two early examples of how the newborn medium of photography could encapsulate the cruelty of slavery.
Emigration of free Blacks to their continent of origin had been proposed since the Revolutionary war. After Haiti became independent, it tried to recruit African Americans to migrate there after it re-established trade relations with the United States. The Haitian Union was a group formed to promote relations between the countries. After riots against Blacks in Cincinnati, its Black community sponsored founding of the Wilberforce Colony, an initially successful settlement of African American immigrants to Canada. The colony was one of the first such independent political entities. It lasted for a number of decades and provided a destination for about 200 Black families emigrating from a number of locations in the United States.
In 1863, during the American Civil War, President Abraham Lincoln signed the Emancipation Proclamation. The proclamation declared that all slaves in Confederate-held territory were free. Advancing Union troops enforced the proclamation, with Texas being the last state to be emancipated, in 1865.
Slavery in a few border states continued until the ratification of the Thirteenth Amendment in December 1865. While the Naturalization Act of 1790 limited U.S. citizenship to Whites only, the 14th Amendment (1868) gave Black people citizenship, and the 15th Amendment (1870) gave Black men the right to vote.
Reconstruction era and Jim Crow
African Americans quickly set up congregations for themselves, as well as schools and community/civic associations, to have space away from White control or oversight. While the post-war Reconstruction era was initially a time of progress for African Americans, that period ended in 1876. By the late 1890s, Southern states enacted Jim Crow laws to enforce racial segregation and disenfranchisement. Segregation was now imposed with Jim Crow laws, using signs used to show Blacks where they could legally walk, talk, drink, rest, or eat. For those places that were racially mixed, non-Whites had to wait until all White customers were dealt with. Most African Americans obeyed the Jim Crow laws, to avoid racially motivated violence. To maintain self-esteem and dignity, African Americans such as Anthony Overton and Mary McLeod Bethune continued to build their own schools, churches, banks, social clubs, and other businesses.
In the last decade of the 19th century, racially discriminatory laws and racial violence aimed at African Americans began to mushroom in the United States, a period often referred to as the "nadir of American race relations". These discriminatory acts included racial segregation—upheld by the United States Supreme Court decision in Plessy v. Ferguson in 1896—which was legally mandated by southern states and nationwide at the local level of government, voter suppression or disenfranchisement in the southern states, denial of economic opportunity or resources nationwide, and private acts of violence and mass racial violence aimed at African Americans unhindered or encouraged by government authorities.
Great migration and civil rights movement
The desperate conditions of African Americans in the South sparked the Great Migration during the first half of the 20th century which led to a growing African American community in Northern and Western United States. The rapid influx of Blacks disturbed the racial balance within Northern and Western cities, exacerbating hostility between both Blacks and Whites in the two regions. The Red Summer of 1919 was marked by hundreds of deaths and higher casualties across the U.S. as a result of race riots that occurred in more than three dozen cities, such as the Chicago race riot of 1919 and the Omaha race riot of 1919. Overall, Blacks in Northern and Western cities experienced systemic discrimination in a plethora of aspects of life. Within employment, economic opportunities for Blacks were routed to the lowest-status and restrictive in potential mobility. At the 1900 Hampton Negro Conference, Reverend Matthew Anderson said: "...the lines along most of the avenues of wage earning are more rigidly drawn in the North than in the South." Within the housing market, stronger discriminatory measures were used in correlation to the influx, resulting in a mix of "targeted violence, restrictive covenants, redlining and racial steering". While many Whites defended their space with violence, intimidation, or legal tactics toward African Americans, many other Whites migrated to more racially homogeneous suburban or exurban regions, a process known as White flight.
Despite discrimination, drawing cards for leaving the hopelessness in the South were the growth of African American institutions and communities in Northern cities. Institutions included Black oriented organizations (e.g., Urban League, NAACP), churches, businesses, and newspapers, as well as successes in the development in African American intellectual culture, music, and popular culture (e.g., Harlem Renaissance, Chicago Black Renaissance). The Cotton Club in Harlem was a Whites-only establishment, with Blacks (such as Duke Ellington) allowed to perform, but to a White audience. Black Americans also found a new ground for political power in Northern cities, without the enforced disabilities of Jim Crow.
By the 1950s, the civil rights movement was gaining momentum. A 1955 lynching that sparked public outrage about injustice was that of Emmett Till, a 14-year-old boy from Chicago. Spending the summer with relatives in Money, Mississippi, Till was killed for allegedly having wolf-whistled at a White woman. Till had been badly beaten, one of his eyes was gouged out, and he was shot in the head. The visceral response to his mother's decision to have an open-casket funeral mobilized the Black community throughout the U.S. Vann R. Newkirk wrote "the trial of his killers became a pageant illuminating the tyranny of White supremacy". The state of Mississippi tried two defendants, but they were speedily acquitted by an all-White jury. One hundred days after Emmett Till's murder, Rosa Parks refused to give up her seat on the bus in Alabama—indeed, Parks told Emmett's mother Mamie Till that "the photograph of Emmett's disfigured face in the casket was set in her mind when she refused to give up her seat on the Montgomery bus."
The March on Washington for Jobs and Freedom and the conditions which brought it into being are credited with putting pressure on presidents John F. Kennedy and Lyndon B. Johnson. Johnson put his support behind passage of the Civil Rights Act of 1964 that banned discrimination in public accommodations, employment, and labor unions, and the Voting Rights Act of 1965, which expanded federal authority over states to ensure Black political participation through protection of voter registration and elections. By 1966, the emergence of the Black Power movement, which lasted from 1966 to 1975, expanded upon the aims of the civil rights movement to include economic and political self-sufficiency, and freedom from White authority.
During the post-war period, many African Americans continued to be economically disadvantaged relative to other Americans. Average Black income stood at 54 percent of that of White workers in 1947, and 55 percent in 1962. In 1959, median family income for Whites was $5,600 (), compared with $2,900 () for non-White families. In 1965, 43 percent of all Black families fell into the poverty bracket, earning under $3,000 () a year. The 1960s saw improvements in the social and economic conditions of many Black Americans.
From 1965 to 1969, Black family income rose from 54 to 60 percent of White family income. In 1968, 23 percent of Black families earned under $3,000 () a year, compared with 41 percent in 1960. In 1965, 19 percent of Black Americans had incomes equal to the national median, a proportion that rose to 27 percent by 1967. In 1960, the median level of education for Blacks had been 10.8 years, and by the late 1960s, the figure rose to 12.2 years, half a year behind the median for Whites.
Post–civil rights era
Politically and economically, African Americans have made substantial strides during the post–civil rights era. In 1967, Thurgood Marshall became the first African American Supreme Court Justice. In 1968, Shirley Chisholm became the first Black woman elected to the U.S. Congress. In 1989, Douglas Wilder became the first African American elected governor in U.S. history. Clarence Thomas succeeded Marshall to become the second African American Supreme Court Justice in 1991. In 1992, Carol Moseley-Braun of Illinois became the first African American woman elected to the U.S. Senate. There were 8,936 Black officeholders in the United States in 2000, showing a net increase of 7,467 since 1970. In 2001, there were 484 Black mayors.
In 2005, the number of Africans immigrating to the United States, in a single year, surpassed the peak number who were involuntarily brought to the United States during the Atlantic Slave Trade. On November 4, 2008, Democratic Senator Barack Obama defeated Republican Senator John McCain to become the first African American to be elected president. At least 95 percent of African American voters voted for Obama. He also received overwhelming support from young and educated Whites, a majority of Asians, and Hispanics, picking up a number of new states in the Democratic electoral column. Obama lost the overall White vote, although he won a larger proportion of White votes than any previous nonincumbent Democratic presidential candidate since Jimmy Carter. Obama was reelected for a second and final term, by a similar margin on November 6, 2012. In 2021, Kamala Harris became the first woman, the first African American, and the first Asian American to serve as Vice President of the United States. In June 2021, Juneteenth, a day which commemorates the end of slavery in the US, became a federal holiday.
