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en/1269.html.txt
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Congo may refer to either of two countries that border the Congo River in central Africa:
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Congo or Kongo may also refer to:
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Alexander III of Macedon (Greek: Αλέξανδρος Γʹ ὁ Μακεδών, Aléxandros III ho Makedȏn; 20/21 July 356 BC – 10/11 June 323 BC), commonly known as Alexander the Great (Greek: Ἀλέξανδρος ὁ Μέγας, Aléxandros ho Mégas), was a king (basileus) of the ancient Greek kingdom of Macedon[a] and a member of the Argead dynasty. He was born in Pella in 356 BC and succeeded his father Philip II to the throne at the age of 20. He spent most of his ruling years on an unprecedented military campaign through western Asia and northeast Africa, and by the age of thirty, he had created one of the largest empires of the ancient world, stretching from Greece to northwestern India.[1][2] He was undefeated in battle and is widely considered one of history's most successful military commanders.[3]
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During his youth, Alexander was tutored by Aristotle until age 16. After Philip's assassination in 336 BC, he succeeded his father to the throne and inherited a strong kingdom and an experienced army. Alexander was awarded the generalship of Greece and used this authority to launch his father's pan-Hellenic project to lead the Greeks in the conquest of Persia.[4][5] In 334 BC, he invaded the Achaemenid Empire (Persian Empire) and began a series of campaigns that lasted 10 years. Following the conquest of Anatolia, Alexander broke the power of Persia in a series of decisive battles, most notably the battles of Issus and Gaugamela. He subsequently overthrew Persian King Darius III and conquered the Achaemenid Empire in its entirety.[b] At that point, his empire stretched from the Adriatic Sea to the Beas River.
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Alexander endeavoured to reach the "ends of the world and the Great Outer Sea" and invaded India in 326 BC, winning an important victory over the Pauravas at the Battle of the Hydaspes. He eventually turned back at the demand of his homesick troops, dying in Babylon in 323 BC, the city that he planned to establish as his capital, without executing a series of planned campaigns that would have begun with an invasion of Arabia. In the years following his death, a series of civil wars tore his empire apart, resulting in the establishment of several states ruled by the Diadochi, Alexander's surviving generals and heirs.
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Alexander's legacy includes the cultural diffusion and syncretism which his conquests engendered, such as Greco-Buddhism. He founded some twenty cities that bore his name, most notably Alexandria in Egypt. Alexander's settlement of Greek colonists and the resulting spread of Greek culture in the east resulted in a new Hellenistic civilization, aspects of which were still evident in the traditions of the Byzantine Empire in the mid-15th century AD and the presence of Greek speakers in central and far eastern Anatolia until the Greek genocide by the Turks in the 1920s. Alexander became legendary as a classical hero in the mould of Achilles, and he features prominently in the history and mythic traditions of both Greek and non-Greek cultures. He was undefeated in battle and became the measure against which military leaders compared themselves. Military academies throughout the world still teach his tactics.[6][c] He is often ranked among the most influential people in history.[7]
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Alexander was born in Pella, the capital of the Kingdom of Macedon,[8] on the sixth day of the ancient Greek month of Hekatombaion, which probably corresponds to 20 July 356 BC, although the exact date is uncertain.[9] He was the son of the king of Macedon, Philip II, and his fourth wife, Olympias, the daughter of Neoptolemus I, king of Epirus.[10] Although Philip had seven or eight wives, Olympias was his principal wife for some time, likely because she gave birth to Alexander.[11]
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Several legends surround Alexander's birth and childhood.[12] According to the ancient Greek biographer Plutarch, on the eve of the consummation of her marriage to Philip, Olympias dreamed that her womb was struck by a thunderbolt that caused a flame to spread "far and wide" before dying away. Sometime after the wedding, Philip is said to have seen himself, in a dream, securing his wife's womb with a seal engraved with a lion's image.[13] Plutarch offered a variety of interpretations of these dreams: that Olympias was pregnant before her marriage, indicated by the sealing of her womb; or that Alexander's father was Zeus. Ancient commentators were divided about whether the ambitious Olympias promulgated the story of Alexander's divine parentage, variously claiming that she had told Alexander, or that she dismissed the suggestion as impious.[13]
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On the day Alexander was born, Philip was preparing a siege on the city of Potidea on the peninsula of Chalcidice. That same day, Philip received news that his general Parmenion had defeated the combined Illyrian and Paeonian armies and that his horses had won at the Olympic Games. It was also said that on this day, the Temple of Artemis in Ephesus, one of the Seven Wonders of the World, burnt down. This led Hegesias of Magnesia to say that it had burnt down because Artemis was away, attending the birth of Alexander.[14] Such legends may have emerged when Alexander was king, and possibly at his instigation, to show that he was superhuman and destined for greatness from conception.[12]
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In his early years, Alexander was raised by a nurse, Lanike, sister of Alexander's future general Cleitus the Black. Later in his childhood, Alexander was tutored by the strict Leonidas, a relative of his mother, and by Lysimachus of Acarnania.[15] Alexander was raised in the manner of noble Macedonian youths, learning to read, play the lyre, ride, fight, and hunt.[16]
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When Alexander was ten years old, a trader from Thessaly brought Philip a horse, which he offered to sell for thirteen talents. The horse refused to be mounted, and Philip ordered it away. Alexander, however, detecting the horse's fear of its own shadow, asked to tame the horse, which he eventually managed.[12] Plutarch stated that Philip, overjoyed at this display of courage and ambition, kissed his son tearfully, declaring: "My boy, you must find a kingdom big enough for your ambitions. Macedon is too small for you", and bought the horse for him.[17] Alexander named it Bucephalas, meaning "ox-head". Bucephalas carried Alexander as far as India. When the animal died (because of old age, according to Plutarch, at age thirty), Alexander named a city after him, Bucephala.[18]
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When Alexander was 13, Philip began to search for a tutor, and considered such academics as Isocrates and Speusippus, the latter offering to resign from his stewardship of the Academy to take up the post. In the end, Philip chose Aristotle and provided the Temple of the Nymphs at Mieza as a classroom. In return for teaching Alexander, Philip agreed to rebuild Aristotle's hometown of Stageira, which Philip had razed, and to repopulate it by buying and freeing the ex-citizens who were slaves, or pardoning those who were in exile.[19]
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Mieza was like a boarding school for Alexander and the children of Macedonian nobles, such as Ptolemy, Hephaistion, and Cassander. Many of these students would become his friends and future generals, and are often known as the 'Companions'. Aristotle taught Alexander and his companions about medicine, philosophy, morals, religion, logic, and art. Under Aristotle's tutelage, Alexander developed a passion for the works of Homer, and in particular the Iliad; Aristotle gave him an annotated copy, which Alexander later carried on his campaigns.[20]
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During his youth, Alexander was also acquainted with Persian exiles at the Macedonian court, who received the protection of Philip II for several years as they opposed Artaxerxes III.[21][22][23] Among them were Artabazos II and his daughter Barsine, future mistress of Alexander, who resided at the Macedonian court from 352 to 342 BC, as well as Amminapes, future satrap of Alexander, or a Persian nobleman named Sisines.[21][24][25][26] This gave the Macedonian court a good knowledge of Persian issues, and may even have influenced some of the innovations in the management of the Macedonian state.[24]
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Suda writes that, also, Anaximenes of Lampsacus was one of his teachers. Anaximenes, also accompanied him on his campaigns.[27]
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At age 16, Alexander's education under Aristotle ended. Philip waged war against Byzantion, leaving Alexander in charge as regent and heir apparent.[12] During Philip's absence, the Thracian Maedi revolted against Macedonia. Alexander responded quickly, driving them from their territory. He colonized it with Greeks, and founded a city named Alexandropolis.[28]
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Upon Philip's return, he dispatched Alexander with a small force to subdue revolts in southern Thrace. Campaigning against the Greek city of Perinthus, Alexander is reported to have saved his father's life. Meanwhile, the city of Amphissa began to work lands that were sacred to Apollo near Delphi, a sacrilege that gave Philip the opportunity to further intervene in Greek affairs. Still occupied in Thrace, he ordered Alexander to muster an army for a campaign in southern Greece. Concerned that other Greek states might intervene, Alexander made it look as though he was preparing to attack Illyria instead. During this turmoil, the Illyrians invaded Macedonia, only to be repelled by Alexander.[29]
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Philip and his army joined his son in 338 BC, and they marched south through Thermopylae, taking it after stubborn resistance from its Theban garrison. They went on to occupy the city of Elatea, only a few days' march from both Athens and Thebes. The Athenians, led by Demosthenes, voted to seek alliance with Thebes against Macedonia. Both Athens and Philip sent embassies to win Thebes' favour, but Athens won the contest.[30] Philip marched on Amphissa (ostensibly acting on the request of the Amphictyonic League), capturing the mercenaries sent there by Demosthenes and accepting the city's surrender. Philip then returned to Elatea, sending a final offer of peace to Athens and Thebes, who both rejected it.[31]
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As Philip marched south, his opponents blocked him near Chaeronea, Boeotia. During the ensuing Battle of Chaeronea, Philip commanded the right wing and Alexander the left, accompanied by a group of Philip's trusted generals. According to the ancient sources, the two sides fought bitterly for some time. Philip deliberately commanded his troops to retreat, counting on the untested Athenian hoplites to follow, thus breaking their line. Alexander was the first to break the Theban lines, followed by Philip's generals. Having damaged the enemy's cohesion, Philip ordered his troops to press forward and quickly routed them. With the Athenians lost, the Thebans were surrounded. Left to fight alone, they were defeated.[32]
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After the victory at Chaeronea, Philip and Alexander marched unopposed into the Peloponnese, welcomed by all cities; however, when they reached Sparta, they were refused, but did not resort to war.[33] At Corinth, Philip established a "Hellenic Alliance" (modelled on the old anti-Persian alliance of the Greco-Persian Wars), which included most Greek city-states except Sparta. Philip was then named Hegemon (often translated as "Supreme Commander") of this league (known by modern scholars as the League of Corinth), and announced his plans to attack the Persian Empire.[34][35]
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When Philip returned to Pella, he fell in love with and married Cleopatra Eurydice in 338 BC,[36] the niece of his general Attalus.[37] The marriage made Alexander's position as heir less secure, since any son of Cleopatra Eurydice would be a fully Macedonian heir, while Alexander was only half-Macedonian.[38] During the wedding banquet, a drunken Attalus publicly prayed to the gods that the union would produce a legitimate heir.[37]
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At the wedding of Cleopatra, whom Philip fell in love with and married, she being much too young for him, her uncle Attalus in his drink desired the Macedonians would implore the gods to give them a lawful successor to the kingdom by his niece. This so irritated Alexander, that throwing one of the cups at his head, "You villain," said he, "what, am I then a bastard?" Then Philip, taking Attalus's part, rose up and would have run his son through; but by good fortune for them both, either his over-hasty rage, or the wine he had drunk, made his foot slip, so that he fell down on the floor. At which Alexander reproachfully insulted over him: "See there," said he, "the man who makes preparations to pass out of Europe into Asia, overturned in passing from one seat to another."
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In 337 BC, Alexander fled Macedon with his mother, dropping her off with her brother, King Alexander I of Epirus in Dodona, capital of the Molossians.[40] He continued to Illyria,[40] where he sought refuge with one or more Illyrian kings, perhaps with Glaukias, and was treated as a guest, despite having defeated them in battle a few years before.[41] However, it appears Philip never intended to disown his politically and militarily trained son.[40] Accordingly, Alexander returned to Macedon after six months due to the efforts of a family friend, Demaratus, who mediated between the two parties.[42]
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In the following year, the Persian satrap (governor) of Caria, Pixodarus, offered his eldest daughter to Alexander's half-brother, Philip Arrhidaeus.[40] Olympias and several of Alexander's friends suggested this showed Philip intended to make Arrhidaeus his heir.[40] Alexander reacted by sending an actor, Thessalus of Corinth, to tell Pixodarus that he should not offer his daughter's hand to an illegitimate son, but instead to Alexander. When Philip heard of this, he stopped the negotiations and scolded Alexander for wishing to marry the daughter of a Carian, explaining that he wanted a better bride for him.[40] Philip exiled four of Alexander's friends, Harpalus, Nearchus, Ptolemy and Erigyius, and had the Corinthians bring Thessalus to him in chains.[43]
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In summer 336 BC, while at Aegae attending the wedding of his daughter Cleopatra to Olympias's brother, Alexander I of Epirus, Philip was assassinated by the captain of his bodyguards, Pausanias.[e] As Pausanias tried to escape, he tripped over a vine and was killed by his pursuers, including two of Alexander's companions, Perdiccas and Leonnatus. Alexander was proclaimed king on the spot by the nobles and army at the age of 20.[45][46][47]
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Alexander began his reign by eliminating potential rivals to the throne. He had his cousin, the former Amyntas IV, executed.[48] He also had two Macedonian princes from the region of Lyncestis killed, but spared a third, Alexander Lyncestes. Olympias had Cleopatra Eurydice and Europa, her daughter by Philip, burned alive. When Alexander learned about this, he was furious. Alexander also ordered the murder of Attalus,[48] who was in command of the advance guard of the army in Asia Minor and Cleopatra's uncle.[49]
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Attalus was at that time corresponding with Demosthenes, regarding the possibility of defecting to Athens. Attalus also had severely insulted Alexander, and following Cleopatra's murder, Alexander may have considered him too dangerous to leave alive.[49] Alexander spared Arrhidaeus, who was by all accounts mentally disabled, possibly as a result of poisoning by Olympias.[45][47][50]
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News of Philip's death roused many states into revolt, including Thebes, Athens, Thessaly, and the Thracian tribes north of Macedon. When news of the revolts reached Alexander, he responded quickly. Though advised to use diplomacy, Alexander mustered 3,000 Macedonian cavalry and rode south towards Thessaly. He found the Thessalian army occupying the pass between Mount Olympus and Mount Ossa, and ordered his men to ride over Mount Ossa. When the Thessalians awoke the next day, they found Alexander in their rear and promptly surrendered, adding their cavalry to Alexander's force. He then continued south towards the Peloponnese.[51]
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Alexander stopped at Thermopylae, where he was recognized as the leader of the Amphictyonic League before heading south to Corinth. Athens sued for peace and Alexander pardoned the rebels. The famous encounter between Alexander and Diogenes the Cynic occurred during Alexander's stay in Corinth. When Alexander asked Diogenes what he could do for him, the philosopher disdainfully asked Alexander to stand a little to the side, as he was blocking the sunlight.[52] This reply apparently delighted Alexander, who is reported to have said "But verily, if I were not Alexander, I would like to be Diogenes."[53] At Corinth, Alexander took the title of Hegemon ("leader") and, like Philip, was appointed commander for the coming war against Persia. He also received news of a Thracian uprising.[54]
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Before crossing to Asia, Alexander wanted to safeguard his northern borders. In the spring of 335 BC, he advanced to suppress several revolts. Starting from Amphipolis, he travelled east into the country of the "Independent Thracians"; and at Mount Haemus, the Macedonian army attacked and defeated the Thracian forces manning the heights.[55] The Macedonians marched into the country of the Triballi, and defeated their army near the Lyginus river[56] (a tributary of the Danube). Alexander then marched for three days to the Danube, encountering the Getae tribe on the opposite shore. Crossing the river at night, he surprised them and forced their army to retreat after the first cavalry skirmish.[57]
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News then reached Alexander that Cleitus, King of Illyria, and King Glaukias of the Taulantii were in open revolt against his authority. Marching west into Illyria, Alexander defeated each in turn, forcing the two rulers to flee with their troops. With these victories, he secured his northern frontier.[58]
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While Alexander campaigned north, the Thebans and Athenians rebelled once again. Alexander immediately headed south.[59] While the other cities again hesitated, Thebes decided to fight. The Theban resistance was ineffective, and Alexander razed the city and divided its territory between the other Boeotian cities. The end of Thebes cowed Athens, leaving all of Greece temporarily at peace.[59] Alexander then set out on his Asian campaign, leaving Antipater as regent.[60]
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According to ancient writers Demosthenes called Alexander "Margites" (Greek: Μαργίτης)[61][62][63] and a boy.[63] Greeks used the word Margites to describe fool and useless people, on account of the Margites.[62][64]
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Ionia 336 BC
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Media and Egypt 333 BC
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Persia 331 BC
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India 326 BC
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In 336 BC Philip II had already sent Parmenion, with Amyntas, Andromenes and Attalus, and an army of 10,000 men into Anatolia to make preparations for an invasion to free the Greeks living on the western coast and islands from Achaemenid rule.[65][66] At first, all went well. The Greek cities on the western coast of Anatolia revolted until the news arrived that Philip had been murdered and had been succeeded by his young son Alexander. The Macedonians were demoralized by Philip's death and were subsequently defeated near Magnesia by the Achaemenids under the command of the mercenary Memnon of Rhodes.[65][66]
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Taking over the invasion project of Philip II, Alexander's army crossed the Hellespont in 334 BC with approximately 48,100 soldiers, 6,100 cavalry and a fleet of 120 ships with crews numbering 38,000,[59] drawn from Macedon and various Greek city-states, mercenaries, and feudally raised soldiers from Thrace, Paionia, and Illyria.[67][f] He showed his intent to conquer the entirety of the Persian Empire by throwing a spear into Asian soil and saying he accepted Asia as a gift from the gods. This also showed Alexander's eagerness to fight, in contrast to his father's preference for diplomacy.[59]
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After an initial victory against Persian forces at the Battle of the Granicus, Alexander accepted the surrender of the Persian provincial capital and treasury of Sardis; he then proceeded along the Ionian coast, granting autonomy and democracy to the cities. Miletus, held by Achaemenid forces, required a delicate siege operation, with Persian naval forces nearby. Further south, at Halicarnassus, in Caria, Alexander successfully waged his first large-scale siege, eventually forcing his opponents, the mercenary captain Memnon of Rhodes and the Persian satrap of Caria, Orontobates, to withdraw by sea.[68] Alexander left the government of Caria to a member of the Hecatomnid dynasty, Ada, who adopted Alexander.[69]
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From Halicarnassus, Alexander proceeded into mountainous Lycia and the Pamphylian plain, asserting control over all coastal cities to deny the Persians naval bases. From Pamphylia onwards the coast held no major ports and Alexander moved inland. At Termessos, Alexander humbled but did not storm the Pisidian city.[70] At the ancient Phrygian capital of Gordium, Alexander "undid" the hitherto unsolvable Gordian Knot, a feat said to await the future "king of Asia".[71] According to the story, Alexander proclaimed that it did not matter how the knot was undone and hacked it apart with his sword.[72]
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In spring 333 BC, Alexander crossed the Taurus into Cilicia. After a long pause due to an illness, he marched on towards Syria. Though outmanoeuvered by Darius' significantly larger army, he marched back to Cilicia, where he defeated Darius at Issus. Darius fled the battle, causing his army to collapse, and left behind his wife, his two daughters, his mother Sisygambis, and a fabulous treasure.[73] He offered a peace treaty that included the lands he had already lost, and a ransom of 10,000 talents for his family. Alexander replied that since he was now king of Asia, it was he alone who decided territorial divisions.[74]
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Alexander proceeded to take possession of Syria, and most of the coast of the Levant.[69] In the following year, 332 BC, he was forced to attack Tyre, which he captured after a long and difficult siege.[75][76] The men of military age were massacred and the women and children sold into slavery.[77]
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When Alexander destroyed Tyre, most of the towns on the route to Egypt quickly capitulated. However, Alexander met with resistance at Gaza. The stronghold was heavily fortified and built on a hill, requiring a siege. When "his engineers pointed out to him that because of the height of the mound it would be impossible... this encouraged Alexander all the more to make the
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attempt".[78] After three unsuccessful assaults, the stronghold fell, but not before Alexander had received a serious shoulder wound. As in Tyre, men of military age were put to the sword and the women and children were sold into slavery.[79]
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Alexander advanced on Egypt in later 332 BC, where he was regarded as a liberator.[80] He was pronounced son of the deity Amun at the Oracle of Siwa Oasis in the Libyan desert.[81] Henceforth, Alexander often referred to Zeus-Ammon as his true father, and after his death, currency depicted him adorned with the Horns of Ammon as a symbol of his divinity.[82] During his stay in Egypt, he founded Alexandria-by-Egypt, which would become the prosperous capital of the Ptolemaic Kingdom after his death.[83]
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Leaving Egypt in 331 BCE, Alexander marched eastward into Achaemenid Assyria in Upper Mesopotamia (now northern Iraq) and defeated Darius again at the Battle of Gaugamela.[84] Darius once more fled the field, and Alexander chased him as far as Arbela. Gaugamela would be the final and decisive encounter between the two. Darius fled over the mountains to Ecbatana (modern Hamadan) while Alexander captured Babylon.[85]
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From Babylon, Alexander went to Susa, one of the Achaemenid capitals, and captured its treasury.[85] He sent the bulk of his army to the Persian ceremonial capital of Persepolis via the Persian Royal Road. Alexander himself took selected troops on the direct route to the city. He then stormed the pass of the Persian Gates (in the modern Zagros Mountains) which had been blocked by a Persian army under Ariobarzanes and then hurried to Persepolis before its garrison could loot the treasury.[86]
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On entering Persepolis, Alexander allowed his troops to loot the city for several days.[87] Alexander stayed in Persepolis for five months.[88] During his stay a fire broke out in the eastern palace of Xerxes I and spread to the rest of the city. Possible causes include a drunken accident or deliberate revenge for the burning of the Acropolis of Athens during the Second Persian War by Xerxes;[89] Plutarch and Diodorus allege that Alexander's companion, the hetaera Thaïs, instigated and started the fire. Even as he watched the city burn, Alexander immediately began to regret his decision.[90][91][92] Plutarch claims that he ordered his men to put out the fires,[90] but that the flames had already spread to most of the city.[90] Curtius claims that Alexander did not regret his decision until the next morning.[90] Plutarch recounts an anecdote in which Alexander pauses and talks to a fallen statue of Xerxes as if it were a live person:
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Shall I pass by and leave you lying there because of the expeditions you led against Greece, or shall I set you up again because of your magnanimity and your virtues in other respects?[93]
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Alexander then chased Darius, first into Media, and then Parthia.[95] The Persian king no longer controlled his own destiny, and was taken prisoner by Bessus, his Bactrian satrap and kinsman.[96] As Alexander approached, Bessus had his men fatally stab the Great King and then declared himself Darius' successor as Artaxerxes V, before retreating into Central Asia to launch a guerrilla campaign against Alexander.[97] Alexander buried Darius' remains next to his Achaemenid predecessors in a regal funeral.[98] He claimed that, while dying, Darius had named him as his successor to the Achaemenid throne.[99] The Achaemenid Empire is normally considered to have fallen with Darius.[100]
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Alexander viewed Bessus as a usurper and set out to defeat him. This campaign, initially against Bessus, turned into a grand tour of central Asia. Alexander founded a series of new cities, all called Alexandria, including modern Kandahar in Afghanistan, and Alexandria Eschate ("The Furthest") in modern Tajikistan. The campaign took Alexander through Media, Parthia, Aria (West Afghanistan), Drangiana, Arachosia (South and Central Afghanistan), Bactria (North and Central Afghanistan), and Scythia.[101]
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In 329 BC, Spitamenes, who held an undefined position in the satrapy of Sogdiana, betrayed Bessus to Ptolemy, one of Alexander's trusted companions, and Bessus was executed.[102] However, when, at some point later, Alexander was on the Jaxartes dealing with an incursion by a horse nomad army, Spitamenes raised Sogdiana in revolt. Alexander personally defeated the Scythians at the Battle of Jaxartes and immediately launched a campaign against Spitamenes, defeating him in the Battle of Gabai. After the defeat, Spitamenes was killed by his own men, who then sued for peace.[103]
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During this time, Alexander adopted some elements of Persian dress and customs at his court, notably the custom of proskynesis, either a symbolic kissing of the hand, or prostration on the ground, that Persians showed to their social superiors.[104] The Greeks regarded the gesture as the province of deities and believed that Alexander meant to deify himself by requiring it. This cost him the sympathies of many of his countrymen, and he eventually abandoned it.[105]
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A plot against his life was revealed, and one of his officers, Philotas, was executed for failing to alert Alexander. The death of the son necessitated the death of the father, and thus Parmenion, who had been charged with guarding the treasury at Ecbatana, was assassinated at Alexander's command, to prevent attempts at vengeance. Most infamously, Alexander personally killed the man who had saved his life at Granicus, Cleitus the Black, during a violent drunken altercation at Maracanda (modern day Samarkand in Uzbekistan), in which Cleitus accused Alexander of several judgmental mistakes and most especially, of having forgotten the Macedonian ways in favour of a corrupt oriental lifestyle.[106]
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Later, in the Central Asian campaign, a second plot against his life was revealed, this one instigated by his own royal pages. His official historian, Callisthenes of Olynthus, was implicated in the plot, and in the Anabasis of Alexander, Arrian states that Callisthenes and the pages were then tortured on the rack as punishment, and likely died soon after.[107] It remains unclear if Callisthenes was actually involved in the plot, for prior to his accusation he had fallen out of favour by leading the opposition to the attempt to introduce proskynesis.[108]
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When Alexander set out for Asia, he left his general Antipater, an experienced military and political leader and part of Philip II's "Old Guard", in charge of Macedon.[60] Alexander's sacking of Thebes ensured that Greece remained quiet during his absence.[60] The one exception was a call to arms by Spartan king Agis III in 331 BC, whom Antipater defeated and killed in the battle of Megalopolis.[60] Antipater referred the Spartans' punishment to the League of Corinth, which then deferred to Alexander, who chose to pardon them.[109] There was also considerable friction between Antipater and Olympias, and each complained to Alexander about the other.[110]
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In general, Greece enjoyed a period of peace and prosperity during Alexander's campaign in Asia.[111] Alexander sent back vast sums from his conquest, which stimulated the economy and increased trade across his empire.[112] However, Alexander's constant demands for troops and the migration of Macedonians throughout his empire depleted Macedon's strength, greatly weakening it in the years after Alexander, and ultimately led to its subjugation by Rome after the Third Macedonian War (171–168 BC).[16]
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After the death of Spitamenes and his marriage to Roxana (Raoxshna in Old Iranian) to cement relations with his new satrapies, Alexander turned to the Indian subcontinent. He invited the chieftains of the former satrapy of Gandhara (a region presently straddling eastern Afghanistan and northern Pakistan), to come to him and submit to his authority. Omphis (Indian name Ambhi), the ruler of Taxila, whose kingdom extended from the Indus to the Hydaspes (Jhelum), complied, but the chieftains of some hill clans, including the Aspasioi and Assakenoi sections of the Kambojas (known in Indian texts also as Ashvayanas and Ashvakayanas), refused to submit.[113] Ambhi hastened to relieve Alexander of his apprehension and met him with valuable presents, placing himself and all his forces at his disposal. Alexander not only returned Ambhi his title and the gifts but he also presented him with a wardrobe of "Persian robes, gold and silver ornaments, 30 horses and 1,000 talents in gold". Alexander was emboldened to divide his forces, and Ambhi assisted Hephaestion and Perdiccas in constructing a bridge over the Indus where it bends at Hund,[114] supplied their troops with provisions, and received Alexander himself, and his whole army, in his capital city of Taxila, with every demonstration of friendship and the most liberal hospitality.
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On the subsequent advance of the Macedonian king, Taxiles accompanied him with a force of 5,000 men and took part in the battle of the Hydaspes River. After that victory he was sent by Alexander in pursuit of Porus (Indian name Puru), to whom he was charged to offer favourable terms, but narrowly escaped losing his life at the hands of his old enemy. Subsequently, however, the two rivals were reconciled by the personal mediation of Alexander; and Taxiles, after having contributed zealously to the equipment of the fleet on the Hydaspes, was entrusted by the king with the government of the whole territory between that river and the Indus. A considerable accession of power was granted him after the death of Philip, son of Machatas; and he was allowed to retain his authority at the death of Alexander himself (323 BC), as well as in the subsequent partition of the provinces at Triparadisus, 321 BC.
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In the winter of 327/326 BC, Alexander personally led a campaign against the Aspasioi of Kunar valleys, the Guraeans of the Guraeus valley, and the Assakenoi of the Swat and Buner valleys.[115] A fierce contest ensued with the Aspasioi in which Alexander was wounded in the shoulder by a dart, but eventually the Aspasioi lost. Alexander then faced the Assakenoi, who fought against him from the strongholds of Massaga, Ora and Aornos.[113]
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The fort of Massaga was reduced only after days of bloody fighting, in which Alexander was wounded seriously in the ankle. According to Curtius, "Not only did Alexander slaughter the entire population of Massaga, but also did he reduce its buildings to rubble."[116] A similar slaughter followed at Ora. In the aftermath of Massaga and Ora, numerous Assakenians fled to the fortress of Aornos. Alexander followed close behind and captured the strategic hill-fort after four bloody days.[113]
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After Aornos, Alexander crossed the Indus and fought and won an epic battle against King Porus, who ruled a region lying between the Hydaspes and the Acesines (Chenab), in what is now the Punjab, in the Battle of the Hydaspes in 326 BC.[117] Alexander was impressed by Porus' bravery, and made him an ally. He appointed Porus as satrap, and added to Porus' territory land that he did not previously own, towards the south-east, up to the Hyphasis (Beas).[118][119] Choosing a local helped him control these lands so distant from Greece.[120] Alexander founded two cities on opposite sides of the Hydaspes river, naming one Bucephala, in honour of his horse, who died around this time.[121] The other was Nicaea (Victory), thought to be located at the site of modern-day Mong, Punjab.[122] Philostratus the Elder in the Life of Apollonius of Tyana writes that in the army of Porus there was an elephant who fought brave against Alexander's army and Alexander dedicated it to the Helios (Sun) and named it Ajax, because he thought that a so great animal deserved a great name. The elephant had gold rings around its tusks and an inscription was on them written in Greek: "Alexander the son of Zeus dedicates Ajax to the Helios" (ΑΛΕΞΑΝΔΡΟΣ Ο ΔΙΟΣ ΤΟΝ ΑΙΑΝΤΑ ΤΩΙ ΗΛΙΩΙ).[123]
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East of Porus' kingdom, near the Ganges River, was the Nanda Empire of Magadha, and further east, the Gangaridai Empire of Bengal region of the Indian subcontinent. Fearing the prospect of facing other large armies and exhausted by years of campaigning, Alexander's army mutinied at the Hyphasis River (Beas), refusing to march farther east.[124] This river thus marks the easternmost extent of Alexander's conquests.[125]
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As for the Macedonians, however, their struggle with Porus blunted their courage and stayed their further advance into India. For having had all they could do to repulse an enemy who mustered only twenty thousand infantry and two thousand horse, they violently opposed Alexander when he insisted on crossing the river Ganges also, the width of which, as they learned, was thirty-two furlongs, its depth a hundred fathoms, while its banks on the further side were covered with multitudes of men-at-arms and horsemen and elephants. For they were told that the kings of the Ganderites and Praesii were awaiting them with eighty thousand horsemen, two hundred thousand footmen, eight thousand chariots, and six thousand war elephants.[126]
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Alexander tried to persuade his soldiers to march farther, but his general Coenus pleaded with him to change his opinion and return; the men, he said, "longed to again see their parents, their wives and children, their homeland". Alexander eventually agreed and turned south, marching along the Indus. Along the way his army conquered the Malhi (in modern-day Multan) and other Indian tribes and Alexander sustained an injury during the siege.[127]
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Alexander sent much of his army to Carmania (modern southern Iran) with general Craterus, and commissioned a fleet to explore the Persian Gulf shore under his admiral Nearchus, while he led the rest back to Persia through the more difficult southern route along the Gedrosian Desert and Makran.[128] Alexander reached Susa in 324 BC, but not before losing many men to the harsh desert.[129]
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Discovering that many of his satraps and military governors had misbehaved in his absence, Alexander executed several of them as examples on his way to Susa.[131][132] As a gesture of thanks, he paid off the debts of his soldiers, and announced that he would send over-aged and disabled veterans back to Macedon, led by Craterus. His troops misunderstood his intention and mutinied at the town of Opis. They refused to be sent away and criticized his adoption of Persian customs and dress and the introduction of Persian officers and soldiers into Macedonian units.[133]
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After three days, unable to persuade his men to back down, Alexander gave Persians command posts in the army and conferred Macedonian military titles upon Persian units. The Macedonians quickly begged forgiveness, which Alexander accepted, and held a great banquet for several thousand of his men at which he and they ate together.[134] In an attempt to craft a lasting harmony between his Macedonian and Persian subjects, Alexander held a mass marriage of his senior officers to Persian and other noblewomen at Susa, but few of those marriages seem to have lasted much beyond a year.[132] Meanwhile, upon his return to Persia, Alexander learned that guards of the tomb of Cyrus the Great in Pasargadae had desecrated it, and swiftly executed them.[135] Alexander admired Cyrus the Great, from an early age reading Xenophon's Cyropaedia, which described Cyrus's heroism in battle and governance as a king and legislator.[136] During his visit to Pasargadae Alexander ordered his architect Aristobulus to decorate the interior of the sepulchral chamber of Cyrus' tomb.[136]
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Afterwards, Alexander travelled to Ecbatana to retrieve the bulk of the Persian treasure. There, his closest friend and possible lover, Hephaestion, died of illness or poisoning.[137][138] Hephaestion's death devastated Alexander, and he ordered the preparation of an expensive funeral pyre in Babylon, as well as a decree for public mourning.[137] Back in Babylon, Alexander planned a series of new campaigns, beginning with an invasion of Arabia, but he would not have a chance to realize them, as he died shortly after Hephaestion.[139]
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On either 10 or 11 June 323 BC, Alexander died in the palace of Nebuchadnezzar II, in Babylon, at age 32.[140] There are two different versions of Alexander's death and details of the death differ slightly in each. Plutarch's account is that roughly 14 days before his death, Alexander entertained admiral Nearchus, and spent the night and next day drinking with Medius of Larissa.[141] He developed a fever, which worsened until he was unable to speak. The common soldiers, anxious about his health, were granted the right to file past him as he silently waved at them.[142] In the second account, Diodorus recounts that Alexander was struck with pain after downing a large bowl of unmixed wine in honour of Heracles, followed by 11 days of weakness; he did not develop a fever and died after some agony.[143] Arrian also mentioned this as an alternative, but Plutarch specifically denied this claim.[141]
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Given the propensity of the Macedonian aristocracy to assassination,[144] foul play featured in multiple accounts of his death. Diodorus, Plutarch, Arrian and Justin all mentioned the theory that Alexander was poisoned. Justin stated that Alexander was the victim of a poisoning conspiracy, Plutarch dismissed it as a fabrication,[145] while both Diodorus and Arrian noted that they mentioned it only for the sake of completeness.[143][146] The accounts were nevertheless fairly consistent in designating Antipater, recently removed as Macedonian viceroy, and at odds with Olympias, as the head of the alleged plot. Perhaps taking his summons to Babylon as a death sentence,[147] and having seen the fate of Parmenion and Philotas,[148] Antipater purportedly arranged for Alexander to be poisoned by his son Iollas, who was Alexander's wine-pourer.[146][148] There was even a suggestion that Aristotle may have participated.[146]
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The strongest argument against the poison theory is the fact that twelve days passed between the start of his illness and his death; such long-acting poisons were probably not available.[149] However, in a 2003 BBC documentary investigating the death of Alexander, Leo Schep from the New Zealand National Poisons Centre proposed that the plant white hellebore (Veratrum album), which was known in antiquity, may have been used to poison Alexander.[150][151][152] In a 2014 manuscript in the journal Clinical Toxicology, Schep suggested Alexander's wine was spiked with Veratrum album, and that this would produce poisoning symptoms that match the course of events described in the Alexander Romance.[153] Veratrum album poisoning can have a prolonged course and it was suggested that if Alexander was poisoned, Veratrum album offers the most plausible cause.[153][154] Another poisoning explanation put forward in 2010 proposed that the circumstances of his death were compatible with poisoning by water of the river Styx (modern-day Mavroneri in Arcadia, Greece) that contained calicheamicin, a dangerous compound produced by bacteria.[155]
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Several natural causes (diseases) have been suggested, including malaria and typhoid fever. A 1998 article in the New England Journal of Medicine attributed his death to typhoid fever complicated by bowel perforation and ascending paralysis.[156] Another recent analysis suggested pyogenic (infectious) spondylitis or meningitis.[157] Other illnesses fit the symptoms, including acute pancreatitis and West Nile virus.[158][159] Natural-cause theories also tend to emphasize that Alexander's health may have been in general decline after years of heavy drinking and severe wounds. The anguish that Alexander felt after Hephaestion's death may also have contributed to his declining health.[156]
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Alexander's body was laid in a gold anthropoid sarcophagus that was filled with honey, which was in turn placed in a gold casket.[160][161] According to Aelian, a seer called Aristander foretold that the land where Alexander was laid to rest "would be happy and unvanquishable forever".[162] Perhaps more likely, the successors may have seen possession of the body as a symbol of legitimacy, since burying the prior king was a royal prerogative.[163]
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While Alexander's funeral cortege was on its way to Macedon, Ptolemy seized it and took it temporarily to Memphis.[160][162] His successor, Ptolemy II Philadelphus, transferred the sarcophagus to Alexandria, where it remained until at least late Antiquity. Ptolemy IX Lathyros, one of Ptolemy's final successors, replaced Alexander's sarcophagus with a glass one so he could convert the original to coinage.[164] The recent discovery of an enormous tomb in northern Greece, at Amphipolis, dating from the time of Alexander the Great[165] has given rise to speculation that its original intent was to be the burial place of Alexander. This would fit with the intended destination of Alexander's funeral cortege. However, the memorial was found to be dedicated to the dearest friend of Alexander the Great, Hephaestion.[166][167]
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Pompey, Julius Caesar and Augustus all visited the tomb in Alexandria, where Augustus, allegedly, accidentally knocked the nose off. Caligula was said to have taken Alexander's breastplate from the tomb for his own use. Around AD 200, Emperor Septimius Severus closed Alexander's tomb to the public. His son and successor, Caracalla, a great admirer, visited the tomb during his own reign. After this, details on the fate of the tomb are hazy.[164]
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The so-called "Alexander Sarcophagus", discovered near Sidon and now in the Istanbul Archaeology Museum, is so named not because it was thought to have contained Alexander's remains, but because its bas-reliefs depict Alexander and his companions fighting the Persians and hunting. It was originally thought to have been the sarcophagus of Abdalonymus (died 311 BC), the king of Sidon appointed by Alexander immediately following the battle of Issus in 331.[168][169] However, more recently, it has been suggested that it may date from earlier than Abdalonymus' death.