Demographics
In 1790, when the first U.S. census was taken, Africans (including slaves and free people) numbered about 760,000—about 19.3% of the population. In 1860, at the start of the Civil War, the African American population had increased to 4.4 million, but the percentage rate dropped to 14% of the overall population of the country. The vast majority were slaves, with only 488,000 counted as "freemen". By 1900, the Black population had doubled and reached 8.8 million.
In 1910, about 90% of African Americans lived in the South. Large numbers began migrating north looking for better job opportunities and living conditions, and to escape Jim Crow laws and racial violence. The Great Migration, as it was called, spanned the 1890s to the 1970s. From 1916 through the 1960s, more than 6 million Black people moved north. But in the 1970s and 1980s, that trend reversed, with more African Americans moving south to the Sun Belt than leaving it.
The following table of the African American population in the United States over time shows that the African American population, as a percentage of the total population, declined until 1930 and has been rising since then.
By 1990, the African American population reached about 30 million and represented 12% of the U.S. population, roughly the same proportion as in 1900.
At the time of the 2000 U.S. census, 54.8% of African Americans lived in the South. In that year, 17.6% of African Americans lived in the Northeast and 18.7% in the Midwest, while only 8.9% lived in the Western states. The west does have a sizable Black population in certain areas, however. California, the nation's most populous state, has the fifth largest African American population, only behind New York, Texas, Georgia, and Florida. According to the 2000 Census, approximately 2.05% of African Americans identified as Hispanic or Latino in origin, many of whom may be of Brazilian, Puerto Rican, Dominican, Cuban, Haitian, or other Latin American descent. The only self-reported ancestral groups larger than African Americans are the Irish and Germans.
According to the 2010 census, nearly 3% of people who self-identified as Black had recent ancestors who immigrated from another country. Self-reported non-Hispanic Black immigrants from the Caribbean, mostly from Jamaica and Haiti, represented 0.9% of the U.S. population, at 2.6 million. Self-reported Black immigrants from sub-Saharan Africa also represented 0.9%, at about 2.8 million. Additionally, self-identified Black Hispanics represented 0.4% of the United States population, at about 1.2 million people, largely found within the Puerto Rican and Dominican communities. Self-reported Black immigrants hailing from other countries in the Americas, such as Brazil and Canada, as well as several European countries, represented less than 0.1% of the population. Mixed-race Hispanic and non-Hispanic Americans who identified as being part Black, represented 0.9% of the population. Of the 12.6% of United States residents who identified as Black, around 10.3% were "native Black American" or ethnic African Americans, who are direct descendants of West/Central Africans brought to the U.S. as slaves. These individuals make up well over 80% of all Blacks in the country. When including people of mixed-race origin, about 13.5% of the U.S. population self-identified as Black or "mixed with Black". However, according to the U.S. Census Bureau, evidence from the 2000 census indicates that many African and Caribbean immigrant ethnic groups do not identify as "Black, African Am., or Negro". Instead, they wrote in their own respective ethnic groups in the "Some Other Race" write-in entry. As a result, the census bureau devised a new, separate "African American" ethnic group category in 2010 for ethnic African Americans.
Historically, African Americans have been undercounted in the U.S. census due to a number of factors and biases. In the 2020 census, the African American population was undercounted at an estimated rate of 3.3%, up from 2.1% in 2010.
Texas has the largest African American population by state. Followed by Texas is Florida, with 3.8 million, and Georgia, with 3.6 million.
U.S. cities
After 100 years of African Americans leaving the south in large numbers seeking better opportunities and treatment in the west and north, a movement known as the Great Migration, there is now a reverse trend, called the New Great Migration. As with the earlier Great Migration, the New Great Migration is primarily directed toward cities and large urban areas, such as Atlanta, Charlotte, Houston, Dallas, Raleigh, Tampa, San Antonio, New Orleans, Memphis, Nashville, Jacksonville, and so forth. A growing percentage of African Americans from the west and north are migrating to the southern region of the U.S. for economic and cultural reasons. New York City, Chicago, and Los Angeles have the highest decline in African Americans, while Atlanta, Dallas, and Houston have the highest increase respectively. Despite recent declines, as of 2020, the New York City metropolitan area still has the largest African American metropolitan population in the United States and the only to have over 3 million African Americans.
Among cities of 100,000 or more, South Fulton, Georgia had the highest percentage of Black residents of any large U.S. city in 2020, with 93%. Other large cities with African American majorities include Jackson, Mississippi (80%), Detroit, Michigan (80%), Birmingham, Alabama (70%), Miami Gardens, Florida (67%), Memphis, Tennessee (63%), Montgomery, Alabama (62%), Baltimore, Maryland (60%), Augusta, Georgia (59%), Shreveport, Louisiana (58%), New Orleans, Louisiana (57%), Macon, Georgia (56%), Baton Rouge, Louisiana (55%), Hampton, Virginia (53%), Newark, New Jersey (53%), Mobile, Alabama (53%), Cleveland, Ohio (52%), Brockton, Massachusetts (51%), and Savannah, Georgia (51%).
The nation's most affluent community with an African American majority resides in View Park–Windsor Hills, California, with an annual median household income of $159,618. Other largely affluent and African American communities include Prince George's County (namely Mitchellville, Woodmore, Upper Marlboro) and Charles County in Maryland, Dekalb County (namely Stonecrest, Lithonia, Smoke Rise) and South Fulton in Georgia, Charles City County in Virginia, Baldwin Hills in California, Hillcrest and Uniondale in New York, and Cedar Hill, DeSoto, and Missouri City in Texas. Queens County, New York is the only county with a population of 65,000 or more where African Americans have a higher median household income than White Americans.
Seatack, Virginia is currently the oldest African American community in the United States. It survives today with a vibrant and active civic community.
Education
During slavery, anti-literacy laws were enacted in the U.S. that prohibited education for Black people. Slave owners saw literacy as a threat to the institution of slavery. As a North Carolina statute stated, "Teaching slaves to read and write, tends to excite dissatisfaction in their minds, and to produce insurrection and rebellion."
When slavery was finally abolished in 1865, public educational systems were expanding across the country. By 1870, around seventy-four institutions in the south provided a form of advanced education for African American students. By 1900, over a hundred programs at these schools provided training for Black professionals, including teachers. Many of the students at Fisk University, including the young W. E. B. Du Bois, taught school during the summers to support their studies.
African Americans were very concerned to provide quality education for their children, but White supremacy limited their ability to participate in educational policymaking on the political level. State governments soon moved to undermine their citizenship by restricting their right to vote. By the late 1870s, Blacks were disenfranchised and segregated across the American South. White politicians in Mississippi and other states withheld financial resources and supplies from Black schools. Nevertheless, the presence of Black teachers, and their engagement with their communities both inside and outside the classroom, ensured that Black students had access to education despite these external constraints.
During World War II, demands for unity and racial tolerance on the home front provided an opening for the first Black history curriculum in the country. For example, during the early 1940s, Madeline Morgan, a Black teacher in the Chicago public schools, created a curriculum for students in grades one through eight highlighting the contributions of Black people to the history of the United States. At the close of the war, Chicago's Board of Education downgraded the curriculum's status from mandatory to optional.
Predominantly Black schools for kindergarten through twelfth grade students were common throughout the U.S. before the 1970s. By 1972, however, desegregation efforts meant that only 25% of Black students were in schools with more than 90% non-White students. However, since then, a trend towards re-segregation affected communities across the country: by 2011, 2.9 million African American students were in such overwhelmingly minority schools, including 53% of Black students in school districts that were formerly under desegregation orders.
As late as 1947, about one third of African Americans over 65 were considered to lack the literacy to read and write their own names. By 1969, illiteracy as it had been traditionally defined, had been largely eradicated among younger African Americans.
U.S. census surveys showed that by 1998, 89 percent of African Americans aged 25 to 29 had completed a high-school education, less than Whites or Asians, but more than Hispanics. On many college and university entrance exams or on standardized tests and grades, African Americans have historically lagged behind Whites, but some studies suggest that the achievement gap has been closing. Many policy makers have proposed that this gap can and will be eliminated through policies such as affirmative action, desegregation, and multiculturalism.
Between 1995 and 2009, freshmen college enrollment for African Americans increased by 73 percent and only 15 percent for Whites. Black women are enrolled in college more than any other race and gender group, leading all with 9.7% enrolled according to the 2011 U.S. Census Bureau.
The average high school graduation rate of Blacks in the United States has steadily increased to 71% in 2013. Separating this statistic into component parts shows it varies greatly depending upon the state and the school district examined. 38% of Black males graduated in the state of New York but in Maine 97% graduated and exceeded the White male graduation rate by 11 percentage points. In much of the southeastern United States and some parts of the southwestern United States the graduation rate of White males was in fact below 70% such as in Florida where 62% of White males graduated from high school. Examining specific school districts paints an even more complex picture. In the Detroit school district, the graduation rate of Black males was 20% but 7% for White males. In the New York City school district 28% of Black males graduate from high school compared to 57% of White males. In Newark County 76% of Black males graduated compared to 67% for White males. Further academic improvement has occurred in 2015. Roughly 23% of all Blacks have bachelor's degrees. In 1988, 21% of Whites had obtained a bachelor's degree versus 11% of Blacks. In 2015, 23% of Blacks had obtained a bachelor's degree versus 36% of Whites. Foreign born Blacks, 9% of the Black population, made even greater strides. They exceed native born Blacks by 10 percentage points.
College Board, which runs the official college-level advanced placement (AP) programs in American high schools, have has received criticism in recent years that its curricula have focused too much on Euro-centric history. In 2020, College Board reshaped some curricula among history-based courses to further reflect the African diaspora. In 2021, College Board announced it would be piloting an AP African American Studies course between 2022 and 2024. The course is expected to launch in 2024.
Historically Black colleges and universities
Historically Black colleges and universities (HBCUs), which were founded when segregated institutions of higher learning did not admit African Americans, continue to thrive and educate students of all races today. There are 101 HBCUs representing three percent of the nation's colleges and universities with the majority established in the Southeast. HBCUs have been largely responsible for establishing and expanding the African American middle-class by providing opportunities not usually given to African Americans.
Economic status
African Americans' economic status has improved some since the civil rights era. The racial disparity in poverty rates has narrowed. The poverty rate among African Americans has decreased from 24.7% in 2004 to 18.8% in 2020, compared to 10.5% for all Americans. Poverty is associated with higher rates of marital stress and dissolution, physical and mental health problems, disability, cognitive deficits, low educational attainment, and crime.
African Americans have a long and diverse history of business ownership. Although the first African American business is unknown, slaves captured from West Africa are believed to have established commercial enterprises as peddlers and skilled craftspeople as far back as the 17th century. Around 1900, Booker T. Washington became the most famous proponent of African American businesses. His critic and rival W. E. B. DuBois also commended business as a vehicle for African American advancement.
African Americans had a combined buying power of over $1.6 trillion as of 2021, a 171% increase of their buying power in 2000 but lagging significantly in growth behind American Latinos and Asians in the same timer period (with 288% and 383%, respectively; for reference, US growth overall was 144% in the same period); however, African American net worth had shrunk 14% in the previous year despite strong growth in property prices and the S&P 500. In 2002, African American-owned businesses accounted for 1.2 million of the US's 23 million businesses. , African American-owned businesses account for approximately 2 million US businesses. Black-owned businesses experienced the largest growth in number of businesses among minorities from 2002 to 2011.
Twenty-five percent of Blacks had white-collar occupations (management, professional, and related fields) in 2000, compared with 33.6% of Americans overall. In 2001, over half of African American households of married couples earned $50,000 or more. Although in the same year African Americans were over-represented among the nation's poor, this was directly related to the disproportionate percentage of African American families headed by single women; such families are collectively poorer, regardless of ethnicity.
In 2006, the median earnings of African American men was more than Black and non-Black American women overall, and in all educational levels. At the same time, among American men, income disparities were significant; the median income of African American men was approximately 76 cents for every dollar of their European American counterparts, although the gap narrowed somewhat with a rise in educational level.
Overall, the median earnings of African American men were 72 cents for every dollar earned of their Asian American counterparts, and $1.17 for every dollar earned by Hispanic men. On the other hand, by 2006, among American women with post-secondary education, African American women have made significant advances; the median income of African American women was more than those of their Asian-, European- and Hispanic American counterparts with at least some college education.
The U.S. public sector is the single most important source of employment for African Americans. During 2008–2010, 21.2% of all Black workers were public employees, compared with 16.3% of non-Black workers. Both before and after the onset of the Great Recession, African Americans were 30% more likely than other workers to be employed in the public sector. The public sector is also a critical source of decent-paying jobs for Black Americans. For both men and women, the median wage earned by Black employees is significantly higher in the public sector than in other industries.
In 1999, the median income of African American families was $33,255 compared to $53,356 of European Americans. In times of economic hardship for the nation, African Americans suffer disproportionately from job loss and underemployment, with the Black underclass being hardest hit. The phrase "last hired and first fired" is reflected in the Bureau of Labor Statistics unemployment figures. Nationwide, the October 2008 unemployment rate for African Americans was 11.1%, while the nationwide rate was 6.5%. In 2007, the average income for African Americans was approximately $34,000, compared to $55,000 for Whites. African Americans experience a higher rate of unemployment than the general population.
The income gap between Black and White families is also significant. In 2005, employed Blacks earned 65% of the wages of Whites, down from 82% in 1975. The New York Times reported in 2006 that in Queens, New York, the median income among African American families exceeded that of White families, which the newspaper attributed to the growth in the number of two-parent Black families. It noted that Queens was the only county with more than 65,000 residents where that was true. In 2011, it was reported that 72% of Black babies were born to unwed mothers. The poverty rate among single-parent Black families was 39.5% in 2005, according to Walter E. Williams, while it was 9.9% among married-couple Black families. Among White families, the respective rates were 26.4% and 6% in poverty.
Collectively, African Americans are more involved in the American political process than other minority groups in the United States, indicated by the highest level of voter registration and participation in elections among these groups in 2004. African Americans also have the highest level of Congressional representation of any minority group in the U.S.
African American homeownership
Homeownership in the U.S. is the strongest indicator of financial stability and the primary asset most Americans use to generate wealth. African Americans continue to lag behind other racial groups in becoming homeowners. In the first quarter of 2021, 45.1% of African Americans owned their homes, compared to 65.3% of all Americans. The African American homeownership rate has remained relatively flat since the 1970s despite an increase in anti-discrimination housing laws and protections. The average white high-school drop-out still has a slightly better chance of owning a home than the average African American college graduate usually due to above-average debt-to-income ratios or below-average credit scores among most African American college graduates. Since 2000, fast-growing housing costs in most cities have made it even more difficult for the African-American homeownership rate to significantly grow and reach over 50% for the first time in history. From 2000 to 2022, the median home price in the U.S. grew 160%, outpacing average annual household income growth in that same period, which only grew about 30%. South Carolina is the state with the most African American home ownership, with about 55% of African Americans owning their own homes.
Politics
Since the mid 20th century, a large majority of African Americans support the Democratic Party. In the 2020 Presidential election, 91% of African American voters supported Democrat Joe Biden, while 8% supported Republican Donald Trump. Although there is an African American lobby in foreign policy, it has not had the impact that African American organizations have had in domestic policy.
Many African Americans were excluded from electoral politics in the decades following the end of Reconstruction. For those that could participate, until the New Deal, African Americans were supporters of the Republican Party because it was Republican President Abraham Lincoln who helped in granting freedom to American slaves; at the time, the Republicans and Democrats represented the sectional interests of the North and South, respectively, rather than any specific ideology, and both conservative and liberal were represented equally in both parties.