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Demades likened the Macedonian army, after the death of Alexander, to the blinded Cyclop, due to the many random and disorderly movements that it made.[170][171][172] In addition, Leosthenes, also, likened the anarchy between the generals, after Alexander's death, to the blinded Cyclop "who after he had lost his eye went feeling and groping about with his hands before him, not knowing where to lay them".[173]
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Alexander's death was so sudden that when reports of his death reached Greece, they were not immediately believed.[60] Alexander had no obvious or legitimate heir, his son Alexander IV by Roxane being born after Alexander's death.[174] According to Diodorus, Alexander's companions asked him on his deathbed to whom he bequeathed his kingdom; his laconic reply was "tôi kratistôi"—"to the strongest".[143] Another theory is that his successors willfully or erroneously misheard "tôi Kraterôi"—"to Craterus", the general leading his Macedonian troops home and newly entrusted with the regency of Macedonia.[175]
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Arrian and Plutarch claimed that Alexander was speechless by this point, implying that this was an apocryphal story.[176] Diodorus, Curtius and Justin offered the more plausible story that Alexander passed his signet ring to Perdiccas, a bodyguard and leader of the companion cavalry, in front of witnesses, thereby nominating him.[143][174]
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Perdiccas initially did not claim power, instead suggesting that Roxane's baby would be king, if male; with himself, Craterus, Leonnatus, and Antipater as guardians. However, the infantry, under the command of Meleager, rejected this arrangement since they had been excluded from the discussion. Instead, they supported Alexander's half-brother Philip Arrhidaeus. Eventually, the two sides reconciled, and after the birth of Alexander IV, he and Philip III were appointed joint kings, albeit in name only.[177]
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Dissension and rivalry soon afflicted the Macedonians, however. The satrapies handed out by Perdiccas at the Partition of Babylon became power bases each general used to bid for power. After the assassination of Perdiccas in 321 BC, Macedonian unity collapsed, and 40 years of war between "The Successors" (Diadochi) ensued before the Hellenistic world settled into four stable power blocs: Ptolemaic Egypt, Seleucid Mesopotamia and Central Asia, Attalid Anatolia, and Antigonid Macedon. In the process, both Alexander IV and Philip III were murdered.[178]
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Diodorus stated that Alexander had given detailed written instructions to Craterus some time before his death.[179] Craterus started to carry out Alexander's commands, but the successors chose not to further implement them, on the grounds they were impractical and extravagant.[179] Nevertheless, Perdiccas read Alexander's will to his troops.[60]
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Alexander's will called for military expansion into the southern and western Mediterranean, monumental constructions, and the intermixing of Eastern and Western populations. It included:
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Alexander earned the epithet "the Great" due to his unparalleled success as a military commander. He never lost a battle, despite typically being outnumbered.[59] This was due to use of terrain, phalanx and cavalry tactics, bold strategy, and the fierce loyalty of his troops.[181] The Macedonian phalanx, armed with the sarissa, a spear 6 metres (20 ft) long, had been developed and perfected by Philip II through rigorous training, and Alexander used its speed and maneuverability to great effect against larger but more disparate[clarification needed] Persian forces.[182] Alexander also recognized the potential for disunity among his diverse army, which employed various languages and weapons. He overcame this by being personally involved in battle,[88] in the manner of a Macedonian king.[181]
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In his first battle in Asia, at Granicus, Alexander used only a small part of his forces, perhaps 13,000 infantry with 5,000 cavalry, against a much larger Persian force of 40,000.[183] Alexander placed the phalanx at the center and cavalry and archers on the wings, so that his line matched the length of the Persian cavalry line, about 3 km (1.86 mi). By contrast, the Persian infantry was stationed behind its cavalry. This ensured that Alexander would not be outflanked, while his phalanx, armed with long pikes, had a considerable advantage over the Persians' scimitars and javelins. Macedonian losses were negligible compared to those of the Persians.[184]
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At Issus in 333 BC, his first confrontation with Darius, he used the same deployment, and again the central phalanx pushed through.[184] Alexander personally led the charge in the center, routing the opposing army.[185] At the decisive encounter with Darius at Gaugamela, Darius equipped his chariots with scythes on the wheels to break up the phalanx and equipped his cavalry with pikes. Alexander arranged a double phalanx, with the center advancing at an angle, parting when the chariots bore down and then reforming. The advance was successful and broke Darius' center, causing the latter to flee once again.[184]
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When faced with opponents who used unfamiliar fighting techniques, such as in Central Asia and India, Alexander adapted his forces to his opponents' style. Thus, in Bactria and Sogdiana, Alexander successfully used his javelin throwers and archers to prevent outflanking movements, while massing his cavalry at the center.[185] In India, confronted by Porus' elephant corps, the Macedonians opened their ranks to envelop the elephants and used their sarissas to strike upwards and dislodge the elephants' handlers.[134]
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Greek biographer Plutarch (c. 45 – c. 120 AD) describes Alexander's appearance as:
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The outward appearance of Alexander is best represented by the statues of him which Lysippus made, and it was by this artist alone that Alexander himself thought it fit that he should be modelled. For those peculiarities which many of his successors and friends afterwards tried to imitate, namely, the poise of the neck, which was bent slightly to the left, and the melting glance of his eyes, this artist has accurately observed. Apelles, however, in painting him as wielder of the thunder-bolt, did not reproduce his complexion, but made it too dark and swarthy. Whereas he was of a fair colour, as they say, and his fairness passed into ruddiness on his breast particularly, and in his face. Moreover, that a very pleasant odour exhaled from his skin and that there was a fragrance about his mouth and all his flesh, so that his garments were filled with it, this we have read in the Memoirs of Aristoxenus.[186]
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The semi-legendary Alexander Romance also suggests that Alexander exhibited heterochromia iridum: that one eye was dark and the other light.[187]
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British historian Peter Green provided a description of Alexander's appearance, based on his review of statues and some ancient documents:
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Physically, Alexander was not prepossessing. Even by Macedonian standards he was very short, though stocky and tough. His beard was scanty, and he stood out against his hirsute Macedonian barons by going clean-shaven. His neck was in some way twisted, so that he appeared to be gazing upward at an angle. His eyes (one blue, one brown) revealed a dewy, feminine quality. He had a high complexion and a harsh voice.[188]
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Historian and Egyptologist Joann Fletcher has said that the Macedonian ruler Alexander the Great had blond hair.[189]
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Ancient authors recorded that Alexander was so pleased with portraits of himself created by Lysippos that he forbade other sculptors from crafting his image.[190] Lysippos had often used the contrapposto sculptural scheme to portray Alexander and other characters such as Apoxyomenos, Hermes and Eros.[191] Lysippos' sculpture, famous for its naturalism, as opposed to a stiffer, more static pose, is thought to be the most faithful depiction.[192]
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Some of Alexander's strongest personality traits formed in response to his parents. His mother had huge ambitions, and encouraged him to believe it was his destiny to conquer the Persian Empire.[188] Olympias' influence instilled a sense of destiny in him,[194] and Plutarch tells how his ambition "kept his spirit serious and lofty in advance of his years".[195] However, his father Philip was Alexander's most immediate and influential role model, as the young Alexander watched him campaign practically every year, winning victory after victory while ignoring severe wounds.[48] Alexander's relationship with his father forged the competitive side of his personality; he had a need to outdo his father, illustrated by his reckless behaviour in battle.[188] While Alexander worried that his father would leave him "no great or brilliant achievement to be displayed to the world",[196] he also downplayed his father's achievements to his companions.[188]
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According to Plutarch, among Alexander's traits were a violent temper and rash, impulsive nature,[197] which undoubtedly contributed to some of his decisions.[188] Although Alexander was stubborn and did not respond well to orders from his father, he was open to reasoned debate.[198] He had a calmer side—perceptive, logical, and calculating. He had a great desire for knowledge, a love for philosophy, and was an avid reader.[199] This was no doubt in part due to Aristotle's tutelage; Alexander was intelligent and quick to learn.[188] His intelligent and rational side was amply demonstrated by his ability and success as a general.[197] He had great self-restraint in "pleasures of the body", in contrast with his lack of self-control with alcohol.[200]
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Alexander was erudite and patronized both arts and sciences.[195][199] However, he had little interest in sports or the Olympic games (unlike his father), seeking only the Homeric ideals of honour (timê) and glory (kudos).[201] He had great charisma and force of personality, characteristics which made him a great leader.[174][197] His unique abilities were further demonstrated by the inability of any of his generals to unite Macedonia and retain the Empire after his death—only Alexander had the ability to do so.[174]
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During his final years, and especially after the death of Hephaestion, Alexander began to exhibit signs of megalomania and paranoia.[147] His extraordinary achievements, coupled with his own ineffable sense of destiny and the flattery of his companions, may have combined to produce this effect.[202] His delusions of grandeur are readily visible in his will and in his desire to conquer the world,[147] in as much as he is by various sources described as having boundless ambition,[203][204] an epithet, the meaning of which has descended into an historical cliché.[205][206]
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He appears to have believed himself a deity, or at least sought to deify himself.[147] Olympias always insisted to him that he was the son of Zeus,[207] a theory apparently confirmed to him by the oracle of Amun at Siwa.[208] He began to identify himself as the son of Zeus-Ammon.[208] Alexander adopted elements of Persian dress and customs at court, notably proskynesis, a practice of which Macedonians disapproved, and were loath to perform.[104] This behaviour cost him the sympathies of many of his countrymen.[209] However, Alexander also was a pragmatic ruler who understood the difficulties of ruling culturally disparate peoples, many of whom lived in kingdoms where the king was divine.[210] Thus, rather than megalomania, his behaviour may simply have been a practical attempt at strengthening his rule and keeping his empire together.[211]
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Alexander married three times: Roxana, daughter of the Sogdian nobleman Oxyartes of Bactria,[212][213][214] out of love;[215] and the Persian princesses Stateira II and Parysatis II, the former a daughter of Darius III and latter a daughter of Artaxerxes III, for political reasons.[216][217] He apparently had two sons, Alexander IV of Macedon by Roxana and, possibly, Heracles of Macedon from his mistress Barsine. He lost another child when Roxana miscarried at Babylon.[218][219]
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Alexander also had a close relationship with his friend, general, and bodyguard Hephaestion, the son of a Macedonian noble.[137][188][220] Hephaestion's death devastated Alexander.[137][221] This event may have contributed to Alexander's failing health and detached mental state during his final months.[147][156]
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Alexander's sexuality has been the subject of speculation and controversy in modern times.[222] The Roman era writer Athenaeus says, based on the scholar Dicaearchus, who was Alexander's contemporary, that the king "was quite excessively keen on boys", and that Alexander sexually embraced his eunuch Bagoas in public.[223] This episode is also told by Plutarch, probably based on the same source. None of Alexander's contemporaries, however, are known to have explicitly described Alexander's relationship with Hephaestion as sexual, though the pair was often compared to Achilles and Patroclus, whom classical Greek culture painted as a couple. Aelian writes of Alexander's visit to Troy where "Alexander garlanded the tomb of Achilles, and Hephaestion that of Patroclus, the latter hinting that he was a beloved of Alexander, in just the same way as Patroclus was of Achilles."[224] Some modern historians (e.g., Robin Lane Fox) believe not only that Alexander's youthful relationship with Hephaestion was sexual, but that their sexual contacts may have continued into adulthood, which went against the social norms of at least some Greek cities, such as Athens,[225][226] though some modern researchers have tentatively proposed that Macedonia (or at least the Macedonian court) may have been more tolerant of homosexuality between adults.[227]
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Green argues that there is little evidence in ancient sources that Alexander had much carnal interest in women; he did not produce an heir until the very end of his life.[188] However, Ogden calculates that Alexander, who impregnated his partners thrice in eight years, had a higher matrimonial record than his father at the same age.[228] Two of these pregnancies — Stateira's and Barsine's — are of dubious legitimacy.[229]
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According to Diodorus Siculus, Alexander accumulated a harem in the style of Persian kings, but he used it rather sparingly,[230] showing great self-control in "pleasures of the body".[200] Nevertheless, Plutarch described how Alexander was infatuated by Roxana while complimenting him on not forcing himself on her.[231] Green suggested that, in the context of the period, Alexander formed quite strong friendships with women, including Ada of Caria, who adopted him, and even Darius' mother Sisygambis, who supposedly died from grief upon hearing of Alexander's death.[188]
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Alexander's legacy extended beyond his military conquests. His campaigns greatly increased contacts and trade between East and West, and vast areas to the east were significantly exposed to Greek civilization and influence.[16] Some of the cities he founded became major cultural centers, many surviving into the 21st century. His chroniclers recorded valuable information about the areas through which he marched, while the Greeks themselves got a sense of belonging to a world beyond the Mediterranean.[16]
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Alexander's most immediate legacy was the introduction of Macedonian rule to huge new swathes of Asia. At the time of his death, Alexander's empire covered some 5,200,000 km2 (2,000,000 sq mi),[233] and was the largest state of its time. Many of these areas remained in Macedonian hands or under Greek influence for the next 200–300 years. The successor states that emerged were, at least initially, dominant forces, and these 300 years are often referred to as the Hellenistic period.[234]
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The eastern borders of Alexander's empire began to collapse even during his lifetime.[174] However, the power vacuum he left in the northwest of the Indian subcontinent directly gave rise to one of the most powerful Indian dynasties in history, the Maurya Empire. Taking advantage of this power vacuum, Chandragupta Maurya (referred to in Greek sources as "Sandrokottos"), of relatively humble origin, took control of the Punjab, and with that power base proceeded to conquer the Nanda Empire.[235]
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Over the course of his conquests, Alexander founded some twenty cities that bore his name, most of them east of the Tigris.[105][236] The first, and greatest, was Alexandria in Egypt, which would become one of the leading Mediterranean cities.[105] The cities' locations reflected trade routes as well as defensive positions. At first, the cities must have been inhospitable, little more than defensive garrisons.[105] Following Alexander's death, many Greeks who had settled there tried to return to Greece.[105][236] However, a century or so after Alexander's death, many of the Alexandrias were thriving, with elaborate public buildings and substantial populations that included both Greek and local peoples.[105]
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In 334 BC, Alexander the Great donated funds for the completion of the new temple of Athena Polias in Priene, in modern-day western Turkey.[238][239] An inscription from the temple, now housed in the British Museum, declares: "King Alexander dedicated [this temple] to Athena Polias."[237] This inscription is one of the few independent archaeological discoveries confirming an episode from Alexander's life.[237] The temple was designed by Pytheos, one of the architects of the Mausoleum at Halicarnassus.[237][238][239][240]
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Libanius wrote that Alexander founded the temple of Zeus Bottiaios (Ancient Greek: Βοττιαίου Δῖός), in the place where later the city of Antioch was built.[241][242]
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Hellenization was coined by the German historian Johann Gustav Droysen to denote the spread of Greek language, culture, and population into the former Persian empire after Alexander's conquest.[234] That this export took place is undoubted, and can be seen in the great Hellenistic cities of, for instance, Alexandria, Antioch[243] and Seleucia (south of modern Baghdad).[244] Alexander sought to insert Greek elements into Persian culture and attempted to hybridize Greek and Persian culture. This culminated in his aspiration to homogenize the populations of Asia and Europe. However, his successors explicitly rejected such policies. Nevertheless, Hellenization occurred throughout the region, accompanied by a distinct and opposite 'Orientalization' of the successor states.[245]
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The core of the Hellenistic culture promulgated by the conquests was essentially Athenian.[246] The close association of men from across Greece in Alexander's army directly led to the emergence of the largely Attic-based "koine", or "common" Greek dialect.[247] Koine spread throughout the Hellenistic world, becoming the lingua franca of Hellenistic lands and eventually the ancestor of modern Greek.[247] Furthermore, town planning, education, local government, and art current in the Hellenistic period were all based on Classical Greek ideals, evolving into distinct new forms commonly grouped as Hellenistic.[243] Aspects of Hellenistic culture were still evident in the traditions of the Byzantine Empire in the mid-15th century.[248]
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Some of the most pronounced effects of Hellenization can be seen in Afghanistan and India, in the region of the relatively late-rising Greco-Bactrian Kingdom (250–125 BC) (in modern Afghanistan, Pakistan, and Tajikistan) and the Indo-Greek Kingdom (180 BC – 10 AD) in modern Afghanistan and India.[249] On the Silk Road trade routes, Hellenistic culture hybridized with Iranian and Buddhist cultures. The cosmopolitan art and mythology of Gandhara (a region spanning the upper confluence of the Indus, Swat and Kabul rivers in modern Pakistan) of the ~3rd century BC to the ~5th century AD are most evident of the direct contact between Hellenistic civilization and South Asia, as are the Edicts of Ashoka, which directly mention the Greeks within Ashoka's dominion as converting to Buddhism and the reception of Buddhist emissaries by Ashoka's contemporaries in the Hellenistic world.[250] The resulting syncretism known as Greco-Buddhism influenced the development of Buddhism[citation needed] and created a culture of Greco-Buddhist art. These Greco-Buddhist kingdoms sent some of the first Buddhist missionaries to China, Sri Lanka and Hellenistic Asia and Europe (Greco-Buddhist monasticism).
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Some of the first and most influential figurative portrayals of the Buddha appeared at this time, perhaps modeled on Greek statues of Apollo in the Greco-Buddhist style.[249] Several Buddhist traditions may have been influenced by the ancient Greek religion: the concept of Boddhisatvas is reminiscent of Greek divine heroes,[251] and some Mahayana ceremonial practices (burning incense, gifts of flowers, and food placed on altars) are similar to those practiced by the ancient Greeks; however, similar practices were also observed amongst the native Indic culture. One Greek king, Menander I, probably became Buddhist, and was immortalized in Buddhist literature as 'Milinda'.[249] The process of Hellenization also spurred trade between the east and west.[252] For example, Greek astronomical instruments dating to the 3rd century BC were found in the Greco-Bactrian city of Ai Khanoum in modern-day Afghanistan,[253] while the Greek concept of a spherical earth surrounded by the spheres of planets eventually supplanted the long-standing Indian cosmological belief of a disc consisting of four continents grouped around a central mountain (Mount Meru) like the petals of a flower.[252][254][255] The Yavanajataka (lit. Greek astronomical treatise) and Paulisa Siddhanta texts depict the influence of Greek astronomical ideas on Indian astronomy.
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Following the conquests of Alexander the Great in the east, Hellenistic influence on Indian art was far-ranging. In the area of architecture, a few examples of the Ionic order can be found as far as Pakistan with the Jandial temple near Taxila. Several examples of capitals displaying Ionic influences can be seen as far as Patna, especially with the Pataliputra capital, dated to the 3rd century BC.[256] The Corinthian order is also heavily represented in the art of Gandhara, especially through Indo-Corinthian capitals.
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Alexander and his exploits were admired by many Romans, especially generals, who wanted to associate themselves with his achievements.[257] Polybius began his Histories by reminding Romans of Alexander's achievements, and thereafter Roman leaders saw him as a role model. Pompey the Great adopted the epithet "Magnus" and even Alexander's anastole-type haircut, and searched the conquered lands of the east for Alexander's 260-year-old cloak, which he then wore as a sign of greatness.[257] Julius Caesar dedicated a Lysippean equestrian bronze statue but replaced Alexander's head with his own, while Octavian visited Alexander's tomb in Alexandria and temporarily changed his seal from a sphinx to Alexander's profile.[257] The emperor Trajan also admired Alexander, as did Nero and Caracalla.[257] The Macriani, a Roman family that in the person of Macrinus briefly ascended to the imperial throne, kept images of Alexander on their persons, either on jewelry, or embroidered into their clothes.[258]
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On the other hand, some Roman writers, particularly Republican figures, used Alexander as a cautionary tale of how autocratic tendencies can be kept in check by republican values.[259] Alexander was used by these writers as an example of ruler values such as amicita (friendship) and clementia (clemency), but also iracundia (anger) and cupiditas gloriae (over-desire for glory).[259]
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Emperor Julian in his satire called "The Caesars", describes a contest between the previous Roman emperors, with Alexander the Great called in as an extra contestant, in the presence of the assembled gods.[260]
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Pausanias writes that Alexander wanted to dig the Mimas mountain (today at the Karaburun area), but he didn't succeed. He also mentions that this was the only unsuccessful project of Alexander.[261] In addition, Pliny the Elder writes about this unsuccessful plan adding that the distance was 12 kilometres (7 1⁄2 mi), and the purpose was to cut a canal through the isthmus, so as to connect the Caystrian and Hermaean bays.[262][263]
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Arrian wrote that Aristobulus said that the Icarus island (modern Failaka Island) in the Persian Gulf had this name because Alexander ordered the island to be named like this, after the Icarus island in the Aegean Sea.[264][265]
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Legendary accounts surround the life of Alexander the Great, many deriving from his own lifetime, probably encouraged by Alexander himself.[266] His court historian Callisthenes portrayed the sea in Cilicia as drawing back from him in proskynesis. Writing shortly after Alexander's death, another participant, Onesicritus, invented a tryst between Alexander and Thalestris, queen of the mythical Amazons. When Onesicritus read this passage to his patron, Alexander's general and later King Lysimachus reportedly quipped, "I wonder where I was at the time."[267]
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In the first centuries after Alexander's death, probably in Alexandria, a quantity of the legendary material coalesced into a text known as the Alexander Romance, later falsely ascribed to Callisthenes and therefore known as Pseudo-Callisthenes. This text underwent numerous expansions and revisions throughout Antiquity and the Middle Ages,[268] containing many dubious stories,[266] and was translated into numerous languages.[269]
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Alexander the Great's accomplishments and legacy have been depicted in many cultures. Alexander has figured in both high and popular culture beginning in his own era to the present day. The Alexander Romance, in particular, has had a significant impact on portrayals of Alexander in later cultures, from Persian to medieval European to modern Greek.[269]
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Alexander features prominently in modern Greek folklore, more so than any other ancient figure.[270] The colloquial form of his name in modern Greek ("O Megalexandros") is a household name, and he is the only ancient hero to appear in the Karagiozis shadow play.[270] One well-known fable among Greek seamen involves a solitary mermaid who would grasp a ship's prow during a storm and ask the captain "Is King Alexander alive?" The correct answer is "He is alive and well and rules the world!" causing the mermaid to vanish and the sea to calm. Any other answer would cause the mermaid to turn into a raging Gorgon who would drag the ship to the bottom of the sea, all hands aboard.[270]
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In pre-Islamic Middle Persian (Zoroastrian) literature, Alexander is referred to by the epithet gujastak, meaning "accursed", and is accused of destroying temples and burning the sacred texts of Zoroastrianism.[271] In Sunni Islamic Persia, under the influence of the Alexander Romance (in Persian: اسکندرنامه Iskandarnamah), a more positive portrayal of Alexander emerges.[272] Firdausi's Shahnameh ("The Book of Kings") includes Alexander in a line of legitimate Persian shahs, a mythical figure who explored the far reaches of the world in search of the Fountain of Youth.[273] Later Persian writers associate him with philosophy, portraying him at a symposium with figures such as Socrates, Plato and Aristotle, in search of immortality.[272]
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The figure of Dhul-Qarnayn (literally "the Two-Horned One") mentioned in the Quran is believed by scholars to be based on later legends of Alexander.[272] In this tradition, he was a heroic figure who built a wall to defend against the nations of Gog and Magog.[274] He then travelled the known world in search of the Water of Life and Immortality, eventually becoming a prophet.[274]
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The Syriac version of the Alexander Romance portrays him as an ideal Christian world conqueror who prayed to "the one true God".[272] In Egypt, Alexander was portrayed as the son of Nectanebo II, the last pharaoh before the Persian conquest.[274] His defeat of Darius was depicted as Egypt's salvation, "proving" Egypt was still ruled by an Egyptian.[272]
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According to Josephus, Alexander was shown the Book of Daniel when he entered Jerusalem, which described a mighty Greek king who would conquer the Persian Empire. This is cited as a reason for sparing Jerusalem.[275]
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In Hindi and Urdu, the name "Sikandar", derived from the Persian name for Alexander, denotes a rising young talent, and the Delhi Sultanate ruler Aladdin Khajli stylized himself as "Sikandar-i-Sani" (the Second Alexander the Great).[276] In medieval India, Turkic and Afghan sovereigns from the Iranian-cultured region of Central Asia brought positive cultural connotations of Alexander to the Indian subcontinent, resulting in the efflorescence of Sikandernameh (Alexander Romances) written by Indo-Persian poets such as Amir Khusrow and the prominence of Alexander the Great as a popular subject in Mughal-era Persian miniatures.[277] In medieval Europe, Alexander the Great was revered as a member of the Nine Worthies, a group of heroes whose lives were believed to encapsulate all the ideal qualities of chivalry.[278]
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In Greek Anthology there are poems referring to Alexander.[279][280]
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Irish playwright Aubrey Thomas de Vere wrote Alexander the Great, a Dramatic Poem.
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In popular culture, the British heavy metal band Iron Maiden included a song titled "Alexander the Great" on their 1986 album Somewhere in Time. Written by bass player Steve Harris, the song retells Alexander's life.
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Apart from a few inscriptions and fragments, texts written by people who actually knew Alexander or who gathered information from men who served with Alexander were all lost.[16] Contemporaries who wrote accounts of his life included Alexander's campaign historian Callisthenes; Alexander's generals Ptolemy and Nearchus; Aristobulus, a junior officer on the campaigns; and Onesicritus, Alexander's chief helmsman. Their works are lost, but later works based on these original sources have survived. The earliest of these is Diodorus Siculus (1st century BC), followed by Quintus Curtius Rufus (mid-to-late 1st century AD), Arrian (1st to 2nd century AD), the biographer Plutarch (1st to 2nd century AD), and finally Justin, whose work dated as late as the 4th century.[16] Of these, Arrian is generally considered the most reliable, given that he used Ptolemy and Aristobulus as his sources, closely followed by Diodorus.[16]
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Coordinates: 38°53′23″N 77°0′32″W / 38.88972°N 77.00889°W / 38.88972; -77.00889
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The United States Congress is the bicameral legislature of the federal government of the United States and consists of two chambers: the House of Representatives and the Senate. The Congress meets in the United States Capitol in Washington, D.C. Both senators and representatives are chosen through direct election, though vacancies in the Senate may be filled by a governor appointment. Congress has 535 voting members: 435 representatives and 100 senators. In addition, the House of Representatives currently has six non-voting members, bringing the total membership of the US Congress to 541[1] or fewer in the case of vacancies.
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The members of the House of Representatives serve two-year terms representing the people of a single constituency, known as a district. Congressional districts are apportioned to states by population using the United States Census results, provided that each state has at least one congressional representative. Each state, regardless of population or size, has two senators. Currently, there are 100 senators representing the 50 states. Each senator is elected at-large in their state for a six-year term, with terms staggered, so every two years approximately one-third of the Senate is up for election.
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Article One of the United States Constitution requires that members of Congress must be at least 25 years old (House) or 30 years old (Senate), have been a citizen of the United States for seven (House) or nine (Senate) years, and be an inhabitant of the state which they represent. A small number of senators in the 19th century were under 30 years old and therefore did not meet the constitutional age requirement.[2]
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The Congress was created by the Constitution of the United States and first met in 1789, replacing in its legislative function the Congress of the Confederation. Although not legally mandated, in practice since the 19th century, Congress members are typically affiliated with the Republican Party or with the Democratic Party and only rarely with a third party or independents.
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Article One of the United States Constitution states, "All legislative Powers herein granted shall be vested in a Congress of the United States, which shall consist of a Senate and House of Representatives." The House and Senate are equal partners in the legislative process—legislation cannot be enacted without the consent of both chambers. However, the Constitution grants each chamber some unique powers. The Senate ratifies treaties and approves presidential appointments while the House initiates revenue-raising bills. The House initiates impeachment cases, while the Senate decides impeachment cases.[3] A two-thirds vote of the Senate is required before an impeached person can be removed from office.[3]
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The term Congress can also refer to a particular meeting of the legislature. A Congress covers two years; the current one, the 116th Congress, began on January 3, 2019, and will end on January 3, 2021. The Congress starts and ends on the third day of January of every odd-numbered year. Members of the Senate are referred to as senators; members of the House of Representatives are referred to as representatives, congresswomen, or congressmen.
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Scholar and representative Lee H. Hamilton asserted that the "historic mission of Congress has been to maintain freedom" and insisted it was a "driving force in American government"[4] and a "remarkably resilient institution."[5] Congress is the "heart and soul of our democracy," according to this view,[6] even though legislators rarely achieve the prestige or name recognition of presidents or Supreme Court justices; one wrote that "legislators remain ghosts in America's historical imagination."[6] One analyst argues that it is not a solely reactive institution but has played an active role in shaping government policy and is extraordinarily sensitive to public pressure.[6] Several academics described Congress:
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Congress reflects us in all our strengths and all our weaknesses. It reflects our regional idiosyncrasies, our ethnic, religious, and racial diversity, our multitude of professions, and our shadings of opinion on everything from the value of war to the war over values. Congress is the government's most representative body ... Congress is essentially charged with reconciling our many points of view on the great public policy issues of the day.
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Congress is constantly changing and is constantly in flux.[7] In recent times, the American south and west have gained House seats according to demographic changes recorded by the census and includes more minorities and women although both groups are still underrepresented.[7] While power balances among the different parts of government continue to change, the internal structure of Congress is important to understand along with its interactions with so-called intermediary institutions such as political parties, civic associations, interest groups, and the mass media.[6]
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The Congress of the United States serves two distinct purposes that overlap: local representation to the federal government of a congressional district by representatives and a state's at-large representation to the federal government by senators.
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Most incumbents seek re-election, and their historical likelihood of winning subsequent elections exceeds 90 percent.[8]
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The historical records of the House of Representatives and the Senate are maintained by the Center for Legislative Archives, which is a part of the National Archives and Records Administration.[9]
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Congress is directly responsible for the governing of the District of Columbia, the current seat of the federal government.
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The First Continental Congress was a gathering of representatives from twelve of the thirteen colonies of North America.[10] On July 4, 1776, the Second Continental Congress adopted the Declaration of Independence, referring to the new nation as the "United States of America." The Articles of Confederation in 1781 created the Congress of the Confederation, a unicameral body with equal representation among the states in which each state had a veto over most decisions. Congress had executive but not legislative authority, and the federal judiciary was confined to admiralty.[11] and lacked authority to collect taxes, regulate commerce, or enforce laws.[12][13]
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Government powerlessness led to the Convention of 1787 which proposed a revised constitution with a two–chamber or bicameral congress.[14] Smaller states argued for equal representation for each state.[15] The two-chamber structure had functioned well in state governments.[16] A compromise plan, the Connecticut Compromise, was adopted with representatives chosen by population (benefiting larger states) and exactly two senators chosen by state governments (benefiting smaller states).[7][17] The ratified constitution created a federal structure with two overlapping power centers so that each citizen as an individual was subjected to both the power of state government and the national government.[18][19][20] To protect against abuse of power, each branch of government—executive, legislative, and judicial—had a separate sphere of authority and could check other branches according to the principle of the separation of powers.[3] Furthermore, there were checks and balances within the legislature since there were two separate chambers.[21] The new government became active in 1789.[3][22]
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Political scientist Julian E. Zelizer suggested there were four main congressional eras, with considerable overlap, and included the formative era (1780s–1820s), the partisan era (1830s–1900s), the committee era (1910s–1960s), and the contemporary era (1970s–today).[23]
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Federalists and anti-federalists jostled for power in the early years as political parties became pronounced, surprising the Constitution's Founding Fathers of the United States. With the passage of the Constitution and the Bill of Rights, the anti-federalist movement was exhausted. Some activists joined the Anti-Administration Party that James Madison and Thomas Jefferson were forming about 1790–91 to oppose policies of Treasury Secretary Alexander Hamilton; it soon became the Democratic-Republican Party or the Jeffersonian Republican Party[24] and began the era of the First Party System. Thomas Jefferson's election to the presidency marked a peaceful transition of power between the parties in 1800. John Marshall, 4th chief justice of the Supreme Court, empowered the courts by establishing the principle of judicial review in law in the landmark case Marbury v. Madison in 1803, effectively giving the Supreme Court a power to nullify congressional legislation.[25][26]
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These years were marked by growth in the power of political parties. The watershed event was the Civil War which resolved the slavery issue and unified the nation under federal authority, but weakened the power of states' rights. The Gilded Age (1877–1901) was marked by Republican dominance of Congress. During this time, lobbying activity became more intense, particularly during the administration of President Ulysses S. Grant in which influential lobbies advocated for railroad subsidies and tariffs on wool.[27] Immigration and high birth rates swelled the ranks of citizens and the nation grew at a rapid pace. The Progressive Era was characterized by strong party leadership in both houses of Congress as well as calls for reform; sometimes reformers would attack lobbyists as corrupting politics.[28] The position of Speaker of the House became extremely powerful under leaders such as Thomas Reed in 1890 and Joseph Gurney Cannon. The Senate was effectively controlled by a half dozen men.
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A system of seniority—in which long-time members of Congress gained more and more power—encouraged politicians of both parties to serve for long terms. Committee chairmen remained influential in both houses until the reforms of the 1970s.
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Important structural changes included the direct popular election of senators according to the Seventeenth Amendment,[17] ratified on April 8, 1913, with positive effects (senators more sensitive to public opinion) and negative effects (undermining the authority of state governments).[17] Supreme Court decisions based on the Constitution's commerce clause expanded congressional power to regulate the economy.[29] One effect of popular election of senators was to reduce the difference between the House and Senate in terms of their link to the electorate.[30] Lame duck reforms according to the Twentieth Amendment ended the power of defeated and retiring members of Congress to wield influence despite their lack of accountability.[31]
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The Great Depression ushered in President Franklin Roosevelt and strong control by Democrats[32] and historic New Deal policies. Roosevelt's election in 1932 marked a shift in government power towards the executive branch. Numerous New Deal initiatives came from the White House rather than being initiated by Congress.[33] The Democratic Party controlled both houses of Congress for many years.[34][35][36] During this time, Republicans and conservative southern Democrats[37] formed the Conservative Coalition.[36][38] Democrats maintained control of Congress during World War II.[39][40] Congress struggled with efficiency in the postwar era partly by reducing the number of standing congressional committees.[41] Southern Democrats became a powerful force in many influential committees although political power alternated between Republicans and Democrats during these years. More complex issues required greater specialization and expertise, such as space flight and atomic energy policy.[41] Senator Joseph McCarthy exploited the fear of communism during the Second Red Scare and conducted televised hearings.[42][43] In 1960, Democratic candidate John F. Kennedy narrowly won the presidency and power shifted again to the Democrats who dominated both houses of Congress until 1994.
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Congress enacted Johnson's Great Society program to fight poverty and hunger. The Watergate Scandal had a powerful effect of waking up a somewhat dormant Congress which investigated presidential wrongdoing and coverups; the scandal "substantially reshaped" relations between the branches of government, suggested political scientist Bruce J. Schulman.[45] Partisanship returned, particularly after 1994; one analyst attributes partisan infighting to slim congressional majorities which discouraged friendly social gatherings in meeting rooms such as the Board of Education.[6] Congress began reasserting its authority.[33][46] Lobbying became a big factor despite the 1971 Federal Election Campaign Act. Political action committees or PACs could make substantive donations to congressional candidates via such means as soft money contributions.[47] While soft money funds were not given to specific campaigns for candidates, the money often benefited candidates substantially in an indirect way and helped reelect candidates.[47] Reforms such as the 2002 Bipartisan Campaign Reform Act limited campaign donations but did not limit soft money contributions.[48] One source suggests post-Watergate laws amended in 1974 meant to reduce the "influence of wealthy contributors and end payoffs" instead "legitimized PACs" since they "enabled individuals to band together in support of candidates."[49] From 1974 to 1984, PACs grew from 608 to 3,803 and donations leaped from $12.5 million to $120 million[49][50][51] along with concern over PAC influence in Congress.[52][53] In 2009, there were 4,600 business, labor and special-interest PACs[54] including ones for lawyers, electricians, and real estate brokers.[55] From 2007 to 2008, 175 members of Congress received "half or more of their campaign cash" from PACs.[54][56][57]
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From 1970 to 2009, the House expanded delegates, along with their powers and privileges representing U.S. citizens in non-state areas, beginning with representation on committees for Puerto Rico's resident commissioner in 1970. In 1971, a delegate for the District of Columbia was authorized, and in 1972 new delegate positions were established for U.S. Virgin Islands and Guam. 1978 saw an additional delegate for American Samoa, and another for the Commonwealth of the Northern Mariana Islands began in 2009. These six members of Congress enjoy floor privileges to introduce bills and resolutions, and in recent congresses they vote in permanent and select committees, in party caucuses and in joint conferences with the Senate. They have Capitol Hill offices, staff and two annual appointments to each of the four military academies. While their votes are constitutional when Congress authorizes their House Committee of the Whole votes, recent Congresses have not allowed for that, and they cannot vote when the House is meeting as the House of Representatives.[58]
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In the late 20th century, the media became more important in Congress's work.[59] Analyst Michael Schudson suggested that greater publicity undermined the power of political parties and caused "more roads to open up in Congress for individual representatives to influence decisions."[59] Norman Ornstein suggested that media prominence led to a greater emphasis on the negative and sensational side of Congress, and referred to this as the tabloidization of media coverage.[7] Others saw pressure to squeeze a political position into a thirty-second soundbite.[60] A report characterized Congress in 2013 as being unproductive, gridlocked, and "setting records for futility."[61] In October 2013, with Congress unable to compromise, the government was shut down for several weeks and risked a serious default on debt payments, causing 60% of the public to say they would "fire every member of Congress" including their own representative.[62] One report suggested Congress posed the "biggest risk to the US economy" because of its brinksmanship, "down-to-the-wire budget and debt crises" and "indiscriminate spending cuts," resulting in slowed economic activity and keeping up to two million people unemployed.[63] There has been increasing public dissatisfaction with Congress,[64] with extremely low approval ratings[65][66] which dropped to 5% in October 2013.[67]
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Article I of the Constitution creates and sets forth the structure and most of the powers of Congress. Sections One through Six describe how Congress is elected and gives each House the power to create its own structure. Section Seven lays out the process for creating laws, and Section Eight enumerates numerous powers. Section Nine is a list of powers Congress does not have, and Section Ten enumerates powers of the state, some of which may only be granted by Congress.[68] Constitutional amendments have granted Congress additional powers. Congress also has implied powers derived from the Constitution's Necessary and Proper Clause.
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Congress has authority over financial and budgetary policy through the enumerated power to "lay and collect Taxes, Duties, Imposts and Excises, to pay the Debts and provide for the common Defence and general Welfare of the United States." There is vast authority over budgets, although analyst Eric Patashnik suggested that much of Congress's power to manage the budget has been lost when the welfare state expanded since "entitlements were institutionally detached from Congress's ordinary legislative routine and rhythm."[69] Another factor leading to less control over the budget was a Keynesian belief that balanced budgets were unnecessary.[69]
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The Sixteenth Amendment in 1913 extended congressional power of taxation to include income taxes without apportionment among the several States, and without regard to any census or enumeration.[70] The Constitution also grants Congress the exclusive power to appropriate funds, and this power of the purse is one of Congress's primary checks on the executive branch.[70] Congress can borrow money on the credit of the United States, regulate commerce with foreign nations and among the states, and coin money.[71] Generally, both the Senate and the House of Representatives have equal legislative authority, although only the House may originate revenue and appropriation bills.[3]
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Congress has an important role in national defense, including the exclusive power to declare war, to raise and maintain the armed forces, and to make rules for the military.[72] Some critics charge that the executive branch has usurped Congress's constitutionally defined task of declaring war.[73] While historically presidents initiated the process for going to war, they asked for and received formal war declarations from Congress for the War of 1812, the Mexican–American War, the Spanish–American War, World War I, and World War II,[74] although President Theodore Roosevelt's military move into Panama in 1903 did not get congressional approval.[74] In the early days after the North Korean invasion of 1950, President Truman described the American response as a "police action."[75] According to Time magazine in 1970, "U.S. presidents [had] ordered troops into position or action without a formal congressional declaration a total of 149 times."[74] In 1993, Michael Kinsley wrote that "Congress's war power has become the most flagrantly disregarded provision in the Constitution," and that the "real erosion [of Congress's war power] began after World War II."[76][77][78] Disagreement about the extent of congressional versus presidential power regarding war has been present periodically throughout the nation's history.[79]
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Congress can establish post offices and post roads, issue patents and copyrights, fix standards of weights and measures, establish Courts inferior to the Supreme Court, and "make all Laws which shall be necessary and proper for carrying into Execution the foregoing Powers, and all other Powers vested by this Constitution in the Government of the United States, or in any Department or Officer thereof." Article Four gives Congress the power to admit new states into the Union.
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One of Congress's foremost non-legislative functions is the power to investigate and oversee the executive branch.[80] Congressional oversight is usually delegated to committees and is facilitated by Congress's subpoena power.[81] Some critics have charged that Congress has in some instances failed to do an adequate job of overseeing the other branches of government. In the Plame affair, critics including Representative Henry A. Waxman charged that Congress was not doing an adequate job of oversight in this case.[82] There have been concerns about congressional oversight of executive actions such as warrantless wiretapping, although others respond that Congress did investigate the legality of presidential decisions.[83] Political scientists Ornstein and Mann suggested that oversight functions do not help members of Congress win reelection. Congress also has the exclusive power of removal, allowing impeachment and removal of the president, federal judges and other federal officers.[84] There have been charges that presidents acting under the doctrine of the unitary executive have assumed important legislative and budgetary powers that should belong to Congress.[85] So-called signing statements are one way in which a president can "tip the balance of power between Congress and the White House a little more in favor of the executive branch," according to one account.[86] Past presidents, including Ronald Reagan, George H. W. Bush, Bill Clinton, and George W. Bush,[87] have made public statements when signing congressional legislation about how they understand a bill or plan to execute it, and commentators, including the American Bar Association, have described this practice as against the spirit of the Constitution.[88][89] There have been concerns that presidential authority to cope with financial crises is eclipsing the power of Congress.[90] In 2008, George F. Will called the Capitol building a "tomb for the antiquated idea that the legislative branch matters."[91]
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The Constitution enumerates the powers of Congress in detail. In addition, other congressional powers have been granted, or confirmed, by constitutional amendments. The Thirteenth (1865), Fourteenth (1868), and Fifteenth Amendments (1870) gave Congress authority to enact legislation to enforce rights of African Americans, including voting rights, due process, and equal protection under the law.[92] Generally militia forces are controlled by state governments, not Congress.[93]
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Congress also has implied powers deriving from the Constitution's Necessary and Proper Clause which permit Congress to "make all Laws which shall be necessary and proper for carrying into Execution the foregoing Powers, and all other Powers vested by this Constitution in the Government of the United States, or in any Department or Officer thereof."[94] Broad interpretations of this clause and of the Commerce Clause, the enumerated power to regulate commerce, in rulings such as McCulloch v. Maryland, have effectively widened the scope of Congress's legislative authority far beyond that prescribed in Section Eight.[95][96]
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Constitutional responsibility for the oversight of Washington, D.C., the federal district and national capital, and the U.S. territories of Guam, American Samoa, Puerto Rico, the U.S. Virgin Islands, and the Northern Mariana Islands rests with Congress.[97] The republican form of government in territories is devolved by Congressional statute to the respective territories including direct election of governors, the D.C. mayor and locally elective territorial legislatures.[98]
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Each territory and Washington, D.C., elect a non-voting delegate to the U.S. House of Representatives as they have throughout Congressional history. They "possess the same powers as other members of the House, except that they may not vote when the House is meeting as the House of Representatives." They are assigned offices and allowances for staff, participate in debate, and appoint constituents to the four military service academies for the Army, Navy, Air Force and Coast Guard.[99]
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Washington, D.C., citizens alone among U.S. territories have the right to directly vote for the President of the United States, although the Democratic and Republican political parties nominate their presidential candidates at national conventions which include delegates from the five major territories.[100]
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Representative Lee H. Hamilton explained how Congress functions within the federal government:
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To me the key to understanding it is balance. The founders went to great lengths to balance institutions against each other—balancing powers among the three branches: Congress, the president, and the Supreme Court; between the House of Representatives and the Senate; between the federal government and the states; among states of different sizes and regions with different interests; between the powers of government and the rights of citizens, as spelled out in the Bill of Rights ... No one part of government dominates the other.[4]:6
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The Constitution provides checks and balances among the three branches of the federal government. Its authors expected the greater power to lie with Congress as described in Article One.[4][101]
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The influence of Congress on the presidency has varied from period to period depending on factors such as congressional leadership, presidential political influence, historical circumstances such as war, and individual initiative by members of Congress. The impeachment of Andrew Johnson made the presidency less powerful than Congress for a considerable period afterwards.[102] The 20th and 21st centuries have seen the rise of presidential power under politicians such as Theodore Roosevelt, Woodrow Wilson, Franklin D. Roosevelt, Richard Nixon, Ronald Reagan, and George W. Bush.[103] However, in recent years, Congress has restricted presidential power with laws such as the Congressional Budget and Impoundment Control Act of 1974 and the War Powers Resolution. Nevertheless, the Presidency remains considerably more powerful today than during the 19th century.[4][103] Executive branch officials are often loath to reveal sensitive information to members of Congress because of concern that information could not be kept secret; in return, knowing they may be in the dark about executive branch activity, congressional officials are more likely to distrust their counterparts in executive agencies.[104] Many government actions require fast coordinated effort by many agencies, and this is a task that Congress is ill-suited for. Congress is slow, open, divided, and not well matched to handle more rapid executive action or do a good job of overseeing such activity, according to one analysis.[105]
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The Constitution concentrates removal powers in the Congress by empowering and obligating the House of Representatives to impeach both executive and judicial officials for "Treason, Bribery, or other high Crimes and Misdemeanors." Impeachment is a formal accusation of unlawful activity by a civil officer or government official. The Senate is constitutionally empowered and obligated to try all impeachments. A simple majority in the House is required to impeach an official; however, a two-thirds majority in the Senate is required for conviction. A convicted official is automatically removed from office; in addition, the Senate may stipulate that the defendant be banned from holding office in the future. Impeachment proceedings may not inflict more than this; however, a convicted party may face criminal penalties in a normal court of law. In the history of the United States, the House of Representatives has impeached sixteen officials, of whom seven were convicted. Another resigned before the Senate could complete the trial. Only three presidents have ever been impeached: Andrew Johnson in 1868, Bill Clinton in 1999, and Donald Trump in 2019. All three trials ended in acquittal; in Johnson's case, the Senate fell one vote short of the two-thirds majority required for conviction. In 1974, Richard Nixon resigned from office after impeachment proceedings in the House Judiciary Committee indicated he would eventually be removed from office.
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The Senate has an important check on the executive power by confirming Cabinet officials, judges, and other high officers "by and with the Advice and Consent of the Senate." It confirms most presidential nominees but rejections are not uncommon. Furthermore, treaties negotiated by the President must be ratified by a two-thirds majority vote in the Senate to take effect. As a result, presidential arm-twisting of senators can happen before a key vote; for example, President Obama's secretary of state, Hillary Clinton, urged her former senate colleagues to approve a nuclear arms treaty with Russia in 2010.[106] The House of Representatives has no formal role in either the ratification of treaties or the appointment of federal officials, other than in filling a vacancy in the office of the vice president; in such a case, a majority vote in each House is required to confirm a president's nomination of a vice president.[3]
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In 1803, the Supreme Court established judicial review of federal legislation in Marbury v. Madison, holding, however, that Congress could not grant unconstitutional power to the Court itself. The Constitution does not explicitly state that the courts may exercise judicial review; however, the notion that courts could declare laws unconstitutional was envisioned by the founding fathers. Alexander Hamilton, for example, mentioned and expounded upon the doctrine in Federalist No. 78. Originalists on the Supreme Court have argued that if the constitution does not say something explicitly it is unconstitutional to infer what it should, might or could have said.[107] Judicial review means that the Supreme Court can nullify a congressional law. It is a huge check by the courts on the legislative authority and limits congressional power substantially. In 1857, for example, the Supreme Court struck down provisions of a congressional act of 1820 in its Dred Scott decision.[108] At the same time, the Supreme Court can extend congressional power through its constitutional interpretations.
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The congressional inquiry into St. Clair's Defeat of 1791 was the first congressional investigation of the executive branch.[109] Investigations are conducted to gather information on the need for future legislation, to test the effectiveness of laws already passed, and to inquire into the qualifications and performance of members and officials of the other branches. Committees may hold hearings, and, if necessary, compel individuals to testify when investigating issues over which it has the power to legislate by issuing subpoenas.[110][111] Witnesses who refuse to testify may be cited for contempt of Congress, and those who testify falsely may be charged with perjury. Most committee hearings are open to the public (the House and Senate intelligence committees are the exception); important hearings are widely reported in the mass media and transcripts published a few months afterwards.[111] Congress, in the course of studying possible laws and investigating matters, generates an incredible amount of information in various forms, and can be described as a publisher.[112] Indeed, it publishes House and Senate reports[112] and maintains databases which are updated irregularly with publications in a variety of electronic formats.[112]
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Congress also plays a role in presidential elections. Both Houses meet in joint session on the sixth day of January following a presidential election to count the electoral votes, and there are procedures to follow if no candidate wins a majority.[3]
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The main result of congressional activity is the creation of laws,[113] most of which are contained in the United States Code, arranged by subject matter alphabetically under fifty title headings to present the laws "in a concise and usable form."[3]
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Congress is split into two chambers—House and Senate—and manages the task of writing national legislation by dividing work into separate committees which specialize in different areas. Some members of Congress are elected by their peers to be officers of these committees. Further, Congress has ancillary organizations such as the Government Accountability Office and the Library of Congress to help provide it with information, and members of Congress have staff and offices to assist them as well. In addition, a vast industry of lobbyists helps members write legislation on behalf of diverse corporate and labor interests.
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The committee structure permits members of Congress to study a particular subject intensely. It is neither expected nor possible that a member be an expert on all subject areas before Congress.[114] As time goes by, members develop expertise in particular subjects and their legal aspects. Committees investigate specialized subjects and advise the entire Congress about choices and trade-offs. The choice of specialty may be influenced by the member's constituency, important regional issues, prior background and experience.[115] Senators often choose a different specialty from that of the other senator from their state to prevent overlap.[116] Some committees specialize in running the business of other committees and exert a powerful influence over all legislation; for example, the House Ways and Means Committee has considerable influence over House affairs.[117]
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Committees write legislation. While procedures, such as the House discharge petition process, can introduce bills to the House floor and effectively bypass committee input, yet they are exceedingly difficult to implement without committee action. Committees have power and have been called independent fiefdoms. Legislative, oversight, and internal administrative tasks are divided among about two hundred committees and subcommittees which gather information, evaluate alternatives, and identify problems.[118] They propose solutions for consideration by the full chamber.[118] In addition, they perform the function of oversight by monitoring the executive branch and investigating wrongdoing.[118]
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At the start of each two-year session the House elects a speaker who does not normally preside over debates but serves as the majority party's leader. In the Senate, the vice president is the ex officio president of the Senate. In addition, the Senate elects an officer called the president pro tempore. Pro tempore means for the time being and this office is usually held by the most senior member of the Senate's majority party and customarily keeps this position until there is a change in party control. Accordingly, the Senate does not necessarily elect a new president pro tempore at the beginning of a new Congress. In both the House and Senate, the actual presiding officer is generally a junior member of the majority party who is appointed so that new members become acquainted with the rules of the chamber.