The African American trend of voting for Democrats can be traced back to the 1930s during the Great Depression, when Franklin D. Roosevelt's New Deal program provided economic relief to African Americans. Roosevelt's New Deal coalition turned the Democratic Party into an organization of the working class and their liberal allies, regardless of region. The African American vote became even more solidly Democratic when Democratic presidents John F. Kennedy and Lyndon B. Johnson pushed for civil rights legislation during the 1960s. In 1960, nearly a third of African Americans voted for Republican Richard Nixon.
Black national anthem
"Lift Every Voice and Sing" is often referred to as the Black national anthem in the United States. In 1919, the National Association for the Advancement of Colored People (NAACP) had dubbed it the "Negro national anthem" for its power in voicing a cry for liberation and affirmation for African American people.
Sexuality
According to a Gallup survey, 4.6% of Black or African Americans self-identified as LGBT in 2016, while the total portion of American adults in all ethnic groups identifying as LGBT was 4.1% in 2016.
Health
General
The life expectancy for Black men in 2008 was 70.8 years. Life expectancy for Black women was 77.5 years in 2008. In 1900, when information on Black life expectancy started being collated, a Black man could expect to live to 32.5 years and a Black woman 33.5 years. In 1900, White men lived an average of 46.3 years and White women lived an average of 48.3 years. African American life expectancy at birth is persistently five to seven years lower than European Americans. Black men have shorter lifespans than any other group in the US besides Native American men.
Black people have higher rates of obesity, diabetes, and hypertension than the U.S. average. For adult Black men, the rate of obesity was 31.6% in 2010. For adult Black women, the rate of obesity was 41.2% in 2010. African Americans have higher rates of mortality than any other racial or ethnic group for 8 of the top 10 causes of death. In 2013, among men, Black men had the highest rate of getting cancer, followed by White, Hispanic, Asian/Pacific Islander (A/PI), and American Indian/Alaska Native (AI/AN) men. Among women, White women had the highest rate of getting cancer, followed by Black, Hispanic, Asian/Pacific Islander, and American Indian/Alaska Native women. African Americans also have higher prevalence and incidence of Alzheimer's disease compared to the overall average.
Violence has an impact upon African American life expectancy. A report from the U.S. Department of Justice states "In 2005, homicide victimization rates for blacks were 6 times higher than the rates for whites". The report also found that "94% of black victims were killed by blacks." Black boys and men age 15–44 are the only race/sex category for which homicide is a top-five cause of death.
In December 2020, African Americans were less likely to be vaccinated against COVID-19 due to mistrust in the U.S. medical system related to decades of abuses and anti-black treatment. From 2021 to 2022, there was an increase in African Americans who became vaccinated. Still, in 2022, COVID-19 complications became the third leading cause of death for African Americans.
Sexual health
According to the Centers for Disease Control and Prevention, African Americans have higher rates of sexually transmitted infections (STIs) compared to Whites, with 5 times the rates of syphilis and chlamydia, and 7.5 times the rate of gonorrhea.
The disproportionately high incidence of HIV/AIDS among African Americans has been attributed to homophobic influences and lack of access to proper healthcare. The prevalence of HIV/AIDS among Black men is seven times higher than the prevalence for White men, and Black men are more than nine times as likely to die from HIV/AIDS-related illness than White men.
Mental health
African Americans have several barriers for accessing mental health services. Counseling has been frowned upon and distant in utility and proximity to many people in the African American community. In 2004, a qualitative research study explored the disconnect with African Americans and mental health. The study was conducted as a semi-structured discussion which allowed the focus group to express their opinions and life experiences. The results revealed a couple key variables that create barriers for many African American communities to seek mental health services such as the stigma, lack of four important necessities; trust, affordability, cultural understanding and impersonal services.
Historically, many African American communities did not seek counseling because religion was a part of the family values. African American who have a faith background are more likely to seek prayer as a coping mechanism for mental issues rather than seeking professional mental health services. In 2015 a study concluded, African Americans with high value in religion are less likely to utilize mental health services compared to those who have low value in religion.
Most counseling approaches are westernized and do not fit within the African American culture. African American families tend to resolve concerns within the family, and it is viewed by the family as a strength. On the other hand, when African Americans seek counseling, they face a social backlash and are criticized. They may be labeled "crazy", viewed as weak, and their pride is diminished. Because of this, many African Americans instead seek mentorship within communities they trust.
Terminology is another barrier in relation to African Americans and mental health. There is more stigma on the term psychotherapy versus counseling. In one study, psychotherapy is associated with mental illness whereas counseling approaches problem-solving, guidance and help. More African Americans seek assistance when it is called counseling and not psychotherapy because it is more welcoming within the cultural and community. Counselors are encouraged to be aware of such barriers for the well-being of African American clients. Without cultural competency training in health care, many African Americans go unheard and misunderstood.
Although suicide is a top-10 cause of death for men overall in the US, it is not a top-10 cause of death for Black men.
Genetics
Genome-wide studies
Recent surveys of African Americans using a genetic testing service have found varied ancestries which show different tendencies by region and sex of ancestors. These studies found that on average, African Americans have 73.2–82.1% West African, 16.7%–24% European, and 0.8–1.2% Native American genetic ancestry, with large variation between individuals. Genetics websites themselves have reported similar ranges, with some finding 1 or 2 percent Native American ancestry and Ancestry.com reporting an outlying percentage of European ancestry among African Americans, 29%.
According to a genome-wide study by Bryc et al. (2009), the mixed ancestry of African Americans in varying ratios came about as the result of sexual contact between West/Central Africans (more frequently females) and Europeans (more frequently males). Consequently, the 365 African Americans in their sample have a genome-wide average of 78.1% West African ancestry and 18.5% European ancestry, with large variation among individuals (ranging from 99% to 1% West African ancestry). The West African ancestral component in African Americans is most similar to that in present-day speakers from the non-Bantu branches of the Niger-Congo (Niger-Kordofanian) family.
Correspondingly, Montinaro et al. (2014) observed that around 50% of the overall ancestry of African Americans traces comes from a population similar to the Niger-Congo-speaking Yoruba of southern Nigeria and southern Benin, reflecting the centrality of this West African region in the Atlantic slave trade. The next most frequent ancestral component found among African Americans was derived from Great Britain, in keeping with historical records. It constitutes a little over 10% of their overall ancestry and is most similar to the Northwest European ancestral component also carried by Barbadians. Zakharaia et al. (2009) found a similar proportion of Yoruba-like ancestry in their African American samples, with a minority also drawn from Mandenka and Bantu populations. Additionally, the researchers observed an average European ancestry of 21.9%, again with significant variation between individuals. Bryc et al. (2009) note that populations from other parts of the continent may also constitute adequate proxies for the ancestors of some African American individuals; namely, ancestral populations from Guinea Bissau, Senegal and Sierra Leone in West Africa and Angola in Southern Africa.
Altogether, genetic studies suggest that African Americans are a genetically diverse people. According to DNA analysis led in 2006 by Penn State geneticist Mark D. Shriver, around 58 percent of African Americans have at least 12.5% European ancestry (equivalent to one European great-grandparent and their forebears), 19.6 percent of African Americans have at least 25% European ancestry (equivalent to one European grandparent and their forebears), and 1 percent of African Americans have at least 50% European ancestry (equivalent to one European parent and their forebears). According to Shriver, around 5 percent of African Americans also have at least 12.5% Native American ancestry (equivalent to one Native American great-grandparent and their forebears). Research suggests that Native American ancestry among people who identify as African American is a result of relationships that occurred soon after slave ships arrived in the American colonies, and European ancestry is of more recent origin, often from the decades before the Civil War.