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The Library of Congress was established by an act of Congress in 1800. It is primarily housed in three buildings on Capitol Hill, but also includes several other sites: the National Library Service for the Blind and Physically Handicapped in Washington, D.C.; the National Audio-Visual Conservation Center in Culpeper, Virginia; a large book storage facility located at Ft. Meade, Maryland; and multiple overseas offices. The Library had mostly law books when it was burned by a British raiding party during the War of 1812, but the library's collections were restored and expanded when Congress authorized the purchase of Thomas Jefferson's private library. One of the library's missions is to serve the Congress and its staff as well as the American public. It is the largest library in the world with nearly 150 million items including books, films, maps, photographs, music, manuscripts, graphics, and materials in 470 languages.[119]
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The Congressional Research Service, part of the Library of Congress, provides detailed, up-to-date and non-partisan research for senators, representatives, and their staff to help them carry out their official duties. It provides ideas for legislation, helps members analyze a bill, facilitates public hearings, makes reports, consults on matters such as parliamentary procedure, and helps the two chambers resolve disagreements. It has been called the "House's think tank" and has a staff of about 900 employees.[120]
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The Congressional Budget Office or CBO is a federal agency which provides economic data to Congress.[121]
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It was created as an independent non-partisan agency by the Congressional Budget and Impoundment Control Act of 1974. It helps Congress estimate revenue inflows from taxes and helps the budgeting process. It makes projections about such matters as the national debt[122] as well as likely costs of legislation. It prepares an annual Economic and Budget Outlook with a mid-year update and writes An Analysis of the President's Budgetary Proposals for the Senate's Appropriations Committee. The speaker of the House and the Senate's president pro tempore jointly appoint the CBO director for a four-year term.
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Lobbyists represent diverse interests and often seek to influence congressional decisions to reflect their clients' needs. Lobby groups and their members sometimes write legislation and whip bills. In 2007, there were approximately 17,000 federal lobbyists in Washington, D.C.[123] They explain to legislators the goals of their organizations. Some lobbyists represent non-profit organizations and work pro bono for issues in which they are personally interested.
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Congress has alternated between periods of constructive cooperation and compromise between parties, known as bipartisanship, and periods of deep political polarization and fierce infighting, known as partisanship. The period after the Civil War was marked by partisanship, as is the case today. It is generally easier for committees to reach accord on issues when compromise is possible. Some political scientists speculate that a prolonged period marked by narrow majorities in both chambers of Congress has intensified partisanship in the last few decades, but that an alternation of control of Congress between Democrats and Republicans may lead to greater flexibility in policies, as well as pragmatism and civility within the institution.[124]
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A term of Congress is divided into two "sessions," one for each year; Congress has occasionally been called into an extra or special session. A new session commences on January 3 each year, unless Congress decides differently. The Constitution requires Congress meet at least once each year and forbids either house from meeting outside the Capitol without the consent of the other house.
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Joint sessions of the United States Congress occur on special occasions that require a concurrent resolution from both House and Senate. These sessions include counting electoral votes after a presidential election and the president's State of the Union address. The constitutionally mandated report, normally given as an annual speech, is modeled on Britain's Speech from the Throne, was written by most presidents after Jefferson but personally delivered as a spoken oration beginning with Wilson in 1913. Joint Sessions and Joint Meetings are traditionally presided over by the speaker of the House, except when counting presidential electoral votes when the vice president (acting as the president of the Senate) presides.
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Ideas for legislation can come from members, lobbyists, state legislatures, constituents, legislative counsel, or executive agencies. Anyone can write a bill, but only members of Congress may introduce bills. Most bills are not written by Congress members, but originate from the Executive branch; interest groups often draft bills as well. The usual next step is for the proposal to be passed to a committee for review.[3] A proposal is usually in one of these forms:
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Representatives introduce a bill while the House is in session by placing it in the hopper on the Clerk's desk.[113] It is assigned a number and referred to a committee which studies each bill intensely at this stage.[113] Drafting statutes requires "great skill, knowledge, and experience" and sometimes take a year or more.[3] Sometimes lobbyists write legislation and submit it to a member for introduction. Joint resolutions are the normal way to propose a constitutional amendment or declare war. On the other hand, concurrent resolutions (passed by both houses) and simple resolutions (passed by only one house) do not have the force of law but express the opinion of Congress or regulate procedure. Bills may be introduced by any member of either house. However, the Constitution states, "All Bills for raising Revenue shall originate in the House of Representatives." While the Senate cannot originate revenue and appropriation bills, it has power to amend or reject them. Congress has sought ways to establish appropriate spending levels.[3]
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Each chamber determines its own internal rules of operation unless specified in the Constitution or prescribed by law. In the House, a Rules Committee guides legislation; in the Senate, a Standing Rules committee is in charge. Each branch has its own traditions; for example, the Senate relies heavily on the practice of getting "unanimous consent" for noncontroversial matters.[3] House and Senate rules can be complex, sometimes requiring a hundred specific steps before a bill can become a law.[4] Members sometimes turn to outside experts to learn about proper Congressional procedures.[125]
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+
Each bill goes through several stages in each house including consideration by a committee and advice from the Government Accountability Office.[3] Most legislation is considered by standing committees which have jurisdiction over a particular subject such as Agriculture or Appropriations. The House has twenty standing committees; the Senate has sixteen. Standing committees meet at least once each month.[3] Almost all standing committee meetings for transacting business must be open to the public unless the committee votes, publicly, to close the meeting.[3] A committee might call for public hearings on important bills.[3] Each committee is led by a chair who belongs to the majority party and a ranking member of the minority party. Witnesses and experts can present their case for or against a bill.[113] Then, a bill may go to what is called a mark-up session, where committee members debate the bill's merits and may offer amendments or revisions.[113] Committees may also amend the bill, but the full house holds the power to accept or reject committee amendments. After debate, the committee votes whether it wishes to report the measure to the full house. If a bill is tabled then it is rejected. If amendments are extensive, sometimes a new bill with amendments built in will be submitted as a so-called clean bill with a new number.[113] Both houses have procedures under which committees can be bypassed or overruled but they are rarely used. Generally, members who have been in Congress longer have greater seniority and therefore greater power.[126]
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+
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+
A bill which reaches the floor of the full house can be simple or complex[113] and begins with an enacting formula such as "Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled." Consideration of a bill requires, itself, a rule which is a simple resolution specifying the particulars of debate—time limits, possibility of further amendments, and such.[113] Each side has equal time and members can yield to other members who wish to speak.[113] Sometimes opponents seek to recommit a bill which means to change part of it.[113] Generally, discussion requires a quorum, usually half of the total number of representatives, before discussion can begin, although there are exceptions.[127] The house may debate and amend the bill; the precise procedures used by the House and Senate differ. A final vote on the bill follows.
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+
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+
Once a bill is approved by one house, it is sent to the other which may pass, reject, or amend it. For the bill to become law, both houses must agree to identical versions of the bill.[113] If the second house amends the bill, then the differences between the two versions must be reconciled in a conference committee, an ad hoc committee that includes both senators and representatives[113] sometimes by using a reconciliation process to limit budget bills.[3] Both houses use a budget enforcement mechanism informally known as pay-as-you-go or paygo which discourages members from considering acts which increase budget deficits.[3] If both houses agree to the version reported by the conference committee, the bill passes, otherwise it fails.
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+
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+
The Constitution specifies that a majority of members, known as a quorum, be present before doing business in each house. However, the rules of each house assume that a quorum is present unless a quorum call demonstrates the contrary and debate often continues despite the lack of a majority.
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Voting within Congress can take many forms, including systems using lights and bells and electronic voting.[3] Both houses use voice voting to decide most matters in which members shout "aye" or "no" and the presiding officer announces the result. The Constitution, however, requires a recorded vote if demanded by one-fifth of the members present or when voting to override a presidential veto. If the voice vote is unclear or if the matter is controversial, a recorded vote usually happens. The Senate uses roll-call voting, in which a clerk calls out the names of all the senators, each senator stating "aye" or "no" when their name is announced. In the Senate, the Vice President may cast the tie-breaking vote if present when the Senators are equally divided.
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The House reserves roll-call votes for the most formal matters, as a roll call of all 435 representatives takes quite some time; normally, members vote by using an electronic device. In the case of a tie, the motion in question fails. Most votes in the House are done electronically, allowing members to vote yea or nay or present or open.[3] Members insert a voting ID card and can change their votes during the last five minutes if they choose; in addition, paper ballots are used on some occasions—yea indicated by green and nay by red.[3] One member cannot cast a proxy vote for another.[3] Congressional votes are recorded on an online database.[128][129]
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+
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After passage by both houses, a bill is enrolled and sent to the president for approval.[113] The president may sign it making it law or veto it, perhaps returning it to Congress with the president's objections. A vetoed bill can still become law if each house of Congress votes to override the veto with a two-thirds majority. Finally, the president may do nothing—neither signing nor vetoing the bill—and then the bill becomes law automatically after ten days (not counting Sundays) according to the Constitution. But if Congress is adjourned during this period, presidents may veto legislation passed at the end of a congressional session simply by ignoring it; the maneuver is known as a pocket veto, and cannot be overridden by the adjourned Congress.
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Senators face reelection every six years, and representatives every two. Reelections encourage candidates to focus their publicity efforts at their home states or districts.[59] Running for reelection can be a grueling process of distant travel and fund-raising which distracts senators and representatives from paying attention to governing, according to some critics.[130] Although others respond that the process is necessary to keep members of Congress in touch with voters.
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Nevertheless, incumbent members of Congress running for reelection have strong advantages over challengers.[47] They raise more money[52] because donors fund incumbents over challengers, perceiving the former as more likely to win,[50][131] and donations are vital for winning elections.[132] One critic compared being elected to Congress to receiving life tenure at a university.[131] Another advantage for representatives is the practice of gerrymandering.[133][134] After each ten-year census, states are allocated representatives based on population, and officials in power can choose how to draw the congressional district boundaries to support candidates from their party. As a result, reelection rates of members of Congress hover around 90 percent,[8] causing some critics to accuse them of being a privileged class.[7] Academics such as Princeton's Stephen Macedo have proposed solutions to fix gerrymandering in the U.S. Both senators and representatives enjoy free mailing privileges, called franking privileges; while these are not intended for electioneering, this rule is often skirted by borderline election-related mailings during campaigns.
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+
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In 1971, the cost of running for Congress in Utah was $70,000[135] but costs have climbed.[136] The biggest expense is television advertisements.[51][131][135][137][138] Today's races cost more than a million dollars for a House seat, and six million or more for a Senate seat.[7][51][137][139][140] Since fundraising is vital, "members of Congress are forced to spend ever-increasing hours raising money for their re-election."[attribution needed][141]
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+
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Nevertheless, the Supreme Court has treated campaign contributions as a free speech issue.[136] Some see money as a good influence in politics since it "enables candidates to communicate with voters."[136] Few members retire from Congress without complaining about how much it costs to campaign for reelection.[7] Critics contend that members of Congress are more likely to attend to the needs of heavy campaign contributors than to ordinary citizens.[7]
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+
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Elections are influenced by many variables. Some political scientists speculate there is a coattail effect (when a popular president or party position has the effect of reelecting incumbents who win by "riding on the president's coattails"), although there is some evidence that the coattail effect is irregular and possibly declining since the 1950s.[47] Some districts are so heavily Democratic or Republican that they are called a safe seat; any candidate winning the primary will almost always be elected, and these candidates do not need to spend money on advertising.[142][143] But some races can be competitive when there is no incumbent. If a seat becomes vacant in an open district, then both parties may spend heavily on advertising in these races; in California in 1992, only four of twenty races for House seats were considered highly competitive.[144]
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Since members of Congress must advertise heavily on television, this usually involves negative advertising, which smears an opponent's character without focusing on the issues.[145] Negative advertising is seen as effective because "the messages tend to stick."[146] However, these advertisements sour the public on the political process in general as most members of Congress seek to avoid blame.[147] One wrong decision or one damaging television image can mean defeat at the next election, which leads to a culture of risk avoidance, a need to make policy decisions behind closed doors,[147][148] and concentrating publicity efforts in the members' home districts.[59]
|
150 |
+
|
151 |
+
Prominent Founding Fathers writing in The Federalist Papers felt that elections were essential to liberty, that a bond between the people and the representatives was particularly essential,[149] and that "frequent elections are unquestionably the only policy by which this dependence and sympathy can be effectually secured."[149] In 2009, however, few Americans were familiar with leaders of Congress.[150][151][152] The percentage of Americans eligible to vote who did, in fact, vote was 63% in 1960, but has been falling since, although there was a slight upward trend in the 2008 election.[153] Public opinion polls asking people if they approve of the job Congress is doing have, in the last few decades, hovered around 25% with some variation.[7][154][155][156][157][158][159] Scholar Julian Zeliger suggested that the "size, messiness, virtues, and vices that make Congress so interesting also create enormous barriers to our understanding the institution ... Unlike the presidency, Congress is difficult to conceptualize."[160] Other scholars suggest that despite the criticism, "Congress is a remarkably resilient institution ... its place in the political process is not threatened ... it is rich in resources" and that most members behave ethically.[5] They contend that "Congress is easy to dislike and often difficult to defend" and this perception is exacerbated because many challengers running for Congress run against Congress, which is an "old form of American politics" that further undermines Congress's reputation with the public:[7]
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+
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153 |
+
The rough-and-tumble world of legislating is not orderly and civil, human frailties too often taint its membership, and legislative outcomes are often frustrating and ineffective ... Still, we are not exaggerating when we say that Congress is essential to American democracy. We would not have survived as a nation without a Congress that represented the diverse interests of our society, conducted a public debate on the major issues, found compromises to resolve conflicts peacefully, and limited the power of our executive, military, and judicial institutions ... The popularity of Congress ebbs and flows with the public's confidence in government generally ... the legislative process is easy to dislike—it often generates political posturing and grandstanding, it necessarily involves compromise, and it often leaves broken promises in its trail. Also, members of Congress often appear self-serving as they pursue their political careers and represent interests and reflect values that are controversial. Scandals, even when they involve a single member, add to the public's frustration with Congress and have contributed to the institution's low ratings in opinion polls.
|
154 |
+
|
155 |
+
An additional factor that confounds public perceptions of Congress is that congressional issues are becoming more technical and complex and require expertise in subjects such as science, engineering and economics.[7] As a result, Congress often cedes authority to experts at the executive branch.[7]
|
156 |
+
|
157 |
+
Since 2006, Congress has dropped 10 points in the Gallup confidence poll with only 9% having "a great deal" or "quite a lot" of confidence in their legislators.[161] Since 2011, Gallup poll has reported Congress's approval rating among Americans at 10% or below three times.[65][66] Public opinion of Congress plummeted further to 5% in October 2013 after parts of the U.S. government deemed 'nonessential government' shut down.[67]
|
158 |
+
|
159 |
+
When the Constitution was ratified in 1787, the ratio of the populations of large states to small states was roughly twelve to one. The Connecticut Compromise gave every state, large and small, an equal vote in the Senate.[162] Since each state has two senators, residents of smaller states have more clout in the Senate than residents of larger states. But since 1787, the population disparity between large and small states has grown; in 2006, for example, California had seventy times the population of Wyoming.[163] Critics, such as constitutional scholar Sanford Levinson, have suggested that the population disparity works against residents of large states and causes a steady redistribution of resources from "large states to small states."[164][165][166] However, others argue that the Connecticut Compromise was deliberately intended by the Founding Fathers to construct the Senate so that each state had equal footing not based on population,[162] and contend that the result works well on balance.
|
160 |
+
|
161 |
+
A major role for members of Congress is providing services to constituents.[167] Constituents request assistance with problems.[168] Providing services helps members of Congress win votes and elections[133][169][170] and can make a difference in close races.[171] Congressional staff can help citizens navigate government bureaucracies.[4] One academic described the complex intertwined relation between lawmakers and constituents as home style.[172]:8
|
162 |
+
|
163 |
+
One way to categorize lawmakers, according to political scientist Richard Fenno, is by their general motivation:
|
164 |
+
|
165 |
+
Members of Congress enjoy parliamentary privilege, including freedom from arrest in all cases except for treason, felony, and breach of the peace, and freedom of speech in debate. This constitutionally derived immunity applies to members during sessions and when traveling to and from sessions.[173] The term arrest has been interpreted broadly, and includes any detention or delay in the course of law enforcement, including court summons and subpoenas. The rules of the House strictly guard this privilege; a member may not waive the privilege on their own, but must seek the permission of the whole house to do so. Senate rules, however, are less strict and permit individual senators to waive the privilege as they choose.
|
166 |
+
|
167 |
+
The Constitution guarantees absolute freedom of debate in both houses, providing in the Speech or Debate Clause of the Constitution that "for any Speech or Debate in either House, they shall not be questioned in any other Place." Accordingly, a member of Congress may not be sued in court for slander because of remarks made in either house, although each house has its own rules restricting offensive speeches, and may punish members who transgress.
|
168 |
+
|
169 |
+
Obstructing the work of Congress is a crime under federal law and is known as contempt of Congress. Each member has the power to cite individuals for contempt but can only issue a contempt citation—the judicial system pursues the matter like a normal criminal case. If convicted in court, an individual found guilty of contempt of Congress may be imprisoned for up to one year.[citation needed]
|
170 |
+
|
171 |
+
The franking privilege allows members of Congress to send official mail to constituents at government expense. Though they are not permitted to send election materials, borderline material is often sent, especially in the run-up to an election by those in close races.[174][175] Indeed, some academics consider free mailings as giving incumbents a big advantage over challengers.[8][failed verification][176]
|
172 |
+
|
173 |
+
From 1789 to 1815, members of Congress received only a daily payment of $6 while in session. Members received an annual salary of $1,500 per year from 1815 to 1817, then a per diem salary of $8 from 1818 to 1855; since then they have received an annual salary, first pegged in 1855 at $3,000.[177][178] In 1907, salaries were raised to $7,500 per year, the equivalent of $173,000 in 2010.[178] In 2006, members of Congress received a yearly salary of $165,200.[178] Congressional leaders were paid $183,500 per year. The Speaker of the House of Representatives earns $212,100 annually. The salary of the President pro tempore for 2006 was $183,500, equal to that of the majority and minority leaders of the House and Senate.[179] Privileges include having an office and paid staff.[126] In 2008, non-officer members of Congress earned $169,300 annually.[154] Some critics complain congressional pay is high compared with a median American income of $45,113 for men and $35,102 for women.[180] Others have countered that congressional pay is consistent with other branches of government.[154] Another criticism is that members of Congress have access to free or low-cost medical care in the Washington, D.C., area. The petition, "Remove health-care subsidies for Members of Congress and their families," garnered over 1,077,000 signatures on the website Change.org.[181] In January 2014, it was reported that for the first time over half of the members of Congress were millionaires.[182] Congress has been criticized for trying to conceal pay raises by slipping them into a large bill at the last minute.[183] Others have criticized the wealth of members of Congress.[135][138] Representative Jim Cooper of Tennessee told Harvard professor Lawrence Lessig that a chief problem with Congress was that members focused on lucrative careers as lobbyists after serving––that Congress was a "Farm League for K Street"––instead of on public service.[184][185]
|
174 |
+
|
175 |
+
Members elected since 1984 are covered by the Federal Employees Retirement System (FERS). Like other federal employees, congressional retirement is funded through taxes and participants' contributions. Members of Congress under FERS contribute 1.3% of their salary into the FERS retirement plan and pay 6.2% of their salary in Social Security taxes. And like federal employees, members contribute one-third of the cost of health insurance with the government covering the other two-thirds.[186]
|
176 |
+
|
177 |
+
The size of a congressional pension depends on the years of service and the average of the highest three years of their salary. By law, the starting amount of a member's retirement annuity may not exceed 80% of their final salary. In 2006, the average annual pension for retired senators and representatives under the Civil Service Retirement System (CSRS) was $60,972, while those who retired under FERS, or in combination with CSRS, was $35,952.[187]
|
178 |
+
|
179 |
+
Members of Congress make fact-finding missions to learn about other countries and stay informed, but these outings can cause controversy if the trip is deemed excessive or unconnected with the task of governing. For example, the Wall Street Journal reported in 2009 that lawmaker trips abroad at taxpayer expense had included spas, $300-per-night extra unused rooms, and shopping excursions.[188] Lawmakers respond that "traveling with spouses compensates for being away from them a lot in Washington" and justify the trips as a way to meet officials in other nations.[188]
|
180 |
+
|
181 |
+
1 (1789)
|
182 |
+
2 (1791)
|
183 |
+
3 (1793)
|
184 |
+
4 (1795)
|
185 |
+
5 (1797)
|
186 |
+
6 (1799)
|
187 |
+
7 (1801)
|
188 |
+
8 (1803)
|
189 |
+
9 (1805)
|
190 |
+
10 (1807)
|
191 |
+
|
192 |
+
11 (1809)
|
193 |
+
12 (1811)
|
194 |
+
13 (1813)
|
195 |
+
14 (1815)
|
196 |
+
15 (1817)
|
197 |
+
16 (1819)
|
198 |
+
17 (1821)
|
199 |
+
18 (1823)
|
200 |
+
19 (1825)
|
201 |
+
20 (1827)
|
202 |
+
|
203 |
+
21 (1829)
|
204 |
+
22 (1831)
|
205 |
+
23 (1833)
|
206 |
+
24 (1835)
|
207 |
+
25 (1837)
|
208 |
+
26 (1839)
|
209 |
+
27 (1841)
|
210 |
+
28 (1843)
|
211 |
+
29 (1845)
|
212 |
+
30 (1847)
|
213 |
+
|
214 |
+
31 (1849)
|
215 |
+
32 (1851)
|
216 |
+
33 (1853)
|
217 |
+
34 (1855)
|
218 |
+
35 (1857)
|
219 |
+
36 (1859)
|
220 |
+
37 (1861)
|
221 |
+
38 (1863)
|
222 |
+
39 (1865)
|
223 |
+
40 (1867)
|
224 |
+
|
225 |
+
41 (1869)
|
226 |
+
42 (1871)
|
227 |
+
43 (1873)
|
228 |
+
44 (1875)
|
229 |
+
45 (1877)
|
230 |
+
46 (1879)
|
231 |
+
47 (1881)
|
232 |
+
48 (1883)
|
233 |
+
49 (1885)
|
234 |
+
50 (1887)
|
235 |
+
|
236 |
+
51 (1889)
|
237 |
+
52 (1891)
|
238 |
+
53 (1893)
|
239 |
+
54 (1895)
|
240 |
+
55 (1897)
|
241 |
+
56 (1899)
|
242 |
+
57 (1901)
|
243 |
+
58 (1903)
|
244 |
+
59 (1905)
|
245 |
+
60 (1907)
|
246 |
+
|
247 |
+
61 (1909)
|
248 |
+
62 (1911)
|
249 |
+
63 (1913)
|
250 |
+
64 (1915)
|
251 |
+
65 (1917)
|
252 |
+
66 (1919)
|
253 |
+
67 (1921)
|
254 |
+
68 (1923)
|
255 |
+
69 (1925)
|
256 |
+
70 (1927)
|
257 |
+
|
258 |
+
71 (1929)
|
259 |
+
72 (1931)
|
260 |
+
73 (1933)
|
261 |
+
74 (1935)
|
262 |
+
75 (1937)
|
263 |
+
76 (1939)
|
264 |
+
77 (1941)
|
265 |
+
78 (1943)
|
266 |
+
79 (1945)
|
267 |
+
80 (1947)
|
268 |
+
|
269 |
+
81 (1949)
|
270 |
+
82 (1951)
|
271 |
+
83 (1953)
|
272 |
+
84 (1955)
|
273 |
+
85 (1957)
|
274 |
+
86 (1959)
|
275 |
+
87 (1961)
|
276 |
+
88 (1963)
|
277 |
+
89 (1965)
|
278 |
+
90 (1967)
|
279 |
+
|
280 |
+
91 (1969)
|
281 |
+
92 (1971)
|
282 |
+
93 (1973)
|
283 |
+
94 (1975)
|
284 |
+
95 (1977)
|
285 |
+
96 (1979)
|
286 |
+
97 (1981)
|
287 |
+
98 (1983)
|
288 |
+
99 (1985)
|
289 |
+
100 (1987)
|
290 |
+
|
291 |
+
101 (1989)
|
292 |
+
102 (1991)
|
293 |
+
103 (1993)
|
294 |
+
104 (1995)
|
295 |
+
105 (1997)
|
296 |
+
106 (1999)
|
297 |
+
107 (2001)
|
298 |
+
108 (2003)
|
299 |
+
109 (2005)
|
300 |
+
110 (2007)
|
301 |
+
|
302 |
+
111 (2009)
|
303 |
+
112 (2011)
|
304 |
+
113 (2013)
|
305 |
+
114 (2015)
|
306 |
+
115 (2017)
|
307 |
+
116 (2019)
|
308 |
+
117 (2021)
|
en/1271.html.txt
ADDED
@@ -0,0 +1,69 @@
|
|
|
|
|
|
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|
|
|
|
|
|
|
|
|
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|
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|
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|
|
|
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|
|
|
|
|
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|
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1 |
+
Independent (36)[1]
|
2 |
+
|
3 |
+
Opposition (20)[1]
|
4 |
+
|
5 |
+
Independent (125)[1]
|
6 |
+
|
7 |
+
Opposition (131)[1]
|
8 |
+
|
9 |
+
The National Congress of Brazil (Portuguese: Congresso Nacional do Brasil) is the legislative body of Brazil's federal government. Unlike the state legislative assemblies and municipal chambers, the Congress is bicameral, composed of the Federal Senate (the upper house) and the Chamber of Deputies (the lower house). The Congress meets annually in Brasília from 2 February to 22 December, with a mid-term break taking place between 17 July and 1 August.[2][3]
|
10 |
+
|
11 |
+
The Senate represents the 26 states and the Federal District. Each state and the Federal District has a representation of three Senators, who are elected by popular ballot for a term of eight years. Every four years, renewal of either one third or two-thirds of the Senate (and of the delegations of the States and the Federal District) takes place.[citation needed] The Chamber of Deputies represents the people of each state, and its members are elected for a four-year term by a system of proportional representation. Seats are allotted proportionally according to each state's population, with each state eligible for a minimum of 8 seats (least populous) and a maximum of 70 seats (most populous). Unlike the Senate, the whole of the Chamber of Deputies is renewed every four years.[citation needed]
|
12 |
+
|
13 |
+
Until recently it was common for politicians to switch parties and the proportion of congressional seats held by each party would often change. However, a decision of the Supreme Federal Court has ruled that the seats belong to the parties and not to the politicians; one can only change parties and retain his seat in a very limited set of cases. Consequently, politicians who abandon the party for which they were elected now face the loss of their congressional seat.[citation needed] Each house of the Brazilian Congress elects its president and the other members of its directing board from among its members.[citation needed] The President of the Senate is ex officio the President of the National Congress, and in that capacity summons and presides over joint sessions, as well as over the joint services of both houses. The President of the Chamber is second in the presidential line of succession while the President of the Senate (and of Congress) is third.
|
14 |
+
|
15 |
+
The current composition of the Board of the National Congress is as follows:
|
16 |
+
|
17 |
+
[citation needed]
|
18 |
+
|
19 |
+
The Federal Senate (Portuguese: Senado Federal) is the upper house of the National Congress. Created by the first Constitution of the Brazilian Empire in 1824, it was inspired in United Kingdom's House of Lords, but with the Proclamation of the Republic in 1889 it became closer to the United States Senate.[citation needed]
|
20 |
+
|
21 |
+
Currently, the Senate comprises 81 seats. Three Senators from each of the 26 states and three Senators from the Federal District are elected on a majority basis to serve eight-year terms. Elections are staggered so that two-thirds of the upper house is up for election at one time and the remaining one-third four years later. When one seat is up for election in each State, each voter casts one vote for the Senate; when two seats are up for election, each voter casts two votes, and the voter cannot give his two votes for the same candidate, but, in elections for the renewal of two-thirds of the Senate, each party can present two candidates for election. The candidate in each State and the Federal District (or the first two candidates, when two thirds of the seats are up for election) who achieve the greatest plurality of votes are elected.[citation needed]
|
22 |
+
|
23 |
+
The Chamber of Deputies (Câmara dos Deputados) is the lower house of the National Congress, it is composed of 513 federal deputies, who are elected by a proportional representation of votes to serve a four-year term. Seats are allotted proportionally according to each state's population, with each state eligible for a minimum of 8 seats (least populous) and a maximum of 70 seats (most populous).[citation needed]
|
24 |
+
|
25 |
+
In 2010, 22 out of the country's 35 political parties were able to elect at least one representative in the Chamber, while fifteen of them were able to elect at least one Senator.
|
26 |
+
|
27 |
+
In early 1900s, the Brazilian National Congress happened to be in separate buildings. The Senate was located near Railway Central Station, beside the Republica Square, at Moncorvo Filho Street, where there is today a Federal University of Rio de Janeiro students' center. The Federal Chamber of Deputies was located at Misericórdia Street, which would later be the location of the State of Rio de Janeiro's local Chamber of Deputies. From the 1930s to early 1960s, the Senate occupied the Monroe Palace, which was demolished in the 1970s to allow the construction of the subway Cinelândia Station. The Federal Chamber of Deputies moved to Brasília in the early 1960s as well but temporarily occupied a building near the Municipal Theater for a couple of years.[citation needed]
|
28 |
+
|
29 |
+
Since the 1960s, the National Congress has been located in Brasília. As with most of the city's government buildings, the National Congress building was designed by Oscar Niemeyer in the modern Brazilian style.[citation needed]
|
30 |
+
|
31 |
+
The semi-sphere on the left is the seat of the Senate, and the semi-sphere on the right is the seat of the Chamber of the Deputies. Between them are two vertical office towers. The Congress also occupies other surrounding office buildings, some of them interconnected by a tunnel.[citation needed]
|
32 |
+
|
33 |
+
The building is located in the middle of the Monumental Axis, the main street of Brasília. In front of it there is a large lawn where demonstrations take place. At the back of it, is the Praça dos Três Poderes (Three Powers Plaza), where lies the Palácio do Planalto and the Supreme Federal Court.
|
34 |
+
|
35 |
+
On December 6, 2007, the Institute of Historic and Artistic National Heritage (Portuguese: Instituto do Patrimônio Histórico e Artístico Nacional) decided to declare the building of the National Congress a historical heritage of the Brazilian people. The building has also been a UNESCO World Heritage Site, as part of Brasília's original urban buildings, since 1987.[citation needed]
|
36 |
+
|
37 |
+
At least two other high-rise buildings are similar to the National Congress building:
|
38 |
+
|
39 |
+
Chamber of Deputies
|
40 |
+
|
41 |
+
Federal Senate
|
42 |
+
|
43 |
+
Committee room
|
44 |
+
|
45 |
+
Noble Room of the Senate
|
46 |
+
|
47 |
+
Exterior, on a rainy day
|
48 |
+
|
49 |
+
Exterior view of the Chamber of Deputies
|
50 |
+
|
51 |
+
Exterior view of the Senate chamber
|
52 |
+
|
53 |
+
The National Congress building at night
|
54 |
+
|
55 |
+
Front facade and lawn, showing the twin towers.
|
56 |
+
|
57 |
+
The Congress as seen from the Monumental Axis
|
58 |
+
|
59 |
+
Legislative police officers outside the National Congress building.
|
60 |
+
|
61 |
+
Protesters during an anti-government demonstration in front of the Congress, 13 March 2016.
|
62 |
+
|
63 |
+
Coordinates: 15°47′59″S 47°51′51″W / 15.79972°S 47.86417°W / -15.79972; -47.86417
|
64 |
+
|
65 |
+
The Legislatures are counted from the first meeting of the Chamber of Deputies and of the Senate, on 6 May 1826, in the imperial era (the Chamber of Deputies met for preparatory sessions from 29 April 1826 onwards to elect its officers and conduct other preliminary business, but the Legislature was formally opened on 6 May). The Chamber of Deputies and the Senate were created by Brazil's first Constitution, the Constitution of the Empire of Brazil, adopted in 1824. The previous Constituent and Legislative Assembly of the Empire of Brazil, a unicameral National Assembly, that was convened in 1823 and that was dissolved by Emperor Pedro I before adopting a Constitution is not counted among the Legislatures. Thus, the numbering includes only the bicameral Legislatures that existed from 1826 to the present day, and includes only Legislatures elected after the adoption of the first Brazilian Constitution.
|
66 |
+
|
67 |
+
In the imperial era, the national legislature was named General Assembly. It was made up of the Chamber of Deputies and the Senate. Senators were elected for life and the Senate was a permanent institution, whereas the Chamber of Deputies, unless dissolved earlier, was elected every four years. When Brazil became a Republic and a Federal State the model of a bicameral Legislature was retained at the Federal level, but the Parliament was renamed National Congress. The National Congress is made up of the Chamber of Deputies and the Federal Senate. Both Houses have fixed terms and cannot be dissolved earlier. Under Brazil's present Constitution, adopted in 1988, Senators are elected to eight-year terms, and Deputies are elected every four years.
|
68 |
+
|
69 |
+
The numbering of the Legislatures is continuous, including the Legislatures of the imperial General Assembly and of the republican National Congress. The inauguration of a new composition of Chamber of Deputies for a four-year term of office marks the start of a new Legislature.
|
en/1272.html.txt
ADDED
@@ -0,0 +1,69 @@
|
|
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|
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|
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|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1 |
+
Independent (36)[1]
|
2 |
+
|
3 |
+
Opposition (20)[1]
|
4 |
+
|
5 |
+
Independent (125)[1]
|
6 |
+
|
7 |
+
Opposition (131)[1]
|
8 |
+
|
9 |
+
The National Congress of Brazil (Portuguese: Congresso Nacional do Brasil) is the legislative body of Brazil's federal government. Unlike the state legislative assemblies and municipal chambers, the Congress is bicameral, composed of the Federal Senate (the upper house) and the Chamber of Deputies (the lower house). The Congress meets annually in Brasília from 2 February to 22 December, with a mid-term break taking place between 17 July and 1 August.[2][3]
|
10 |
+
|
11 |
+
The Senate represents the 26 states and the Federal District. Each state and the Federal District has a representation of three Senators, who are elected by popular ballot for a term of eight years. Every four years, renewal of either one third or two-thirds of the Senate (and of the delegations of the States and the Federal District) takes place.[citation needed] The Chamber of Deputies represents the people of each state, and its members are elected for a four-year term by a system of proportional representation. Seats are allotted proportionally according to each state's population, with each state eligible for a minimum of 8 seats (least populous) and a maximum of 70 seats (most populous). Unlike the Senate, the whole of the Chamber of Deputies is renewed every four years.[citation needed]
|
12 |
+
|
13 |
+
Until recently it was common for politicians to switch parties and the proportion of congressional seats held by each party would often change. However, a decision of the Supreme Federal Court has ruled that the seats belong to the parties and not to the politicians; one can only change parties and retain his seat in a very limited set of cases. Consequently, politicians who abandon the party for which they were elected now face the loss of their congressional seat.[citation needed] Each house of the Brazilian Congress elects its president and the other members of its directing board from among its members.[citation needed] The President of the Senate is ex officio the President of the National Congress, and in that capacity summons and presides over joint sessions, as well as over the joint services of both houses. The President of the Chamber is second in the presidential line of succession while the President of the Senate (and of Congress) is third.
|
14 |
+
|
15 |
+
The current composition of the Board of the National Congress is as follows:
|
16 |
+
|
17 |
+
[citation needed]
|
18 |
+
|
19 |
+
The Federal Senate (Portuguese: Senado Federal) is the upper house of the National Congress. Created by the first Constitution of the Brazilian Empire in 1824, it was inspired in United Kingdom's House of Lords, but with the Proclamation of the Republic in 1889 it became closer to the United States Senate.[citation needed]
|
20 |
+
|
21 |
+
Currently, the Senate comprises 81 seats. Three Senators from each of the 26 states and three Senators from the Federal District are elected on a majority basis to serve eight-year terms. Elections are staggered so that two-thirds of the upper house is up for election at one time and the remaining one-third four years later. When one seat is up for election in each State, each voter casts one vote for the Senate; when two seats are up for election, each voter casts two votes, and the voter cannot give his two votes for the same candidate, but, in elections for the renewal of two-thirds of the Senate, each party can present two candidates for election. The candidate in each State and the Federal District (or the first two candidates, when two thirds of the seats are up for election) who achieve the greatest plurality of votes are elected.[citation needed]
|
22 |
+
|
23 |
+
The Chamber of Deputies (Câmara dos Deputados) is the lower house of the National Congress, it is composed of 513 federal deputies, who are elected by a proportional representation of votes to serve a four-year term. Seats are allotted proportionally according to each state's population, with each state eligible for a minimum of 8 seats (least populous) and a maximum of 70 seats (most populous).[citation needed]
|
24 |
+
|
25 |
+
In 2010, 22 out of the country's 35 political parties were able to elect at least one representative in the Chamber, while fifteen of them were able to elect at least one Senator.
|
26 |
+
|
27 |
+
In early 1900s, the Brazilian National Congress happened to be in separate buildings. The Senate was located near Railway Central Station, beside the Republica Square, at Moncorvo Filho Street, where there is today a Federal University of Rio de Janeiro students' center. The Federal Chamber of Deputies was located at Misericórdia Street, which would later be the location of the State of Rio de Janeiro's local Chamber of Deputies. From the 1930s to early 1960s, the Senate occupied the Monroe Palace, which was demolished in the 1970s to allow the construction of the subway Cinelândia Station. The Federal Chamber of Deputies moved to Brasília in the early 1960s as well but temporarily occupied a building near the Municipal Theater for a couple of years.[citation needed]
|
28 |
+
|
29 |
+
Since the 1960s, the National Congress has been located in Brasília. As with most of the city's government buildings, the National Congress building was designed by Oscar Niemeyer in the modern Brazilian style.[citation needed]
|
30 |
+
|
31 |
+
The semi-sphere on the left is the seat of the Senate, and the semi-sphere on the right is the seat of the Chamber of the Deputies. Between them are two vertical office towers. The Congress also occupies other surrounding office buildings, some of them interconnected by a tunnel.[citation needed]
|
32 |
+
|
33 |
+
The building is located in the middle of the Monumental Axis, the main street of Brasília. In front of it there is a large lawn where demonstrations take place. At the back of it, is the Praça dos Três Poderes (Three Powers Plaza), where lies the Palácio do Planalto and the Supreme Federal Court.
|
34 |
+
|
35 |
+
On December 6, 2007, the Institute of Historic and Artistic National Heritage (Portuguese: Instituto do Patrimônio Histórico e Artístico Nacional) decided to declare the building of the National Congress a historical heritage of the Brazilian people. The building has also been a UNESCO World Heritage Site, as part of Brasília's original urban buildings, since 1987.[citation needed]
|
36 |
+
|
37 |
+
At least two other high-rise buildings are similar to the National Congress building:
|
38 |
+
|
39 |
+
Chamber of Deputies
|
40 |
+
|
41 |
+
Federal Senate
|
42 |
+
|
43 |
+
Committee room
|
44 |
+
|
45 |
+
Noble Room of the Senate
|
46 |
+
|
47 |
+
Exterior, on a rainy day
|
48 |
+
|
49 |
+
Exterior view of the Chamber of Deputies
|
50 |
+
|
51 |
+
Exterior view of the Senate chamber
|
52 |
+
|
53 |
+
The National Congress building at night
|
54 |
+
|
55 |
+
Front facade and lawn, showing the twin towers.
|
56 |
+
|
57 |
+
The Congress as seen from the Monumental Axis
|
58 |
+
|
59 |
+
Legislative police officers outside the National Congress building.
|
60 |
+
|
61 |
+
Protesters during an anti-government demonstration in front of the Congress, 13 March 2016.
|
62 |
+
|
63 |
+
Coordinates: 15°47′59″S 47°51′51″W / 15.79972°S 47.86417°W / -15.79972; -47.86417
|
64 |
+
|
65 |
+
The Legislatures are counted from the first meeting of the Chamber of Deputies and of the Senate, on 6 May 1826, in the imperial era (the Chamber of Deputies met for preparatory sessions from 29 April 1826 onwards to elect its officers and conduct other preliminary business, but the Legislature was formally opened on 6 May). The Chamber of Deputies and the Senate were created by Brazil's first Constitution, the Constitution of the Empire of Brazil, adopted in 1824. The previous Constituent and Legislative Assembly of the Empire of Brazil, a unicameral National Assembly, that was convened in 1823 and that was dissolved by Emperor Pedro I before adopting a Constitution is not counted among the Legislatures. Thus, the numbering includes only the bicameral Legislatures that existed from 1826 to the present day, and includes only Legislatures elected after the adoption of the first Brazilian Constitution.
|
66 |
+
|
67 |
+
In the imperial era, the national legislature was named General Assembly. It was made up of the Chamber of Deputies and the Senate. Senators were elected for life and the Senate was a permanent institution, whereas the Chamber of Deputies, unless dissolved earlier, was elected every four years. When Brazil became a Republic and a Federal State the model of a bicameral Legislature was retained at the Federal level, but the Parliament was renamed National Congress. The National Congress is made up of the Chamber of Deputies and the Federal Senate. Both Houses have fixed terms and cannot be dissolved earlier. Under Brazil's present Constitution, adopted in 1988, Senators are elected to eight-year terms, and Deputies are elected every four years.
|
68 |
+
|
69 |
+
The numbering of the Legislatures is continuous, including the Legislatures of the imperial General Assembly and of the republican National Congress. The inauguration of a new composition of Chamber of Deputies for a four-year term of office marks the start of a new Legislature.
|
en/1273.html.txt
ADDED
@@ -0,0 +1,308 @@
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Coordinates: 38°53′23″N 77°0′32″W / 38.88972°N 77.00889°W / 38.88972; -77.00889
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The United States Congress is the bicameral legislature of the federal government of the United States and consists of two chambers: the House of Representatives and the Senate. The Congress meets in the United States Capitol in Washington, D.C. Both senators and representatives are chosen through direct election, though vacancies in the Senate may be filled by a governor appointment. Congress has 535 voting members: 435 representatives and 100 senators. In addition, the House of Representatives currently has six non-voting members, bringing the total membership of the US Congress to 541[1] or fewer in the case of vacancies.
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The members of the House of Representatives serve two-year terms representing the people of a single constituency, known as a district. Congressional districts are apportioned to states by population using the United States Census results, provided that each state has at least one congressional representative. Each state, regardless of population or size, has two senators. Currently, there are 100 senators representing the 50 states. Each senator is elected at-large in their state for a six-year term, with terms staggered, so every two years approximately one-third of the Senate is up for election.
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Article One of the United States Constitution requires that members of Congress must be at least 25 years old (House) or 30 years old (Senate), have been a citizen of the United States for seven (House) or nine (Senate) years, and be an inhabitant of the state which they represent. A small number of senators in the 19th century were under 30 years old and therefore did not meet the constitutional age requirement.[2]
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The Congress was created by the Constitution of the United States and first met in 1789, replacing in its legislative function the Congress of the Confederation. Although not legally mandated, in practice since the 19th century, Congress members are typically affiliated with the Republican Party or with the Democratic Party and only rarely with a third party or independents.
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Article One of the United States Constitution states, "All legislative Powers herein granted shall be vested in a Congress of the United States, which shall consist of a Senate and House of Representatives." The House and Senate are equal partners in the legislative process—legislation cannot be enacted without the consent of both chambers. However, the Constitution grants each chamber some unique powers. The Senate ratifies treaties and approves presidential appointments while the House initiates revenue-raising bills. The House initiates impeachment cases, while the Senate decides impeachment cases.[3] A two-thirds vote of the Senate is required before an impeached person can be removed from office.[3]
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The term Congress can also refer to a particular meeting of the legislature. A Congress covers two years; the current one, the 116th Congress, began on January 3, 2019, and will end on January 3, 2021. The Congress starts and ends on the third day of January of every odd-numbered year. Members of the Senate are referred to as senators; members of the House of Representatives are referred to as representatives, congresswomen, or congressmen.
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Scholar and representative Lee H. Hamilton asserted that the "historic mission of Congress has been to maintain freedom" and insisted it was a "driving force in American government"[4] and a "remarkably resilient institution."[5] Congress is the "heart and soul of our democracy," according to this view,[6] even though legislators rarely achieve the prestige or name recognition of presidents or Supreme Court justices; one wrote that "legislators remain ghosts in America's historical imagination."[6] One analyst argues that it is not a solely reactive institution but has played an active role in shaping government policy and is extraordinarily sensitive to public pressure.[6] Several academics described Congress:
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Congress reflects us in all our strengths and all our weaknesses. It reflects our regional idiosyncrasies, our ethnic, religious, and racial diversity, our multitude of professions, and our shadings of opinion on everything from the value of war to the war over values. Congress is the government's most representative body ... Congress is essentially charged with reconciling our many points of view on the great public policy issues of the day.
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Congress is constantly changing and is constantly in flux.[7] In recent times, the American south and west have gained House seats according to demographic changes recorded by the census and includes more minorities and women although both groups are still underrepresented.[7] While power balances among the different parts of government continue to change, the internal structure of Congress is important to understand along with its interactions with so-called intermediary institutions such as political parties, civic associations, interest groups, and the mass media.[6]
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The Congress of the United States serves two distinct purposes that overlap: local representation to the federal government of a congressional district by representatives and a state's at-large representation to the federal government by senators.
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Most incumbents seek re-election, and their historical likelihood of winning subsequent elections exceeds 90 percent.[8]
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The historical records of the House of Representatives and the Senate are maintained by the Center for Legislative Archives, which is a part of the National Archives and Records Administration.[9]
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Congress is directly responsible for the governing of the District of Columbia, the current seat of the federal government.
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The First Continental Congress was a gathering of representatives from twelve of the thirteen colonies of North America.[10] On July 4, 1776, the Second Continental Congress adopted the Declaration of Independence, referring to the new nation as the "United States of America." The Articles of Confederation in 1781 created the Congress of the Confederation, a unicameral body with equal representation among the states in which each state had a veto over most decisions. Congress had executive but not legislative authority, and the federal judiciary was confined to admiralty.[11] and lacked authority to collect taxes, regulate commerce, or enforce laws.[12][13]
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Government powerlessness led to the Convention of 1787 which proposed a revised constitution with a two–chamber or bicameral congress.[14] Smaller states argued for equal representation for each state.[15] The two-chamber structure had functioned well in state governments.[16] A compromise plan, the Connecticut Compromise, was adopted with representatives chosen by population (benefiting larger states) and exactly two senators chosen by state governments (benefiting smaller states).[7][17] The ratified constitution created a federal structure with two overlapping power centers so that each citizen as an individual was subjected to both the power of state government and the national government.[18][19][20] To protect against abuse of power, each branch of government—executive, legislative, and judicial—had a separate sphere of authority and could check other branches according to the principle of the separation of powers.[3] Furthermore, there were checks and balances within the legislature since there were two separate chambers.[21] The new government became active in 1789.[3][22]
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Political scientist Julian E. Zelizer suggested there were four main congressional eras, with considerable overlap, and included the formative era (1780s–1820s), the partisan era (1830s–1900s), the committee era (1910s–1960s), and the contemporary era (1970s–today).[23]
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Federalists and anti-federalists jostled for power in the early years as political parties became pronounced, surprising the Constitution's Founding Fathers of the United States. With the passage of the Constitution and the Bill of Rights, the anti-federalist movement was exhausted. Some activists joined the Anti-Administration Party that James Madison and Thomas Jefferson were forming about 1790–91 to oppose policies of Treasury Secretary Alexander Hamilton; it soon became the Democratic-Republican Party or the Jeffersonian Republican Party[24] and began the era of the First Party System. Thomas Jefferson's election to the presidency marked a peaceful transition of power between the parties in 1800. John Marshall, 4th chief justice of the Supreme Court, empowered the courts by establishing the principle of judicial review in law in the landmark case Marbury v. Madison in 1803, effectively giving the Supreme Court a power to nullify congressional legislation.[25][26]
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These years were marked by growth in the power of political parties. The watershed event was the Civil War which resolved the slavery issue and unified the nation under federal authority, but weakened the power of states' rights. The Gilded Age (1877–1901) was marked by Republican dominance of Congress. During this time, lobbying activity became more intense, particularly during the administration of President Ulysses S. Grant in which influential lobbies advocated for railroad subsidies and tariffs on wool.[27] Immigration and high birth rates swelled the ranks of citizens and the nation grew at a rapid pace. The Progressive Era was characterized by strong party leadership in both houses of Congress as well as calls for reform; sometimes reformers would attack lobbyists as corrupting politics.[28] The position of Speaker of the House became extremely powerful under leaders such as Thomas Reed in 1890 and Joseph Gurney Cannon. The Senate was effectively controlled by a half dozen men.
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A system of seniority—in which long-time members of Congress gained more and more power—encouraged politicians of both parties to serve for long terms. Committee chairmen remained influential in both houses until the reforms of the 1970s.
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Important structural changes included the direct popular election of senators according to the Seventeenth Amendment,[17] ratified on April 8, 1913, with positive effects (senators more sensitive to public opinion) and negative effects (undermining the authority of state governments).[17] Supreme Court decisions based on the Constitution's commerce clause expanded congressional power to regulate the economy.[29] One effect of popular election of senators was to reduce the difference between the House and Senate in terms of their link to the electorate.[30] Lame duck reforms according to the Twentieth Amendment ended the power of defeated and retiring members of Congress to wield influence despite their lack of accountability.[31]
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The Great Depression ushered in President Franklin Roosevelt and strong control by Democrats[32] and historic New Deal policies. Roosevelt's election in 1932 marked a shift in government power towards the executive branch. Numerous New Deal initiatives came from the White House rather than being initiated by Congress.[33] The Democratic Party controlled both houses of Congress for many years.[34][35][36] During this time, Republicans and conservative southern Democrats[37] formed the Conservative Coalition.[36][38] Democrats maintained control of Congress during World War II.[39][40] Congress struggled with efficiency in the postwar era partly by reducing the number of standing congressional committees.[41] Southern Democrats became a powerful force in many influential committees although political power alternated between Republicans and Democrats during these years. More complex issues required greater specialization and expertise, such as space flight and atomic energy policy.[41] Senator Joseph McCarthy exploited the fear of communism during the Second Red Scare and conducted televised hearings.[42][43] In 1960, Democratic candidate John F. Kennedy narrowly won the presidency and power shifted again to the Democrats who dominated both houses of Congress until 1994.
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Congress enacted Johnson's Great Society program to fight poverty and hunger. The Watergate Scandal had a powerful effect of waking up a somewhat dormant Congress which investigated presidential wrongdoing and coverups; the scandal "substantially reshaped" relations between the branches of government, suggested political scientist Bruce J. Schulman.[45] Partisanship returned, particularly after 1994; one analyst attributes partisan infighting to slim congressional majorities which discouraged friendly social gatherings in meeting rooms such as the Board of Education.[6] Congress began reasserting its authority.[33][46] Lobbying became a big factor despite the 1971 Federal Election Campaign Act. Political action committees or PACs could make substantive donations to congressional candidates via such means as soft money contributions.[47] While soft money funds were not given to specific campaigns for candidates, the money often benefited candidates substantially in an indirect way and helped reelect candidates.[47] Reforms such as the 2002 Bipartisan Campaign Reform Act limited campaign donations but did not limit soft money contributions.[48] One source suggests post-Watergate laws amended in 1974 meant to reduce the "influence of wealthy contributors and end payoffs" instead "legitimized PACs" since they "enabled individuals to band together in support of candidates."[49] From 1974 to 1984, PACs grew from 608 to 3,803 and donations leaped from $12.5 million to $120 million[49][50][51] along with concern over PAC influence in Congress.[52][53] In 2009, there were 4,600 business, labor and special-interest PACs[54] including ones for lawyers, electricians, and real estate brokers.[55] From 2007 to 2008, 175 members of Congress received "half or more of their campaign cash" from PACs.[54][56][57]
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From 1970 to 2009, the House expanded delegates, along with their powers and privileges representing U.S. citizens in non-state areas, beginning with representation on committees for Puerto Rico's resident commissioner in 1970. In 1971, a delegate for the District of Columbia was authorized, and in 1972 new delegate positions were established for U.S. Virgin Islands and Guam. 1978 saw an additional delegate for American Samoa, and another for the Commonwealth of the Northern Mariana Islands began in 2009. These six members of Congress enjoy floor privileges to introduce bills and resolutions, and in recent congresses they vote in permanent and select committees, in party caucuses and in joint conferences with the Senate. They have Capitol Hill offices, staff and two annual appointments to each of the four military academies. While their votes are constitutional when Congress authorizes their House Committee of the Whole votes, recent Congresses have not allowed for that, and they cannot vote when the House is meeting as the House of Representatives.[58]
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In the late 20th century, the media became more important in Congress's work.[59] Analyst Michael Schudson suggested that greater publicity undermined the power of political parties and caused "more roads to open up in Congress for individual representatives to influence decisions."[59] Norman Ornstein suggested that media prominence led to a greater emphasis on the negative and sensational side of Congress, and referred to this as the tabloidization of media coverage.[7] Others saw pressure to squeeze a political position into a thirty-second soundbite.[60] A report characterized Congress in 2013 as being unproductive, gridlocked, and "setting records for futility."[61] In October 2013, with Congress unable to compromise, the government was shut down for several weeks and risked a serious default on debt payments, causing 60% of the public to say they would "fire every member of Congress" including their own representative.[62] One report suggested Congress posed the "biggest risk to the US economy" because of its brinksmanship, "down-to-the-wire budget and debt crises" and "indiscriminate spending cuts," resulting in slowed economic activity and keeping up to two million people unemployed.[63] There has been increasing public dissatisfaction with Congress,[64] with extremely low approval ratings[65][66] which dropped to 5% in October 2013.[67]
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Article I of the Constitution creates and sets forth the structure and most of the powers of Congress. Sections One through Six describe how Congress is elected and gives each House the power to create its own structure. Section Seven lays out the process for creating laws, and Section Eight enumerates numerous powers. Section Nine is a list of powers Congress does not have, and Section Ten enumerates powers of the state, some of which may only be granted by Congress.[68] Constitutional amendments have granted Congress additional powers. Congress also has implied powers derived from the Constitution's Necessary and Proper Clause.
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Congress has authority over financial and budgetary policy through the enumerated power to "lay and collect Taxes, Duties, Imposts and Excises, to pay the Debts and provide for the common Defence and general Welfare of the United States." There is vast authority over budgets, although analyst Eric Patashnik suggested that much of Congress's power to manage the budget has been lost when the welfare state expanded since "entitlements were institutionally detached from Congress's ordinary legislative routine and rhythm."[69] Another factor leading to less control over the budget was a Keynesian belief that balanced budgets were unnecessary.[69]
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The Sixteenth Amendment in 1913 extended congressional power of taxation to include income taxes without apportionment among the several States, and without regard to any census or enumeration.[70] The Constitution also grants Congress the exclusive power to appropriate funds, and this power of the purse is one of Congress's primary checks on the executive branch.[70] Congress can borrow money on the credit of the United States, regulate commerce with foreign nations and among the states, and coin money.[71] Generally, both the Senate and the House of Representatives have equal legislative authority, although only the House may originate revenue and appropriation bills.[3]
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Congress has an important role in national defense, including the exclusive power to declare war, to raise and maintain the armed forces, and to make rules for the military.[72] Some critics charge that the executive branch has usurped Congress's constitutionally defined task of declaring war.[73] While historically presidents initiated the process for going to war, they asked for and received formal war declarations from Congress for the War of 1812, the Mexican–American War, the Spanish–American War, World War I, and World War II,[74] although President Theodore Roosevelt's military move into Panama in 1903 did not get congressional approval.[74] In the early days after the North Korean invasion of 1950, President Truman described the American response as a "police action."[75] According to Time magazine in 1970, "U.S. presidents [had] ordered troops into position or action without a formal congressional declaration a total of 149 times."[74] In 1993, Michael Kinsley wrote that "Congress's war power has become the most flagrantly disregarded provision in the Constitution," and that the "real erosion [of Congress's war power] began after World War II."[76][77][78] Disagreement about the extent of congressional versus presidential power regarding war has been present periodically throughout the nation's history.[79]
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Congress can establish post offices and post roads, issue patents and copyrights, fix standards of weights and measures, establish Courts inferior to the Supreme Court, and "make all Laws which shall be necessary and proper for carrying into Execution the foregoing Powers, and all other Powers vested by this Constitution in the Government of the United States, or in any Department or Officer thereof." Article Four gives Congress the power to admit new states into the Union.
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One of Congress's foremost non-legislative functions is the power to investigate and oversee the executive branch.[80] Congressional oversight is usually delegated to committees and is facilitated by Congress's subpoena power.[81] Some critics have charged that Congress has in some instances failed to do an adequate job of overseeing the other branches of government. In the Plame affair, critics including Representative Henry A. Waxman charged that Congress was not doing an adequate job of oversight in this case.[82] There have been concerns about congressional oversight of executive actions such as warrantless wiretapping, although others respond that Congress did investigate the legality of presidential decisions.[83] Political scientists Ornstein and Mann suggested that oversight functions do not help members of Congress win reelection. Congress also has the exclusive power of removal, allowing impeachment and removal of the president, federal judges and other federal officers.[84] There have been charges that presidents acting under the doctrine of the unitary executive have assumed important legislative and budgetary powers that should belong to Congress.[85] So-called signing statements are one way in which a president can "tip the balance of power between Congress and the White House a little more in favor of the executive branch," according to one account.[86] Past presidents, including Ronald Reagan, George H. W. Bush, Bill Clinton, and George W. Bush,[87] have made public statements when signing congressional legislation about how they understand a bill or plan to execute it, and commentators, including the American Bar Association, have described this practice as against the spirit of the Constitution.[88][89] There have been concerns that presidential authority to cope with financial crises is eclipsing the power of Congress.[90] In 2008, George F. Will called the Capitol building a "tomb for the antiquated idea that the legislative branch matters."[91]
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The Constitution enumerates the powers of Congress in detail. In addition, other congressional powers have been granted, or confirmed, by constitutional amendments. The Thirteenth (1865), Fourteenth (1868), and Fifteenth Amendments (1870) gave Congress authority to enact legislation to enforce rights of African Americans, including voting rights, due process, and equal protection under the law.[92] Generally militia forces are controlled by state governments, not Congress.[93]
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Congress also has implied powers deriving from the Constitution's Necessary and Proper Clause which permit Congress to "make all Laws which shall be necessary and proper for carrying into Execution the foregoing Powers, and all other Powers vested by this Constitution in the Government of the United States, or in any Department or Officer thereof."[94] Broad interpretations of this clause and of the Commerce Clause, the enumerated power to regulate commerce, in rulings such as McCulloch v. Maryland, have effectively widened the scope of Congress's legislative authority far beyond that prescribed in Section Eight.[95][96]
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Constitutional responsibility for the oversight of Washington, D.C., the federal district and national capital, and the U.S. territories of Guam, American Samoa, Puerto Rico, the U.S. Virgin Islands, and the Northern Mariana Islands rests with Congress.[97] The republican form of government in territories is devolved by Congressional statute to the respective territories including direct election of governors, the D.C. mayor and locally elective territorial legislatures.[98]
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Each territory and Washington, D.C., elect a non-voting delegate to the U.S. House of Representatives as they have throughout Congressional history. They "possess the same powers as other members of the House, except that they may not vote when the House is meeting as the House of Representatives." They are assigned offices and allowances for staff, participate in debate, and appoint constituents to the four military service academies for the Army, Navy, Air Force and Coast Guard.[99]
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Washington, D.C., citizens alone among U.S. territories have the right to directly vote for the President of the United States, although the Democratic and Republican political parties nominate their presidential candidates at national conventions which include delegates from the five major territories.[100]
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Representative Lee H. Hamilton explained how Congress functions within the federal government:
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To me the key to understanding it is balance. The founders went to great lengths to balance institutions against each other—balancing powers among the three branches: Congress, the president, and the Supreme Court; between the House of Representatives and the Senate; between the federal government and the states; among states of different sizes and regions with different interests; between the powers of government and the rights of citizens, as spelled out in the Bill of Rights ... No one part of government dominates the other.[4]:6
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The Constitution provides checks and balances among the three branches of the federal government. Its authors expected the greater power to lie with Congress as described in Article One.[4][101]
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The influence of Congress on the presidency has varied from period to period depending on factors such as congressional leadership, presidential political influence, historical circumstances such as war, and individual initiative by members of Congress. The impeachment of Andrew Johnson made the presidency less powerful than Congress for a considerable period afterwards.[102] The 20th and 21st centuries have seen the rise of presidential power under politicians such as Theodore Roosevelt, Woodrow Wilson, Franklin D. Roosevelt, Richard Nixon, Ronald Reagan, and George W. Bush.[103] However, in recent years, Congress has restricted presidential power with laws such as the Congressional Budget and Impoundment Control Act of 1974 and the War Powers Resolution. Nevertheless, the Presidency remains considerably more powerful today than during the 19th century.[4][103] Executive branch officials are often loath to reveal sensitive information to members of Congress because of concern that information could not be kept secret; in return, knowing they may be in the dark about executive branch activity, congressional officials are more likely to distrust their counterparts in executive agencies.[104] Many government actions require fast coordinated effort by many agencies, and this is a task that Congress is ill-suited for. Congress is slow, open, divided, and not well matched to handle more rapid executive action or do a good job of overseeing such activity, according to one analysis.[105]
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The Constitution concentrates removal powers in the Congress by empowering and obligating the House of Representatives to impeach both executive and judicial officials for "Treason, Bribery, or other high Crimes and Misdemeanors." Impeachment is a formal accusation of unlawful activity by a civil officer or government official. The Senate is constitutionally empowered and obligated to try all impeachments. A simple majority in the House is required to impeach an official; however, a two-thirds majority in the Senate is required for conviction. A convicted official is automatically removed from office; in addition, the Senate may stipulate that the defendant be banned from holding office in the future. Impeachment proceedings may not inflict more than this; however, a convicted party may face criminal penalties in a normal court of law. In the history of the United States, the House of Representatives has impeached sixteen officials, of whom seven were convicted. Another resigned before the Senate could complete the trial. Only three presidents have ever been impeached: Andrew Johnson in 1868, Bill Clinton in 1999, and Donald Trump in 2019. All three trials ended in acquittal; in Johnson's case, the Senate fell one vote short of the two-thirds majority required for conviction. In 1974, Richard Nixon resigned from office after impeachment proceedings in the House Judiciary Committee indicated he would eventually be removed from office.
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The Senate has an important check on the executive power by confirming Cabinet officials, judges, and other high officers "by and with the Advice and Consent of the Senate." It confirms most presidential nominees but rejections are not uncommon. Furthermore, treaties negotiated by the President must be ratified by a two-thirds majority vote in the Senate to take effect. As a result, presidential arm-twisting of senators can happen before a key vote; for example, President Obama's secretary of state, Hillary Clinton, urged her former senate colleagues to approve a nuclear arms treaty with Russia in 2010.[106] The House of Representatives has no formal role in either the ratification of treaties or the appointment of federal officials, other than in filling a vacancy in the office of the vice president; in such a case, a majority vote in each House is required to confirm a president's nomination of a vice president.[3]
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In 1803, the Supreme Court established judicial review of federal legislation in Marbury v. Madison, holding, however, that Congress could not grant unconstitutional power to the Court itself. The Constitution does not explicitly state that the courts may exercise judicial review; however, the notion that courts could declare laws unconstitutional was envisioned by the founding fathers. Alexander Hamilton, for example, mentioned and expounded upon the doctrine in Federalist No. 78. Originalists on the Supreme Court have argued that if the constitution does not say something explicitly it is unconstitutional to infer what it should, might or could have said.[107] Judicial review means that the Supreme Court can nullify a congressional law. It is a huge check by the courts on the legislative authority and limits congressional power substantially. In 1857, for example, the Supreme Court struck down provisions of a congressional act of 1820 in its Dred Scott decision.[108] At the same time, the Supreme Court can extend congressional power through its constitutional interpretations.
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The congressional inquiry into St. Clair's Defeat of 1791 was the first congressional investigation of the executive branch.[109] Investigations are conducted to gather information on the need for future legislation, to test the effectiveness of laws already passed, and to inquire into the qualifications and performance of members and officials of the other branches. Committees may hold hearings, and, if necessary, compel individuals to testify when investigating issues over which it has the power to legislate by issuing subpoenas.[110][111] Witnesses who refuse to testify may be cited for contempt of Congress, and those who testify falsely may be charged with perjury. Most committee hearings are open to the public (the House and Senate intelligence committees are the exception); important hearings are widely reported in the mass media and transcripts published a few months afterwards.[111] Congress, in the course of studying possible laws and investigating matters, generates an incredible amount of information in various forms, and can be described as a publisher.[112] Indeed, it publishes House and Senate reports[112] and maintains databases which are updated irregularly with publications in a variety of electronic formats.[112]
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Congress also plays a role in presidential elections. Both Houses meet in joint session on the sixth day of January following a presidential election to count the electoral votes, and there are procedures to follow if no candidate wins a majority.[3]
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The main result of congressional activity is the creation of laws,[113] most of which are contained in the United States Code, arranged by subject matter alphabetically under fifty title headings to present the laws "in a concise and usable form."[3]
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Congress is split into two chambers—House and Senate—and manages the task of writing national legislation by dividing work into separate committees which specialize in different areas. Some members of Congress are elected by their peers to be officers of these committees. Further, Congress has ancillary organizations such as the Government Accountability Office and the Library of Congress to help provide it with information, and members of Congress have staff and offices to assist them as well. In addition, a vast industry of lobbyists helps members write legislation on behalf of diverse corporate and labor interests.
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The committee structure permits members of Congress to study a particular subject intensely. It is neither expected nor possible that a member be an expert on all subject areas before Congress.[114] As time goes by, members develop expertise in particular subjects and their legal aspects. Committees investigate specialized subjects and advise the entire Congress about choices and trade-offs. The choice of specialty may be influenced by the member's constituency, important regional issues, prior background and experience.[115] Senators often choose a different specialty from that of the other senator from their state to prevent overlap.[116] Some committees specialize in running the business of other committees and exert a powerful influence over all legislation; for example, the House Ways and Means Committee has considerable influence over House affairs.[117]
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Committees write legislation. While procedures, such as the House discharge petition process, can introduce bills to the House floor and effectively bypass committee input, yet they are exceedingly difficult to implement without committee action. Committees have power and have been called independent fiefdoms. Legislative, oversight, and internal administrative tasks are divided among about two hundred committees and subcommittees which gather information, evaluate alternatives, and identify problems.[118] They propose solutions for consideration by the full chamber.[118] In addition, they perform the function of oversight by monitoring the executive branch and investigating wrongdoing.[118]
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At the start of each two-year session the House elects a speaker who does not normally preside over debates but serves as the majority party's leader. In the Senate, the vice president is the ex officio president of the Senate. In addition, the Senate elects an officer called the president pro tempore. Pro tempore means for the time being and this office is usually held by the most senior member of the Senate's majority party and customarily keeps this position until there is a change in party control. Accordingly, the Senate does not necessarily elect a new president pro tempore at the beginning of a new Congress. In both the House and Senate, the actual presiding officer is generally a junior member of the majority party who is appointed so that new members become acquainted with the rules of the chamber.
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The Library of Congress was established by an act of Congress in 1800. It is primarily housed in three buildings on Capitol Hill, but also includes several other sites: the National Library Service for the Blind and Physically Handicapped in Washington, D.C.; the National Audio-Visual Conservation Center in Culpeper, Virginia; a large book storage facility located at Ft. Meade, Maryland; and multiple overseas offices. The Library had mostly law books when it was burned by a British raiding party during the War of 1812, but the library's collections were restored and expanded when Congress authorized the purchase of Thomas Jefferson's private library. One of the library's missions is to serve the Congress and its staff as well as the American public. It is the largest library in the world with nearly 150 million items including books, films, maps, photographs, music, manuscripts, graphics, and materials in 470 languages.[119]
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The Congressional Research Service, part of the Library of Congress, provides detailed, up-to-date and non-partisan research for senators, representatives, and their staff to help them carry out their official duties. It provides ideas for legislation, helps members analyze a bill, facilitates public hearings, makes reports, consults on matters such as parliamentary procedure, and helps the two chambers resolve disagreements. It has been called the "House's think tank" and has a staff of about 900 employees.[120]
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The Congressional Budget Office or CBO is a federal agency which provides economic data to Congress.[121]
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It was created as an independent non-partisan agency by the Congressional Budget and Impoundment Control Act of 1974. It helps Congress estimate revenue inflows from taxes and helps the budgeting process. It makes projections about such matters as the national debt[122] as well as likely costs of legislation. It prepares an annual Economic and Budget Outlook with a mid-year update and writes An Analysis of the President's Budgetary Proposals for the Senate's Appropriations Committee. The speaker of the House and the Senate's president pro tempore jointly appoint the CBO director for a four-year term.
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Lobbyists represent diverse interests and often seek to influence congressional decisions to reflect their clients' needs. Lobby groups and their members sometimes write legislation and whip bills. In 2007, there were approximately 17,000 federal lobbyists in Washington, D.C.[123] They explain to legislators the goals of their organizations. Some lobbyists represent non-profit organizations and work pro bono for issues in which they are personally interested.
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Congress has alternated between periods of constructive cooperation and compromise between parties, known as bipartisanship, and periods of deep political polarization and fierce infighting, known as partisanship. The period after the Civil War was marked by partisanship, as is the case today. It is generally easier for committees to reach accord on issues when compromise is possible. Some political scientists speculate that a prolonged period marked by narrow majorities in both chambers of Congress has intensified partisanship in the last few decades, but that an alternation of control of Congress between Democrats and Republicans may lead to greater flexibility in policies, as well as pragmatism and civility within the institution.[124]
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A term of Congress is divided into two "sessions," one for each year; Congress has occasionally been called into an extra or special session. A new session commences on January 3 each year, unless Congress decides differently. The Constitution requires Congress meet at least once each year and forbids either house from meeting outside the Capitol without the consent of the other house.
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Joint sessions of the United States Congress occur on special occasions that require a concurrent resolution from both House and Senate. These sessions include counting electoral votes after a presidential election and the president's State of the Union address. The constitutionally mandated report, normally given as an annual speech, is modeled on Britain's Speech from the Throne, was written by most presidents after Jefferson but personally delivered as a spoken oration beginning with Wilson in 1913. Joint Sessions and Joint Meetings are traditionally presided over by the speaker of the House, except when counting presidential electoral votes when the vice president (acting as the president of the Senate) presides.
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Ideas for legislation can come from members, lobbyists, state legislatures, constituents, legislative counsel, or executive agencies. Anyone can write a bill, but only members of Congress may introduce bills. Most bills are not written by Congress members, but originate from the Executive branch; interest groups often draft bills as well. The usual next step is for the proposal to be passed to a committee for review.[3] A proposal is usually in one of these forms:
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Representatives introduce a bill while the House is in session by placing it in the hopper on the Clerk's desk.[113] It is assigned a number and referred to a committee which studies each bill intensely at this stage.[113] Drafting statutes requires "great skill, knowledge, and experience" and sometimes take a year or more.[3] Sometimes lobbyists write legislation and submit it to a member for introduction. Joint resolutions are the normal way to propose a constitutional amendment or declare war. On the other hand, concurrent resolutions (passed by both houses) and simple resolutions (passed by only one house) do not have the force of law but express the opinion of Congress or regulate procedure. Bills may be introduced by any member of either house. However, the Constitution states, "All Bills for raising Revenue shall originate in the House of Representatives." While the Senate cannot originate revenue and appropriation bills, it has power to amend or reject them. Congress has sought ways to establish appropriate spending levels.[3]
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Each chamber determines its own internal rules of operation unless specified in the Constitution or prescribed by law. In the House, a Rules Committee guides legislation; in the Senate, a Standing Rules committee is in charge. Each branch has its own traditions; for example, the Senate relies heavily on the practice of getting "unanimous consent" for noncontroversial matters.[3] House and Senate rules can be complex, sometimes requiring a hundred specific steps before a bill can become a law.[4] Members sometimes turn to outside experts to learn about proper Congressional procedures.[125]
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Each bill goes through several stages in each house including consideration by a committee and advice from the Government Accountability Office.[3] Most legislation is considered by standing committees which have jurisdiction over a particular subject such as Agriculture or Appropriations. The House has twenty standing committees; the Senate has sixteen. Standing committees meet at least once each month.[3] Almost all standing committee meetings for transacting business must be open to the public unless the committee votes, publicly, to close the meeting.[3] A committee might call for public hearings on important bills.[3] Each committee is led by a chair who belongs to the majority party and a ranking member of the minority party. Witnesses and experts can present their case for or against a bill.[113] Then, a bill may go to what is called a mark-up session, where committee members debate the bill's merits and may offer amendments or revisions.[113] Committees may also amend the bill, but the full house holds the power to accept or reject committee amendments. After debate, the committee votes whether it wishes to report the measure to the full house. If a bill is tabled then it is rejected. If amendments are extensive, sometimes a new bill with amendments built in will be submitted as a so-called clean bill with a new number.[113] Both houses have procedures under which committees can be bypassed or overruled but they are rarely used. Generally, members who have been in Congress longer have greater seniority and therefore greater power.[126]
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A bill which reaches the floor of the full house can be simple or complex[113] and begins with an enacting formula such as "Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled." Consideration of a bill requires, itself, a rule which is a simple resolution specifying the particulars of debate—time limits, possibility of further amendments, and such.[113] Each side has equal time and members can yield to other members who wish to speak.[113] Sometimes opponents seek to recommit a bill which means to change part of it.[113] Generally, discussion requires a quorum, usually half of the total number of representatives, before discussion can begin, although there are exceptions.[127] The house may debate and amend the bill; the precise procedures used by the House and Senate differ. A final vote on the bill follows.
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Once a bill is approved by one house, it is sent to the other which may pass, reject, or amend it. For the bill to become law, both houses must agree to identical versions of the bill.[113] If the second house amends the bill, then the differences between the two versions must be reconciled in a conference committee, an ad hoc committee that includes both senators and representatives[113] sometimes by using a reconciliation process to limit budget bills.[3] Both houses use a budget enforcement mechanism informally known as pay-as-you-go or paygo which discourages members from considering acts which increase budget deficits.[3] If both houses agree to the version reported by the conference committee, the bill passes, otherwise it fails.
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The Constitution specifies that a majority of members, known as a quorum, be present before doing business in each house. However, the rules of each house assume that a quorum is present unless a quorum call demonstrates the contrary and debate often continues despite the lack of a majority.
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Voting within Congress can take many forms, including systems using lights and bells and electronic voting.[3] Both houses use voice voting to decide most matters in which members shout "aye" or "no" and the presiding officer announces the result. The Constitution, however, requires a recorded vote if demanded by one-fifth of the members present or when voting to override a presidential veto. If the voice vote is unclear or if the matter is controversial, a recorded vote usually happens. The Senate uses roll-call voting, in which a clerk calls out the names of all the senators, each senator stating "aye" or "no" when their name is announced. In the Senate, the Vice President may cast the tie-breaking vote if present when the Senators are equally divided.
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The House reserves roll-call votes for the most formal matters, as a roll call of all 435 representatives takes quite some time; normally, members vote by using an electronic device. In the case of a tie, the motion in question fails. Most votes in the House are done electronically, allowing members to vote yea or nay or present or open.[3] Members insert a voting ID card and can change their votes during the last five minutes if they choose; in addition, paper ballots are used on some occasions—yea indicated by green and nay by red.[3] One member cannot cast a proxy vote for another.[3] Congressional votes are recorded on an online database.[128][129]
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After passage by both houses, a bill is enrolled and sent to the president for approval.[113] The president may sign it making it law or veto it, perhaps returning it to Congress with the president's objections. A vetoed bill can still become law if each house of Congress votes to override the veto with a two-thirds majority. Finally, the president may do nothing—neither signing nor vetoing the bill—and then the bill becomes law automatically after ten days (not counting Sundays) according to the Constitution. But if Congress is adjourned during this period, presidents may veto legislation passed at the end of a congressional session simply by ignoring it; the maneuver is known as a pocket veto, and cannot be overridden by the adjourned Congress.
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Senators face reelection every six years, and representatives every two. Reelections encourage candidates to focus their publicity efforts at their home states or districts.[59] Running for reelection can be a grueling process of distant travel and fund-raising which distracts senators and representatives from paying attention to governing, according to some critics.[130] Although others respond that the process is necessary to keep members of Congress in touch with voters.
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Nevertheless, incumbent members of Congress running for reelection have strong advantages over challengers.[47] They raise more money[52] because donors fund incumbents over challengers, perceiving the former as more likely to win,[50][131] and donations are vital for winning elections.[132] One critic compared being elected to Congress to receiving life tenure at a university.[131] Another advantage for representatives is the practice of gerrymandering.[133][134] After each ten-year census, states are allocated representatives based on population, and officials in power can choose how to draw the congressional district boundaries to support candidates from their party. As a result, reelection rates of members of Congress hover around 90 percent,[8] causing some critics to accuse them of being a privileged class.[7] Academics such as Princeton's Stephen Macedo have proposed solutions to fix gerrymandering in the U.S. Both senators and representatives enjoy free mailing privileges, called franking privileges; while these are not intended for electioneering, this rule is often skirted by borderline election-related mailings during campaigns.
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In 1971, the cost of running for Congress in Utah was $70,000[135] but costs have climbed.[136] The biggest expense is television advertisements.[51][131][135][137][138] Today's races cost more than a million dollars for a House seat, and six million or more for a Senate seat.[7][51][137][139][140] Since fundraising is vital, "members of Congress are forced to spend ever-increasing hours raising money for their re-election."[attribution needed][141]
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Nevertheless, the Supreme Court has treated campaign contributions as a free speech issue.[136] Some see money as a good influence in politics since it "enables candidates to communicate with voters."[136] Few members retire from Congress without complaining about how much it costs to campaign for reelection.[7] Critics contend that members of Congress are more likely to attend to the needs of heavy campaign contributors than to ordinary citizens.[7]
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Elections are influenced by many variables. Some political scientists speculate there is a coattail effect (when a popular president or party position has the effect of reelecting incumbents who win by "riding on the president's coattails"), although there is some evidence that the coattail effect is irregular and possibly declining since the 1950s.[47] Some districts are so heavily Democratic or Republican that they are called a safe seat; any candidate winning the primary will almost always be elected, and these candidates do not need to spend money on advertising.[142][143] But some races can be competitive when there is no incumbent. If a seat becomes vacant in an open district, then both parties may spend heavily on advertising in these races; in California in 1992, only four of twenty races for House seats were considered highly competitive.[144]
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Since members of Congress must advertise heavily on television, this usually involves negative advertising, which smears an opponent's character without focusing on the issues.[145] Negative advertising is seen as effective because "the messages tend to stick."[146] However, these advertisements sour the public on the political process in general as most members of Congress seek to avoid blame.[147] One wrong decision or one damaging television image can mean defeat at the next election, which leads to a culture of risk avoidance, a need to make policy decisions behind closed doors,[147][148] and concentrating publicity efforts in the members' home districts.[59]
|
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|
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Prominent Founding Fathers writing in The Federalist Papers felt that elections were essential to liberty, that a bond between the people and the representatives was particularly essential,[149] and that "frequent elections are unquestionably the only policy by which this dependence and sympathy can be effectually secured."[149] In 2009, however, few Americans were familiar with leaders of Congress.[150][151][152] The percentage of Americans eligible to vote who did, in fact, vote was 63% in 1960, but has been falling since, although there was a slight upward trend in the 2008 election.[153] Public opinion polls asking people if they approve of the job Congress is doing have, in the last few decades, hovered around 25% with some variation.[7][154][155][156][157][158][159] Scholar Julian Zeliger suggested that the "size, messiness, virtues, and vices that make Congress so interesting also create enormous barriers to our understanding the institution ... Unlike the presidency, Congress is difficult to conceptualize."[160] Other scholars suggest that despite the criticism, "Congress is a remarkably resilient institution ... its place in the political process is not threatened ... it is rich in resources" and that most members behave ethically.[5] They contend that "Congress is easy to dislike and often difficult to defend" and this perception is exacerbated because many challengers running for Congress run against Congress, which is an "old form of American politics" that further undermines Congress's reputation with the public:[7]
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The rough-and-tumble world of legislating is not orderly and civil, human frailties too often taint its membership, and legislative outcomes are often frustrating and ineffective ... Still, we are not exaggerating when we say that Congress is essential to American democracy. We would not have survived as a nation without a Congress that represented the diverse interests of our society, conducted a public debate on the major issues, found compromises to resolve conflicts peacefully, and limited the power of our executive, military, and judicial institutions ... The popularity of Congress ebbs and flows with the public's confidence in government generally ... the legislative process is easy to dislike—it often generates political posturing and grandstanding, it necessarily involves compromise, and it often leaves broken promises in its trail. Also, members of Congress often appear self-serving as they pursue their political careers and represent interests and reflect values that are controversial. Scandals, even when they involve a single member, add to the public's frustration with Congress and have contributed to the institution's low ratings in opinion polls.
|
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+
|
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An additional factor that confounds public perceptions of Congress is that congressional issues are becoming more technical and complex and require expertise in subjects such as science, engineering and economics.[7] As a result, Congress often cedes authority to experts at the executive branch.[7]
|
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Since 2006, Congress has dropped 10 points in the Gallup confidence poll with only 9% having "a great deal" or "quite a lot" of confidence in their legislators.[161] Since 2011, Gallup poll has reported Congress's approval rating among Americans at 10% or below three times.[65][66] Public opinion of Congress plummeted further to 5% in October 2013 after parts of the U.S. government deemed 'nonessential government' shut down.[67]
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When the Constitution was ratified in 1787, the ratio of the populations of large states to small states was roughly twelve to one. The Connecticut Compromise gave every state, large and small, an equal vote in the Senate.[162] Since each state has two senators, residents of smaller states have more clout in the Senate than residents of larger states. But since 1787, the population disparity between large and small states has grown; in 2006, for example, California had seventy times the population of Wyoming.[163] Critics, such as constitutional scholar Sanford Levinson, have suggested that the population disparity works against residents of large states and causes a steady redistribution of resources from "large states to small states."[164][165][166] However, others argue that the Connecticut Compromise was deliberately intended by the Founding Fathers to construct the Senate so that each state had equal footing not based on population,[162] and contend that the result works well on balance.
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A major role for members of Congress is providing services to constituents.[167] Constituents request assistance with problems.[168] Providing services helps members of Congress win votes and elections[133][169][170] and can make a difference in close races.[171] Congressional staff can help citizens navigate government bureaucracies.[4] One academic described the complex intertwined relation between lawmakers and constituents as home style.[172]:8
|
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+
|
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+
One way to categorize lawmakers, according to political scientist Richard Fenno, is by their general motivation:
|
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|
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Members of Congress enjoy parliamentary privilege, including freedom from arrest in all cases except for treason, felony, and breach of the peace, and freedom of speech in debate. This constitutionally derived immunity applies to members during sessions and when traveling to and from sessions.[173] The term arrest has been interpreted broadly, and includes any detention or delay in the course of law enforcement, including court summons and subpoenas. The rules of the House strictly guard this privilege; a member may not waive the privilege on their own, but must seek the permission of the whole house to do so. Senate rules, however, are less strict and permit individual senators to waive the privilege as they choose.
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The Constitution guarantees absolute freedom of debate in both houses, providing in the Speech or Debate Clause of the Constitution that "for any Speech or Debate in either House, they shall not be questioned in any other Place." Accordingly, a member of Congress may not be sued in court for slander because of remarks made in either house, although each house has its own rules restricting offensive speeches, and may punish members who transgress.
|
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Obstructing the work of Congress is a crime under federal law and is known as contempt of Congress. Each member has the power to cite individuals for contempt but can only issue a contempt citation—the judicial system pursues the matter like a normal criminal case. If convicted in court, an individual found guilty of contempt of Congress may be imprisoned for up to one year.[citation needed]
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The franking privilege allows members of Congress to send official mail to constituents at government expense. Though they are not permitted to send election materials, borderline material is often sent, especially in the run-up to an election by those in close races.[174][175] Indeed, some academics consider free mailings as giving incumbents a big advantage over challengers.[8][failed verification][176]
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From 1789 to 1815, members of Congress received only a daily payment of $6 while in session. Members received an annual salary of $1,500 per year from 1815 to 1817, then a per diem salary of $8 from 1818 to 1855; since then they have received an annual salary, first pegged in 1855 at $3,000.[177][178] In 1907, salaries were raised to $7,500 per year, the equivalent of $173,000 in 2010.[178] In 2006, members of Congress received a yearly salary of $165,200.[178] Congressional leaders were paid $183,500 per year. The Speaker of the House of Representatives earns $212,100 annually. The salary of the President pro tempore for 2006 was $183,500, equal to that of the majority and minority leaders of the House and Senate.[179] Privileges include having an office and paid staff.[126] In 2008, non-officer members of Congress earned $169,300 annually.[154] Some critics complain congressional pay is high compared with a median American income of $45,113 for men and $35,102 for women.[180] Others have countered that congressional pay is consistent with other branches of government.[154] Another criticism is that members of Congress have access to free or low-cost medical care in the Washington, D.C., area. The petition, "Remove health-care subsidies for Members of Congress and their families," garnered over 1,077,000 signatures on the website Change.org.[181] In January 2014, it was reported that for the first time over half of the members of Congress were millionaires.[182] Congress has been criticized for trying to conceal pay raises by slipping them into a large bill at the last minute.[183] Others have criticized the wealth of members of Congress.[135][138] Representative Jim Cooper of Tennessee told Harvard professor Lawrence Lessig that a chief problem with Congress was that members focused on lucrative careers as lobbyists after serving––that Congress was a "Farm League for K Street"––instead of on public service.[184][185]
|
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Members elected since 1984 are covered by the Federal Employees Retirement System (FERS). Like other federal employees, congressional retirement is funded through taxes and participants' contributions. Members of Congress under FERS contribute 1.3% of their salary into the FERS retirement plan and pay 6.2% of their salary in Social Security taxes. And like federal employees, members contribute one-third of the cost of health insurance with the government covering the other two-thirds.[186]
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The size of a congressional pension depends on the years of service and the average of the highest three years of their salary. By law, the starting amount of a member's retirement annuity may not exceed 80% of their final salary. In 2006, the average annual pension for retired senators and representatives under the Civil Service Retirement System (CSRS) was $60,972, while those who retired under FERS, or in combination with CSRS, was $35,952.[187]
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Members of Congress make fact-finding missions to learn about other countries and stay informed, but these outings can cause controversy if the trip is deemed excessive or unconnected with the task of governing. For example, the Wall Street Journal reported in 2009 that lawmaker trips abroad at taxpayer expense had included spas, $300-per-night extra unused rooms, and shopping excursions.[188] Lawmakers respond that "traveling with spouses compensates for being away from them a lot in Washington" and justify the trips as a way to meet officials in other nations.[188]
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1 (1789)
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Coordinates: 38°53′23″N 77°0′32″W / 38.88972°N 77.00889°W / 38.88972; -77.00889
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The United States Congress is the bicameral legislature of the federal government of the United States and consists of two chambers: the House of Representatives and the Senate. The Congress meets in the United States Capitol in Washington, D.C. Both senators and representatives are chosen through direct election, though vacancies in the Senate may be filled by a governor appointment. Congress has 535 voting members: 435 representatives and 100 senators. In addition, the House of Representatives currently has six non-voting members, bringing the total membership of the US Congress to 541[1] or fewer in the case of vacancies.
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The members of the House of Representatives serve two-year terms representing the people of a single constituency, known as a district. Congressional districts are apportioned to states by population using the United States Census results, provided that each state has at least one congressional representative. Each state, regardless of population or size, has two senators. Currently, there are 100 senators representing the 50 states. Each senator is elected at-large in their state for a six-year term, with terms staggered, so every two years approximately one-third of the Senate is up for election.
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Article One of the United States Constitution requires that members of Congress must be at least 25 years old (House) or 30 years old (Senate), have been a citizen of the United States for seven (House) or nine (Senate) years, and be an inhabitant of the state which they represent. A small number of senators in the 19th century were under 30 years old and therefore did not meet the constitutional age requirement.[2]
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The Congress was created by the Constitution of the United States and first met in 1789, replacing in its legislative function the Congress of the Confederation. Although not legally mandated, in practice since the 19th century, Congress members are typically affiliated with the Republican Party or with the Democratic Party and only rarely with a third party or independents.
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Article One of the United States Constitution states, "All legislative Powers herein granted shall be vested in a Congress of the United States, which shall consist of a Senate and House of Representatives." The House and Senate are equal partners in the legislative process—legislation cannot be enacted without the consent of both chambers. However, the Constitution grants each chamber some unique powers. The Senate ratifies treaties and approves presidential appointments while the House initiates revenue-raising bills. The House initiates impeachment cases, while the Senate decides impeachment cases.[3] A two-thirds vote of the Senate is required before an impeached person can be removed from office.[3]
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The term Congress can also refer to a particular meeting of the legislature. A Congress covers two years; the current one, the 116th Congress, began on January 3, 2019, and will end on January 3, 2021. The Congress starts and ends on the third day of January of every odd-numbered year. Members of the Senate are referred to as senators; members of the House of Representatives are referred to as representatives, congresswomen, or congressmen.