Y-DNA
Africans bearing the E-V38 (E1b1a) likely traversed across the Sahara, from east to west, approximately 19,000 years ago. E-M2 (E1b1a1) likely originated in West Africa or Central Africa. According to a Y-DNA study by Sims et al. (2007), the majority (≈60%) of African Americans belong to various subclades of the E-M2 (E1b1a1, formerly E3a) paternal haplogroup. This is the most common genetic paternal lineage found today among West/Central African males and is also a signature of the historical Bantu migrations. The next most frequent Y-DNA haplogroup observed among African Americans is the R1b clade, which around 15% of African Americans carry. This lineage is most common today among Northwestern European males. The remaining African Americans mainly belong to the paternal haplogroup I (≈7%), which is also frequent in Northwestern Europe.
mtDNA
According to an mtDNA study by Salas et al. (2005), the maternal lineages of African Americans are most similar to haplogroups that are today especially common in West Africa (>55%), followed closely by West-Central Africa and Southwestern Africa (<41%). The characteristic West African haplogroups L1b, L2b,c,d, and L3b,d and West-Central African haplogroups L1c and L3e in particular occur at high frequencies among African Americans. As with the paternal DNA of African Americans, contributions from other parts of the continent to their maternal gene pool are insignificant.
Racism and social status
Formal political, economic and social discrimination against minorities has been present throughout American history. Leland T. Saito, Associate Professor of Sociology and American Studies & Ethnicity at the University of Southern California, writes, "Political rights have been circumscribed by race, class and gender since the founding of the United States, when the right to vote was restricted to White men of property. Throughout the history of the United States race has been used by Whites for legitimizing and creating difference and social, economic and political exclusion."
Although they have gained a greater degree of social equality since the civil rights movement, African Americans have remained stagnant economically, which has hindered their ability to break into the middle class and beyond. As of 2020, the racial wealth gap between Whites and Blacks remains as large as it was in 1968, with the typical net worth of a White household equivalent to that of 11.5 black households. Despite this, African Americans have increased employment rates and gained representation in the highest levels of American government in the post–civil rights era. However, widespread racism remains an issue that continues to undermine the development of social status.
Economically, of all the racially Black ethnic groups on the globe, African Americans are the wealthiest and most successful, with one in every fifty African American families being millionaires. This equates in 2023 to approximately 1.79 million African American millionaires in the United States, which is more than the total amount of millionaires in any Black country, and many other countries, around the world.
Policing and criminal justice
Forty percent of prison inmates are African American. In 2023, African Americans make up the second largest population of prison inmates, coming in second to White Americans who are the largest population of prison inmates at sixty percent. African American males are more likely to be killed by police when compared to other races. This is one of the factors that led to the creation of the Black Lives Matter movement in 2013. A historical issue in the U.S. where women have weaponized their White privilege in the country by reporting on Black people, often instigating racial violence, White women calling the police on Black people became widely publicized in 2020. In African American culture there is a long history of calling a meddlesome White woman by a certain name, while The Guardian called 2020 "the year of Karen".
Although in the last decade Black youth have had lower rates of cannabis (marijuana) consumption than Whites of the same age, they have disproportionately higher arrest rates than Whites: in 2010, for example, Blacks were 3.73 times as likely to get arrested for using cannabis than Whites, despite not significantly more frequently being users. Even since the legalization of cannabis, there are still more arrests made for Black users than White, wasting taxpayer money, due to many of those cases being abandoned or dropped, with no charges being filed after the trivial, racially-biased arrests.
Social issues
After over 50 years, marriage rates for all Americans began to decline while divorce rates and out-of-wedlock births have climbed. These changes have been greatest among African Americans. After more than 70 years of racial parity Black marriage rates began to fall behind Whites. Single-parent households have become common, and according to U.S. census figures released in January 2010, only 38 percent of Black children live with both their parents. In 2021, statistics show that over 80 percent marriages in the African American ethnic group marry within their ethnic group.
The first ever anti-miscegenation law was passed by the Maryland General Assembly in 1691, criminalizing interracial marriage. In a speech in Charleston, Illinois in 1858, Abraham Lincoln stated, "I am not, nor ever have been in favor of making voters or jurors of negroes, nor of qualifying them to hold office, nor to intermarry with white people". By the late 1800s, 38 US states had anti-miscegenation statutes. By 1924, the ban on interracial marriage was still in force in 29 states. While interracial marriage had been legal in California since 1948, in 1957 actor Sammy Davis Jr. faced a backlash for his involvement with White actress Kim Novak. Harry Cohn, the president of Columbia Pictures, with whom Novak was under contract, gave in to his concerns that a racist backlash against the relationship could hurt the studio. Davis briefly married Black dancer Loray White in 1958 to protect himself from mob violence. Inebriated at the wedding ceremony, Davis despairingly said to his best friend, Arthur Silber Jr., "Why won't they let me live my life?" The couple never lived together, and commenced divorce proceedings in September 1958. In 1958, officers in Virginia entered the home of Mildred and Richard Loving and dragged them out of bed for living together as an interracial couple, on the basis that "any white person intermarry with a colored person"—or vice versa—each party "shall be guilty of a felony" and face prison terms of five years. In 1967 the law was ruled unconstitutional (via the 14th Amendment adopted in 1868) by the U.S. Supreme Court in Loving v. Virginia.
In 2008, Democrats overwhelmingly voted 70% against California Proposition 8, African Americans voted 58% in favor of it while 42% voted against Proposition 8. On May 9, 2012, Barack Obama, the first Black president, became the first U.S. president to support same-sex marriage. Since Obama's endorsement there has been a rapid growth in support for same-sex marriage among African Americans. As of 2012, 59% of African Americans support same-sex marriage, which is higher than support among the national average (53%) and White Americans (50%).
Polls in North Carolina, Pennsylvania, Missouri, Maryland, Ohio, Florida, and Nevada have also shown an increase in support for same sex marriage among African Americans. On November 6, 2012, Maryland, Maine, and Washington all voted for approve of same-sex marriage, along with Minnesota rejecting a constitutional amendment banning same-sex marriage. Exit polls in Maryland show about 50% of African Americans voted for same-sex marriage, showing a vast evolution among African Americans on the issue and was crucial in helping pass same-sex marriage in Maryland.
Black Americans hold far more conservative opinions on abortion, extramarital sex, and raising children out of wedlock than Democrats as a whole. On financial issues, however, African Americans are in line with Democrats, generally supporting a more progressive tax structure to provide more government spending on social services.
Political legacy
African Americans have fought in every war in the history of the United States.
The gains made by African Americans in the civil rights movement and in the Black Power movement not only obtained certain rights for African Americans but changed American society in far-reaching and fundamentally important ways. Prior to the 1950s, Black Americans in the South were subject to de jure discrimination, or Jim Crow laws. They were often the victims of extreme cruelty and violence, sometimes resulting in deaths: by the post World War II era, African Americans became increasingly discontented with their long-standing inequality. In the words of Martin Luther King Jr., African Americans and their supporters challenged the nation to "rise up and live out the true meaning of its creed that all men are created equal..."
The civil rights movement marked an enormous change in American social, political, economic and civic life. It brought with it boycotts, sit-ins, nonviolent demonstrations and marches, court battles, bombings and other violence; prompted worldwide media coverage and intense public debate; forged enduring civic, economic and religious alliances; and disrupted and realigned the nation's two major political parties.
Over time, it has changed in fundamental ways the manner in which Blacks and Whites interact with and relate to one another. The movement resulted in the removal of codified, de jure racial segregation and discrimination from American life and law, and heavily influenced other groups and movements in struggles for civil rights and social equality within American society, including the Free Speech Movement, the disabled, the women's movement, and migrant workers. It also inspired the Native American rights movement, and in King's 1964 book Why We Can't Wait he wrote the U.S. "was born in genocide when it embraced the doctrine that the original American, the Indian, was an inferior race."
African Americans were also involved in the drafting of laws in the United States, such as Frank L. Stanley Sr. who drafted the laws for the Human Rights Commission and the integration of Kentucky schools while his study of how African Americans were segregated was utilized by the government which led to the integration of the military.
Media and coverage
Some activists and academics contend that American news media coverage of African American news, concerns, or dilemmas is inadequate, or that the news media present distorted images of African Americans.
To combat this, Robert L. Johnson founded Black Entertainment Television (BET), a network that targets young African Americans and urban audiences in the United States. Over the years, the network has aired such programming as rap and R&B music videos, urban-oriented movies and television series, and some public affairs programs. On Sunday mornings, BET would broadcast Christian programming; the network would also broadcast non-affiliated Christian programs during the early morning hours daily. According to Viacom, BET is now a global network that reaches households in the United States, Caribbean, Canada, and the United Kingdom. The network has gone on to spawn several spin-off channels, including BET Her (originally launched as BET on Jazz), which originally showcased jazz music-related programming, and later expanded to include general-interest urban programs as well as some R&B, soul, and world music.
Another network targeting African Americans is TV One. TV One's original programming was formally focused on lifestyle and entertainment-oriented shows, movies, fashion, and music programming. The network also reruns classic series from as far back as the 1970s to current series such as Empire and Sister Circle. TV One is owned by Urban One, founded and controlled by Catherine Hughes. Urban One is one of the nation's largest radio broadcasting companies and the largest African American-owned radio broadcasting company in the United States.
In June 2009, NBC News launched a new website named The Grio in partnership with the production team that created the Black documentary film Meeting David Wilson. It is the first African American video news site that focuses on underrepresented stories in existing national news. The Grio consists of a broad spectrum of original video packages, news articles, and contributor blogs on topics including breaking news, politics, health, business, entertainment and Black History.
Other Black-owned and oriented media outlets include:
The Africa Channel – Dedicated to programming representing the best in African culture.
aspireTV – a digital cable and satellite channel owned by businessman and former basketball player Magic Johnson.
ATTV – an independent public affairs and educational channel.
Bounce TV – a digital multicast network owned by E. W. Scripps Company.
Cleo TV – a sister network to TV One targeting African American women.
Fox Soul – a digital streaming channel primarily airing original talk shows and syndicated programming
Oprah Winfrey Network – a cable and satellite network founded by Oprah Winfrey and jointly owned by Discovery, Inc. and Harpo Studios. While not exclusively targeting African Americans, much of its original programming is geared towards a similar demographic.
Revolt – a music channel owned by Sean "Puff Daddy" Combs.
Soul of the South Network – a regional broadcast network.
VH1 – A female-oriented general entertainment channel owned by Viacom. Originally focused on light genres of music, the network's programming became slanted towards African American culture in recent years.
Culture
From their earliest presence in North America, African Americans have significantly contributed literature, art, agricultural skills, cuisine, clothing styles, music, language, and social and technological innovation to American culture. The cultivation and use of many agricultural products in the United States, such as yams, peanuts, rice, okra, sorghum, grits, watermelon, indigo dyes, and cotton, can be traced to West African and African American influences. Notable examples include George Washington Carver, who created nearly 500 products from peanuts, sweet potatoes, and pecans. Soul food is a variety of cuisine popular among African Americans. It is closely related to the cuisine of the Southern United States. The descriptive terminology may have originated in the mid-1960s, when soul was a common definer used to describe African American culture (for example, soul music). African Americans were the first peoples in the United States to make fried chicken, along with Scottish immigrants to the South. Although the Scottish had been frying chicken before they emigrated, they lacked the spices and flavor that African Americans had used when preparing the meal. The Scottish American settlers therefore adopted the African American method of seasoning chicken. However, fried chicken was generally a rare meal in the African American community and was usually reserved for special events or celebrations.
Language
African-American English is a variety (dialect, ethnolect, and sociolect) of American English, commonly spoken by urban working-class and largely bi-dialectal middle-class African Americans.
African American English evolved during the antebellum period through interaction between speakers of 16th- and 17th-century English of Great Britain and Ireland and various West African languages. As a result, the variety shares parts of its grammar and phonology with the Southern American English dialect. African American English differs from Standard American English (SAE) in certain pronunciation characteristics, tense usage, and grammatical structures, which were derived from West African languages (particularly those belonging to the Niger–Congo family).
Virtually all habitual speakers of African American English can understand and communicate in Standard American English. As with all linguistic forms, AAVE's usage is influenced by various factors, including geographical, educational and socioeconomic background, as well as formality of setting. Additionally, there are many literary uses of this variety of English, particularly in African American literature.
Traditional names
African-American names are part of the cultural traditions of African Americans, most of these cultural names having no connection to Africa but strictly an African American cultural practice that developed in the United States during enslavement. This new evidence became apparent by census records which show African Americans and White Americans, though they spoke the same language, chose to use different names even during times of enslavement, which is where and when the development of African American cultural names began.
Prior to this newer information, it was only thought that before the 1950s, and 1960s, most African-American names closely resembled those used within European-American culture. Babies of that era were generally given a few common names, with children using nicknames to distinguish the various people with the same name. With the rise of 1960s civil rights movement, there was a dramatic increase in names of various origins.
By the 1970s, and 1980s, it had become common among African Americans to invent new names for themselves, although many of these invented names took elements from popular existing names. Prefixes such as La/Le, Da/De, Ra/Re and Ja/Je, and suffixes like -ique/iqua, -isha and -aun/-awn are common, as are inventive spellings for common names. The book Baby Names Now: From Classic to Cool—The Very Last Word on First Names places the origins of "La" names in African-American culture in New Orleans.
Even with the rise of inventive names, it is still common for African Americans to use biblical, historical, or traditional European names. Daniel, Christopher, Michael, David, James, Joseph, and Matthew were thus among the most frequent names for African-American boys in 2013.
The name LaKeisha is typically considered American in origin but has elements that were drawn from both French and West/Central African roots. Names such as LaTanisha, JaMarcus, DeAndre, and Shaniqua were created in the same way. Punctuation marks are seen more often within African American names than other American names, such as the names Mo'nique and D'Andre.
Religion
The majority of African Americans are Protestant, many of whom follow the historically Black churches. The term Black church refers to churches which minister to predominantly African American congregations. Black congregations were first established by freed slaves at the end of the 17th century, and later when slavery was abolished more African Americans were allowed to create a unique form of Christianity that was culturally influenced by African spiritual traditions.
According to a 2007 survey, more than half of the African American population are part of the historically Black churches. The largest Protestant denomination among African Americans are the Baptists, distributed mainly in four denominations, the largest being the National Baptist Convention, USA and the National Baptist Convention of America. The second largest are the Methodists, the largest denominations are the African Methodist Episcopal Church and the African Methodist Episcopal Zion Church.
Pentecostals are distributed among several different religious bodies, with the Church of God in Christ as the largest among them by far. About 16% of African American Christians are members of White Protestant communions, these denominations (which include the United Church of Christ) mostly have a 2 to 3% African American membership. There are also large numbers of Catholics, constituting 5% of the African American population. Of the total number of Jehovah's Witnesses, 22% are Black.
Some African Americans follow Islam. Historically, between 15 and 30% of enslaved Africans brought to the Americas were Muslims, but most of these Africans were converted to Christianity during the era of American slavery. During the twentieth century, some African Americans converted to Islam, mainly through the influence of Black nationalist groups that preached with distinctive Islamic practices; including the Moorish Science Temple of America, and the largest organization, the Nation of Islam, founded in the 1930s, which attracted at least 20,000 people by 1963. Prominent members included activist Malcolm X and boxer Muhammad Ali.
Malcolm X is considered the first person to start the movement among African Americans towards mainstream Islam, after he left the Nation and made the pilgrimage to Mecca. In 1975, Warith Deen Mohammed, the son of Elijah Muhammad took control of the Nation after his father's death and guided the majority of its members to orthodox Islam.
African American Muslims constitute 20% of the total U.S. Muslim population, the majority are Sunni or orthodox Muslims, some of these identify under the community of W. Deen Mohammed. The Nation of Islam led by Louis Farrakhan has a membership ranging from 20,000 to 50,000 members.