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Scholar and representative Lee H. Hamilton asserted that the "historic mission of Congress has been to maintain freedom" and insisted it was a "driving force in American government"[4] and a "remarkably resilient institution."[5] Congress is the "heart and soul of our democracy," according to this view,[6] even though legislators rarely achieve the prestige or name recognition of presidents or Supreme Court justices; one wrote that "legislators remain ghosts in America's historical imagination."[6] One analyst argues that it is not a solely reactive institution but has played an active role in shaping government policy and is extraordinarily sensitive to public pressure.[6] Several academics described Congress:
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Congress reflects us in all our strengths and all our weaknesses. It reflects our regional idiosyncrasies, our ethnic, religious, and racial diversity, our multitude of professions, and our shadings of opinion on everything from the value of war to the war over values. Congress is the government's most representative body ... Congress is essentially charged with reconciling our many points of view on the great public policy issues of the day.
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Congress is constantly changing and is constantly in flux.[7] In recent times, the American south and west have gained House seats according to demographic changes recorded by the census and includes more minorities and women although both groups are still underrepresented.[7] While power balances among the different parts of government continue to change, the internal structure of Congress is important to understand along with its interactions with so-called intermediary institutions such as political parties, civic associations, interest groups, and the mass media.[6]
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The Congress of the United States serves two distinct purposes that overlap: local representation to the federal government of a congressional district by representatives and a state's at-large representation to the federal government by senators.
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Most incumbents seek re-election, and their historical likelihood of winning subsequent elections exceeds 90 percent.[8]
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The historical records of the House of Representatives and the Senate are maintained by the Center for Legislative Archives, which is a part of the National Archives and Records Administration.[9]
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Congress is directly responsible for the governing of the District of Columbia, the current seat of the federal government.
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The First Continental Congress was a gathering of representatives from twelve of the thirteen colonies of North America.[10] On July 4, 1776, the Second Continental Congress adopted the Declaration of Independence, referring to the new nation as the "United States of America." The Articles of Confederation in 1781 created the Congress of the Confederation, a unicameral body with equal representation among the states in which each state had a veto over most decisions. Congress had executive but not legislative authority, and the federal judiciary was confined to admiralty.[11] and lacked authority to collect taxes, regulate commerce, or enforce laws.[12][13]
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Government powerlessness led to the Convention of 1787 which proposed a revised constitution with a two–chamber or bicameral congress.[14] Smaller states argued for equal representation for each state.[15] The two-chamber structure had functioned well in state governments.[16] A compromise plan, the Connecticut Compromise, was adopted with representatives chosen by population (benefiting larger states) and exactly two senators chosen by state governments (benefiting smaller states).[7][17] The ratified constitution created a federal structure with two overlapping power centers so that each citizen as an individual was subjected to both the power of state government and the national government.[18][19][20] To protect against abuse of power, each branch of government—executive, legislative, and judicial—had a separate sphere of authority and could check other branches according to the principle of the separation of powers.[3] Furthermore, there were checks and balances within the legislature since there were two separate chambers.[21] The new government became active in 1789.[3][22]
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Political scientist Julian E. Zelizer suggested there were four main congressional eras, with considerable overlap, and included the formative era (1780s–1820s), the partisan era (1830s–1900s), the committee era (1910s–1960s), and the contemporary era (1970s–today).[23]
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Federalists and anti-federalists jostled for power in the early years as political parties became pronounced, surprising the Constitution's Founding Fathers of the United States. With the passage of the Constitution and the Bill of Rights, the anti-federalist movement was exhausted. Some activists joined the Anti-Administration Party that James Madison and Thomas Jefferson were forming about 1790–91 to oppose policies of Treasury Secretary Alexander Hamilton; it soon became the Democratic-Republican Party or the Jeffersonian Republican Party[24] and began the era of the First Party System. Thomas Jefferson's election to the presidency marked a peaceful transition of power between the parties in 1800. John Marshall, 4th chief justice of the Supreme Court, empowered the courts by establishing the principle of judicial review in law in the landmark case Marbury v. Madison in 1803, effectively giving the Supreme Court a power to nullify congressional legislation.[25][26]
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These years were marked by growth in the power of political parties. The watershed event was the Civil War which resolved the slavery issue and unified the nation under federal authority, but weakened the power of states' rights. The Gilded Age (1877–1901) was marked by Republican dominance of Congress. During this time, lobbying activity became more intense, particularly during the administration of President Ulysses S. Grant in which influential lobbies advocated for railroad subsidies and tariffs on wool.[27] Immigration and high birth rates swelled the ranks of citizens and the nation grew at a rapid pace. The Progressive Era was characterized by strong party leadership in both houses of Congress as well as calls for reform; sometimes reformers would attack lobbyists as corrupting politics.[28] The position of Speaker of the House became extremely powerful under leaders such as Thomas Reed in 1890 and Joseph Gurney Cannon. The Senate was effectively controlled by a half dozen men.
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A system of seniority—in which long-time members of Congress gained more and more power—encouraged politicians of both parties to serve for long terms. Committee chairmen remained influential in both houses until the reforms of the 1970s.
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Important structural changes included the direct popular election of senators according to the Seventeenth Amendment,[17] ratified on April 8, 1913, with positive effects (senators more sensitive to public opinion) and negative effects (undermining the authority of state governments).[17] Supreme Court decisions based on the Constitution's commerce clause expanded congressional power to regulate the economy.[29] One effect of popular election of senators was to reduce the difference between the House and Senate in terms of their link to the electorate.[30] Lame duck reforms according to the Twentieth Amendment ended the power of defeated and retiring members of Congress to wield influence despite their lack of accountability.[31]
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The Great Depression ushered in President Franklin Roosevelt and strong control by Democrats[32] and historic New Deal policies. Roosevelt's election in 1932 marked a shift in government power towards the executive branch. Numerous New Deal initiatives came from the White House rather than being initiated by Congress.[33] The Democratic Party controlled both houses of Congress for many years.[34][35][36] During this time, Republicans and conservative southern Democrats[37] formed the Conservative Coalition.[36][38] Democrats maintained control of Congress during World War II.[39][40] Congress struggled with efficiency in the postwar era partly by reducing the number of standing congressional committees.[41] Southern Democrats became a powerful force in many influential committees although political power alternated between Republicans and Democrats during these years. More complex issues required greater specialization and expertise, such as space flight and atomic energy policy.[41] Senator Joseph McCarthy exploited the fear of communism during the Second Red Scare and conducted televised hearings.[42][43] In 1960, Democratic candidate John F. Kennedy narrowly won the presidency and power shifted again to the Democrats who dominated both houses of Congress until 1994.
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Congress enacted Johnson's Great Society program to fight poverty and hunger. The Watergate Scandal had a powerful effect of waking up a somewhat dormant Congress which investigated presidential wrongdoing and coverups; the scandal "substantially reshaped" relations between the branches of government, suggested political scientist Bruce J. Schulman.[45] Partisanship returned, particularly after 1994; one analyst attributes partisan infighting to slim congressional majorities which discouraged friendly social gatherings in meeting rooms such as the Board of Education.[6] Congress began reasserting its authority.[33][46] Lobbying became a big factor despite the 1971 Federal Election Campaign Act. Political action committees or PACs could make substantive donations to congressional candidates via such means as soft money contributions.[47] While soft money funds were not given to specific campaigns for candidates, the money often benefited candidates substantially in an indirect way and helped reelect candidates.[47] Reforms such as the 2002 Bipartisan Campaign Reform Act limited campaign donations but did not limit soft money contributions.[48] One source suggests post-Watergate laws amended in 1974 meant to reduce the "influence of wealthy contributors and end payoffs" instead "legitimized PACs" since they "enabled individuals to band together in support of candidates."[49] From 1974 to 1984, PACs grew from 608 to 3,803 and donations leaped from $12.5 million to $120 million[49][50][51] along with concern over PAC influence in Congress.[52][53] In 2009, there were 4,600 business, labor and special-interest PACs[54] including ones for lawyers, electricians, and real estate brokers.[55] From 2007 to 2008, 175 members of Congress received "half or more of their campaign cash" from PACs.[54][56][57]
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From 1970 to 2009, the House expanded delegates, along with their powers and privileges representing U.S. citizens in non-state areas, beginning with representation on committees for Puerto Rico's resident commissioner in 1970. In 1971, a delegate for the District of Columbia was authorized, and in 1972 new delegate positions were established for U.S. Virgin Islands and Guam. 1978 saw an additional delegate for American Samoa, and another for the Commonwealth of the Northern Mariana Islands began in 2009. These six members of Congress enjoy floor privileges to introduce bills and resolutions, and in recent congresses they vote in permanent and select committees, in party caucuses and in joint conferences with the Senate. They have Capitol Hill offices, staff and two annual appointments to each of the four military academies. While their votes are constitutional when Congress authorizes their House Committee of the Whole votes, recent Congresses have not allowed for that, and they cannot vote when the House is meeting as the House of Representatives.[58]
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In the late 20th century, the media became more important in Congress's work.[59] Analyst Michael Schudson suggested that greater publicity undermined the power of political parties and caused "more roads to open up in Congress for individual representatives to influence decisions."[59] Norman Ornstein suggested that media prominence led to a greater emphasis on the negative and sensational side of Congress, and referred to this as the tabloidization of media coverage.[7] Others saw pressure to squeeze a political position into a thirty-second soundbite.[60] A report characterized Congress in 2013 as being unproductive, gridlocked, and "setting records for futility."[61] In October 2013, with Congress unable to compromise, the government was shut down for several weeks and risked a serious default on debt payments, causing 60% of the public to say they would "fire every member of Congress" including their own representative.[62] One report suggested Congress posed the "biggest risk to the US economy" because of its brinksmanship, "down-to-the-wire budget and debt crises" and "indiscriminate spending cuts," resulting in slowed economic activity and keeping up to two million people unemployed.[63] There has been increasing public dissatisfaction with Congress,[64] with extremely low approval ratings[65][66] which dropped to 5% in October 2013.[67]
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Article I of the Constitution creates and sets forth the structure and most of the powers of Congress. Sections One through Six describe how Congress is elected and gives each House the power to create its own structure. Section Seven lays out the process for creating laws, and Section Eight enumerates numerous powers. Section Nine is a list of powers Congress does not have, and Section Ten enumerates powers of the state, some of which may only be granted by Congress.[68] Constitutional amendments have granted Congress additional powers. Congress also has implied powers derived from the Constitution's Necessary and Proper Clause.
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Congress has authority over financial and budgetary policy through the enumerated power to "lay and collect Taxes, Duties, Imposts and Excises, to pay the Debts and provide for the common Defence and general Welfare of the United States." There is vast authority over budgets, although analyst Eric Patashnik suggested that much of Congress's power to manage the budget has been lost when the welfare state expanded since "entitlements were institutionally detached from Congress's ordinary legislative routine and rhythm."[69] Another factor leading to less control over the budget was a Keynesian belief that balanced budgets were unnecessary.[69]
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The Sixteenth Amendment in 1913 extended congressional power of taxation to include income taxes without apportionment among the several States, and without regard to any census or enumeration.[70] The Constitution also grants Congress the exclusive power to appropriate funds, and this power of the purse is one of Congress's primary checks on the executive branch.[70] Congress can borrow money on the credit of the United States, regulate commerce with foreign nations and among the states, and coin money.[71] Generally, both the Senate and the House of Representatives have equal legislative authority, although only the House may originate revenue and appropriation bills.[3]
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Congress has an important role in national defense, including the exclusive power to declare war, to raise and maintain the armed forces, and to make rules for the military.[72] Some critics charge that the executive branch has usurped Congress's constitutionally defined task of declaring war.[73] While historically presidents initiated the process for going to war, they asked for and received formal war declarations from Congress for the War of 1812, the Mexican–American War, the Spanish–American War, World War I, and World War II,[74] although President Theodore Roosevelt's military move into Panama in 1903 did not get congressional approval.[74] In the early days after the North Korean invasion of 1950, President Truman described the American response as a "police action."[75] According to Time magazine in 1970, "U.S. presidents [had] ordered troops into position or action without a formal congressional declaration a total of 149 times."[74] In 1993, Michael Kinsley wrote that "Congress's war power has become the most flagrantly disregarded provision in the Constitution," and that the "real erosion [of Congress's war power] began after World War II."[76][77][78] Disagreement about the extent of congressional versus presidential power regarding war has been present periodically throughout the nation's history.[79]
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Congress can establish post offices and post roads, issue patents and copyrights, fix standards of weights and measures, establish Courts inferior to the Supreme Court, and "make all Laws which shall be necessary and proper for carrying into Execution the foregoing Powers, and all other Powers vested by this Constitution in the Government of the United States, or in any Department or Officer thereof." Article Four gives Congress the power to admit new states into the Union.
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One of Congress's foremost non-legislative functions is the power to investigate and oversee the executive branch.[80] Congressional oversight is usually delegated to committees and is facilitated by Congress's subpoena power.[81] Some critics have charged that Congress has in some instances failed to do an adequate job of overseeing the other branches of government. In the Plame affair, critics including Representative Henry A. Waxman charged that Congress was not doing an adequate job of oversight in this case.[82] There have been concerns about congressional oversight of executive actions such as warrantless wiretapping, although others respond that Congress did investigate the legality of presidential decisions.[83] Political scientists Ornstein and Mann suggested that oversight functions do not help members of Congress win reelection. Congress also has the exclusive power of removal, allowing impeachment and removal of the president, federal judges and other federal officers.[84] There have been charges that presidents acting under the doctrine of the unitary executive have assumed important legislative and budgetary powers that should belong to Congress.[85] So-called signing statements are one way in which a president can "tip the balance of power between Congress and the White House a little more in favor of the executive branch," according to one account.[86] Past presidents, including Ronald Reagan, George H. W. Bush, Bill Clinton, and George W. Bush,[87] have made public statements when signing congressional legislation about how they understand a bill or plan to execute it, and commentators, including the American Bar Association, have described this practice as against the spirit of the Constitution.[88][89] There have been concerns that presidential authority to cope with financial crises is eclipsing the power of Congress.[90] In 2008, George F. Will called the Capitol building a "tomb for the antiquated idea that the legislative branch matters."[91]
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The Constitution enumerates the powers of Congress in detail. In addition, other congressional powers have been granted, or confirmed, by constitutional amendments. The Thirteenth (1865), Fourteenth (1868), and Fifteenth Amendments (1870) gave Congress authority to enact legislation to enforce rights of African Americans, including voting rights, due process, and equal protection under the law.[92] Generally militia forces are controlled by state governments, not Congress.[93]
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Congress also has implied powers deriving from the Constitution's Necessary and Proper Clause which permit Congress to "make all Laws which shall be necessary and proper for carrying into Execution the foregoing Powers, and all other Powers vested by this Constitution in the Government of the United States, or in any Department or Officer thereof."[94] Broad interpretations of this clause and of the Commerce Clause, the enumerated power to regulate commerce, in rulings such as McCulloch v. Maryland, have effectively widened the scope of Congress's legislative authority far beyond that prescribed in Section Eight.[95][96]
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Constitutional responsibility for the oversight of Washington, D.C., the federal district and national capital, and the U.S. territories of Guam, American Samoa, Puerto Rico, the U.S. Virgin Islands, and the Northern Mariana Islands rests with Congress.[97] The republican form of government in territories is devolved by Congressional statute to the respective territories including direct election of governors, the D.C. mayor and locally elective territorial legislatures.[98]
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Each territory and Washington, D.C., elect a non-voting delegate to the U.S. House of Representatives as they have throughout Congressional history. They "possess the same powers as other members of the House, except that they may not vote when the House is meeting as the House of Representatives." They are assigned offices and allowances for staff, participate in debate, and appoint constituents to the four military service academies for the Army, Navy, Air Force and Coast Guard.[99]
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Washington, D.C., citizens alone among U.S. territories have the right to directly vote for the President of the United States, although the Democratic and Republican political parties nominate their presidential candidates at national conventions which include delegates from the five major territories.[100]
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Representative Lee H. Hamilton explained how Congress functions within the federal government:
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To me the key to understanding it is balance. The founders went to great lengths to balance institutions against each other—balancing powers among the three branches: Congress, the president, and the Supreme Court; between the House of Representatives and the Senate; between the federal government and the states; among states of different sizes and regions with different interests; between the powers of government and the rights of citizens, as spelled out in the Bill of Rights ... No one part of government dominates the other.[4]:6
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The Constitution provides checks and balances among the three branches of the federal government. Its authors expected the greater power to lie with Congress as described in Article One.[4][101]
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The influence of Congress on the presidency has varied from period to period depending on factors such as congressional leadership, presidential political influence, historical circumstances such as war, and individual initiative by members of Congress. The impeachment of Andrew Johnson made the presidency less powerful than Congress for a considerable period afterwards.[102] The 20th and 21st centuries have seen the rise of presidential power under politicians such as Theodore Roosevelt, Woodrow Wilson, Franklin D. Roosevelt, Richard Nixon, Ronald Reagan, and George W. Bush.[103] However, in recent years, Congress has restricted presidential power with laws such as the Congressional Budget and Impoundment Control Act of 1974 and the War Powers Resolution. Nevertheless, the Presidency remains considerably more powerful today than during the 19th century.[4][103] Executive branch officials are often loath to reveal sensitive information to members of Congress because of concern that information could not be kept secret; in return, knowing they may be in the dark about executive branch activity, congressional officials are more likely to distrust their counterparts in executive agencies.[104] Many government actions require fast coordinated effort by many agencies, and this is a task that Congress is ill-suited for. Congress is slow, open, divided, and not well matched to handle more rapid executive action or do a good job of overseeing such activity, according to one analysis.[105]
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The Constitution concentrates removal powers in the Congress by empowering and obligating the House of Representatives to impeach both executive and judicial officials for "Treason, Bribery, or other high Crimes and Misdemeanors." Impeachment is a formal accusation of unlawful activity by a civil officer or government official. The Senate is constitutionally empowered and obligated to try all impeachments. A simple majority in the House is required to impeach an official; however, a two-thirds majority in the Senate is required for conviction. A convicted official is automatically removed from office; in addition, the Senate may stipulate that the defendant be banned from holding office in the future. Impeachment proceedings may not inflict more than this; however, a convicted party may face criminal penalties in a normal court of law. In the history of the United States, the House of Representatives has impeached sixteen officials, of whom seven were convicted. Another resigned before the Senate could complete the trial. Only three presidents have ever been impeached: Andrew Johnson in 1868, Bill Clinton in 1999, and Donald Trump in 2019. All three trials ended in acquittal; in Johnson's case, the Senate fell one vote short of the two-thirds majority required for conviction. In 1974, Richard Nixon resigned from office after impeachment proceedings in the House Judiciary Committee indicated he would eventually be removed from office.
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The Senate has an important check on the executive power by confirming Cabinet officials, judges, and other high officers "by and with the Advice and Consent of the Senate." It confirms most presidential nominees but rejections are not uncommon. Furthermore, treaties negotiated by the President must be ratified by a two-thirds majority vote in the Senate to take effect. As a result, presidential arm-twisting of senators can happen before a key vote; for example, President Obama's secretary of state, Hillary Clinton, urged her former senate colleagues to approve a nuclear arms treaty with Russia in 2010.[106] The House of Representatives has no formal role in either the ratification of treaties or the appointment of federal officials, other than in filling a vacancy in the office of the vice president; in such a case, a majority vote in each House is required to confirm a president's nomination of a vice president.[3]
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86 |
+
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+
In 1803, the Supreme Court established judicial review of federal legislation in Marbury v. Madison, holding, however, that Congress could not grant unconstitutional power to the Court itself. The Constitution does not explicitly state that the courts may exercise judicial review; however, the notion that courts could declare laws unconstitutional was envisioned by the founding fathers. Alexander Hamilton, for example, mentioned and expounded upon the doctrine in Federalist No. 78. Originalists on the Supreme Court have argued that if the constitution does not say something explicitly it is unconstitutional to infer what it should, might or could have said.[107] Judicial review means that the Supreme Court can nullify a congressional law. It is a huge check by the courts on the legislative authority and limits congressional power substantially. In 1857, for example, the Supreme Court struck down provisions of a congressional act of 1820 in its Dred Scott decision.[108] At the same time, the Supreme Court can extend congressional power through its constitutional interpretations.
|
88 |
+
|
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+
The congressional inquiry into St. Clair's Defeat of 1791 was the first congressional investigation of the executive branch.[109] Investigations are conducted to gather information on the need for future legislation, to test the effectiveness of laws already passed, and to inquire into the qualifications and performance of members and officials of the other branches. Committees may hold hearings, and, if necessary, compel individuals to testify when investigating issues over which it has the power to legislate by issuing subpoenas.[110][111] Witnesses who refuse to testify may be cited for contempt of Congress, and those who testify falsely may be charged with perjury. Most committee hearings are open to the public (the House and Senate intelligence committees are the exception); important hearings are widely reported in the mass media and transcripts published a few months afterwards.[111] Congress, in the course of studying possible laws and investigating matters, generates an incredible amount of information in various forms, and can be described as a publisher.[112] Indeed, it publishes House and Senate reports[112] and maintains databases which are updated irregularly with publications in a variety of electronic formats.[112]
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90 |
+
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+
Congress also plays a role in presidential elections. Both Houses meet in joint session on the sixth day of January following a presidential election to count the electoral votes, and there are procedures to follow if no candidate wins a majority.[3]
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92 |
+
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+
The main result of congressional activity is the creation of laws,[113] most of which are contained in the United States Code, arranged by subject matter alphabetically under fifty title headings to present the laws "in a concise and usable form."[3]
|
94 |
+
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+
Congress is split into two chambers—House and Senate—and manages the task of writing national legislation by dividing work into separate committees which specialize in different areas. Some members of Congress are elected by their peers to be officers of these committees. Further, Congress has ancillary organizations such as the Government Accountability Office and the Library of Congress to help provide it with information, and members of Congress have staff and offices to assist them as well. In addition, a vast industry of lobbyists helps members write legislation on behalf of diverse corporate and labor interests.
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96 |
+
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+
The committee structure permits members of Congress to study a particular subject intensely. It is neither expected nor possible that a member be an expert on all subject areas before Congress.[114] As time goes by, members develop expertise in particular subjects and their legal aspects. Committees investigate specialized subjects and advise the entire Congress about choices and trade-offs. The choice of specialty may be influenced by the member's constituency, important regional issues, prior background and experience.[115] Senators often choose a different specialty from that of the other senator from their state to prevent overlap.[116] Some committees specialize in running the business of other committees and exert a powerful influence over all legislation; for example, the House Ways and Means Committee has considerable influence over House affairs.[117]
|
98 |
+
|
99 |
+
Committees write legislation. While procedures, such as the House discharge petition process, can introduce bills to the House floor and effectively bypass committee input, yet they are exceedingly difficult to implement without committee action. Committees have power and have been called independent fiefdoms. Legislative, oversight, and internal administrative tasks are divided among about two hundred committees and subcommittees which gather information, evaluate alternatives, and identify problems.[118] They propose solutions for consideration by the full chamber.[118] In addition, they perform the function of oversight by monitoring the executive branch and investigating wrongdoing.[118]
|
100 |
+
|
101 |
+
At the start of each two-year session the House elects a speaker who does not normally preside over debates but serves as the majority party's leader. In the Senate, the vice president is the ex officio president of the Senate. In addition, the Senate elects an officer called the president pro tempore. Pro tempore means for the time being and this office is usually held by the most senior member of the Senate's majority party and customarily keeps this position until there is a change in party control. Accordingly, the Senate does not necessarily elect a new president pro tempore at the beginning of a new Congress. In both the House and Senate, the actual presiding officer is generally a junior member of the majority party who is appointed so that new members become acquainted with the rules of the chamber.
|
102 |
+
|
103 |
+
The Library of Congress was established by an act of Congress in 1800. It is primarily housed in three buildings on Capitol Hill, but also includes several other sites: the National Library Service for the Blind and Physically Handicapped in Washington, D.C.; the National Audio-Visual Conservation Center in Culpeper, Virginia; a large book storage facility located at Ft. Meade, Maryland; and multiple overseas offices. The Library had mostly law books when it was burned by a British raiding party during the War of 1812, but the library's collections were restored and expanded when Congress authorized the purchase of Thomas Jefferson's private library. One of the library's missions is to serve the Congress and its staff as well as the American public. It is the largest library in the world with nearly 150 million items including books, films, maps, photographs, music, manuscripts, graphics, and materials in 470 languages.[119]
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+
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105 |
+
The Congressional Research Service, part of the Library of Congress, provides detailed, up-to-date and non-partisan research for senators, representatives, and their staff to help them carry out their official duties. It provides ideas for legislation, helps members analyze a bill, facilitates public hearings, makes reports, consults on matters such as parliamentary procedure, and helps the two chambers resolve disagreements. It has been called the "House's think tank" and has a staff of about 900 employees.[120]
|
106 |
+
|
107 |
+
The Congressional Budget Office or CBO is a federal agency which provides economic data to Congress.[121]
|
108 |
+
|
109 |
+
It was created as an independent non-partisan agency by the Congressional Budget and Impoundment Control Act of 1974. It helps Congress estimate revenue inflows from taxes and helps the budgeting process. It makes projections about such matters as the national debt[122] as well as likely costs of legislation. It prepares an annual Economic and Budget Outlook with a mid-year update and writes An Analysis of the President's Budgetary Proposals for the Senate's Appropriations Committee. The speaker of the House and the Senate's president pro tempore jointly appoint the CBO director for a four-year term.
|
110 |
+
|
111 |
+
Lobbyists represent diverse interests and often seek to influence congressional decisions to reflect their clients' needs. Lobby groups and their members sometimes write legislation and whip bills. In 2007, there were approximately 17,000 federal lobbyists in Washington, D.C.[123] They explain to legislators the goals of their organizations. Some lobbyists represent non-profit organizations and work pro bono for issues in which they are personally interested.
|
112 |
+
|
113 |
+
Congress has alternated between periods of constructive cooperation and compromise between parties, known as bipartisanship, and periods of deep political polarization and fierce infighting, known as partisanship. The period after the Civil War was marked by partisanship, as is the case today. It is generally easier for committees to reach accord on issues when compromise is possible. Some political scientists speculate that a prolonged period marked by narrow majorities in both chambers of Congress has intensified partisanship in the last few decades, but that an alternation of control of Congress between Democrats and Republicans may lead to greater flexibility in policies, as well as pragmatism and civility within the institution.[124]
|
114 |
+
|
115 |
+
A term of Congress is divided into two "sessions," one for each year; Congress has occasionally been called into an extra or special session. A new session commences on January 3 each year, unless Congress decides differently. The Constitution requires Congress meet at least once each year and forbids either house from meeting outside the Capitol without the consent of the other house.
|
116 |
+
|
117 |
+
Joint sessions of the United States Congress occur on special occasions that require a concurrent resolution from both House and Senate. These sessions include counting electoral votes after a presidential election and the president's State of the Union address. The constitutionally mandated report, normally given as an annual speech, is modeled on Britain's Speech from the Throne, was written by most presidents after Jefferson but personally delivered as a spoken oration beginning with Wilson in 1913. Joint Sessions and Joint Meetings are traditionally presided over by the speaker of the House, except when counting presidential electoral votes when the vice president (acting as the president of the Senate) presides.
|
118 |
+
|
119 |
+
Ideas for legislation can come from members, lobbyists, state legislatures, constituents, legislative counsel, or executive agencies. Anyone can write a bill, but only members of Congress may introduce bills. Most bills are not written by Congress members, but originate from the Executive branch; interest groups often draft bills as well. The usual next step is for the proposal to be passed to a committee for review.[3] A proposal is usually in one of these forms:
|
120 |
+
|
121 |
+
Representatives introduce a bill while the House is in session by placing it in the hopper on the Clerk's desk.[113] It is assigned a number and referred to a committee which studies each bill intensely at this stage.[113] Drafting statutes requires "great skill, knowledge, and experience" and sometimes take a year or more.[3] Sometimes lobbyists write legislation and submit it to a member for introduction. Joint resolutions are the normal way to propose a constitutional amendment or declare war. On the other hand, concurrent resolutions (passed by both houses) and simple resolutions (passed by only one house) do not have the force of law but express the opinion of Congress or regulate procedure. Bills may be introduced by any member of either house. However, the Constitution states, "All Bills for raising Revenue shall originate in the House of Representatives." While the Senate cannot originate revenue and appropriation bills, it has power to amend or reject them. Congress has sought ways to establish appropriate spending levels.[3]
|
122 |
+
|
123 |
+
Each chamber determines its own internal rules of operation unless specified in the Constitution or prescribed by law. In the House, a Rules Committee guides legislation; in the Senate, a Standing Rules committee is in charge. Each branch has its own traditions; for example, the Senate relies heavily on the practice of getting "unanimous consent" for noncontroversial matters.[3] House and Senate rules can be complex, sometimes requiring a hundred specific steps before a bill can become a law.[4] Members sometimes turn to outside experts to learn about proper Congressional procedures.[125]
|
124 |
+
|
125 |
+
Each bill goes through several stages in each house including consideration by a committee and advice from the Government Accountability Office.[3] Most legislation is considered by standing committees which have jurisdiction over a particular subject such as Agriculture or Appropriations. The House has twenty standing committees; the Senate has sixteen. Standing committees meet at least once each month.[3] Almost all standing committee meetings for transacting business must be open to the public unless the committee votes, publicly, to close the meeting.[3] A committee might call for public hearings on important bills.[3] Each committee is led by a chair who belongs to the majority party and a ranking member of the minority party. Witnesses and experts can present their case for or against a bill.[113] Then, a bill may go to what is called a mark-up session, where committee members debate the bill's merits and may offer amendments or revisions.[113] Committees may also amend the bill, but the full house holds the power to accept or reject committee amendments. After debate, the committee votes whether it wishes to report the measure to the full house. If a bill is tabled then it is rejected. If amendments are extensive, sometimes a new bill with amendments built in will be submitted as a so-called clean bill with a new number.[113] Both houses have procedures under which committees can be bypassed or overruled but they are rarely used. Generally, members who have been in Congress longer have greater seniority and therefore greater power.[126]
|
126 |
+
|
127 |
+
A bill which reaches the floor of the full house can be simple or complex[113] and begins with an enacting formula such as "Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled." Consideration of a bill requires, itself, a rule which is a simple resolution specifying the particulars of debate—time limits, possibility of further amendments, and such.[113] Each side has equal time and members can yield to other members who wish to speak.[113] Sometimes opponents seek to recommit a bill which means to change part of it.[113] Generally, discussion requires a quorum, usually half of the total number of representatives, before discussion can begin, although there are exceptions.[127] The house may debate and amend the bill; the precise procedures used by the House and Senate differ. A final vote on the bill follows.
|
128 |
+
|
129 |
+
Once a bill is approved by one house, it is sent to the other which may pass, reject, or amend it. For the bill to become law, both houses must agree to identical versions of the bill.[113] If the second house amends the bill, then the differences between the two versions must be reconciled in a conference committee, an ad hoc committee that includes both senators and representatives[113] sometimes by using a reconciliation process to limit budget bills.[3] Both houses use a budget enforcement mechanism informally known as pay-as-you-go or paygo which discourages members from considering acts which increase budget deficits.[3] If both houses agree to the version reported by the conference committee, the bill passes, otherwise it fails.
|
130 |
+
|
131 |
+
The Constitution specifies that a majority of members, known as a quorum, be present before doing business in each house. However, the rules of each house assume that a quorum is present unless a quorum call demonstrates the contrary and debate often continues despite the lack of a majority.
|
132 |
+
|
133 |
+
Voting within Congress can take many forms, including systems using lights and bells and electronic voting.[3] Both houses use voice voting to decide most matters in which members shout "aye" or "no" and the presiding officer announces the result. The Constitution, however, requires a recorded vote if demanded by one-fifth of the members present or when voting to override a presidential veto. If the voice vote is unclear or if the matter is controversial, a recorded vote usually happens. The Senate uses roll-call voting, in which a clerk calls out the names of all the senators, each senator stating "aye" or "no" when their name is announced. In the Senate, the Vice President may cast the tie-breaking vote if present when the Senators are equally divided.
|
134 |
+
|
135 |
+
The House reserves roll-call votes for the most formal matters, as a roll call of all 435 representatives takes quite some time; normally, members vote by using an electronic device. In the case of a tie, the motion in question fails. Most votes in the House are done electronically, allowing members to vote yea or nay or present or open.[3] Members insert a voting ID card and can change their votes during the last five minutes if they choose; in addition, paper ballots are used on some occasions—yea indicated by green and nay by red.[3] One member cannot cast a proxy vote for another.[3] Congressional votes are recorded on an online database.[128][129]
|
136 |
+
|
137 |
+
After passage by both houses, a bill is enrolled and sent to the president for approval.[113] The president may sign it making it law or veto it, perhaps returning it to Congress with the president's objections. A vetoed bill can still become law if each house of Congress votes to override the veto with a two-thirds majority. Finally, the president may do nothing—neither signing nor vetoing the bill—and then the bill becomes law automatically after ten days (not counting Sundays) according to the Constitution. But if Congress is adjourned during this period, presidents may veto legislation passed at the end of a congressional session simply by ignoring it; the maneuver is known as a pocket veto, and cannot be overridden by the adjourned Congress.
|
138 |
+
|
139 |
+
Senators face reelection every six years, and representatives every two. Reelections encourage candidates to focus their publicity efforts at their home states or districts.[59] Running for reelection can be a grueling process of distant travel and fund-raising which distracts senators and representatives from paying attention to governing, according to some critics.[130] Although others respond that the process is necessary to keep members of Congress in touch with voters.
|
140 |
+
|
141 |
+
Nevertheless, incumbent members of Congress running for reelection have strong advantages over challengers.[47] They raise more money[52] because donors fund incumbents over challengers, perceiving the former as more likely to win,[50][131] and donations are vital for winning elections.[132] One critic compared being elected to Congress to receiving life tenure at a university.[131] Another advantage for representatives is the practice of gerrymandering.[133][134] After each ten-year census, states are allocated representatives based on population, and officials in power can choose how to draw the congressional district boundaries to support candidates from their party. As a result, reelection rates of members of Congress hover around 90 percent,[8] causing some critics to accuse them of being a privileged class.[7] Academics such as Princeton's Stephen Macedo have proposed solutions to fix gerrymandering in the U.S. Both senators and representatives enjoy free mailing privileges, called franking privileges; while these are not intended for electioneering, this rule is often skirted by borderline election-related mailings during campaigns.
|
142 |
+
|
143 |
+
In 1971, the cost of running for Congress in Utah was $70,000[135] but costs have climbed.[136] The biggest expense is television advertisements.[51][131][135][137][138] Today's races cost more than a million dollars for a House seat, and six million or more for a Senate seat.[7][51][137][139][140] Since fundraising is vital, "members of Congress are forced to spend ever-increasing hours raising money for their re-election."[attribution needed][141]
|
144 |
+
|
145 |
+
Nevertheless, the Supreme Court has treated campaign contributions as a free speech issue.[136] Some see money as a good influence in politics since it "enables candidates to communicate with voters."[136] Few members retire from Congress without complaining about how much it costs to campaign for reelection.[7] Critics contend that members of Congress are more likely to attend to the needs of heavy campaign contributors than to ordinary citizens.[7]
|
146 |
+
|
147 |
+
Elections are influenced by many variables. Some political scientists speculate there is a coattail effect (when a popular president or party position has the effect of reelecting incumbents who win by "riding on the president's coattails"), although there is some evidence that the coattail effect is irregular and possibly declining since the 1950s.[47] Some districts are so heavily Democratic or Republican that they are called a safe seat; any candidate winning the primary will almost always be elected, and these candidates do not need to spend money on advertising.[142][143] But some races can be competitive when there is no incumbent. If a seat becomes vacant in an open district, then both parties may spend heavily on advertising in these races; in California in 1992, only four of twenty races for House seats were considered highly competitive.[144]
|
148 |
+
|
149 |
+
Since members of Congress must advertise heavily on television, this usually involves negative advertising, which smears an opponent's character without focusing on the issues.[145] Negative advertising is seen as effective because "the messages tend to stick."[146] However, these advertisements sour the public on the political process in general as most members of Congress seek to avoid blame.[147] One wrong decision or one damaging television image can mean defeat at the next election, which leads to a culture of risk avoidance, a need to make policy decisions behind closed doors,[147][148] and concentrating publicity efforts in the members' home districts.[59]
|
150 |
+
|
151 |
+
Prominent Founding Fathers writing in The Federalist Papers felt that elections were essential to liberty, that a bond between the people and the representatives was particularly essential,[149] and that "frequent elections are unquestionably the only policy by which this dependence and sympathy can be effectually secured."[149] In 2009, however, few Americans were familiar with leaders of Congress.[150][151][152] The percentage of Americans eligible to vote who did, in fact, vote was 63% in 1960, but has been falling since, although there was a slight upward trend in the 2008 election.[153] Public opinion polls asking people if they approve of the job Congress is doing have, in the last few decades, hovered around 25% with some variation.[7][154][155][156][157][158][159] Scholar Julian Zeliger suggested that the "size, messiness, virtues, and vices that make Congress so interesting also create enormous barriers to our understanding the institution ... Unlike the presidency, Congress is difficult to conceptualize."[160] Other scholars suggest that despite the criticism, "Congress is a remarkably resilient institution ... its place in the political process is not threatened ... it is rich in resources" and that most members behave ethically.[5] They contend that "Congress is easy to dislike and often difficult to defend" and this perception is exacerbated because many challengers running for Congress run against Congress, which is an "old form of American politics" that further undermines Congress's reputation with the public:[7]
|
152 |
+
|
153 |
+
The rough-and-tumble world of legislating is not orderly and civil, human frailties too often taint its membership, and legislative outcomes are often frustrating and ineffective ... Still, we are not exaggerating when we say that Congress is essential to American democracy. We would not have survived as a nation without a Congress that represented the diverse interests of our society, conducted a public debate on the major issues, found compromises to resolve conflicts peacefully, and limited the power of our executive, military, and judicial institutions ... The popularity of Congress ebbs and flows with the public's confidence in government generally ... the legislative process is easy to dislike—it often generates political posturing and grandstanding, it necessarily involves compromise, and it often leaves broken promises in its trail. Also, members of Congress often appear self-serving as they pursue their political careers and represent interests and reflect values that are controversial. Scandals, even when they involve a single member, add to the public's frustration with Congress and have contributed to the institution's low ratings in opinion polls.
|
154 |
+
|
155 |
+
An additional factor that confounds public perceptions of Congress is that congressional issues are becoming more technical and complex and require expertise in subjects such as science, engineering and economics.[7] As a result, Congress often cedes authority to experts at the executive branch.[7]
|
156 |
+
|
157 |
+
Since 2006, Congress has dropped 10 points in the Gallup confidence poll with only 9% having "a great deal" or "quite a lot" of confidence in their legislators.[161] Since 2011, Gallup poll has reported Congress's approval rating among Americans at 10% or below three times.[65][66] Public opinion of Congress plummeted further to 5% in October 2013 after parts of the U.S. government deemed 'nonessential government' shut down.[67]
|
158 |
+
|
159 |
+
When the Constitution was ratified in 1787, the ratio of the populations of large states to small states was roughly twelve to one. The Connecticut Compromise gave every state, large and small, an equal vote in the Senate.[162] Since each state has two senators, residents of smaller states have more clout in the Senate than residents of larger states. But since 1787, the population disparity between large and small states has grown; in 2006, for example, California had seventy times the population of Wyoming.[163] Critics, such as constitutional scholar Sanford Levinson, have suggested that the population disparity works against residents of large states and causes a steady redistribution of resources from "large states to small states."[164][165][166] However, others argue that the Connecticut Compromise was deliberately intended by the Founding Fathers to construct the Senate so that each state had equal footing not based on population,[162] and contend that the result works well on balance.
|
160 |
+
|
161 |
+
A major role for members of Congress is providing services to constituents.[167] Constituents request assistance with problems.[168] Providing services helps members of Congress win votes and elections[133][169][170] and can make a difference in close races.[171] Congressional staff can help citizens navigate government bureaucracies.[4] One academic described the complex intertwined relation between lawmakers and constituents as home style.[172]:8
|
162 |
+
|
163 |
+
One way to categorize lawmakers, according to political scientist Richard Fenno, is by their general motivation:
|
164 |
+
|
165 |
+
Members of Congress enjoy parliamentary privilege, including freedom from arrest in all cases except for treason, felony, and breach of the peace, and freedom of speech in debate. This constitutionally derived immunity applies to members during sessions and when traveling to and from sessions.[173] The term arrest has been interpreted broadly, and includes any detention or delay in the course of law enforcement, including court summons and subpoenas. The rules of the House strictly guard this privilege; a member may not waive the privilege on their own, but must seek the permission of the whole house to do so. Senate rules, however, are less strict and permit individual senators to waive the privilege as they choose.
|
166 |
+
|
167 |
+
The Constitution guarantees absolute freedom of debate in both houses, providing in the Speech or Debate Clause of the Constitution that "for any Speech or Debate in either House, they shall not be questioned in any other Place." Accordingly, a member of Congress may not be sued in court for slander because of remarks made in either house, although each house has its own rules restricting offensive speeches, and may punish members who transgress.