There is also a small but growing group of African American Jews, making up less than 0.5% of African Americans or about 2% of the Jewish population in the United States. The majority of African-American Jews are Ashkenazi, while smaller numbers identify as Sephardi, Mizrahi, or other. Many African-American Jews are affiliated with denominations such as the Reform, Conservative, Reconstructionist, or Orthodox branches of Judaism, but the majority identify as "Jews of no religion", commonly known as secular Jews. A significant number of people who identify themselves as "Black Jews" are affiliated with syncretic religious groups, largely the Black Hebrew Israelites, whose beliefs include the claim that African Americans are descended from the Biblical Israelites. Jews of all races typically do not accept Black Hebrew Israelites as Jews, in part because they are usually not Jewish according to Jewish law, and in part because these groups are sometimes associated with antisemitism. African-American Jews have criticized the Black Hebrew Israelites, regarding the movement as primarily composed of Black non-Jews who have appropriated Black-Jewish identity.
Confirmed atheists are less than one half of one percent, similar to numbers for Hispanics.
Music
African American music is one of the most pervasive African American cultural influences in the United States today and is among the most dominant in mainstream popular music. Hip hop, R&B, funk, rock and roll, soul, blues, and other contemporary American musical forms originated in Black communities and evolved from other Black forms of music, including blues, doo-wop, barbershop, ragtime, bluegrass, jazz, and gospel music.
African American-derived musical forms have also influenced and been incorporated into virtually every other popular music genre in the world, including country and techno. African American genres are the most important ethnic vernacular tradition in America, as they have developed independent of African traditions from which they arise more so than any other immigrant groups, including Europeans; make up the broadest and longest lasting range of styles in America; and have, historically, been more influential, interculturally, geographically, and economically, than other American vernacular traditions.
Dance
African Americans have also had an important role in American dance. Bill T. Jones, a prominent modern choreographer and dancer, has included historical African American themes in his work, particularly in the piece "Last Supper at Uncle Tom's Cabin/The Promised Land". Likewise, Alvin Ailey's artistic work, including his "Revelations" based on his experience growing up as an African American in the South during the 1930s, has had a significant influence on modern dance. Another form of dance, Stepping, is an African American tradition whose performance and competition has been formalized through the traditionally Black fraternities and sororities at universities.
Literature and academics
Many African American authors have written stories, poems, and essays influenced by their experiences as African Americans. African American literature is a major genre in American literature. Famous examples include Langston Hughes, James Baldwin, Richard Wright, Zora Neale Hurston, Ralph Ellison, Nobel Prize winner Toni Morrison, and Maya Angelou.
African American inventors have created many widely used devices in the world and have contributed to international innovation. Norbert Rillieux created the technique for converting sugar cane juice into white sugar crystals. Moreover, Rillieux left Louisiana in 1854 and went to France, where he spent ten years working with the Champollions deciphering Egyptian hieroglyphics from the Rosetta Stone. Most slave inventors were nameless, such as the slave owned by the Confederate President Jefferson Davis who designed the ship propeller used by the Confederate navy.
By 1913, over 1,000 inventions were patented by Black Americans. Among the most notable inventors were Jan Matzeliger, who developed the first machine to mass-produce shoes, and Elijah McCoy, who invented automatic lubrication devices for steam engines. Granville Woods had 35 patents to improve electric railway systems, including the first system to allow moving trains to communicate. Garrett A. Morgan developed the first automatic traffic signal and gas mask.
Lewis Howard Latimer invented an improvement for the incandescent light bulb. More recent inventors include Frederick McKinley Jones, who invented the movable refrigeration unit for food transport in trucks and trains. Lloyd Quarterman worked with six other Black scientists on the creation of the atomic bomb (code named the Manhattan Project.) Quarterman also helped develop the first nuclear reactor, which was used in the atomically powered submarine called the Nautilus.
A few other notable examples include the first successful open heart surgery, performed by Daniel Hale Williams, and the air conditioner, patented by Frederick McKinley Jones. Mark Dean holds three of the original nine patents on the computer on which all PCs are based. More current contributors include Otis Boykin, whose inventions included several novel methods for manufacturing electrical components that found use in applications such as guided missile systems and computers, and Colonel Frederick Gregory, who was not only the first Black astronaut pilot but the person who redesigned the cockpits for the last three space shuttles. Gregory was also on the team that pioneered the microwave instrumentation landing system.
As part of the preservation of their culture, African Americans have continuously launched their own publications and punishing houses, such as Robert Sengstacke Abbott, founder of the Chicago Defender newspaper, and Carter G. Woodson, the founder of Black History Month who spent over thirty years documenting and publishing African American history in journals and books. The Johnson Publishing Company, founded by John H. Johnson in 1942, is a National Historic Landmark.
Terminology
General
The term African American, popularized by Jesse Jackson in the 1980s, carries important social implications. Earlier terms used to describe Americans of African ancestry referred more to skin color than to ancestry. Other terms (such as colored, person of color, or negro) were included in the wording of various laws and legal decisions which some thought were being used as tools of White supremacy and oppression.
A 16-page pamphlet entitled "A Sermon on the Capture of Lord Cornwallis" is notable for the attribution of its authorship to "An African American". Published in 1782, the book's use of this phrase predates any other yet identified by more than 50 years.
In the 1980s, the term African American was advanced on the model of, for example, German American or Irish American, to give descendants of American slaves, and other American Blacks who lived through the slavery era, a heritage and a cultural base. The term was popularized in Black communities around the country via word of mouth and ultimately received mainstream use after Jesse Jackson publicly used the term in front of a national audience in 1988. Subsequently, major media outlets adopted its use.
In 2023, the government released a new more detailed breakdown due to the rise in racially Black immigration into the US, listing African American as a compound termed ethnicity, distinguished from other racially Black ethnicities such as Nigerian, Jamaican etc.
Surveys show that the majority of Black Americans have no preference for African American versus Black American, although they have a slight preference for the latter in personal settings and the former in more formal settings.
The term African American embraces pan-Africanism as earlier enunciated by prominent African thinkers such as Marcus Garvey, W. E. B. Du Bois, and George Padmore. The term Afro-Usonian, and variations of such, are more rarely used.
Official identity
Since 1977, in an attempt to keep up with changing social opinion, the United States government has officially classified Black people (revised to Black or African American in 1997) as "having origins in any of the black racial groups of Africa." Other federal offices, such as the U.S. Census Bureau, adhere to the Office of Management and Budget standards on race in their data collection and tabulation efforts. In preparation for the 2010 U.S. Census, a marketing and outreach plan called 2010 Census Integrated Communications Campaign Plan (ICC) recognized and defined African Americans as Black people born in the United States. From the ICC perspective, African Americans are one of three groups of Black people in the United States.
The ICC plan was to reach the three groups by acknowledging that each group has its own sense of community that is based on geography and ethnicity. The best way to market the census process toward any of the three groups is to reach them through their own unique communication channels and not treat the entire Black population of the U.S. as though they are all African Americans with a single ethnic and geographical background. The Federal Bureau of Investigation of the U.S. Department of Justice categorizes Black or African American people as "[a] person having origins in any of the black racial groups of Africa" through racial categories used in the UCR Program adopted from the Statistical Policy Handbook (1978) and published by the Office of Federal Statistical Policy and Standards, U.S. Department of Commerce, derived from the 1977 Office of Management and Budget classification.
Admixture
Historically, "race mixing" between Black and White people was taboo in the United States. So-called anti-miscegenation laws, barring Blacks and Whites from marrying or having sex, were established in colonial America as early as 1691, and endured in many Southern states until the Supreme Court ruled them unconstitutional in Loving v. Virginia (1967). The taboo among American Whites surrounding White-Black relations is a historical consequence of the oppression and racial segregation of African Americans. Historian David Brion Davis notes the racial mixing that occurred during slavery was frequently attributed by the planter class to the "lower-class white males" but Davis concludes that "there is abundant evidence that many slaveowners, sons of slaveowners, and overseers took black mistresses or in effect raped the wives and daughters of slave families." A famous example was Thomas Jefferson's mistress, Sally Hemings. Although publicly opposed to race mixing, Jefferson, in his Notes on the State of Virginia published in 1785, wrote: "The improvement of the blacks in body and mind, in the first instance of their mixture with the whites, has been observed by every one, and proves that their inferiority is not the effect merely of their condition of life".