|
168 |
+
|
169 |
+
Obstructing the work of Congress is a crime under federal law and is known as contempt of Congress. Each member has the power to cite individuals for contempt but can only issue a contempt citation—the judicial system pursues the matter like a normal criminal case. If convicted in court, an individual found guilty of contempt of Congress may be imprisoned for up to one year.[citation needed]
|
170 |
+
|
171 |
+
The franking privilege allows members of Congress to send official mail to constituents at government expense. Though they are not permitted to send election materials, borderline material is often sent, especially in the run-up to an election by those in close races.[174][175] Indeed, some academics consider free mailings as giving incumbents a big advantage over challengers.[8][failed verification][176]
|
172 |
+
|
173 |
+
From 1789 to 1815, members of Congress received only a daily payment of $6 while in session. Members received an annual salary of $1,500 per year from 1815 to 1817, then a per diem salary of $8 from 1818 to 1855; since then they have received an annual salary, first pegged in 1855 at $3,000.[177][178] In 1907, salaries were raised to $7,500 per year, the equivalent of $173,000 in 2010.[178] In 2006, members of Congress received a yearly salary of $165,200.[178] Congressional leaders were paid $183,500 per year. The Speaker of the House of Representatives earns $212,100 annually. The salary of the President pro tempore for 2006 was $183,500, equal to that of the majority and minority leaders of the House and Senate.[179] Privileges include having an office and paid staff.[126] In 2008, non-officer members of Congress earned $169,300 annually.[154] Some critics complain congressional pay is high compared with a median American income of $45,113 for men and $35,102 for women.[180] Others have countered that congressional pay is consistent with other branches of government.[154] Another criticism is that members of Congress have access to free or low-cost medical care in the Washington, D.C., area. The petition, "Remove health-care subsidies for Members of Congress and their families," garnered over 1,077,000 signatures on the website Change.org.[181] In January 2014, it was reported that for the first time over half of the members of Congress were millionaires.[182] Congress has been criticized for trying to conceal pay raises by slipping them into a large bill at the last minute.[183] Others have criticized the wealth of members of Congress.[135][138] Representative Jim Cooper of Tennessee told Harvard professor Lawrence Lessig that a chief problem with Congress was that members focused on lucrative careers as lobbyists after serving––that Congress was a "Farm League for K Street"––instead of on public service.[184][185]
|
174 |
+
|
175 |
+
Members elected since 1984 are covered by the Federal Employees Retirement System (FERS). Like other federal employees, congressional retirement is funded through taxes and participants' contributions. Members of Congress under FERS contribute 1.3% of their salary into the FERS retirement plan and pay 6.2% of their salary in Social Security taxes. And like federal employees, members contribute one-third of the cost of health insurance with the government covering the other two-thirds.[186]
|
176 |
+
|
177 |
+
The size of a congressional pension depends on the years of service and the average of the highest three years of their salary. By law, the starting amount of a member's retirement annuity may not exceed 80% of their final salary. In 2006, the average annual pension for retired senators and representatives under the Civil Service Retirement System (CSRS) was $60,972, while those who retired under FERS, or in combination with CSRS, was $35,952.[187]
|
178 |
+
|
179 |
+
Members of Congress make fact-finding missions to learn about other countries and stay informed, but these outings can cause controversy if the trip is deemed excessive or unconnected with the task of governing. For example, the Wall Street Journal reported in 2009 that lawmaker trips abroad at taxpayer expense had included spas, $300-per-night extra unused rooms, and shopping excursions.[188] Lawmakers respond that "traveling with spouses compensates for being away from them a lot in Washington" and justify the trips as a way to meet officials in other nations.[188]
|
180 |
+
|
181 |
+
1 (1789)
|
182 |
+
2 (1791)
|
183 |
+
3 (1793)
|
184 |
+
4 (1795)
|
185 |
+
5 (1797)
|
186 |
+
6 (1799)
|
187 |
+
7 (1801)
|
188 |
+
8 (1803)
|
189 |
+
9 (1805)
|
190 |
+
10 (1807)
|
191 |
+
|
192 |
+
11 (1809)
|
193 |
+
12 (1811)
|
194 |
+
13 (1813)
|
195 |
+
14 (1815)
|
196 |
+
15 (1817)
|
197 |
+
16 (1819)
|
198 |
+
17 (1821)
|
199 |
+
18 (1823)
|
200 |
+
19 (1825)
|
201 |
+
20 (1827)
|
202 |
+
|
203 |
+
21 (1829)
|
204 |
+
22 (1831)
|
205 |
+
23 (1833)
|
206 |
+
24 (1835)
|
207 |
+
25 (1837)
|
208 |
+
26 (1839)
|
209 |
+
27 (1841)
|
210 |
+
28 (1843)
|
211 |
+
29 (1845)
|
212 |
+
30 (1847)
|
213 |
+
|
214 |
+
31 (1849)
|
215 |
+
32 (1851)
|
216 |
+
33 (1853)
|
217 |
+
34 (1855)
|
218 |
+
35 (1857)
|
219 |
+
36 (1859)
|
220 |
+
37 (1861)
|
221 |
+
38 (1863)
|
222 |
+
39 (1865)
|
223 |
+
40 (1867)
|
224 |
+
|
225 |
+
41 (1869)
|
226 |
+
42 (1871)
|
227 |
+
43 (1873)
|
228 |
+
44 (1875)
|
229 |
+
45 (1877)
|
230 |
+
46 (1879)
|
231 |
+
47 (1881)
|
232 |
+
48 (1883)
|
233 |
+
49 (1885)
|
234 |
+
50 (1887)
|
235 |
+
|
236 |
+
51 (1889)
|
237 |
+
52 (1891)
|
238 |
+
53 (1893)
|
239 |
+
54 (1895)
|
240 |
+
55 (1897)
|
241 |
+
56 (1899)
|
242 |
+
57 (1901)
|
243 |
+
58 (1903)
|
244 |
+
59 (1905)
|
245 |
+
60 (1907)
|
246 |
+
|
247 |
+
61 (1909)
|
248 |
+
62 (1911)
|
249 |
+
63 (1913)
|
250 |
+
64 (1915)
|
251 |
+
65 (1917)
|
252 |
+
66 (1919)
|
253 |
+
67 (1921)
|
254 |
+
68 (1923)
|
255 |
+
69 (1925)
|
256 |
+
70 (1927)
|
257 |
+
|
258 |
+
71 (1929)
|
259 |
+
72 (1931)
|
260 |
+
73 (1933)
|
261 |
+
74 (1935)
|
262 |
+
75 (1937)
|
263 |
+
76 (1939)
|
264 |
+
77 (1941)
|
265 |
+
78 (1943)
|
266 |
+
79 (1945)
|
267 |
+
80 (1947)
|
268 |
+
|
269 |
+
81 (1949)
|
270 |
+
82 (1951)
|
271 |
+
83 (1953)
|
272 |
+
84 (1955)
|
273 |
+
85 (1957)
|
274 |
+
86 (1959)
|
275 |
+
87 (1961)
|
276 |
+
88 (1963)
|
277 |
+
89 (1965)
|
278 |
+
90 (1967)
|
279 |
+
|
280 |
+
91 (1969)
|
281 |
+
92 (1971)
|
282 |
+
93 (1973)
|
283 |
+
94 (1975)
|
284 |
+
95 (1977)
|
285 |
+
96 (1979)
|
286 |
+
97 (1981)
|
287 |
+
98 (1983)
|
288 |
+
99 (1985)
|
289 |
+
100 (1987)
|
290 |
+
|
291 |
+
101 (1989)
|
292 |
+
102 (1991)
|
293 |
+
103 (1993)
|
294 |
+
104 (1995)
|
295 |
+
105 (1997)
|
296 |
+
106 (1999)
|
297 |
+
107 (2001)
|
298 |
+
108 (2003)
|
299 |
+
109 (2005)
|
300 |
+
110 (2007)
|
301 |
+
|
302 |
+
111 (2009)
|
303 |
+
112 (2011)
|
304 |
+
113 (2013)
|
305 |
+
114 (2015)
|
306 |
+
115 (2017)
|
307 |
+
116 (2019)
|
308 |
+
117 (2021)
|
en/1275.html.txt
ADDED
@@ -0,0 +1,69 @@
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1 |
+
Independent (36)[1]
|
2 |
+
|
3 |
+
Opposition (20)[1]
|
4 |
+
|
5 |
+
Independent (125)[1]
|
6 |
+
|
7 |
+
Opposition (131)[1]
|
8 |
+
|
9 |
+
The National Congress of Brazil (Portuguese: Congresso Nacional do Brasil) is the legislative body of Brazil's federal government. Unlike the state legislative assemblies and municipal chambers, the Congress is bicameral, composed of the Federal Senate (the upper house) and the Chamber of Deputies (the lower house). The Congress meets annually in Brasília from 2 February to 22 December, with a mid-term break taking place between 17 July and 1 August.[2][3]
|
10 |
+
|
11 |
+
The Senate represents the 26 states and the Federal District. Each state and the Federal District has a representation of three Senators, who are elected by popular ballot for a term of eight years. Every four years, renewal of either one third or two-thirds of the Senate (and of the delegations of the States and the Federal District) takes place.[citation needed] The Chamber of Deputies represents the people of each state, and its members are elected for a four-year term by a system of proportional representation. Seats are allotted proportionally according to each state's population, with each state eligible for a minimum of 8 seats (least populous) and a maximum of 70 seats (most populous). Unlike the Senate, the whole of the Chamber of Deputies is renewed every four years.[citation needed]
|
12 |
+
|
13 |
+
Until recently it was common for politicians to switch parties and the proportion of congressional seats held by each party would often change. However, a decision of the Supreme Federal Court has ruled that the seats belong to the parties and not to the politicians; one can only change parties and retain his seat in a very limited set of cases. Consequently, politicians who abandon the party for which they were elected now face the loss of their congressional seat.[citation needed] Each house of the Brazilian Congress elects its president and the other members of its directing board from among its members.[citation needed] The President of the Senate is ex officio the President of the National Congress, and in that capacity summons and presides over joint sessions, as well as over the joint services of both houses. The President of the Chamber is second in the presidential line of succession while the President of the Senate (and of Congress) is third.
|
14 |
+
|
15 |
+
The current composition of the Board of the National Congress is as follows:
|
16 |
+
|
17 |
+
[citation needed]
|
18 |
+
|
19 |
+
The Federal Senate (Portuguese: Senado Federal) is the upper house of the National Congress. Created by the first Constitution of the Brazilian Empire in 1824, it was inspired in United Kingdom's House of Lords, but with the Proclamation of the Republic in 1889 it became closer to the United States Senate.[citation needed]
|
20 |
+
|
21 |
+
Currently, the Senate comprises 81 seats. Three Senators from each of the 26 states and three Senators from the Federal District are elected on a majority basis to serve eight-year terms. Elections are staggered so that two-thirds of the upper house is up for election at one time and the remaining one-third four years later. When one seat is up for election in each State, each voter casts one vote for the Senate; when two seats are up for election, each voter casts two votes, and the voter cannot give his two votes for the same candidate, but, in elections for the renewal of two-thirds of the Senate, each party can present two candidates for election. The candidate in each State and the Federal District (or the first two candidates, when two thirds of the seats are up for election) who achieve the greatest plurality of votes are elected.[citation needed]
|
22 |
+
|
23 |
+
The Chamber of Deputies (Câmara dos Deputados) is the lower house of the National Congress, it is composed of 513 federal deputies, who are elected by a proportional representation of votes to serve a four-year term. Seats are allotted proportionally according to each state's population, with each state eligible for a minimum of 8 seats (least populous) and a maximum of 70 seats (most populous).[citation needed]
|
24 |
+
|
25 |
+
In 2010, 22 out of the country's 35 political parties were able to elect at least one representative in the Chamber, while fifteen of them were able to elect at least one Senator.
|
26 |
+
|
27 |
+
In early 1900s, the Brazilian National Congress happened to be in separate buildings. The Senate was located near Railway Central Station, beside the Republica Square, at Moncorvo Filho Street, where there is today a Federal University of Rio de Janeiro students' center. The Federal Chamber of Deputies was located at Misericórdia Street, which would later be the location of the State of Rio de Janeiro's local Chamber of Deputies. From the 1930s to early 1960s, the Senate occupied the Monroe Palace, which was demolished in the 1970s to allow the construction of the subway Cinelândia Station. The Federal Chamber of Deputies moved to Brasília in the early 1960s as well but temporarily occupied a building near the Municipal Theater for a couple of years.[citation needed]
|
28 |
+
|
29 |
+
Since the 1960s, the National Congress has been located in Brasília. As with most of the city's government buildings, the National Congress building was designed by Oscar Niemeyer in the modern Brazilian style.[citation needed]
|
30 |
+
|
31 |
+
The semi-sphere on the left is the seat of the Senate, and the semi-sphere on the right is the seat of the Chamber of the Deputies. Between them are two vertical office towers. The Congress also occupies other surrounding office buildings, some of them interconnected by a tunnel.[citation needed]
|
32 |
+
|
33 |
+
The building is located in the middle of the Monumental Axis, the main street of Brasília. In front of it there is a large lawn where demonstrations take place. At the back of it, is the Praça dos Três Poderes (Three Powers Plaza), where lies the Palácio do Planalto and the Supreme Federal Court.
|
34 |
+
|
35 |
+
On December 6, 2007, the Institute of Historic and Artistic National Heritage (Portuguese: Instituto do Patrimônio Histórico e Artístico Nacional) decided to declare the building of the National Congress a historical heritage of the Brazilian people. The building has also been a UNESCO World Heritage Site, as part of Brasília's original urban buildings, since 1987.[citation needed]
|
36 |
+
|
37 |
+
At least two other high-rise buildings are similar to the National Congress building:
|
38 |
+
|
39 |
+
Chamber of Deputies
|
40 |
+
|
41 |
+
Federal Senate
|
42 |
+
|
43 |
+
Committee room
|
44 |
+
|
45 |
+
Noble Room of the Senate
|
46 |
+
|
47 |
+
Exterior, on a rainy day
|
48 |
+
|
49 |
+
Exterior view of the Chamber of Deputies
|
50 |
+
|
51 |
+
Exterior view of the Senate chamber
|
52 |
+
|
53 |
+
The National Congress building at night
|
54 |
+
|
55 |
+
Front facade and lawn, showing the twin towers.
|
56 |
+
|
57 |
+
The Congress as seen from the Monumental Axis
|
58 |
+
|
59 |
+
Legislative police officers outside the National Congress building.
|
60 |
+
|
61 |
+
Protesters during an anti-government demonstration in front of the Congress, 13 March 2016.
|
62 |
+
|
63 |
+
Coordinates: 15°47′59″S 47°51′51″W / 15.79972°S 47.86417°W / -15.79972; -47.86417
|
64 |
+
|
65 |
+
The Legislatures are counted from the first meeting of the Chamber of Deputies and of the Senate, on 6 May 1826, in the imperial era (the Chamber of Deputies met for preparatory sessions from 29 April 1826 onwards to elect its officers and conduct other preliminary business, but the Legislature was formally opened on 6 May). The Chamber of Deputies and the Senate were created by Brazil's first Constitution, the Constitution of the Empire of Brazil, adopted in 1824. The previous Constituent and Legislative Assembly of the Empire of Brazil, a unicameral National Assembly, that was convened in 1823 and that was dissolved by Emperor Pedro I before adopting a Constitution is not counted among the Legislatures. Thus, the numbering includes only the bicameral Legislatures that existed from 1826 to the present day, and includes only Legislatures elected after the adoption of the first Brazilian Constitution.
|
66 |
+
|
67 |
+
In the imperial era, the national legislature was named General Assembly. It was made up of the Chamber of Deputies and the Senate. Senators were elected for life and the Senate was a permanent institution, whereas the Chamber of Deputies, unless dissolved earlier, was elected every four years. When Brazil became a Republic and a Federal State the model of a bicameral Legislature was retained at the Federal level, but the Parliament was renamed National Congress. The National Congress is made up of the Chamber of Deputies and the Federal Senate. Both Houses have fixed terms and cannot be dissolved earlier. Under Brazil's present Constitution, adopted in 1988, Senators are elected to eight-year terms, and Deputies are elected every four years.
|
68 |
+
|
69 |
+
The numbering of the Legislatures is continuous, including the Legislatures of the imperial General Assembly and of the republican National Congress. The inauguration of a new composition of Chamber of Deputies for a four-year term of office marks the start of a new Legislature.
|
en/1276.html.txt
ADDED
@@ -0,0 +1,69 @@
|
|
|
|
|
|
|
|
|
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|
|
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|
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|
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|
|
|
|
|
|
|
|
|
|
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|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1 |
+
Independent (36)[1]
|
2 |
+
|
3 |
+
Opposition (20)[1]
|
4 |
+
|
5 |
+
Independent (125)[1]
|
6 |
+
|
7 |
+
Opposition (131)[1]
|
8 |
+
|
9 |
+
The National Congress of Brazil (Portuguese: Congresso Nacional do Brasil) is the legislative body of Brazil's federal government. Unlike the state legislative assemblies and municipal chambers, the Congress is bicameral, composed of the Federal Senate (the upper house) and the Chamber of Deputies (the lower house). The Congress meets annually in Brasília from 2 February to 22 December, with a mid-term break taking place between 17 July and 1 August.[2][3]
|
10 |
+
|
11 |
+
The Senate represents the 26 states and the Federal District. Each state and the Federal District has a representation of three Senators, who are elected by popular ballot for a term of eight years. Every four years, renewal of either one third or two-thirds of the Senate (and of the delegations of the States and the Federal District) takes place.[citation needed] The Chamber of Deputies represents the people of each state, and its members are elected for a four-year term by a system of proportional representation. Seats are allotted proportionally according to each state's population, with each state eligible for a minimum of 8 seats (least populous) and a maximum of 70 seats (most populous). Unlike the Senate, the whole of the Chamber of Deputies is renewed every four years.[citation needed]
|
12 |
+
|
13 |
+
Until recently it was common for politicians to switch parties and the proportion of congressional seats held by each party would often change. However, a decision of the Supreme Federal Court has ruled that the seats belong to the parties and not to the politicians; one can only change parties and retain his seat in a very limited set of cases. Consequently, politicians who abandon the party for which they were elected now face the loss of their congressional seat.[citation needed] Each house of the Brazilian Congress elects its president and the other members of its directing board from among its members.[citation needed] The President of the Senate is ex officio the President of the National Congress, and in that capacity summons and presides over joint sessions, as well as over the joint services of both houses. The President of the Chamber is second in the presidential line of succession while the President of the Senate (and of Congress) is third.
|
14 |
+
|
15 |
+
The current composition of the Board of the National Congress is as follows:
|
16 |
+
|
17 |
+
[citation needed]
|
18 |
+
|
19 |
+
The Federal Senate (Portuguese: Senado Federal) is the upper house of the National Congress. Created by the first Constitution of the Brazilian Empire in 1824, it was inspired in United Kingdom's House of Lords, but with the Proclamation of the Republic in 1889 it became closer to the United States Senate.[citation needed]
|
20 |
+
|
21 |
+
Currently, the Senate comprises 81 seats. Three Senators from each of the 26 states and three Senators from the Federal District are elected on a majority basis to serve eight-year terms. Elections are staggered so that two-thirds of the upper house is up for election at one time and the remaining one-third four years later. When one seat is up for election in each State, each voter casts one vote for the Senate; when two seats are up for election, each voter casts two votes, and the voter cannot give his two votes for the same candidate, but, in elections for the renewal of two-thirds of the Senate, each party can present two candidates for election. The candidate in each State and the Federal District (or the first two candidates, when two thirds of the seats are up for election) who achieve the greatest plurality of votes are elected.[citation needed]
|
22 |
+
|
23 |
+
The Chamber of Deputies (Câmara dos Deputados) is the lower house of the National Congress, it is composed of 513 federal deputies, who are elected by a proportional representation of votes to serve a four-year term. Seats are allotted proportionally according to each state's population, with each state eligible for a minimum of 8 seats (least populous) and a maximum of 70 seats (most populous).[citation needed]
|
24 |
+
|
25 |
+
In 2010, 22 out of the country's 35 political parties were able to elect at least one representative in the Chamber, while fifteen of them were able to elect at least one Senator.
|
26 |
+
|
27 |
+
In early 1900s, the Brazilian National Congress happened to be in separate buildings. The Senate was located near Railway Central Station, beside the Republica Square, at Moncorvo Filho Street, where there is today a Federal University of Rio de Janeiro students' center. The Federal Chamber of Deputies was located at Misericórdia Street, which would later be the location of the State of Rio de Janeiro's local Chamber of Deputies. From the 1930s to early 1960s, the Senate occupied the Monroe Palace, which was demolished in the 1970s to allow the construction of the subway Cinelândia Station. The Federal Chamber of Deputies moved to Brasília in the early 1960s as well but temporarily occupied a building near the Municipal Theater for a couple of years.[citation needed]
|
28 |
+
|
29 |
+
Since the 1960s, the National Congress has been located in Brasília. As with most of the city's government buildings, the National Congress building was designed by Oscar Niemeyer in the modern Brazilian style.[citation needed]
|
30 |
+
|
31 |
+
The semi-sphere on the left is the seat of the Senate, and the semi-sphere on the right is the seat of the Chamber of the Deputies. Between them are two vertical office towers. The Congress also occupies other surrounding office buildings, some of them interconnected by a tunnel.[citation needed]
|
32 |
+
|
33 |
+
The building is located in the middle of the Monumental Axis, the main street of Brasília. In front of it there is a large lawn where demonstrations take place. At the back of it, is the Praça dos Três Poderes (Three Powers Plaza), where lies the Palácio do Planalto and the Supreme Federal Court.
|
34 |
+
|
35 |
+
On December 6, 2007, the Institute of Historic and Artistic National Heritage (Portuguese: Instituto do Patrimônio Histórico e Artístico Nacional) decided to declare the building of the National Congress a historical heritage of the Brazilian people. The building has also been a UNESCO World Heritage Site, as part of Brasília's original urban buildings, since 1987.[citation needed]
|
36 |
+
|
37 |
+
At least two other high-rise buildings are similar to the National Congress building:
|
38 |
+
|
39 |
+
Chamber of Deputies
|
40 |
+
|
41 |
+
Federal Senate
|
42 |
+
|
43 |
+
Committee room
|
44 |
+
|
45 |
+
Noble Room of the Senate
|
46 |
+
|
47 |
+
Exterior, on a rainy day
|
48 |
+
|
49 |
+
Exterior view of the Chamber of Deputies
|
50 |
+
|
51 |
+
Exterior view of the Senate chamber
|
52 |
+
|
53 |
+
The National Congress building at night
|
54 |
+
|
55 |
+
Front facade and lawn, showing the twin towers.
|
56 |
+
|
57 |
+
The Congress as seen from the Monumental Axis
|
58 |
+
|
59 |
+
Legislative police officers outside the National Congress building.
|
60 |
+
|
61 |
+
Protesters during an anti-government demonstration in front of the Congress, 13 March 2016.
|
62 |
+
|
63 |
+
Coordinates: 15°47′59″S 47°51′51″W / 15.79972°S 47.86417°W / -15.79972; -47.86417
|
64 |
+
|
65 |
+
The Legislatures are counted from the first meeting of the Chamber of Deputies and of the Senate, on 6 May 1826, in the imperial era (the Chamber of Deputies met for preparatory sessions from 29 April 1826 onwards to elect its officers and conduct other preliminary business, but the Legislature was formally opened on 6 May). The Chamber of Deputies and the Senate were created by Brazil's first Constitution, the Constitution of the Empire of Brazil, adopted in 1824. The previous Constituent and Legislative Assembly of the Empire of Brazil, a unicameral National Assembly, that was convened in 1823 and that was dissolved by Emperor Pedro I before adopting a Constitution is not counted among the Legislatures. Thus, the numbering includes only the bicameral Legislatures that existed from 1826 to the present day, and includes only Legislatures elected after the adoption of the first Brazilian Constitution.
|
66 |
+
|
67 |
+
In the imperial era, the national legislature was named General Assembly. It was made up of the Chamber of Deputies and the Senate. Senators were elected for life and the Senate was a permanent institution, whereas the Chamber of Deputies, unless dissolved earlier, was elected every four years. When Brazil became a Republic and a Federal State the model of a bicameral Legislature was retained at the Federal level, but the Parliament was renamed National Congress. The National Congress is made up of the Chamber of Deputies and the Federal Senate. Both Houses have fixed terms and cannot be dissolved earlier. Under Brazil's present Constitution, adopted in 1988, Senators are elected to eight-year terms, and Deputies are elected every four years.
|
68 |
+
|
69 |
+
The numbering of the Legislatures is continuous, including the Legislatures of the imperial General Assembly and of the republican National Congress. The inauguration of a new composition of Chamber of Deputies for a four-year term of office marks the start of a new Legislature.
|
en/1277.html.txt
ADDED
@@ -0,0 +1,260 @@
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1 |
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Latin (lingua latīna, IPA: [ˈlɪŋɡʷa laˈtiːna]) is a classical language belonging to the Italic branch of the Indo-European languages. Latin was originally spoken in the area around Rome, known as Latium.[4] Through the power of the Roman Republic, it became the dominant language in Italy, and subsequently throughout the western Roman Empire. Latin has contributed many words to the English language. In particular, Latin (and Ancient Greek) roots are used in English descriptions of theology, the sciences, medicine, and law. It is the official language in the Holy See (Vatican City).
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By the late Roman Republic (75 BC), Old Latin had been standardised into Classical Latin. Vulgar Latin was the colloquial form spoken during the same time and attested in inscriptions and the works of comic playwrights like Plautus and Terence[5] and author Petronius. Late Latin is the written language from the 3rd century; its colloquial form Vulgar Latin developed in the 6th to 9th centuries into the Romance languages, such as Italian, Sardinian, Venetian, Neapolitan, Sicilian, Piedmontese, Lombard, French, Franco-Provençal, Occitan, Corsican, Ladin, Friulan, Romansh, Catalan/Valencian, Aragonese, Spanish, Asturian, Galician, and Portuguese. Medieval Latin was used as a literary language from the 9th century to the Renaissance which used Renaissance Latin. Later, Early Modern Latin and New Latin evolved. Latin was the language of international communication, scholarship and science until well into the 18th century, when vernaculars (including the Romance languages) supplanted it. Ecclesiastical Latin remains the official language of the Holy See and the Roman Rite of the Catholic Church.
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Latin is a highly inflected language, with three distinct genders, six or seven noun cases, five declensions, four verb conjugations, six tenses, three persons, three moods, two voices, two or three aspects and two numbers. The Latin alphabet is derived from the Etruscan and Greek alphabets and ultimately from the Phoenician alphabet.
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A number of historical phases of the language have been recognized, each distinguished by subtle differences in vocabulary, usage, spelling, morphology, and syntax. There are no hard and fast rules of classification; different scholars emphasize different features. As a result, the list has variants, as well as alternative names.
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In addition to the historical phases, Ecclesiastical Latin refers to the styles used by the writers of the Roman Catholic Church from Late Antiquity onward, as well as by Protestant scholars.
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After the Western Roman Empire fell in 476, and Germanic kingdoms took its place, the Germanic people adopted Latin as a language more suitable for legal and other, more formal uses.[citation needed]
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The earliest known form of Latin is Old Latin, which was spoken from the Roman Kingdom to the later part of the Roman Republic period. It is attested both in inscriptions and in some of the earliest extant Latin literary works, such as the comedies of Plautus and Terence. The Latin alphabet was devised from the Etruscan alphabet. The writing later changed from what was initially either a right-to-left or a boustrophedon[6][7] script to what ultimately became a strictly left-to-right script.[8]
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During the late republic and into the first years of the empire, a new Classical Latin arose, a conscious creation of the orators, poets, historians and other literate men, who wrote the great works of classical literature, which were taught in grammar and rhetoric schools. Today's instructional grammars trace their roots to such schools, which served as a sort of informal language academy dedicated to maintaining and perpetuating educated speech.[9][10]
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Philological analysis of Archaic Latin works, such as those of Plautus, which contain snippets of everyday speech, indicates that a spoken language, Vulgar Latin (termed sermo vulgi, "the speech of the masses", by Cicero), existed concurrently with literate Classical Latin. The informal language was rarely written, so philologists have been left with only individual words and phrases cited by classical authors and those found as graffiti.[11]
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As it was free to develop on its own, there is no reason to suppose that the speech was uniform either diachronically or geographically. On the contrary, romanised European populations developed their own dialects of the language, which eventually led to the differentiation of Romance languages.[12] The decline of the Roman Empire meant a deterioration in educational standards that brought about Late Latin, a postclassical stage of the language seen in Christian writings of the time. It was more in line with everyday speech, not only because of a decline in education but also because of a desire to spread the word to the masses.[citation needed]
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Despite dialectal variation, which is found in any widespread language, the languages of Spain, France, Portugal, and Italy retained a remarkable unity in phonological forms and developments, bolstered by the stabilising influence of their common Christian (Roman Catholic) culture. It was not until the Moorish conquest of Spain in 711 cut off communications between the major Romance regions that the languages began to diverge seriously.[13] The Vulgar Latin dialect that would later become Romanian diverged somewhat more from the other varieties, as it was largely cut off from the unifying influences in the western part of the Empire.
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One key marker of whether a given Romance feature was found in Vulgar Latin is to compare it with its parallel in Classical Latin. If it was not preferred in Classical Latin, then it most likely came from the undocumented contemporaneous Vulgar Latin. For example, the Romance for "horse" (Italian cavallo, French cheval, Spanish caballo, Portuguese cavalo and Romanian cal) came from Latin caballus. However, Classical Latin used equus. Therefore, caballus was most likely the spoken form.[14]
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Vulgar Latin began to diverge into distinct languages by the 9th century at the latest, when the earliest extant Romance writings begin to appear. They were, throughout the period, confined to everyday speech, as Medieval Latin was used for writing.[15][16]
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Medieval Latin is the written Latin in use during that portion of the postclassical period when no corresponding Latin vernacular existed. The spoken language had developed into the various incipient Romance languages; however, in the educated and official world Latin continued without its natural spoken base. Moreover, this Latin spread into lands that had never spoken Latin, such as the Germanic and Slavic nations. It became useful for international communication between the member states of the Holy Roman Empire and its allies.
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Without the institutions of the Roman empire that had supported its uniformity, medieval Latin lost its linguistic cohesion: for example, in classical Latin sum and eram are used as auxiliary verbs in the perfect and pluperfect passive, which are compound tenses. Medieval Latin might use fui and fueram instead.[17] Furthermore, the meanings of many words have been changed and new vocabularies have been introduced from the vernacular. Identifiable individual styles of classically incorrect Latin prevail.[17]
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The Renaissance briefly reinforced the position of Latin as a spoken language by its adoption by the Renaissance Humanists. Often led by members of the clergy, they were shocked by the accelerated dismantling of the vestiges of the classical world and the rapid loss of its literature. They strove to preserve what they could and restore Latin to what it had been and introduced the practice of producing revised editions of the literary works that remained by comparing surviving manuscripts. By no later than the 15th century they had replaced Medieval Latin with versions supported by the scholars of the rising universities, who attempted, by scholarship, to discover what the classical language had been.[19][15]
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During the Early Modern Age, Latin still was the most important language of culture in Europe. Therefore, until the end of the 17th century the majority of books and almost all diplomatic documents were written in Latin. Afterwards, most diplomatic documents were written in French (a Romance language) and later native or other languages.
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Despite having no native speakers, Latin is still used for a variety of purposes in the contemporary world.
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The largest organisation that retains Latin in official and quasi-official contexts is the Catholic Church. Latin remains the language of the Roman Rite; the Tridentine Mass is celebrated in Latin. Although the Mass of Paul VI is usually celebrated in the local vernacular language, it can be and often is said in Latin, in part or in whole, especially at multilingual gatherings. It is the official language of the Holy See, the primary language of its public journal, the Acta Apostolicae Sedis, and the working language of the Roman Rota. Vatican City is also home to the world's only automatic teller machine that gives instructions in Latin.[20] In the pontifical universities postgraduate courses of Canon law are taught in Latin, and papers are written in the same language.
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In the Anglican Church, after the publication of the Book of Common Prayer of 1559, a Latin edition was published in 1560 for use in universities such as Oxford and the leading "public schools" (English private academies), where the liturgy was still permitted to be conducted in Latin.[21] There have been several Latin translations since, including a Latin edition of the 1979 USA Anglican Book of Common Prayer.[22]
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In the Western world, many organizations, governments and schools use Latin for their mottos due to its association with formality, tradition, and the roots of Western culture.
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Canada's motto A mari usque ad mare ("from sea to sea") and most provincial mottos are also in Latin. The Canadian Victoria Cross is modelled after the British Victoria Cross which has the inscription "For Valour". Because Canada is officially bilingual, the Canadian medal has replaced the English inscription with the Latin Pro Valore.
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Spain's motto PLVS VLTRA, meaning "further beyond", is also Latin in origin.[23] It is taken from the personal motto of Charles V, Holy Roman Emperor and King of Spain (as Charles I), and is a reversal of the original phrase Non terrae plus ultra ("No land further beyond"). This was said to have been inscribed as a warning on the Pillars of Hercules at the Strait of Gibraltar, which marked the edge of the known world. Charles adopted the motto following the discovery of the New World by Columbus, and it also has metaphorical suggestions of taking risks and striving for excellence.
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Several states of the United States have Latin mottos: such as Connecticut's motto Qui transtulit sustinet ("He who transplanted sustains"); Kansas's Ad astra per aspera ("To the stars through hardships"); Colorado's Nil sine numine ("Nothing without providence"); Michigan's Si quaeris peninsulam amoenam, circumspice ("If you seek a pleasant peninsula, look about you"); Missouri's Salus populi suprema lex esto ("The health of the people should be the highest law"); North Carolina's Esse quam videri ("To be rather than to seem"); Virginia's Sic semper tyrannis ("Thus always to tyrants"); and West Virginia's Montani semper liberi ("Mountaineers are always free").
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Many military organizations today have Latin mottos, such as Semper paratus ("always ready"), the motto of the United States Coast Guard; Semper fidelis ("always faithful"), the motto of the United States Marine Corps; and Per ardua ad astra ("Through adversity/struggle to the stars"), the motto of the Royal Air Force (RAF).
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Some colleges and universities have adopted Latin mottos, for example Harvard University's motto is Veritas ("truth"). Veritas was the goddess of truth, a daughter of Saturn, and the mother of Virtue.
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Switzerland has adopted the country's Latin short name Helvetia on coins and stamps, since there is no room to use all of the nation's four official languages. For a similar reason, it adopted the international vehicle and internet code CH, which stands for Confœderatio Helvetica, the country's full Latin name.
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Some films of ancient settings, such as Sebastiane and The Passion of the Christ, have been made with dialogue in Latin for the sake of realism. Occasionally, Latin dialogue is used because of its association with religion or philosophy, in such film/television series as The Exorcist and Lost ("Jughead"). Subtitles are usually shown for the benefit of those who do not understand Latin. There are also songs written with Latin lyrics. The libretto for the opera-oratorio Oedipus rex by Igor Stravinsky is in Latin.
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The continued instruction of Latin is often seen as a highly valuable component of a liberal arts education. Latin is taught at many high schools, especially in Europe and the Americas. It is most common in British public schools and grammar schools, the Italian liceo classico and liceo scientifico, the German Humanistisches Gymnasium and the Dutch gymnasium.
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Occasionally, some media outlets, targeting enthusiasts, broadcast in Latin. Notable examples include Radio Bremen in Germany, YLE radio in Finland (the Nuntii Latini broadcast from 1989 until it was shut down in June 2019),[24] and Vatican Radio & Television, all of which broadcast news segments and other material in Latin.[25][26][27]
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There are many websites and forums maintained in Latin by enthusiasts. The Latin Wikipedia has more than 100,000 articles.
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Italian, French, Portuguese, Spanish, Romanian, Catalan, Romansh, and other Romance languages are direct descendants of Latin. There are also many Latin derivatives in English as well as a few in German, Dutch, Norwegian, Danish, and Swedish. Latin is still spoken in Vatican City, a city-state situated in Rome that is the seat of the Catholic Church.
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Some inscriptions have been published in an internationally agreed, monumental, multivolume series, the Corpus Inscriptionum Latinarum (CIL). Authors and publishers vary, but the format is about the same: volumes detailing inscriptions with a critical apparatus stating the provenance and relevant information. The reading and interpretation of these inscriptions is the subject matter of the field of epigraphy. About 270,000 inscriptions are known.
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The works of several hundred ancient authors who wrote in Latin have survived in whole or in part, in substantial works or in fragments to be analyzed in philology. They are in part the subject matter of the field of classics. Their works were published in manuscript form before the invention of printing and are now published in carefully annotated printed editions, such as the Loeb Classical Library, published by Harvard University Press, or the Oxford Classical Texts, published by Oxford University Press.
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Latin translations of modern literature such as The Hobbit, Treasure Island, Robinson Crusoe, Paddington Bear, Winnie the Pooh, The Adventures of Tintin, Asterix, Harry Potter, Le Petit Prince, Max and Moritz, How the Grinch Stole Christmas!, The Cat in the Hat, and a book of fairy tales, "fabulae mirabiles", are intended to garner popular interest in the language. Additional resources include phrasebooks and resources for rendering everyday phrases and concepts into Latin, such as Meissner's Latin Phrasebook.
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The Latin influence in English has been significant at all stages of its insular development. In the Middle Ages, borrowing from Latin occurred from ecclesiastical usage established by Saint Augustine of Canterbury in the 6th century or indirectly after the Norman Conquest, through the Anglo-Norman language. From the 16th to the 18th centuries, English writers cobbled together huge numbers of new words from Latin and Greek words, dubbed "inkhorn terms", as if they had spilled from a pot of ink. Many of these words were used once by the author and then forgotten, but some useful ones survived, such as 'imbibe' and 'extrapolate'. Many of the most common polysyllabic English words are of Latin origin through the medium of Old French. Romance words make respectively 59%, 20% and 14% of English, German and Dutch vocabularies.[28][29][30] Those figures can rise dramatically when only non-compound and non-derived words are included.
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The influence of Roman governance and Roman technology on the less-developed nations under Roman dominion led to the adoption of Latin phraseology in some specialized areas, such as science, technology, medicine, and law. For example, the Linnaean system of plant and animal classification was heavily influenced by Historia Naturalis, an encyclopedia of people, places, plants, animals, and things published by Pliny the Elder. Roman medicine, recorded in the works of such physicians as Galen, established that today's medical terminology would be primarily derived from Latin and Greek words, the Greek being filtered through the Latin. Roman engineering had the same effect on scientific terminology as a whole. Latin law principles have survived partly in a long list of Latin legal terms.
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A few international auxiliary languages have been heavily influenced by Latin. Interlingua is sometimes considered a simplified, modern version of the language.[dubious – discuss] Latino sine Flexione, popular in the early 20th century, is Latin with its inflections stripped away, among other grammatical changes.
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The Logudorese dialect of the Sardinian language is the closest contemporary language to Latin.[31]
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Throughout European history, an education in the classics was considered crucial for those who wished to join literate circles. Instruction in Latin is an essential aspect. In today's world, a large number of Latin students in the US learn from Wheelock's Latin: The Classic Introductory Latin Course, Based on Ancient Authors. This book, first published in 1956,[32] was written by Frederic M. Wheelock, who received a PhD from Harvard University. Wheelock's Latin has become the standard text for many American introductory Latin courses.
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The Living Latin movement attempts to teach Latin in the same way that living languages are taught, as a means of both spoken and written communication. It is available at the Vatican and at some institutions in the US, such as the University of Kentucky and Iowa State University. The British Cambridge University Press is a major supplier of Latin textbooks for all levels, such as the Cambridge Latin Course series. It has also published a subseries of children's texts in Latin by Bell & Forte, which recounts the adventures of a mouse called Minimus.
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In the United Kingdom, the Classical Association encourages the study of antiquity through various means, such as publications and grants. The University of Cambridge,[33] the Open University,[34] a number of prestigious independent schools, for example Eton, Harrow, Haberdashers' Aske's Boys' School, Merchant Taylor’s School, Via Facilis and Rugby,[35] a London-based charity, run Latin courses. In the United States and in Canada, the American Classical League supports every effort to further the study of classics. Its subsidiaries include the National Junior Classical League (with more than 50,000 members), which encourages high school students to pursue the study of Latin, and the National Senior Classical League, which encourages students to continue their study of the classics into college. The league also sponsors the National Latin Exam. Classicist Mary Beard wrote in The Times Literary Supplement in 2006 that the reason for learning Latin is because of what was written in it.[36]
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Latin was or is the official language of European states:
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The ancient pronunciation of Latin has been reconstructed; among the data used for reconstruction are explicit statements about pronunciation by ancient authors, misspellings, puns, ancient etymologies, the spelling of Latin loanwords in other languages, and the historical development of Romance languages.[42]
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The consonant phonemes of Classical Latin are as follows:[43]
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/z/ was not native to Classical Latin. It appeared in Greek loanwords starting around the first century BC, when it was probably pronounced [z] initially and doubled [zz] between vowels, in contrast to Classical Greek [dz] or [zd]. In Classical Latin poetry, the letter ⟨z⟩ between vowels always counts as two consonants for metrical purposes.[44][45]
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In Old and Classical Latin, the Latin alphabet had no distinction between uppercase and lowercase, and the letters ⟨J U W⟩ did not exist. In place of ⟨J U⟩, ⟨I V⟩ were used, respectively; ⟨I V⟩ represented both vowels and consonants. Most of the letterforms were similar to modern uppercase, as can be seen in the inscription from the Colosseum shown at the top of the article.
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The spelling systems used in Latin dictionaries and modern editions of Latin texts, however, normally use ⟨j u⟩ in place of Classical-era ⟨i v⟩. Some systems use ⟨j v⟩ for the consonant sounds /j w/ except in the combinations ⟨gu su qu⟩ for which ⟨v⟩ is never used.
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Some notes concerning the mapping of Latin phonemes to English graphemes are given below:
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In Classical Latin, as in modern Italian, double consonant letters were pronounced as long consonant sounds distinct from short versions of the same consonants. Thus the nn in Classical Latin annus, year, (and in Italian anno) is pronounced as a doubled /nn/ as in English unnamed. (In English, distinctive consonant length or doubling occurs only at the boundary between two words or morphemes, as in that example.)
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In Classical Latin, ⟨U⟩ did not exist as a letter distinct from V; the written form ⟨V⟩ was used to represent both a vowel and a consonant. ⟨Y⟩ was adopted to represent upsilon in loanwords from Greek, but it was pronounced like ⟨u⟩ and ⟨i⟩ by some speakers. It was also used in native Latin words by confusion with Greek words of similar meaning, such as sylva and ὕλη.
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Classical Latin distinguished between long and short vowels. Then, long vowels, except for ⟨I⟩, were frequently marked using the apex, which was sometimes similar to an acute accent ⟨Á É Ó V́ Ý⟩. Long /iː/ was written using a taller version of ⟨I⟩, called i longa "long I": ⟨ꟾ⟩. In modern texts, long vowels are often indicated by a macron ⟨ā ē ī ō ū⟩, and short vowels are usually unmarked except when it is necessary to distinguish between words, when they are marked with a breve ⟨ă ĕ ĭ ŏ ŭ⟩. The acute accent, when it is used in modern Latin texts, indicates stress, as in Spanish, rather than length.
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Long vowels in Classical Latin are, technically, pronounced as entirely different from short vowels. The difference is described in the table below:
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A vowel letter followed by ⟨m⟩ at the end of a word, or a vowel letter followed by ⟨n⟩ before ⟨s⟩ or ⟨f⟩, represented a long nasal vowel, as in monstrum /mõːstrũːm/.
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Classical Latin had several diphthongs. The two most common were ⟨ae au⟩. ⟨oe⟩ was fairly rare, and ⟨ui eu ei⟩ were very rare, at least in native Latin words.[48] There has also been debate over whether ⟨ui⟩ is truly a diphthong in Classical Latin, due to its rarity, absence in works of Roman grammarians, and the roots of Classical Latin words (i.e. hui ce to huic, quoi to cui, etc.) not matching or being similar to the pronunciation of classical words if ⟨ui⟩ were to be considered a diphthong.[49]
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The sequences sometimes did not represent diphthongs. ⟨ae⟩ and ⟨oe⟩ also represented a sequence of two vowels in different syllables in aēnus [aˈeː.nʊs] "of bronze" and coēpit [kɔˈeː.pɪt] "began", and ⟨au ui eu ei ou⟩ represented sequences of two vowels or of a vowel and one of the semivowels /j w/, in cavē [ˈka.weː] "beware!", cuius [ˈkʊj.jʊs] "whose", monuī [ˈmɔn.ʊ.iː] "I warned", solvī [ˈsɔɫ.wiː] "I released", dēlēvī [deːˈleː.wiː] "I destroyed", eius [ˈɛj.jʊs] "his", and novus [ˈnɔ.wʊs] "new".
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Old Latin had more diphthongs, but most of them changed into long vowels in Classical Latin. The Old Latin diphthong ⟨ai⟩ and the sequence ⟨āī⟩ became Classical ⟨ae⟩. Old Latin ⟨oi⟩ and ⟨ou⟩ changed to Classical ⟨ū⟩, except in a few words whose ⟨oi⟩ became Classical ⟨oe⟩. These two developments sometimes occurred in different words from the same root: for instance, Classical poena "punishment" and pūnīre "to punish".[48] Early Old Latin ⟨ei⟩ usually changed to Classical ⟨ī⟩.[50]
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In Vulgar Latin and the Romance languages, ⟨ae oe⟩ merged with ⟨e ē⟩. During the Classical Latin period this form of speaking was deliberately avoided by well-educated speakers.[48]
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119 |
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Latin was written in the Latin alphabet, derived from the Etruscan alphabet, which was in turn drawn from the Greek alphabet and ultimately the Phoenician alphabet.[51] This alphabet has continued to be used over the centuries as the script for the Romance, Celtic, Germanic, Baltic, Finnic, and many Slavic languages (Polish, Slovak, Slovene, Croatian, Bosnian and Czech); and it has been adopted by many languages around the world, including Vietnamese, the Austronesian languages, many Turkic languages, and most languages in sub-Saharan Africa, the Americas, and Oceania, making it by far the world's single most widely used writing system.
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121 |
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The number of letters in the Latin alphabet has varied. When it was first derived from the Etruscan alphabet, it contained only 21 letters.[52] Later, G was added to represent /ɡ/, which had previously been spelled C, and Z ceased to be included in the alphabet, as the language then had no voiced alveolar fricative.[53] The letters Y and Z were later added to represent Greek letters, upsilon and zeta respectively, in Greek loanwords.[53]
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123 |
+
|
124 |
+
W was created in the 11th century from VV. It represented /w/ in Germanic languages, not Latin, which still uses V for the purpose. J was distinguished from the original I only during the late Middle Ages, as was the letter U from V.[53] Although some Latin dictionaries use J, it is rarely used for Latin text, as it was not used in classical times, but many other languages use it.
|
125 |
+
|
126 |
+
Classical Latin did not contain sentence punctuation, letter case,[54] or interword spacing, but apices were sometimes used to distinguish length in vowels and the interpunct was used at times to separate words. The first line of Catullus 3, originally written as
|
127 |
+
|
128 |
+
or with interpunct as
|
129 |
+
|
130 |
+
would be rendered in a modern edition as
|
131 |
+
|
132 |
+
or with macrons
|
133 |
+
|
134 |
+
or with apices
|
135 |
+
|
136 |
+
The Roman cursive script is commonly found on the many wax tablets excavated at sites such as forts, an especially extensive set having been discovered at Vindolanda on Hadrian's Wall in Britain. Most notable is the fact that while most of the Vindolanda tablets show spaces between words, spaces were avoided in monumental inscriptions from that era.
|
137 |
+
|
138 |
+
Occasionally, Latin has been written in other scripts:
|
139 |
+
|
140 |
+
Latin is a synthetic, fusional language in the terminology of linguistic typology. In more traditional terminology, it is an inflected language, but typologists are apt to say "inflecting". Words include an objective semantic element and markers specifying the grammatical use of the word. The fusion of root meaning and markers produces very compact sentence elements: amō, "I love," is produced from a semantic element, ama-, "love," to which -ō, a first person singular marker, is suffixed.
|
141 |
+
|
142 |
+
The grammatical function can be changed by changing the markers: the word is "inflected" to express different grammatical functions, but the semantic element usually does not change. (Inflection uses affixing and infixing. Affixing is prefixing and suffixing. Latin inflections are never prefixed.)
|
143 |
+
|
144 |
+
For example, amābit, "he (or she or it) will love", is formed from the same stem, amā-, to which a future tense marker, -bi-, is suffixed, and a third person singular marker, -t, is suffixed. There is an inherent ambiguity: -t may denote more than one grammatical category: masculine, feminine, or neuter gender. A major task in understanding Latin phrases and clauses is to clarify such ambiguities by an analysis of context. All natural languages contain ambiguities of one sort or another.
|
145 |
+
|
146 |
+
The inflections express gender, number, and case in adjectives, nouns, and pronouns, a process called declension. Markers are also attached to fixed stems of verbs, to denote person, number, tense, voice, mood, and aspect, a process called conjugation. Some words are uninflected and undergo neither process, such as adverbs, prepositions, and interjections.
|
147 |
+
|
148 |
+
A regular Latin noun belongs to one of five main declensions, a group of nouns with similar inflected forms. The declensions are identified by the genitive singular form of the noun. The first declension, with a predominant ending letter of a, is signified by the genitive singular ending of -ae. The second declension, with a predominant ending letter of o, is signified by the genitive singular ending of -i. The third declension, with a predominant ending letter of i, is signified by the genitive singular ending of -is. The fourth declension, with a predominant ending letter of u, is signified by the genitive singular ending of -ūs. The fifth declension, with a predominant ending letter of e, is signified by the genitive singular ending of -ei.
|
149 |
+
|
150 |
+
There are seven Latin noun cases, which also apply to adjectives and pronouns and mark a noun's syntactic role in the sentence by means of inflections. Thus, word order is not as important in Latin as it is in English, which is less inflected. The general structure and word order of a Latin sentence can therefore vary. The cases are as follows:
|
151 |
+
|
152 |
+
Latin lacks both definite and indefinite articles so puer currit can mean either "the boy is running" or "a boy is running".
|
153 |
+
|
154 |
+
There are two types of regular Latin adjectives: first- and second- declension and third-declension. They are so-called because their forms are similar or identical to first- and second-declension and third-declension nouns, respectively. Latin adjectives also have comparative (more --, -er) and superlative (most --, est) forms. There are also a number of Latin participles.
|
155 |
+
|
156 |
+
Latin numbers are sometimes declined as adjectives. See Numbers below.
|
157 |
+
|
158 |
+
First and second-declension adjectives are declined like first-declension nouns for the feminine forms and like second-declension nouns for the masculine and neuter forms. For example, for mortuus, mortua, mortuum (dead), mortua is declined like a regular first-declension noun (such as puella (girl)), mortuus is declined like a regular second-declension masculine noun (such as dominus (lord, master)), and mortuum is declined like a regular second-declension neuter noun (such as auxilium (help)).
|
159 |
+
|
160 |
+
Third-declension adjectives are mostly declined like normal third-declension nouns, with a few exceptions. In the plural nominative neuter, for example, the ending is -ia (omnia (all, everything)), and for third-declension nouns, the plural nominative neuter ending is -a or -ia (capita (heads), animalia (animals)) They can have one, two or three forms for the masculine, feminine, and neuter nominative singular.
|
161 |
+
|
162 |
+
Latin participles, like English participles, are formed from a verb. There are a few main types of participles: Present Active Participles, Perfect Passive Participles, Future Active Participles, and Future Passive Participles.
|
163 |
+
|
164 |
+
Latin sometimes uses prepositions, depending on the type of prepositional phrase being used. Most prepositions are followed by a noun in either the accusative or ablative case: "apud puerum" (with the boy), with "puerum" being the accusative form of "puer", boy, and "sine puero" (without the boy, "puero" being the ablative form of "puer". A few adpositions, however, govern a noun in the genitive (such as "gratia" and "tenus").
|
165 |
+
|
166 |
+
A regular verb in Latin belongs to one of four main conjugations. A conjugation is "a class of verbs with similar inflected forms."[55] The conjugations are identified by the last letter of the verb's present stem. The present stem can be found by omitting the -re (-rī in deponent verbs) ending from the present infinitive form. The infinitive of the first conjugation ends in -ā-re or -ā-ri (active and passive respectively): amāre, "to love," hortārī, "to exhort"; of the second conjugation by -ē-re or -ē-rī: monēre, "to warn", verērī, "to fear;" of the third conjugation by -ere, -ī: dūcere, "to lead," ūtī, "to use"; of the fourth by -ī-re, -ī-rī: audīre, "to hear," experīrī, "to attempt".[56]
|
167 |
+
|
168 |
+
Irregular verbs may not follow the types or may be marked in a different way. The "endings" presented above are not the suffixed infinitive markers. The first letter in each case is the last of the stem so the conjugations are also called a-conjugation, e-conjugation and i-conjugation. The fused infinitive ending is -re or -rī. Third-conjugation stems end in a consonant: the consonant conjugation. Further, there is a subset of the third conjugation, the i-stems, which behave somewhat like the fourth conjugation, as they are both i-stems, one short and the other long.[56] The stem categories descend from Indo-European and can therefore be compared to similar conjugations in other Indo-European languages.
|
169 |
+
|
170 |
+
There are six general "tenses" in Latin (present, imperfect, future, perfect, pluperfect and future perfect), three moods (indicative, imperative and subjunctive, in addition to the infinitive, participle, gerund, gerundive and supine), three persons (first, second and third), two numbers (singular and plural), two voices (active and passive) and two aspects (perfective and imperfective). Verbs are described by four principal parts:
|
171 |
+
|
172 |
+
There are six "tenses" in the Latin language. These are divided into two tense systems: the present system, which is made up of the present, imperfect and future tenses, and the perfect system, which is made up of the perfect, pluperfect and future perfect tenses. Each tense has a set of endings corresponding to the person, number, and voice of the subject. Subject (nominative) pronouns are generally omitted for the first (I, we) and second (you) persons except for emphasis.
|
173 |
+
|
174 |
+
The table below displays the common inflected endings for the indicative mood in the active voice in all six tenses. For the future tense, the first listed endings are for the first and second conjugations, and the second listed endings are for the third and fourth conjugations:
|
175 |
+
|
176 |
+
Some Latin verbs are deponent, causing their forms to be in the passive voice but retain an active meaning: hortor, hortārī, hortātus sum (to urge).
|
177 |
+
|
178 |
+
As Latin is an Italic language, most of its vocabulary is likewise Italic, ultimately from the ancestral Proto-Indo-European language. However, because of close cultural interaction, the Romans not only adapted the Etruscan alphabet to form the Latin alphabet but also borrowed some Etruscan words into their language, including persona "mask" and histrio "actor".[57] Latin also included vocabulary borrowed from Oscan, another Italic language.
|
179 |
+
|
180 |
+
After the Fall of Tarentum (272 BC), the Romans began Hellenising, or adopting features of Greek culture, including the borrowing of Greek words, such as camera (vaulted roof), sumbolum (symbol), and balineum (bath).[57] This Hellenisation led to the addition of "Y" and "Z" to the alphabet to represent Greek sounds.[58] Subsequently the Romans transplanted Greek art, medicine, science and philosophy to Italy, paying almost any price to entice Greek skilled and educated persons to Rome and sending their youth to be educated in Greece. Thus, many Latin scientific and philosophical words were Greek loanwords or had their meanings expanded by association with Greek words, as ars (craft) and τέχνη (art).[59]
|
181 |
+
|
182 |
+
Because of the Roman Empire's expansion and subsequent trade with outlying European tribes, the Romans borrowed some northern and central European words, such as beber (beaver), of Germanic origin, and bracae (breeches), of Celtic origin.[59] The specific dialects of Latin across Latin-speaking regions of the former Roman Empire after its fall were influenced by languages specific to the regions. The dialects of Latin evolved into different Romance languages.
|
183 |
+
|
184 |
+
During and after the adoption of Christianity into Roman society, Christian vocabulary became a part of the language, either from Greek or Hebrew borrowings or as Latin neologisms.[60] Continuing into the Middle Ages, Latin incorporated many more words from surrounding languages, including Old English and other Germanic languages.
|
185 |
+
|
186 |
+
Over the ages, Latin-speaking populations produced new adjectives, nouns, and verbs by affixing or compounding meaningful segments.[61] For example, the compound adjective, omnipotens, "all-powerful," was produced from the adjectives omnis, "all", and potens, "powerful", by dropping the final s of omnis and concatenating. Often, the concatenation changed the part of speech, and nouns were produced from verb segments or verbs from nouns and adjectives.[62]
|
187 |
+
|
188 |
+
The phrases are mentioned with accents to show where stress is placed.[63] In Latin, words are normally stressed either on the second-to-last (penultimate) syllable, called in Latin paenultima or syllaba paenultima,[64] or on the third-to-last syllable, called in Latin antepaenultima or syllaba antepaenultima.[64] In the following notation, accented short vowels have an acute diacritic, accented long vowels have a circumflex diacritic (representing long falling pitch), and unaccented long vowels are marked simply with a macron. This reflects the tone of the voice with which, ideally, the stress is phonetically realized; but this may not always be clearly articulated on every word in a sentence.[65] Regardless of length, a vowel at the end of a word may be significantly shortened or even altogether deleted if the next word begins with a vowel also (a process called elision), unless a very short pause is inserted. As an exception, the following words: est (English "is"), es ("[you (sg.)] are") lose their own vowel e instead.
|
189 |
+
|
190 |
+
sálvē to one person / salvête to more than one person – hello
|
191 |
+
|
192 |
+
ávē to one person / avête to more than one person – greetings
|
193 |
+
|
194 |
+
válē to one person / valête to more than one person – goodbye
|
195 |
+
|
196 |
+
cûrā ut váleās – take care
|
197 |
+
|
198 |
+
exoptâtus to male / exoptâta to female, optâtus to male / optâta to female, grâtus to male / grâta to female, accéptus to male / accépta to female – welcome
|
199 |
+
|
200 |
+
quômodo válēs?, ut válēs? – how are you?
|
201 |
+
|
202 |
+
béne – good
|
203 |
+
|
204 |
+
béne váleō – I'm fine
|
205 |
+
|
206 |
+
mále – bad
|
207 |
+
|
208 |
+
mále váleō – I'm not good
|
209 |
+
|
210 |
+
quaêsō (roughly: ['kwaeso:]/['kwe:so:]) – please
|
211 |
+
|
212 |
+
amâbō tē – please
|
213 |
+
|
214 |
+
íta, íta est, íta vêrō, sîc, sîc est, étiam – yes
|
215 |
+
|
216 |
+
nôn, mínimē – no
|
217 |
+
|
218 |
+
grâtiās tíbi, grâtiās tíbi ágō – thank you, I give thanks to you
|
219 |
+
|
220 |
+
mágnās grâtiās, mágnās grâtiās ágō – many thanks
|
221 |
+
|
222 |
+
máximās grâtiās, máximās grâtiās ágō, ingéntēs grâtiās ágō – thank you very much
|
223 |
+
|
224 |
+
áccipe sīs to one person / accípite sîtis to more than one person, libénter – you're welcome
|
225 |
+
|
226 |
+
quā aetâte es? – how old are you?
|
227 |
+
|
228 |
+
25 (vīgíntī quînque) ánnōs nâtus sum by male / 25 ánnōs nâta sum by female – I am 25 years old
|
229 |
+
|
230 |
+
úbi lātrîna est? – where is the toilet?
|
231 |
+
|
232 |
+
scîs (tū) ... – do you speak (literally: "do you know") ...
|
233 |
+
|
234 |
+
ámō tē / tē ámō – I love you
|
235 |
+
|
236 |
+
In ancient times, numbers in Latin were written only with letters. Today, the numbers can be written with the Arabic numbers as well as with Roman numerals. The numbers 1, 2 and 3 and every whole hundred from 200 to 900 are declined as nouns and adjectives, with some differences.
|
237 |
+
|
238 |
+
The numbers from 4 to 100 do not change their endings. As in modern descendants such as Spanish, the gender for naming a number in isolation is masculine, so that "1, 2, 3" is counted as ūnus, duo, trēs.
|
239 |
+
|
240 |
+
Commentarii de Bello Gallico, also called De Bello Gallico (The Gallic War), written by Gaius Julius Caesar, begins with the following passage:
|
241 |
+
|
242 |
+
Gallia est omnis divisa in partes tres, quarum unam incolunt Belgae, aliam Aquitani, tertiam qui ipsorum lingua Celtae, nostra Galli appellantur. Hi omnes lingua, institutis, legibus inter se differunt. Gallos ab Aquitanis Garumna flumen, a Belgis Matrona et Sequana dividit. Horum omnium fortissimi sunt Belgae, propterea quod a cultu atque humanitate provinciae longissime absunt, minimeque ad eos mercatores saepe commeant atque ea quae ad effeminandos animos pertinent important, proximique sunt Germanis, qui trans Rhenum incolunt, quibuscum continenter bellum gerunt. Qua de causa Helvetii quoque reliquos Gallos virtute praecedunt, quod fere cotidianis proeliis cum Germanis contendunt, cum aut suis finibus eos prohibent aut ipsi in eorum finibus bellum gerunt. Eorum una pars, quam Gallos obtinere dictum est, initium capit a flumine Rhodano, continetur Garumna flumine, Oceano, finibus Belgarum; attingit etiam ab Sequanis et Helvetiis flumen Rhenum; vergit ad septentriones. Belgae ab extremis Galliae finibus oriuntur; pertinent ad inferiorem partem fluminis Rheni; spectant in septentrionem et orientem solem. Aquitania a Garumna flumine ad Pyrenaeos montes et eam partem Oceani quae est ad Hispaniam pertinet; spectat inter occasum solis et septentriones.
|
243 |
+
|
244 |
+
The same text may be marked for all long vowels (before any possible elisions at word boundary) with apices over vowel letters, including customarily before "nf" and "ns" where a long vowel is automatically produced:
|
245 |
+
|
246 |
+
Gallia est omnis dívísa in partés trés, quárum únam incolunt Belgae, aliam Aquítání, tertiam quí ipsórum linguá Celtae, nostrá Gallí appellantur. Hí omnés linguá, ínstitútís, légibus inter sé differunt. Gallós ab Aquítánís Garumna flúmen, á Belgís Mátrona et Séquana dívidit. Hórum omnium fortissimí sunt Belgae, proptereá quod á cultú atque húmánitáte próvinciae longissimé absunt, miniméque ad eós mercátórés saepe commeant atque ea quae ad efféminandós animós pertinent important, proximíque sunt Germánís, quí tráns Rhénum incolunt, quibuscum continenter bellum gerunt. Quá dé causá Helvétií quoque reliquós Gallós virtúte praecédunt, quod feré cotídiánís proeliís cum Germánís contendunt, cum aut suís fínibus eós prohibent aut ipsí in eórum fínibus bellum gerunt. Eórum úna pars, quam Gallós obtinére dictum est, initium capit á flúmine Rhodanó, continétur Garumná flúmine, Óceanó, fínibus Belgárum; attingit etiam ab Séquanís et Helvétiís flúmen Rhénum; vergit ad septentriónés. Belgae ab extrémís Galliae fínibus oriuntur; pertinent ad ínferiórem partem flúminis Rhéní; spectant in septentriónem et orientem sólem. Aquítánia á Garumná flúmine ad Pýrénaeós montés et eam partem Óceaní quae est ad Hispániam pertinet; spectat inter occásum sólis et septentriónés.
|
247 |
+
|
248 |
+
until 75 BCOld Latin
|
249 |
+
|
250 |
+
75 BC – 200 ADClassical Latin
|
251 |
+
|
252 |
+
200–900Late Latin
|
253 |
+
|
254 |
+
900–1300Medieval Latin
|
255 |
+
|
256 |
+
1300–1500Renaissance Latin
|
257 |
+
|
258 |
+
1500–1900New Latin
|
259 |
+
|
260 |
+
1900–presentContemporary Latin
|
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1 |
+
|
2 |
+
|
3 |
+
|
4 |
+
|
5 |
+
Latin (lingua latīna, IPA: [ˈlɪŋɡʷa laˈtiːna]) is a classical language belonging to the Italic branch of the Indo-European languages. Latin was originally spoken in the area around Rome, known as Latium.[4] Through the power of the Roman Republic, it became the dominant language in Italy, and subsequently throughout the western Roman Empire. Latin has contributed many words to the English language. In particular, Latin (and Ancient Greek) roots are used in English descriptions of theology, the sciences, medicine, and law. It is the official language in the Holy See (Vatican City).
|
6 |
+
|
7 |
+
By the late Roman Republic (75 BC), Old Latin had been standardised into Classical Latin. Vulgar Latin was the colloquial form spoken during the same time and attested in inscriptions and the works of comic playwrights like Plautus and Terence[5] and author Petronius. Late Latin is the written language from the 3rd century; its colloquial form Vulgar Latin developed in the 6th to 9th centuries into the Romance languages, such as Italian, Sardinian, Venetian, Neapolitan, Sicilian, Piedmontese, Lombard, French, Franco-Provençal, Occitan, Corsican, Ladin, Friulan, Romansh, Catalan/Valencian, Aragonese, Spanish, Asturian, Galician, and Portuguese. Medieval Latin was used as a literary language from the 9th century to the Renaissance which used Renaissance Latin. Later, Early Modern Latin and New Latin evolved. Latin was the language of international communication, scholarship and science until well into the 18th century, when vernaculars (including the Romance languages) supplanted it. Ecclesiastical Latin remains the official language of the Holy See and the Roman Rite of the Catholic Church.
|
8 |
+
|
9 |
+
Latin is a highly inflected language, with three distinct genders, six or seven noun cases, five declensions, four verb conjugations, six tenses, three persons, three moods, two voices, two or three aspects and two numbers. The Latin alphabet is derived from the Etruscan and Greek alphabets and ultimately from the Phoenician alphabet.
|
10 |
+
|
11 |
+
A number of historical phases of the language have been recognized, each distinguished by subtle differences in vocabulary, usage, spelling, morphology, and syntax. There are no hard and fast rules of classification; different scholars emphasize different features. As a result, the list has variants, as well as alternative names.
|
12 |
+
|
13 |
+
In addition to the historical phases, Ecclesiastical Latin refers to the styles used by the writers of the Roman Catholic Church from Late Antiquity onward, as well as by Protestant scholars.
|
14 |
+
|
15 |
+
After the Western Roman Empire fell in 476, and Germanic kingdoms took its place, the Germanic people adopted Latin as a language more suitable for legal and other, more formal uses.[citation needed]
|
16 |
+
|
17 |
+
The earliest known form of Latin is Old Latin, which was spoken from the Roman Kingdom to the later part of the Roman Republic period. It is attested both in inscriptions and in some of the earliest extant Latin literary works, such as the comedies of Plautus and Terence. The Latin alphabet was devised from the Etruscan alphabet. The writing later changed from what was initially either a right-to-left or a boustrophedon[6][7] script to what ultimately became a strictly left-to-right script.[8]
|
18 |
+
|
19 |
+
During the late republic and into the first years of the empire, a new Classical Latin arose, a conscious creation of the orators, poets, historians and other literate men, who wrote the great works of classical literature, which were taught in grammar and rhetoric schools. Today's instructional grammars trace their roots to such schools, which served as a sort of informal language academy dedicated to maintaining and perpetuating educated speech.[9][10]
|
20 |
+
|
21 |
+
Philological analysis of Archaic Latin works, such as those of Plautus, which contain snippets of everyday speech, indicates that a spoken language, Vulgar Latin (termed sermo vulgi, "the speech of the masses", by Cicero), existed concurrently with literate Classical Latin. The informal language was rarely written, so philologists have been left with only individual words and phrases cited by classical authors and those found as graffiti.[11]
|
22 |
+
As it was free to develop on its own, there is no reason to suppose that the speech was uniform either diachronically or geographically. On the contrary, romanised European populations developed their own dialects of the language, which eventually led to the differentiation of Romance languages.[12] The decline of the Roman Empire meant a deterioration in educational standards that brought about Late Latin, a postclassical stage of the language seen in Christian writings of the time. It was more in line with everyday speech, not only because of a decline in education but also because of a desire to spread the word to the masses.[citation needed]
|
23 |
+
|
24 |
+
Despite dialectal variation, which is found in any widespread language, the languages of Spain, France, Portugal, and Italy retained a remarkable unity in phonological forms and developments, bolstered by the stabilising influence of their common Christian (Roman Catholic) culture. It was not until the Moorish conquest of Spain in 711 cut off communications between the major Romance regions that the languages began to diverge seriously.[13] The Vulgar Latin dialect that would later become Romanian diverged somewhat more from the other varieties, as it was largely cut off from the unifying influences in the western part of the Empire.
|
25 |
+
|
26 |
+
One key marker of whether a given Romance feature was found in Vulgar Latin is to compare it with its parallel in Classical Latin. If it was not preferred in Classical Latin, then it most likely came from the undocumented contemporaneous Vulgar Latin. For example, the Romance for "horse" (Italian cavallo, French cheval, Spanish caballo, Portuguese cavalo and Romanian cal) came from Latin caballus. However, Classical Latin used equus. Therefore, caballus was most likely the spoken form.[14]
|
27 |
+
|
28 |
+
Vulgar Latin began to diverge into distinct languages by the 9th century at the latest, when the earliest extant Romance writings begin to appear. They were, throughout the period, confined to everyday speech, as Medieval Latin was used for writing.[15][16]
|
29 |
+
|
30 |
+
Medieval Latin is the written Latin in use during that portion of the postclassical period when no corresponding Latin vernacular existed. The spoken language had developed into the various incipient Romance languages; however, in the educated and official world Latin continued without its natural spoken base. Moreover, this Latin spread into lands that had never spoken Latin, such as the Germanic and Slavic nations. It became useful for international communication between the member states of the Holy Roman Empire and its allies.
|
31 |
+
|
32 |
+
Without the institutions of the Roman empire that had supported its uniformity, medieval Latin lost its linguistic cohesion: for example, in classical Latin sum and eram are used as auxiliary verbs in the perfect and pluperfect passive, which are compound tenses. Medieval Latin might use fui and fueram instead.[17] Furthermore, the meanings of many words have been changed and new vocabularies have been introduced from the vernacular. Identifiable individual styles of classically incorrect Latin prevail.[17]
|
33 |
+
|
34 |
+
The Renaissance briefly reinforced the position of Latin as a spoken language by its adoption by the Renaissance Humanists. Often led by members of the clergy, they were shocked by the accelerated dismantling of the vestiges of the classical world and the rapid loss of its literature. They strove to preserve what they could and restore Latin to what it had been and introduced the practice of producing revised editions of the literary works that remained by comparing surviving manuscripts. By no later than the 15th century they had replaced Medieval Latin with versions supported by the scholars of the rising universities, who attempted, by scholarship, to discover what the classical language had been.[19][15]
|
35 |
+
|
36 |
+
During the Early Modern Age, Latin still was the most important language of culture in Europe. Therefore, until the end of the 17th century the majority of books and almost all diplomatic documents were written in Latin. Afterwards, most diplomatic documents were written in French (a Romance language) and later native or other languages.
|
37 |
+
|
38 |
+
Despite having no native speakers, Latin is still used for a variety of purposes in the contemporary world.
|
39 |
+
|
40 |
+
The largest organisation that retains Latin in official and quasi-official contexts is the Catholic Church. Latin remains the language of the Roman Rite; the Tridentine Mass is celebrated in Latin. Although the Mass of Paul VI is usually celebrated in the local vernacular language, it can be and often is said in Latin, in part or in whole, especially at multilingual gatherings. It is the official language of the Holy See, the primary language of its public journal, the Acta Apostolicae Sedis, and the working language of the Roman Rota. Vatican City is also home to the world's only automatic teller machine that gives instructions in Latin.[20] In the pontifical universities postgraduate courses of Canon law are taught in Latin, and papers are written in the same language.
|
41 |
+
|
42 |
+
In the Anglican Church, after the publication of the Book of Common Prayer of 1559, a Latin edition was published in 1560 for use in universities such as Oxford and the leading "public schools" (English private academies), where the liturgy was still permitted to be conducted in Latin.[21] There have been several Latin translations since, including a Latin edition of the 1979 USA Anglican Book of Common Prayer.[22]
|
43 |
+
|
44 |
+
In the Western world, many organizations, governments and schools use Latin for their mottos due to its association with formality, tradition, and the roots of Western culture.
|
45 |
+
|
46 |
+
Canada's motto A mari usque ad mare ("from sea to sea") and most provincial mottos are also in Latin. The Canadian Victoria Cross is modelled after the British Victoria Cross which has the inscription "For Valour". Because Canada is officially bilingual, the Canadian medal has replaced the English inscription with the Latin Pro Valore.
|
47 |
+
|
48 |
+
Spain's motto PLVS VLTRA, meaning "further beyond", is also Latin in origin.[23] It is taken from the personal motto of Charles V, Holy Roman Emperor and King of Spain (as Charles I), and is a reversal of the original phrase Non terrae plus ultra ("No land further beyond"). This was said to have been inscribed as a warning on the Pillars of Hercules at the Strait of Gibraltar, which marked the edge of the known world. Charles adopted the motto following the discovery of the New World by Columbus, and it also has metaphorical suggestions of taking risks and striving for excellence.
|
49 |
+
|
50 |
+
Several states of the United States have Latin mottos: such as Connecticut's motto Qui transtulit sustinet ("He who transplanted sustains"); Kansas's Ad astra per aspera ("To the stars through hardships"); Colorado's Nil sine numine ("Nothing without providence"); Michigan's Si quaeris peninsulam amoenam, circumspice ("If you seek a pleasant peninsula, look about you"); Missouri's Salus populi suprema lex esto ("The health of the people should be the highest law"); North Carolina's Esse quam videri ("To be rather than to seem"); Virginia's Sic semper tyrannis ("Thus always to tyrants"); and West Virginia's Montani semper liberi ("Mountaineers are always free").
|
51 |
+
|
52 |
+
Many military organizations today have Latin mottos, such as Semper paratus ("always ready"), the motto of the United States Coast Guard; Semper fidelis ("always faithful"), the motto of the United States Marine Corps; and Per ardua ad astra ("Through adversity/struggle to the stars"), the motto of the Royal Air Force (RAF).
|
53 |
+
|
54 |
+
Some colleges and universities have adopted Latin mottos, for example Harvard University's motto is Veritas ("truth"). Veritas was the goddess of truth, a daughter of Saturn, and the mother of Virtue.
|
55 |
+
|
56 |
+
Switzerland has adopted the country's Latin short name Helvetia on coins and stamps, since there is no room to use all of the nation's four official languages. For a similar reason, it adopted the international vehicle and internet code CH, which stands for Confœderatio Helvetica, the country's full Latin name.
|
57 |
+
|
58 |
+
Some films of ancient settings, such as Sebastiane and The Passion of the Christ, have been made with dialogue in Latin for the sake of realism. Occasionally, Latin dialogue is used because of its association with religion or philosophy, in such film/television series as The Exorcist and Lost ("Jughead"). Subtitles are usually shown for the benefit of those who do not understand Latin. There are also songs written with Latin lyrics. The libretto for the opera-oratorio Oedipus rex by Igor Stravinsky is in Latin.
|
59 |
+
|
60 |
+
The continued instruction of Latin is often seen as a highly valuable component of a liberal arts education. Latin is taught at many high schools, especially in Europe and the Americas. It is most common in British public schools and grammar schools, the Italian liceo classico and liceo scientifico, the German Humanistisches Gymnasium and the Dutch gymnasium.
|
61 |
+
|
62 |
+
Occasionally, some media outlets, targeting enthusiasts, broadcast in Latin. Notable examples include Radio Bremen in Germany, YLE radio in Finland (the Nuntii Latini broadcast from 1989 until it was shut down in June 2019),[24] and Vatican Radio & Television, all of which broadcast news segments and other material in Latin.[25][26][27]
|
63 |
+
|
64 |
+
There are many websites and forums maintained in Latin by enthusiasts. The Latin Wikipedia has more than 100,000 articles.
|
65 |
+
|
66 |
+
Italian, French, Portuguese, Spanish, Romanian, Catalan, Romansh, and other Romance languages are direct descendants of Latin. There are also many Latin derivatives in English as well as a few in German, Dutch, Norwegian, Danish, and Swedish. Latin is still spoken in Vatican City, a city-state situated in Rome that is the seat of the Catholic Church.
|
67 |
+
|
68 |
+
Some inscriptions have been published in an internationally agreed, monumental, multivolume series, the Corpus Inscriptionum Latinarum (CIL). Authors and publishers vary, but the format is about the same: volumes detailing inscriptions with a critical apparatus stating the provenance and relevant information. The reading and interpretation of these inscriptions is the subject matter of the field of epigraphy. About 270,000 inscriptions are known.
|
69 |
+
|
70 |
+
The works of several hundred ancient authors who wrote in Latin have survived in whole or in part, in substantial works or in fragments to be analyzed in philology. They are in part the subject matter of the field of classics. Their works were published in manuscript form before the invention of printing and are now published in carefully annotated printed editions, such as the Loeb Classical Library, published by Harvard University Press, or the Oxford Classical Texts, published by Oxford University Press.
|
71 |
+
|
72 |
+
Latin translations of modern literature such as The Hobbit, Treasure Island, Robinson Crusoe, Paddington Bear, Winnie the Pooh, The Adventures of Tintin, Asterix, Harry Potter, Le Petit Prince, Max and Moritz, How the Grinch Stole Christmas!, The Cat in the Hat, and a book of fairy tales, "fabulae mirabiles", are intended to garner popular interest in the language. Additional resources include phrasebooks and resources for rendering everyday phrases and concepts into Latin, such as Meissner's Latin Phrasebook.
|
73 |
+
|
74 |
+
The Latin influence in English has been significant at all stages of its insular development. In the Middle Ages, borrowing from Latin occurred from ecclesiastical usage established by Saint Augustine of Canterbury in the 6th century or indirectly after the Norman Conquest, through the Anglo-Norman language. From the 16th to the 18th centuries, English writers cobbled together huge numbers of new words from Latin and Greek words, dubbed "inkhorn terms", as if they had spilled from a pot of ink. Many of these words were used once by the author and then forgotten, but some useful ones survived, such as 'imbibe' and 'extrapolate'. Many of the most common polysyllabic English words are of Latin origin through the medium of Old French. Romance words make respectively 59%, 20% and 14% of English, German and Dutch vocabularies.[28][29][30] Those figures can rise dramatically when only non-compound and non-derived words are included.
|
75 |
+
|
76 |
+
The influence of Roman governance and Roman technology on the less-developed nations under Roman dominion led to the adoption of Latin phraseology in some specialized areas, such as science, technology, medicine, and law. For example, the Linnaean system of plant and animal classification was heavily influenced by Historia Naturalis, an encyclopedia of people, places, plants, animals, and things published by Pliny the Elder. Roman medicine, recorded in the works of such physicians as Galen, established that today's medical terminology would be primarily derived from Latin and Greek words, the Greek being filtered through the Latin. Roman engineering had the same effect on scientific terminology as a whole. Latin law principles have survived partly in a long list of Latin legal terms.
|
77 |
+
|
78 |
+
A few international auxiliary languages have been heavily influenced by Latin. Interlingua is sometimes considered a simplified, modern version of the language.[dubious – discuss] Latino sine Flexione, popular in the early 20th century, is Latin with its inflections stripped away, among other grammatical changes.
|
79 |
+
|
80 |
+
The Logudorese dialect of the Sardinian language is the closest contemporary language to Latin.[31]
|
81 |
+
|
82 |
+
Throughout European history, an education in the classics was considered crucial for those who wished to join literate circles. Instruction in Latin is an essential aspect. In today's world, a large number of Latin students in the US learn from Wheelock's Latin: The Classic Introductory Latin Course, Based on Ancient Authors. This book, first published in 1956,[32] was written by Frederic M. Wheelock, who received a PhD from Harvard University. Wheelock's Latin has become the standard text for many American introductory Latin courses.
|
83 |
+
|
84 |
+
The Living Latin movement attempts to teach Latin in the same way that living languages are taught, as a means of both spoken and written communication. It is available at the Vatican and at some institutions in the US, such as the University of Kentucky and Iowa State University. The British Cambridge University Press is a major supplier of Latin textbooks for all levels, such as the Cambridge Latin Course series. It has also published a subseries of children's texts in Latin by Bell & Forte, which recounts the adventures of a mouse called Minimus.
|
85 |
+
|
86 |
+
In the United Kingdom, the Classical Association encourages the study of antiquity through various means, such as publications and grants. The University of Cambridge,[33] the Open University,[34] a number of prestigious independent schools, for example Eton, Harrow, Haberdashers' Aske's Boys' School, Merchant Taylor’s School, Via Facilis and Rugby,[35] a London-based charity, run Latin courses. In the United States and in Canada, the American Classical League supports every effort to further the study of classics. Its subsidiaries include the National Junior Classical League (with more than 50,000 members), which encourages high school students to pursue the study of Latin, and the National Senior Classical League, which encourages students to continue their study of the classics into college. The league also sponsors the National Latin Exam. Classicist Mary Beard wrote in The Times Literary Supplement in 2006 that the reason for learning Latin is because of what was written in it.[36]
|
87 |
+
|
88 |
+
Latin was or is the official language of European states:
|
89 |
+
|
90 |
+
The ancient pronunciation of Latin has been reconstructed; among the data used for reconstruction are explicit statements about pronunciation by ancient authors, misspellings, puns, ancient etymologies, the spelling of Latin loanwords in other languages, and the historical development of Romance languages.[42]
|
91 |
+
|
92 |
+
The consonant phonemes of Classical Latin are as follows:[43]
|
93 |
+
|
94 |
+
/z/ was not native to Classical Latin. It appeared in Greek loanwords starting around the first century BC, when it was probably pronounced [z] initially and doubled [zz] between vowels, in contrast to Classical Greek [dz] or [zd]. In Classical Latin poetry, the letter ⟨z⟩ between vowels always counts as two consonants for metrical purposes.[44][45]
|
95 |
+
|
96 |
+
In Old and Classical Latin, the Latin alphabet had no distinction between uppercase and lowercase, and the letters ⟨J U W⟩ did not exist. In place of ⟨J U⟩, ⟨I V⟩ were used, respectively; ⟨I V⟩ represented both vowels and consonants. Most of the letterforms were similar to modern uppercase, as can be seen in the inscription from the Colosseum shown at the top of the article.
|
97 |
+
|
98 |
+
The spelling systems used in Latin dictionaries and modern editions of Latin texts, however, normally use ⟨j u⟩ in place of Classical-era ⟨i v⟩. Some systems use ⟨j v⟩ for the consonant sounds /j w/ except in the combinations ⟨gu su qu⟩ for which ⟨v⟩ is never used.
|
99 |
+
|
100 |
+
Some notes concerning the mapping of Latin phonemes to English graphemes are given below:
|
101 |
+
|
102 |
+
In Classical Latin, as in modern Italian, double consonant letters were pronounced as long consonant sounds distinct from short versions of the same consonants. Thus the nn in Classical Latin annus, year, (and in Italian anno) is pronounced as a doubled /nn/ as in English unnamed. (In English, distinctive consonant length or doubling occurs only at the boundary between two words or morphemes, as in that example.)
|
103 |
+
|
104 |
+
In Classical Latin, ⟨U⟩ did not exist as a letter distinct from V; the written form ⟨V⟩ was used to represent both a vowel and a consonant. ⟨Y⟩ was adopted to represent upsilon in loanwords from Greek, but it was pronounced like ⟨u⟩ and ⟨i⟩ by some speakers. It was also used in native Latin words by confusion with Greek words of similar meaning, such as sylva and ὕλη.
|
105 |
+
|
106 |
+
Classical Latin distinguished between long and short vowels. Then, long vowels, except for ⟨I⟩, were frequently marked using the apex, which was sometimes similar to an acute accent ⟨Á É Ó V́ Ý⟩. Long /iː/ was written using a taller version of ⟨I⟩, called i longa "long I": ⟨ꟾ⟩. In modern texts, long vowels are often indicated by a macron ⟨ā ē ī ō ū⟩, and short vowels are usually unmarked except when it is necessary to distinguish between words, when they are marked with a breve ⟨ă ĕ ĭ ŏ ŭ⟩. The acute accent, when it is used in modern Latin texts, indicates stress, as in Spanish, rather than length.
|
107 |
+
|
108 |
+
Long vowels in Classical Latin are, technically, pronounced as entirely different from short vowels. The difference is described in the table below:
|
109 |
+
|
110 |
+
A vowel letter followed by ⟨m⟩ at the end of a word, or a vowel letter followed by ⟨n⟩ before ⟨s⟩ or ⟨f⟩, represented a long nasal vowel, as in monstrum /mõːstrũːm/.
|
111 |
+
|
112 |
+
Classical Latin had several diphthongs. The two most common were ⟨ae au⟩. ⟨oe⟩ was fairly rare, and ⟨ui eu ei⟩ were very rare, at least in native Latin words.[48] There has also been debate over whether ⟨ui⟩ is truly a diphthong in Classical Latin, due to its rarity, absence in works of Roman grammarians, and the roots of Classical Latin words (i.e. hui ce to huic, quoi to cui, etc.) not matching or being similar to the pronunciation of classical words if ⟨ui⟩ were to be considered a diphthong.[49]
|
113 |
+
|
114 |
+
The sequences sometimes did not represent diphthongs. ⟨ae⟩ and ⟨oe⟩ also represented a sequence of two vowels in different syllables in aēnus [aˈeː.nʊs] "of bronze" and coēpit [kɔˈeː.pɪt] "began", and ⟨au ui eu ei ou⟩ represented sequences of two vowels or of a vowel and one of the semivowels /j w/, in cavē [ˈka.weː] "beware!", cuius [ˈkʊj.jʊs] "whose", monuī [ˈmɔn.ʊ.iː] "I warned", solvī [ˈsɔɫ.wiː] "I released", dēlēvī [deːˈleː.wiː] "I destroyed", eius [ˈɛj.jʊs] "his", and novus [ˈnɔ.wʊs] "new".
|
115 |
+
|
116 |
+
Old Latin had more diphthongs, but most of them changed into long vowels in Classical Latin. The Old Latin diphthong ⟨ai⟩ and the sequence ⟨āī⟩ became Classical ⟨ae⟩. Old Latin ⟨oi⟩ and ⟨ou⟩ changed to Classical ⟨ū⟩, except in a few words whose ⟨oi⟩ became Classical ⟨oe⟩. These two developments sometimes occurred in different words from the same root: for instance, Classical poena "punishment" and pūnīre "to punish".[48] Early Old Latin ⟨ei⟩ usually changed to Classical ⟨ī⟩.[50]
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117 |
+
|
118 |
+
In Vulgar Latin and the Romance languages, ⟨ae oe⟩ merged with ⟨e ē⟩. During the Classical Latin period this form of speaking was deliberately avoided by well-educated speakers.[48]
|
119 |
+
|
120 |
+
Latin was written in the Latin alphabet, derived from the Etruscan alphabet, which was in turn drawn from the Greek alphabet and ultimately the Phoenician alphabet.[51] This alphabet has continued to be used over the centuries as the script for the Romance, Celtic, Germanic, Baltic, Finnic, and many Slavic languages (Polish, Slovak, Slovene, Croatian, Bosnian and Czech); and it has been adopted by many languages around the world, including Vietnamese, the Austronesian languages, many Turkic languages, and most languages in sub-Saharan Africa, the Americas, and Oceania, making it by far the world's single most widely used writing system.
|
121 |
+
|
122 |
+
The number of letters in the Latin alphabet has varied. When it was first derived from the Etruscan alphabet, it contained only 21 letters.[52] Later, G was added to represent /ɡ/, which had previously been spelled C, and Z ceased to be included in the alphabet, as the language then had no voiced alveolar fricative.[53] The letters Y and Z were later added to represent Greek letters, upsilon and zeta respectively, in Greek loanwords.[53]
|
123 |
+
|
124 |
+
W was created in the 11th century from VV. It represented /w/ in Germanic languages, not Latin, which still uses V for the purpose. J was distinguished from the original I only during the late Middle Ages, as was the letter U from V.[53] Although some Latin dictionaries use J, it is rarely used for Latin text, as it was not used in classical times, but many other languages use it.
|
125 |
+
|
126 |
+
Classical Latin did not contain sentence punctuation, letter case,[54] or interword spacing, but apices were sometimes used to distinguish length in vowels and the interpunct was used at times to separate words. The first line of Catullus 3, originally written as
|
127 |
+
|
128 |
+
or with interpunct as
|
129 |
+
|
130 |
+
would be rendered in a modern edition as
|
131 |
+
|
132 |
+
or with macrons
|
133 |
+
|
134 |
+
or with apices
|
135 |
+
|
136 |
+
The Roman cursive script is commonly found on the many wax tablets excavated at sites such as forts, an especially extensive set having been discovered at Vindolanda on Hadrian's Wall in Britain. Most notable is the fact that while most of the Vindolanda tablets show spaces between words, spaces were avoided in monumental inscriptions from that era.
|
137 |
+
|
138 |
+
Occasionally, Latin has been written in other scripts:
|
139 |
+
|
140 |
+
Latin is a synthetic, fusional language in the terminology of linguistic typology. In more traditional terminology, it is an inflected language, but typologists are apt to say "inflecting". Words include an objective semantic element and markers specifying the grammatical use of the word. The fusion of root meaning and markers produces very compact sentence elements: amō, "I love," is produced from a semantic element, ama-, "love," to which -ō, a first person singular marker, is suffixed.
|
141 |
+
|
142 |
+
The grammatical function can be changed by changing the markers: the word is "inflected" to express different grammatical functions, but the semantic element usually does not change. (Inflection uses affixing and infixing. Affixing is prefixing and suffixing. Latin inflections are never prefixed.)
|
143 |
+
|
144 |
+
For example, amābit, "he (or she or it) will love", is formed from the same stem, amā-, to which a future tense marker, -bi-, is suffixed, and a third person singular marker, -t, is suffixed. There is an inherent ambiguity: -t may denote more than one grammatical category: masculine, feminine, or neuter gender. A major task in understanding Latin phrases and clauses is to clarify such ambiguities by an analysis of context. All natural languages contain ambiguities of one sort or another.
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145 |
+
|
146 |
+
The inflections express gender, number, and case in adjectives, nouns, and pronouns, a process called declension. Markers are also attached to fixed stems of verbs, to denote person, number, tense, voice, mood, and aspect, a process called conjugation. Some words are uninflected and undergo neither process, such as adverbs, prepositions, and interjections.
|
147 |
+
|
148 |
+
A regular Latin noun belongs to one of five main declensions, a group of nouns with similar inflected forms. The declensions are identified by the genitive singular form of the noun. The first declension, with a predominant ending letter of a, is signified by the genitive singular ending of -ae. The second declension, with a predominant ending letter of o, is signified by the genitive singular ending of -i. The third declension, with a predominant ending letter of i, is signified by the genitive singular ending of -is. The fourth declension, with a predominant ending letter of u, is signified by the genitive singular ending of -ūs. The fifth declension, with a predominant ending letter of e, is signified by the genitive singular ending of -ei.
|
149 |
+
|
150 |
+
There are seven Latin noun cases, which also apply to adjectives and pronouns and mark a noun's syntactic role in the sentence by means of inflections. Thus, word order is not as important in Latin as it is in English, which is less inflected. The general structure and word order of a Latin sentence can therefore vary. The cases are as follows:
|
151 |
+
|
152 |
+
Latin lacks both definite and indefinite articles so puer currit can mean either "the boy is running" or "a boy is running".
|
153 |
+
|
154 |
+
There are two types of regular Latin adjectives: first- and second- declension and third-declension. They are so-called because their forms are similar or identical to first- and second-declension and third-declension nouns, respectively. Latin adjectives also have comparative (more --, -er) and superlative (most --, est) forms. There are also a number of Latin participles.
|
155 |
+
|
156 |
+
Latin numbers are sometimes declined as adjectives. See Numbers below.
|
157 |
+
|
158 |
+
First and second-declension adjectives are declined like first-declension nouns for the feminine forms and like second-declension nouns for the masculine and neuter forms. For example, for mortuus, mortua, mortuum (dead), mortua is declined like a regular first-declension noun (such as puella (girl)), mortuus is declined like a regular second-declension masculine noun (such as dominus (lord, master)), and mortuum is declined like a regular second-declension neuter noun (such as auxilium (help)).
|
159 |
+
|
160 |
+
Third-declension adjectives are mostly declined like normal third-declension nouns, with a few exceptions. In the plural nominative neuter, for example, the ending is -ia (omnia (all, everything)), and for third-declension nouns, the plural nominative neuter ending is -a or -ia (capita (heads), animalia (animals)) They can have one, two or three forms for the masculine, feminine, and neuter nominative singular.
|
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+
|
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+
Latin participles, like English participles, are formed from a verb. There are a few main types of participles: Present Active Participles, Perfect Passive Participles, Future Active Participles, and Future Passive Participles.
|
163 |
+
|
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Latin sometimes uses prepositions, depending on the type of prepositional phrase being used. Most prepositions are followed by a noun in either the accusative or ablative case: "apud puerum" (with the boy), with "puerum" being the accusative form of "puer", boy, and "sine puero" (without the boy, "puero" being the ablative form of "puer". A few adpositions, however, govern a noun in the genitive (such as "gratia" and "tenus").