Harvard University historian Henry Louis Gates Jr. wrote in 2009 that "African Americans...are a racially mixed or mulatto people—deeply and overwhelmingly so" (see genetics). After the Emancipation Proclamation, Chinese American men married African American women in high proportions to their total marriage numbers due to few Chinese American women being in the United States. African slaves and their descendants have also had a history of cultural exchange and intermarriage with Native Americans, although they did not necessarily retain social, cultural or linguistic ties to Native peoples. There are also increasing intermarriages and offspring between non-Hispanic Blacks and Hispanics of any race, especially between Puerto Ricans and African Americans (American-born Blacks). According to author M.M. Drymon, many African Americans identify as having Scots-Irish ancestry.
Racially mixed marriages have become increasingly accepted in the United States since the civil rights movement and up to the present day. Approval in national opinion polls has risen from 36% in 1978, to 48% in 1991, 65% in 2002, 77% in 2007. A Gallup poll conducted in 2013 found that 84% of Whites and 96% of Blacks approved of interracial marriage, and 87% overall.
At the end of World War II, some African American military men who had been stationed in Japan married Japanese women, who then immigrated to the United States.
Terminology dispute
In her book The End of Blackness, as well as in an essay for Salon, author Debra Dickerson has argued that the term Black should refer strictly to the descendants of Africans who were brought to America as slaves, and not to the sons and daughters of Black immigrants who lack that ancestry. Thus, under her definition, President Barack Obama, who is the son of a Kenyan, is not Black. She makes the argument that grouping all people of African descent together regardless of their unique ancestral circumstances would inevitably deny the lingering effects of slavery within the American community of slave descendants, in addition to denying Black immigrants recognition of their own unique ancestral backgrounds. "Lumping us all together", Dickerson wrote, "erases the significance of slavery and continuing racism while giving the appearance of progress."
Similar viewpoints have been expressed by author Stanley Crouch in a New York Daily News piece, Charles Steele Jr. of the Southern Christian Leadership Conference and African American columnist David Ehrenstein of the Los Angeles Times, who accused White liberals of flocking to Blacks who were Magic Negros, a term that refers to a Black person with no past who simply appears to assist the mainstream White (as cultural protagonists/drivers) agenda. Ehrenstein went on to say "He's there to assuage white 'guilt' they feel over the role of slavery and racial segregation in American history."
The American Descendants of Slavery (ADOS) movement coalesces around this view, arguing that Black descendants of American slavery deserve a separate ethnic category that distinguishes them from other Black groups in the United States. Their terminology has gained popularity in some circles, but others have criticized the movement for a perceived bias against (especially poor and Black) immigrants, and for its often inflammatory rhetoric. Politicians such as Obama and Harris have received especially pointed criticism from the movement, as neither are ADOS and have spoken out at times against policies specific to them.
Many Pan-African movements and organizations that are ideologically Black nationalist, anti-imperialist, anti-Zionist, and Scientific socialist like The All-African People's Revolutionary Party (A-APRP), have argued that African (relating to the diaspora) or New Afrikan should be used instead of African American. Most notably, Malcolm X and Kwame Ture expressed similar views that African Americans are Africans who "happen to be in America", and should not claim or identify as being American if they are fighting for Black (New Afrikan) liberation. Historically, this is due to the enslavement of Africans during the Trans-Atlantic slave trade, ongoing anti-black violence, and structural racism in countries like the United States.
Terms no longer in common use
Before the independence of the Thirteen Colonies until the abolition of slavery in 1865, an African American slave was commonly known as a negro. Free negro was the legal status in the territory of an African American person who was not enslaved. In response to the project of the American Colonization Society to transport free Blacks to the future Liberia, a project most Blacks strongly rejected, the Blacks at the time said they were no more African than White Americans were European, and referred to themselves with what they considered a more acceptable term, "colored Americans". The term was used until the second quarter of the 20th century, when it was considered outmoded and generally gave way again to the exclusive use of negro. By the 1940s, the term was commonly capitalized (Negro); but by the mid-1960s, it was considered disparaging. By the end of the 20th century, negro had come to be considered inappropriate and was rarely used and perceived as a pejorative. The term is rarely used by younger Black people, but remained in use by many older African Americans who had grown up with the term, particularly in the southern U.S. The term remains in use in some contexts, such as the United Negro College Fund, an American philanthropic organization that funds scholarships for Black students and general scholarship funds for 39 private historically Black colleges and universities.
There are many other deliberately insulting terms, many of which were in common use (e.g., nigger), but had become unacceptable in normal discourse before the end of the 20th century. One exception is the use, among the Black community, of the slur nigger rendered as nigga, representing the pronunciation of the word in African American English. This usage has been popularized by American rap and hip-hop music cultures and is used as part of an in-group lexicon and speech. It is not necessarily derogatory and, when used among Black people, the word is often used to mean "homie" or "friend".
Acceptance of intra-group usage of the word nigga is still debated, although it has established a foothold among younger generations. The NAACP denounces the use of both nigga and nigger. Mixed-race usage of nigga is still considered taboo, particularly if the speaker is White. However, trends indicate that usage of the term in intragroup settings is increasing even among White youth due to the popularity of rap and hip hop culture.
See also
African-American art
African American cinema
African-American middle class
African-American neighborhood
African-American upper class
African diaspora in the Americas
Afrophobia
AP African American Studies
Black Belt in the American South
Black Hispanic and Latino Americans
Black Southerners
Civil rights movement (1865–1896)
Civil rights movement (1896–1954)
Juneteenth
National Museum of African American History and Culture
North Africans in the United States
Society and Black people in the Spanish Colonial Americas
South African Americans
Stereotypes of African Americans
Timeline of the civil rights movement
West Indian Americans
Diaspora
African Americans in Africa
African Americans in Ghana
Americo-Liberian people
Sierra Leone Creole people
African Americans in France
African Americans in Israel
Black Nova Scotians
Samaná Americans
Lists
Index of articles related to African Americans
List of African-American neighborhoods
List of African-American newspapers and media outlets
List of historically black colleges and universities
List of African-American inventors and scientists
List of monuments to African Americans
List of populated places in the United States with African-American plurality populations
List of topics related to the African diaspora
Lists of African Americans
Notes
References
Further reading
Finkelman, Paul, ed. Encyclopedia of African American History, 1619–1895: From the Colonial Period to the Age of Frederick Douglass (3 vol Oxford University Press, 2006).
Finkelman, Paul, ed. Encyclopedia of African American History, 1896 to the Present: From the Age of Segregation to the Twenty-first Century (5 vol. Oxford University Press, US, 2009).
John Hope Franklin, Alfred Moss, From Slavery to Freedom. A History of African Americans, McGraw-Hill Education 2001, standard work, first edition in 1947.
Gates, Henry L. and Evelyn Brooks Higginbotham (eds), African American Lives, Oxford University Press, 2004 – more than 600 biographies.
Hine, Darlene Clark, Rosalyn Terborg-Penn, Elsa Barkley Brown (eds), Black Women in America: An Historical Encyclopedia, (Indiana University Press 2005).
Horton, James Oliver, and Lois E. Horton. Hard Road to Freedom: The Story of African America, African Roots Through the Civil War. Vol. 1 (Rutgers University Press, 2002); Hard Road to Freedom: The Story of African America: Volume 2: From the Civil War to the Millennium (2002). online
Kranz, Rachel. African-American Business Leaders and Entrepreneurs (Infobase Publishing, 2004).
Salzman, Jack, ed. Encyclopedia of Afro-American culture and history, New York City: Macmillan Library Reference US, 1996.
External links
Richard Thompson Ford Name Games, Slate, September 16, 2004. Article discussing the problems of defining African American
Scientific American Magazine (June 2006) Trace Elements Reconnecting African Americans to an ancestral past
Black History related original documents and photos
Frank Newport, "Black or African American?" , Gallup, September 28, 2007
"The Long Journey of Black Americans" – slideshow by The First Post
Ethnic groups in the United States
History of civil rights in the United States
American
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