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A regular verb in Latin belongs to one of four main conjugations. A conjugation is "a class of verbs with similar inflected forms."[55] The conjugations are identified by the last letter of the verb's present stem. The present stem can be found by omitting the -re (-rī in deponent verbs) ending from the present infinitive form. The infinitive of the first conjugation ends in -ā-re or -ā-ri (active and passive respectively): amāre, "to love," hortārī, "to exhort"; of the second conjugation by -ē-re or -ē-rī: monēre, "to warn", verērī, "to fear;" of the third conjugation by -ere, -ī: dūcere, "to lead," ūtī, "to use"; of the fourth by -ī-re, -ī-rī: audīre, "to hear," experīrī, "to attempt".[56]
|
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+
|
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Irregular verbs may not follow the types or may be marked in a different way. The "endings" presented above are not the suffixed infinitive markers. The first letter in each case is the last of the stem so the conjugations are also called a-conjugation, e-conjugation and i-conjugation. The fused infinitive ending is -re or -rī. Third-conjugation stems end in a consonant: the consonant conjugation. Further, there is a subset of the third conjugation, the i-stems, which behave somewhat like the fourth conjugation, as they are both i-stems, one short and the other long.[56] The stem categories descend from Indo-European and can therefore be compared to similar conjugations in other Indo-European languages.
|
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+
|
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+
There are six general "tenses" in Latin (present, imperfect, future, perfect, pluperfect and future perfect), three moods (indicative, imperative and subjunctive, in addition to the infinitive, participle, gerund, gerundive and supine), three persons (first, second and third), two numbers (singular and plural), two voices (active and passive) and two aspects (perfective and imperfective). Verbs are described by four principal parts:
|
171 |
+
|
172 |
+
There are six "tenses" in the Latin language. These are divided into two tense systems: the present system, which is made up of the present, imperfect and future tenses, and the perfect system, which is made up of the perfect, pluperfect and future perfect tenses. Each tense has a set of endings corresponding to the person, number, and voice of the subject. Subject (nominative) pronouns are generally omitted for the first (I, we) and second (you) persons except for emphasis.
|
173 |
+
|
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+
The table below displays the common inflected endings for the indicative mood in the active voice in all six tenses. For the future tense, the first listed endings are for the first and second conjugations, and the second listed endings are for the third and fourth conjugations:
|
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+
|
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+
Some Latin verbs are deponent, causing their forms to be in the passive voice but retain an active meaning: hortor, hortārī, hortātus sum (to urge).
|
177 |
+
|
178 |
+
As Latin is an Italic language, most of its vocabulary is likewise Italic, ultimately from the ancestral Proto-Indo-European language. However, because of close cultural interaction, the Romans not only adapted the Etruscan alphabet to form the Latin alphabet but also borrowed some Etruscan words into their language, including persona "mask" and histrio "actor".[57] Latin also included vocabulary borrowed from Oscan, another Italic language.
|
179 |
+
|
180 |
+
After the Fall of Tarentum (272 BC), the Romans began Hellenising, or adopting features of Greek culture, including the borrowing of Greek words, such as camera (vaulted roof), sumbolum (symbol), and balineum (bath).[57] This Hellenisation led to the addition of "Y" and "Z" to the alphabet to represent Greek sounds.[58] Subsequently the Romans transplanted Greek art, medicine, science and philosophy to Italy, paying almost any price to entice Greek skilled and educated persons to Rome and sending their youth to be educated in Greece. Thus, many Latin scientific and philosophical words were Greek loanwords or had their meanings expanded by association with Greek words, as ars (craft) and τέχνη (art).[59]
|
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+
|
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+
Because of the Roman Empire's expansion and subsequent trade with outlying European tribes, the Romans borrowed some northern and central European words, such as beber (beaver), of Germanic origin, and bracae (breeches), of Celtic origin.[59] The specific dialects of Latin across Latin-speaking regions of the former Roman Empire after its fall were influenced by languages specific to the regions. The dialects of Latin evolved into different Romance languages.
|
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+
|
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+
During and after the adoption of Christianity into Roman society, Christian vocabulary became a part of the language, either from Greek or Hebrew borrowings or as Latin neologisms.[60] Continuing into the Middle Ages, Latin incorporated many more words from surrounding languages, including Old English and other Germanic languages.
|
185 |
+
|
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+
Over the ages, Latin-speaking populations produced new adjectives, nouns, and verbs by affixing or compounding meaningful segments.[61] For example, the compound adjective, omnipotens, "all-powerful," was produced from the adjectives omnis, "all", and potens, "powerful", by dropping the final s of omnis and concatenating. Often, the concatenation changed the part of speech, and nouns were produced from verb segments or verbs from nouns and adjectives.[62]
|
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+
|
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+
The phrases are mentioned with accents to show where stress is placed.[63] In Latin, words are normally stressed either on the second-to-last (penultimate) syllable, called in Latin paenultima or syllaba paenultima,[64] or on the third-to-last syllable, called in Latin antepaenultima or syllaba antepaenultima.[64] In the following notation, accented short vowels have an acute diacritic, accented long vowels have a circumflex diacritic (representing long falling pitch), and unaccented long vowels are marked simply with a macron. This reflects the tone of the voice with which, ideally, the stress is phonetically realized; but this may not always be clearly articulated on every word in a sentence.[65] Regardless of length, a vowel at the end of a word may be significantly shortened or even altogether deleted if the next word begins with a vowel also (a process called elision), unless a very short pause is inserted. As an exception, the following words: est (English "is"), es ("[you (sg.)] are") lose their own vowel e instead.
|
189 |
+
|
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+
sálvē to one person / salvête to more than one person – hello
|
191 |
+
|
192 |
+
ávē to one person / avête to more than one person – greetings
|
193 |
+
|
194 |
+
válē to one person / valête to more than one person – goodbye
|
195 |
+
|
196 |
+
cûrā ut váleās – take care
|
197 |
+
|
198 |
+
exoptâtus to male / exoptâta to female, optâtus to male / optâta to female, grâtus to male / grâta to female, accéptus to male / accépta to female – welcome
|
199 |
+
|
200 |
+
quômodo válēs?, ut válēs? – how are you?
|
201 |
+
|
202 |
+
béne – good
|
203 |
+
|
204 |
+
béne váleō – I'm fine
|
205 |
+
|
206 |
+
mále – bad
|
207 |
+
|
208 |
+
mále váleō – I'm not good
|
209 |
+
|
210 |
+
quaêsō (roughly: ['kwaeso:]/['kwe:so:]) – please
|
211 |
+
|
212 |
+
amâbō tē – please
|
213 |
+
|
214 |
+
íta, íta est, íta vêrō, sîc, sîc est, étiam – yes
|
215 |
+
|
216 |
+
nôn, mínimē – no
|
217 |
+
|
218 |
+
grâtiās tíbi, grâtiās tíbi ágō – thank you, I give thanks to you
|
219 |
+
|
220 |
+
mágnās grâtiās, mágnās grâtiās ágō – many thanks
|
221 |
+
|
222 |
+
máximās grâtiās, máximās grâtiās ágō, ingéntēs grâtiās ágō – thank you very much
|
223 |
+
|
224 |
+
áccipe sīs to one person / accípite sîtis to more than one person, libénter – you're welcome
|
225 |
+
|
226 |
+
quā aetâte es? – how old are you?
|
227 |
+
|
228 |
+
25 (vīgíntī quînque) ánnōs nâtus sum by male / 25 ánnōs nâta sum by female – I am 25 years old
|
229 |
+
|
230 |
+
úbi lātrîna est? – where is the toilet?
|
231 |
+
|
232 |
+
scîs (tū) ... – do you speak (literally: "do you know") ...
|
233 |
+
|
234 |
+
ámō tē / tē ámō – I love you
|
235 |
+
|
236 |
+
In ancient times, numbers in Latin were written only with letters. Today, the numbers can be written with the Arabic numbers as well as with Roman numerals. The numbers 1, 2 and 3 and every whole hundred from 200 to 900 are declined as nouns and adjectives, with some differences.
|
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+
|
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+
The numbers from 4 to 100 do not change their endings. As in modern descendants such as Spanish, the gender for naming a number in isolation is masculine, so that "1, 2, 3" is counted as ūnus, duo, trēs.
|
239 |
+
|
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+
Commentarii de Bello Gallico, also called De Bello Gallico (The Gallic War), written by Gaius Julius Caesar, begins with the following passage:
|
241 |
+
|
242 |
+
Gallia est omnis divisa in partes tres, quarum unam incolunt Belgae, aliam Aquitani, tertiam qui ipsorum lingua Celtae, nostra Galli appellantur. Hi omnes lingua, institutis, legibus inter se differunt. Gallos ab Aquitanis Garumna flumen, a Belgis Matrona et Sequana dividit. Horum omnium fortissimi sunt Belgae, propterea quod a cultu atque humanitate provinciae longissime absunt, minimeque ad eos mercatores saepe commeant atque ea quae ad effeminandos animos pertinent important, proximique sunt Germanis, qui trans Rhenum incolunt, quibuscum continenter bellum gerunt. Qua de causa Helvetii quoque reliquos Gallos virtute praecedunt, quod fere cotidianis proeliis cum Germanis contendunt, cum aut suis finibus eos prohibent aut ipsi in eorum finibus bellum gerunt. Eorum una pars, quam Gallos obtinere dictum est, initium capit a flumine Rhodano, continetur Garumna flumine, Oceano, finibus Belgarum; attingit etiam ab Sequanis et Helvetiis flumen Rhenum; vergit ad septentriones. Belgae ab extremis Galliae finibus oriuntur; pertinent ad inferiorem partem fluminis Rheni; spectant in septentrionem et orientem solem. Aquitania a Garumna flumine ad Pyrenaeos montes et eam partem Oceani quae est ad Hispaniam pertinet; spectat inter occasum solis et septentriones.
|
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+
|
244 |
+
The same text may be marked for all long vowels (before any possible elisions at word boundary) with apices over vowel letters, including customarily before "nf" and "ns" where a long vowel is automatically produced:
|
245 |
+
|
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+
Gallia est omnis dívísa in partés trés, quárum únam incolunt Belgae, aliam Aquítání, tertiam quí ipsórum linguá Celtae, nostrá Gallí appellantur. Hí omnés linguá, ínstitútís, légibus inter sé differunt. Gallós ab Aquítánís Garumna flúmen, á Belgís Mátrona et Séquana dívidit. Hórum omnium fortissimí sunt Belgae, proptereá quod á cultú atque húmánitáte próvinciae longissimé absunt, miniméque ad eós mercátórés saepe commeant atque ea quae ad efféminandós animós pertinent important, proximíque sunt Germánís, quí tráns Rhénum incolunt, quibuscum continenter bellum gerunt. Quá dé causá Helvétií quoque reliquós Gallós virtúte praecédunt, quod feré cotídiánís proeliís cum Germánís contendunt, cum aut suís fínibus eós prohibent aut ipsí in eórum fínibus bellum gerunt. Eórum úna pars, quam Gallós obtinére dictum est, initium capit á flúmine Rhodanó, continétur Garumná flúmine, Óceanó, fínibus Belgárum; attingit etiam ab Séquanís et Helvétiís flúmen Rhénum; vergit ad septentriónés. Belgae ab extrémís Galliae fínibus oriuntur; pertinent ad ínferiórem partem flúminis Rhéní; spectant in septentriónem et orientem sólem. Aquítánia á Garumná flúmine ad Pýrénaeós montés et eam partem Óceaní quae est ad Hispániam pertinet; spectat inter occásum sólis et septentriónés.
|
247 |
+
|
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+
until 75 BCOld Latin
|
249 |
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|
250 |
+
75 BC – 200 ADClassical Latin
|
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|
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+
200–900Late Latin
|
253 |
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|
254 |
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900–1300Medieval Latin
|
255 |
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|
256 |
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1300–1500Renaissance Latin
|
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+
|
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1500–1900New Latin
|
259 |
+
|
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+
1900–presentContemporary Latin
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Knowledge is a familiarity, awareness, or understanding of someone or something, such as facts (propositional knowledge), skills (procedural knowledge), or objects (acquaintance knowledge). By most accounts, knowledge can be acquired in many different ways and from many difference sources, including but not limited to perception, reason, memory, testimony, scientific inquiry, education, and practice. The philosophical study of knowledge is called epistemology.
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Knowledge can refer to a theoretical or practical understanding of a subject. It can be implicit (as with practical skill or expertise) or explicit (as with the theoretical understanding of a subject); formal or informal; systematic or particular.[1] The philosopher Plato famously pointed out the need for a distinction between knowledge and true belief in the Theaetetus, leading many to attribute to him a definition of knowledge as "justified true belief".[2][3] The difficulties with this definition raised by the Gettier problem have been the subject of extensive debate in epistemology for more than half a century.[2]
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The eventual demarcation of philosophy from science was made possible by the notion that philosophy's core was "theory of knowledge," a theory distinct from the sciences because it was their foundation... Without this idea of a "theory of knowledge," it is hard to imagine what "philosophy" could have been in the age of modern science.
|
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The definition of knowledge is a matter of ongoing debate among philosophers in the field of epistemology. The classical definition, described but not ultimately endorsed by Plato,[4] specifies that a statement must meet three criteria in order to be considered knowledge: it must be justified, true, and believed. Some claim that these conditions are not sufficient, as Gettier case examples allegedly demonstrate. There are a number of alternatives proposed, including Robert Nozick's arguments for a requirement that knowledge 'tracks the truth' and Simon Blackburn's additional requirement that we do not want to say that those who meet any of these conditions 'through a defect, flaw, or failure' have knowledge. Richard Kirkham suggests that our definition of knowledge requires that the evidence for the belief necessitates its truth.[5]
|
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In contrast to this approach, Ludwig Wittgenstein observed, following Moore's paradox, that one can say "He believes it, but it isn't so," but not "He knows it, but it isn't so."[6] He goes on to argue that these do not correspond to distinct mental states, but rather to distinct ways of talking about conviction. What is different here is not the mental state of the speaker, but the activity in which they are engaged. For example, on this account, to know that the kettle is boiling is not to be in a particular state of mind, but to perform a particular task with the statement that the kettle is boiling. Wittgenstein sought to bypass the difficulty of definition by looking to the way "knowledge" is used in natural languages. He saw knowledge as a case of a family resemblance. Following this idea, "knowledge" has been reconstructed as a cluster concept that points out relevant features but that is not adequately captured by any definition.[7]
|
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“Self-knowledge” usually refers to a person's knowledge of her own sensations, thoughts, beliefs, and other mental states.[8] A number of questions regarding self-knowledge have been the subject of extensive debates/ in philosophy, including whether self-knowledge differs from other types of knowledge, whether we have privileged self-knowledge compared to knowledge of other minds, and the nature of our acquaintance with ourselves.[8] David Hume famously expressed skepticism about whether we could ever have self-knowledge over and above our immediate awareness of a "bundle of perceptions", which was part of his broader skepticism about personal identity.[8]
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We generally assume that knowledge is more valuable than mere true belief. If so, what is the explanation? A formulation of the value problem in epistemology first occurs in Plato's Meno. Socrates points out to Meno that a man who knew the way to Larissa could lead others there correctly. But so, too, could a man who had true beliefs about how to get there, even if he had not gone there or had any knowledge of Larissa. Socrates says that it seems that both knowledge and true opinion can guide action. Meno then wonders why knowledge is valued more than true belief and why knowledge and true belief are different. Socrates responds that knowledge is more valuable than mere true belief because it is tethered or justified. Justification, or working out the reason for a true belief, locks down true belief.[9]
|
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|
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The problem is to identify what (if anything) makes knowledge more valuable than mere true belief, or that makes knowledge more valuable than a mere minimal conjunction of its components, such as justification, safety, sensitivity, statistical likelihood, and anti-Gettier conditions, on a particular analysis of knowledge that conceives of knowledge as divided into components (to which knowledge-first epistemological theories, which posit knowledge as fundamental, are notable exceptions).[10] The value problem re-emerged in the philosophical literature on epistemology in the twenty-first century following the rise of virtue epistemology in the 1980s, partly because of the obvious link to the concept of value in ethics.[11]
|
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|
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In contemporary philosophy, epistemologists including Ernest Sosa, John Greco, Jonathan Kvanvig,[12] Linda Zagzebski, and Duncan Pritchard have defended virtue epistemology as a solution to the value problem. They argue that epistemology should also evaluate the "properties" of people as epistemic agents (i.e. intellectual virtues), rather than merely the properties of propositions and propositional mental attitudes.
|
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The development of the scientific method has made a significant contribution to how knowledge of the physical world and its phenomena is acquired.[13] To be termed scientific, a method of inquiry must be based on gathering observable and measurable evidence subject to specific principles of reasoning and experimentation.[14] The scientific method consists of the collection of data through observation and experimentation, and the formulation and testing of hypotheses.[15] Science, and the nature of scientific knowledge have also become the subject of philosophy. As science itself has developed, scientific knowledge now includes a broader usage[16] in the soft sciences such as biology and the social sciences – discussed elsewhere as meta-epistemology, or genetic epistemology, and to some extent related to "theory of cognitive development". Note that "epistemology" is the study of knowledge and how it is acquired. Science is "the process used everyday to logically complete thoughts through inference of facts determined by calculated experiments." Sir Francis Bacon was critical in the historical development of the scientific method; his works established and popularized an inductive methodology for scientific inquiry. His famous aphorism, "knowledge is power", is found in the Meditations Sacrae (1597).[17]
|
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Until recent times, at least in the Western tradition, it was simply taken for granted that knowledge was something possessed only by humans – and probably adult humans at that. Sometimes the notion might stretch to Society-as-such, as in (e. g.) "the knowledge possessed by the Coptic culture" (as opposed to its individual members), but that was not assured either. Nor was it usual to consider unconscious knowledge in any systematic way until this approach was popularized by Freud.[18]
|
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+
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Other biological domains where "knowledge" might be said to reside, include: (iii) the immune system, and (iv) in the DNA of the genetic code. See the list of four "epistemological domains": Popper, (1975);[19] and Traill (2008:[20] Table S, p. 31) – also references by both to Niels Jerne.
|
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+
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+
Such considerations seem to call for a separate definition of "knowledge" to cover the biological systems. For biologists, knowledge must be usefully available to the system, though that system need not be conscious. Thus the criteria seem to be:
|
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+
|
31 |
+
Those who use the phrase "scientific knowledge" don't necessary claim to certainty, since scientists will never be absolutely certain when they are correct and when they are not. It is thus an irony of proper scientific method that one must doubt even when correct, in the hopes that this practice will lead to greater convergence on the truth in general.[22]
|
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+
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Situated knowledge is knowledge specific to a particular situation. It was used by Donna Haraway as an extension of the feminist approaches of "successor science" suggested by Sandra Harding, one which "offers a more adequate, richer, better account of a world, in order to live in it well and in critical, reflexive relation to our own as well as others' practices of domination and the unequal parts of privilege and oppression that makes up all positions."[23] This situation partially transforms science into a narrative, which Arturo Escobar explains as, "neither fictions nor supposed facts." This narrative of situation is historical textures woven of fact and fiction, and as Escobar explains further, "even the most neutral scientific domains are narratives in this sense," insisting that rather than a purpose dismissing science as a trivial matter of contingency, "it is to treat (this narrative) in the most serious way, without succumbing to its mystification as 'the truth' or to the ironic skepticism common to many critiques."[24]
|
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+
|
35 |
+
Haraway's argument stems from the limitations of the human perception, as well as the overemphasis of the sense of vision in science. According to Haraway, vision in science has been, "used to signify a leap out of the marked body and into a conquering gaze from nowhere." This is the "gaze that mythically inscribes all the marked bodies, that makes the unmarked category claim the power to see and not be seen, to represent while escaping representation."[23] This causes a limitation of views in the position of science itself as a potential player in the creation of knowledge, resulting in a position of "modest witness". This is what Haraway terms a "god trick", or the aforementioned representation while escaping representation.[25] In order to avoid this, "Haraway perpetuates a tradition of thought which emphasizes the importance of the subject in terms of both ethical and political accountability".[26]
|
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+
|
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+
Some methods of generating knowledge, such as trial and error, or learning from experience, tend to create highly situational knowledge.
|
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+
Situational knowledge is often embedded in language, culture, or traditions. This integration of situational knowledge is an allusion to the community, and its attempts at collecting subjective perspectives into an embodiment "of views from somewhere." [23] Knowledge is also said to be related to the capacity of acknowledgement in human beings.[27]
|
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+
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+
Even though Haraway's arguments are largely based on feminist studies,[23] this idea of different worlds, as well as the skeptic stance of situated knowledge is present in the main arguments of post-structuralism. Fundamentally, both argue the contingency of knowledge on the presence of history; power, and geography, as well as the rejection of universal rules or laws or elementary structures; and the idea of power as an inherited trait of objectification.[28]
|
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+
|
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+
One discipline of epistemology focuses on partial knowledge. In most cases, it is not possible to understand an information domain exhaustively; our knowledge is always incomplete or partial. Most real problems have to be solved by taking advantage of a partial understanding of the problem context and problem data, unlike the typical math problems one might solve at school, where all data is given and one is given a complete understanding of formulas necessary to solve them.[citation needed]
|
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+
This idea is also present in the concept of bounded rationality which assumes that in real life situations people often have a limited amount of information and make decisions accordingly.
|
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+
|
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+
In many expressions of Christianity, such as Catholicism and Anglicanism, knowledge is one of the seven gifts of the Holy Spirit.[29]
|
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+
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+
The Old Testament's tree of the knowledge of good and evil contained the knowledge that separated Man from God: "And the LORD God said, Behold, the man is become as one of us, to know good and evil..." (Genesis 3:22)
|
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+
|
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+
In Gnosticism, divine knowledge or gnosis is hoped to be attained.
|
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+
|
52 |
+
विद्या दान (Vidya Daan) i.e. knowledge sharing is a major part of Daan, a tenet of all Dharmic Religions.[30]
|
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+
Hindu Scriptures present two kinds of knowledge, Paroksh Gyan and Prataksh Gyan. Paroksh Gyan (also spelled Paroksha-Jnana) is secondhand knowledge: knowledge obtained from books, hearsay, etc. Pratyaksh Gyan (also spelled Pratyaksha-Jnana) is the knowledge borne of direct experience, i.e., knowledge that one discovers for oneself.[31] Jnana yoga ("path of knowledge") is one of three main types of yoga expounded by Krishna in the Bhagavad Gita. (It is compared and contrasted with Bhakti Yoga and Karma yoga.)
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In Islam, knowledge (Arabic: علم, ʿilm) is given great significance. "The Knowing" (al-ʿAlīm) is one of the 99 names reflecting distinct attributes of God. The Qur'an asserts that knowledge comes from God (2:239) and various hadith encourage the acquisition of knowledge. Muhammad is reported to have said "Seek knowledge from the cradle to the grave" and "Verily the men of knowledge are the inheritors of the prophets". Islamic scholars, theologians and jurists are often given the title alim, meaning "knowledgeble".[citation needed]
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In Jewish tradition, knowledge (Hebrew: דעת da'ath) is considered one of the most valuable traits a person can acquire. Observant Jews recite three times a day in the Amidah "Favor us with knowledge, understanding and discretion that come from you. Exalted are you, Existent-One, the gracious giver of knowledge." The Tanakh states, "A wise man gains power, and a man of knowledge maintains power", and "knowledge is chosen above gold".
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Alexander III of Macedon (Greek: Αλέξανδρος Γʹ ὁ Μακεδών, Aléxandros III ho Makedȏn; 20/21 July 356 BC – 10/11 June 323 BC), commonly known as Alexander the Great (Greek: Ἀλέξανδρος ὁ Μέγας, Aléxandros ho Mégas), was a king (basileus) of the ancient Greek kingdom of Macedon[a] and a member of the Argead dynasty. He was born in Pella in 356 BC and succeeded his father Philip II to the throne at the age of 20. He spent most of his ruling years on an unprecedented military campaign through western Asia and northeast Africa, and by the age of thirty, he had created one of the largest empires of the ancient world, stretching from Greece to northwestern India.[1][2] He was undefeated in battle and is widely considered one of history's most successful military commanders.[3]
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During his youth, Alexander was tutored by Aristotle until age 16. After Philip's assassination in 336 BC, he succeeded his father to the throne and inherited a strong kingdom and an experienced army. Alexander was awarded the generalship of Greece and used this authority to launch his father's pan-Hellenic project to lead the Greeks in the conquest of Persia.[4][5] In 334 BC, he invaded the Achaemenid Empire (Persian Empire) and began a series of campaigns that lasted 10 years. Following the conquest of Anatolia, Alexander broke the power of Persia in a series of decisive battles, most notably the battles of Issus and Gaugamela. He subsequently overthrew Persian King Darius III and conquered the Achaemenid Empire in its entirety.[b] At that point, his empire stretched from the Adriatic Sea to the Beas River.
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Alexander endeavoured to reach the "ends of the world and the Great Outer Sea" and invaded India in 326 BC, winning an important victory over the Pauravas at the Battle of the Hydaspes. He eventually turned back at the demand of his homesick troops, dying in Babylon in 323 BC, the city that he planned to establish as his capital, without executing a series of planned campaigns that would have begun with an invasion of Arabia. In the years following his death, a series of civil wars tore his empire apart, resulting in the establishment of several states ruled by the Diadochi, Alexander's surviving generals and heirs.
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Alexander's legacy includes the cultural diffusion and syncretism which his conquests engendered, such as Greco-Buddhism. He founded some twenty cities that bore his name, most notably Alexandria in Egypt. Alexander's settlement of Greek colonists and the resulting spread of Greek culture in the east resulted in a new Hellenistic civilization, aspects of which were still evident in the traditions of the Byzantine Empire in the mid-15th century AD and the presence of Greek speakers in central and far eastern Anatolia until the Greek genocide by the Turks in the 1920s. Alexander became legendary as a classical hero in the mould of Achilles, and he features prominently in the history and mythic traditions of both Greek and non-Greek cultures. He was undefeated in battle and became the measure against which military leaders compared themselves. Military academies throughout the world still teach his tactics.[6][c] He is often ranked among the most influential people in history.[7]
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Alexander was born in Pella, the capital of the Kingdom of Macedon,[8] on the sixth day of the ancient Greek month of Hekatombaion, which probably corresponds to 20 July 356 BC, although the exact date is uncertain.[9] He was the son of the king of Macedon, Philip II, and his fourth wife, Olympias, the daughter of Neoptolemus I, king of Epirus.[10] Although Philip had seven or eight wives, Olympias was his principal wife for some time, likely because she gave birth to Alexander.[11]
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Several legends surround Alexander's birth and childhood.[12] According to the ancient Greek biographer Plutarch, on the eve of the consummation of her marriage to Philip, Olympias dreamed that her womb was struck by a thunderbolt that caused a flame to spread "far and wide" before dying away. Sometime after the wedding, Philip is said to have seen himself, in a dream, securing his wife's womb with a seal engraved with a lion's image.[13] Plutarch offered a variety of interpretations of these dreams: that Olympias was pregnant before her marriage, indicated by the sealing of her womb; or that Alexander's father was Zeus. Ancient commentators were divided about whether the ambitious Olympias promulgated the story of Alexander's divine parentage, variously claiming that she had told Alexander, or that she dismissed the suggestion as impious.[13]
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On the day Alexander was born, Philip was preparing a siege on the city of Potidea on the peninsula of Chalcidice. That same day, Philip received news that his general Parmenion had defeated the combined Illyrian and Paeonian armies and that his horses had won at the Olympic Games. It was also said that on this day, the Temple of Artemis in Ephesus, one of the Seven Wonders of the World, burnt down. This led Hegesias of Magnesia to say that it had burnt down because Artemis was away, attending the birth of Alexander.[14] Such legends may have emerged when Alexander was king, and possibly at his instigation, to show that he was superhuman and destined for greatness from conception.[12]
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In his early years, Alexander was raised by a nurse, Lanike, sister of Alexander's future general Cleitus the Black. Later in his childhood, Alexander was tutored by the strict Leonidas, a relative of his mother, and by Lysimachus of Acarnania.[15] Alexander was raised in the manner of noble Macedonian youths, learning to read, play the lyre, ride, fight, and hunt.[16]
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When Alexander was ten years old, a trader from Thessaly brought Philip a horse, which he offered to sell for thirteen talents. The horse refused to be mounted, and Philip ordered it away. Alexander, however, detecting the horse's fear of its own shadow, asked to tame the horse, which he eventually managed.[12] Plutarch stated that Philip, overjoyed at this display of courage and ambition, kissed his son tearfully, declaring: "My boy, you must find a kingdom big enough for your ambitions. Macedon is too small for you", and bought the horse for him.[17] Alexander named it Bucephalas, meaning "ox-head". Bucephalas carried Alexander as far as India. When the animal died (because of old age, according to Plutarch, at age thirty), Alexander named a city after him, Bucephala.[18]
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When Alexander was 13, Philip began to search for a tutor, and considered such academics as Isocrates and Speusippus, the latter offering to resign from his stewardship of the Academy to take up the post. In the end, Philip chose Aristotle and provided the Temple of the Nymphs at Mieza as a classroom. In return for teaching Alexander, Philip agreed to rebuild Aristotle's hometown of Stageira, which Philip had razed, and to repopulate it by buying and freeing the ex-citizens who were slaves, or pardoning those who were in exile.[19]
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Mieza was like a boarding school for Alexander and the children of Macedonian nobles, such as Ptolemy, Hephaistion, and Cassander. Many of these students would become his friends and future generals, and are often known as the 'Companions'. Aristotle taught Alexander and his companions about medicine, philosophy, morals, religion, logic, and art. Under Aristotle's tutelage, Alexander developed a passion for the works of Homer, and in particular the Iliad; Aristotle gave him an annotated copy, which Alexander later carried on his campaigns.[20]
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During his youth, Alexander was also acquainted with Persian exiles at the Macedonian court, who received the protection of Philip II for several years as they opposed Artaxerxes III.[21][22][23] Among them were Artabazos II and his daughter Barsine, future mistress of Alexander, who resided at the Macedonian court from 352 to 342 BC, as well as Amminapes, future satrap of Alexander, or a Persian nobleman named Sisines.[21][24][25][26] This gave the Macedonian court a good knowledge of Persian issues, and may even have influenced some of the innovations in the management of the Macedonian state.[24]
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Suda writes that, also, Anaximenes of Lampsacus was one of his teachers. Anaximenes, also accompanied him on his campaigns.[27]
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At age 16, Alexander's education under Aristotle ended. Philip waged war against Byzantion, leaving Alexander in charge as regent and heir apparent.[12] During Philip's absence, the Thracian Maedi revolted against Macedonia. Alexander responded quickly, driving them from their territory. He colonized it with Greeks, and founded a city named Alexandropolis.[28]
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Upon Philip's return, he dispatched Alexander with a small force to subdue revolts in southern Thrace. Campaigning against the Greek city of Perinthus, Alexander is reported to have saved his father's life. Meanwhile, the city of Amphissa began to work lands that were sacred to Apollo near Delphi, a sacrilege that gave Philip the opportunity to further intervene in Greek affairs. Still occupied in Thrace, he ordered Alexander to muster an army for a campaign in southern Greece. Concerned that other Greek states might intervene, Alexander made it look as though he was preparing to attack Illyria instead. During this turmoil, the Illyrians invaded Macedonia, only to be repelled by Alexander.[29]
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Philip and his army joined his son in 338 BC, and they marched south through Thermopylae, taking it after stubborn resistance from its Theban garrison. They went on to occupy the city of Elatea, only a few days' march from both Athens and Thebes. The Athenians, led by Demosthenes, voted to seek alliance with Thebes against Macedonia. Both Athens and Philip sent embassies to win Thebes' favour, but Athens won the contest.[30] Philip marched on Amphissa (ostensibly acting on the request of the Amphictyonic League), capturing the mercenaries sent there by Demosthenes and accepting the city's surrender. Philip then returned to Elatea, sending a final offer of peace to Athens and Thebes, who both rejected it.[31]
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As Philip marched south, his opponents blocked him near Chaeronea, Boeotia. During the ensuing Battle of Chaeronea, Philip commanded the right wing and Alexander the left, accompanied by a group of Philip's trusted generals. According to the ancient sources, the two sides fought bitterly for some time. Philip deliberately commanded his troops to retreat, counting on the untested Athenian hoplites to follow, thus breaking their line. Alexander was the first to break the Theban lines, followed by Philip's generals. Having damaged the enemy's cohesion, Philip ordered his troops to press forward and quickly routed them. With the Athenians lost, the Thebans were surrounded. Left to fight alone, they were defeated.[32]
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After the victory at Chaeronea, Philip and Alexander marched unopposed into the Peloponnese, welcomed by all cities; however, when they reached Sparta, they were refused, but did not resort to war.[33] At Corinth, Philip established a "Hellenic Alliance" (modelled on the old anti-Persian alliance of the Greco-Persian Wars), which included most Greek city-states except Sparta. Philip was then named Hegemon (often translated as "Supreme Commander") of this league (known by modern scholars as the League of Corinth), and announced his plans to attack the Persian Empire.[34][35]
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When Philip returned to Pella, he fell in love with and married Cleopatra Eurydice in 338 BC,[36] the niece of his general Attalus.[37] The marriage made Alexander's position as heir less secure, since any son of Cleopatra Eurydice would be a fully Macedonian heir, while Alexander was only half-Macedonian.[38] During the wedding banquet, a drunken Attalus publicly prayed to the gods that the union would produce a legitimate heir.[37]
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At the wedding of Cleopatra, whom Philip fell in love with and married, she being much too young for him, her uncle Attalus in his drink desired the Macedonians would implore the gods to give them a lawful successor to the kingdom by his niece. This so irritated Alexander, that throwing one of the cups at his head, "You villain," said he, "what, am I then a bastard?" Then Philip, taking Attalus's part, rose up and would have run his son through; but by good fortune for them both, either his over-hasty rage, or the wine he had drunk, made his foot slip, so that he fell down on the floor. At which Alexander reproachfully insulted over him: "See there," said he, "the man who makes preparations to pass out of Europe into Asia, overturned in passing from one seat to another."
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In 337 BC, Alexander fled Macedon with his mother, dropping her off with her brother, King Alexander I of Epirus in Dodona, capital of the Molossians.[40] He continued to Illyria,[40] where he sought refuge with one or more Illyrian kings, perhaps with Glaukias, and was treated as a guest, despite having defeated them in battle a few years before.[41] However, it appears Philip never intended to disown his politically and militarily trained son.[40] Accordingly, Alexander returned to Macedon after six months due to the efforts of a family friend, Demaratus, who mediated between the two parties.[42]
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In the following year, the Persian satrap (governor) of Caria, Pixodarus, offered his eldest daughter to Alexander's half-brother, Philip Arrhidaeus.[40] Olympias and several of Alexander's friends suggested this showed Philip intended to make Arrhidaeus his heir.[40] Alexander reacted by sending an actor, Thessalus of Corinth, to tell Pixodarus that he should not offer his daughter's hand to an illegitimate son, but instead to Alexander. When Philip heard of this, he stopped the negotiations and scolded Alexander for wishing to marry the daughter of a Carian, explaining that he wanted a better bride for him.[40] Philip exiled four of Alexander's friends, Harpalus, Nearchus, Ptolemy and Erigyius, and had the Corinthians bring Thessalus to him in chains.[43]
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In summer 336 BC, while at Aegae attending the wedding of his daughter Cleopatra to Olympias's brother, Alexander I of Epirus, Philip was assassinated by the captain of his bodyguards, Pausanias.[e] As Pausanias tried to escape, he tripped over a vine and was killed by his pursuers, including two of Alexander's companions, Perdiccas and Leonnatus. Alexander was proclaimed king on the spot by the nobles and army at the age of 20.[45][46][47]
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Alexander began his reign by eliminating potential rivals to the throne. He had his cousin, the former Amyntas IV, executed.[48] He also had two Macedonian princes from the region of Lyncestis killed, but spared a third, Alexander Lyncestes. Olympias had Cleopatra Eurydice and Europa, her daughter by Philip, burned alive. When Alexander learned about this, he was furious. Alexander also ordered the murder of Attalus,[48] who was in command of the advance guard of the army in Asia Minor and Cleopatra's uncle.[49]
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Attalus was at that time corresponding with Demosthenes, regarding the possibility of defecting to Athens. Attalus also had severely insulted Alexander, and following Cleopatra's murder, Alexander may have considered him too dangerous to leave alive.[49] Alexander spared Arrhidaeus, who was by all accounts mentally disabled, possibly as a result of poisoning by Olympias.[45][47][50]
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News of Philip's death roused many states into revolt, including Thebes, Athens, Thessaly, and the Thracian tribes north of Macedon. When news of the revolts reached Alexander, he responded quickly. Though advised to use diplomacy, Alexander mustered 3,000 Macedonian cavalry and rode south towards Thessaly. He found the Thessalian army occupying the pass between Mount Olympus and Mount Ossa, and ordered his men to ride over Mount Ossa. When the Thessalians awoke the next day, they found Alexander in their rear and promptly surrendered, adding their cavalry to Alexander's force. He then continued south towards the Peloponnese.[51]
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Alexander stopped at Thermopylae, where he was recognized as the leader of the Amphictyonic League before heading south to Corinth. Athens sued for peace and Alexander pardoned the rebels. The famous encounter between Alexander and Diogenes the Cynic occurred during Alexander's stay in Corinth. When Alexander asked Diogenes what he could do for him, the philosopher disdainfully asked Alexander to stand a little to the side, as he was blocking the sunlight.[52] This reply apparently delighted Alexander, who is reported to have said "But verily, if I were not Alexander, I would like to be Diogenes."[53] At Corinth, Alexander took the title of Hegemon ("leader") and, like Philip, was appointed commander for the coming war against Persia. He also received news of a Thracian uprising.[54]
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Before crossing to Asia, Alexander wanted to safeguard his northern borders. In the spring of 335 BC, he advanced to suppress several revolts. Starting from Amphipolis, he travelled east into the country of the "Independent Thracians"; and at Mount Haemus, the Macedonian army attacked and defeated the Thracian forces manning the heights.[55] The Macedonians marched into the country of the Triballi, and defeated their army near the Lyginus river[56] (a tributary of the Danube). Alexander then marched for three days to the Danube, encountering the Getae tribe on the opposite shore. Crossing the river at night, he surprised them and forced their army to retreat after the first cavalry skirmish.[57]
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News then reached Alexander that Cleitus, King of Illyria, and King Glaukias of the Taulantii were in open revolt against his authority. Marching west into Illyria, Alexander defeated each in turn, forcing the two rulers to flee with their troops. With these victories, he secured his northern frontier.[58]
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While Alexander campaigned north, the Thebans and Athenians rebelled once again. Alexander immediately headed south.[59] While the other cities again hesitated, Thebes decided to fight. The Theban resistance was ineffective, and Alexander razed the city and divided its territory between the other Boeotian cities. The end of Thebes cowed Athens, leaving all of Greece temporarily at peace.[59] Alexander then set out on his Asian campaign, leaving Antipater as regent.[60]
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According to ancient writers Demosthenes called Alexander "Margites" (Greek: Μαργίτης)[61][62][63] and a boy.[63] Greeks used the word Margites to describe fool and useless people, on account of the Margites.[62][64]
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Ionia 336 BC
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Media and Egypt 333 BC
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Persia 331 BC
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India 326 BC
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In 336 BC Philip II had already sent Parmenion, with Amyntas, Andromenes and Attalus, and an army of 10,000 men into Anatolia to make preparations for an invasion to free the Greeks living on the western coast and islands from Achaemenid rule.[65][66] At first, all went well. The Greek cities on the western coast of Anatolia revolted until the news arrived that Philip had been murdered and had been succeeded by his young son Alexander. The Macedonians were demoralized by Philip's death and were subsequently defeated near Magnesia by the Achaemenids under the command of the mercenary Memnon of Rhodes.[65][66]
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Taking over the invasion project of Philip II, Alexander's army crossed the Hellespont in 334 BC with approximately 48,100 soldiers, 6,100 cavalry and a fleet of 120 ships with crews numbering 38,000,[59] drawn from Macedon and various Greek city-states, mercenaries, and feudally raised soldiers from Thrace, Paionia, and Illyria.[67][f] He showed his intent to conquer the entirety of the Persian Empire by throwing a spear into Asian soil and saying he accepted Asia as a gift from the gods. This also showed Alexander's eagerness to fight, in contrast to his father's preference for diplomacy.[59]
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After an initial victory against Persian forces at the Battle of the Granicus, Alexander accepted the surrender of the Persian provincial capital and treasury of Sardis; he then proceeded along the Ionian coast, granting autonomy and democracy to the cities. Miletus, held by Achaemenid forces, required a delicate siege operation, with Persian naval forces nearby. Further south, at Halicarnassus, in Caria, Alexander successfully waged his first large-scale siege, eventually forcing his opponents, the mercenary captain Memnon of Rhodes and the Persian satrap of Caria, Orontobates, to withdraw by sea.[68] Alexander left the government of Caria to a member of the Hecatomnid dynasty, Ada, who adopted Alexander.[69]
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From Halicarnassus, Alexander proceeded into mountainous Lycia and the Pamphylian plain, asserting control over all coastal cities to deny the Persians naval bases. From Pamphylia onwards the coast held no major ports and Alexander moved inland. At Termessos, Alexander humbled but did not storm the Pisidian city.[70] At the ancient Phrygian capital of Gordium, Alexander "undid" the hitherto unsolvable Gordian Knot, a feat said to await the future "king of Asia".[71] According to the story, Alexander proclaimed that it did not matter how the knot was undone and hacked it apart with his sword.[72]
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In spring 333 BC, Alexander crossed the Taurus into Cilicia. After a long pause due to an illness, he marched on towards Syria. Though outmanoeuvered by Darius' significantly larger army, he marched back to Cilicia, where he defeated Darius at Issus. Darius fled the battle, causing his army to collapse, and left behind his wife, his two daughters, his mother Sisygambis, and a fabulous treasure.[73] He offered a peace treaty that included the lands he had already lost, and a ransom of 10,000 talents for his family. Alexander replied that since he was now king of Asia, it was he alone who decided territorial divisions.[74]
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Alexander proceeded to take possession of Syria, and most of the coast of the Levant.[69] In the following year, 332 BC, he was forced to attack Tyre, which he captured after a long and difficult siege.[75][76] The men of military age were massacred and the women and children sold into slavery.[77]
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When Alexander destroyed Tyre, most of the towns on the route to Egypt quickly capitulated. However, Alexander met with resistance at Gaza. The stronghold was heavily fortified and built on a hill, requiring a siege. When "his engineers pointed out to him that because of the height of the mound it would be impossible... this encouraged Alexander all the more to make the
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attempt".[78] After three unsuccessful assaults, the stronghold fell, but not before Alexander had received a serious shoulder wound. As in Tyre, men of military age were put to the sword and the women and children were sold into slavery.[79]
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Alexander advanced on Egypt in later 332 BC, where he was regarded as a liberator.[80] He was pronounced son of the deity Amun at the Oracle of Siwa Oasis in the Libyan desert.[81] Henceforth, Alexander often referred to Zeus-Ammon as his true father, and after his death, currency depicted him adorned with the Horns of Ammon as a symbol of his divinity.[82] During his stay in Egypt, he founded Alexandria-by-Egypt, which would become the prosperous capital of the Ptolemaic Kingdom after his death.[83]
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Leaving Egypt in 331 BCE, Alexander marched eastward into Achaemenid Assyria in Upper Mesopotamia (now northern Iraq) and defeated Darius again at the Battle of Gaugamela.[84] Darius once more fled the field, and Alexander chased him as far as Arbela. Gaugamela would be the final and decisive encounter between the two. Darius fled over the mountains to Ecbatana (modern Hamadan) while Alexander captured Babylon.[85]
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From Babylon, Alexander went to Susa, one of the Achaemenid capitals, and captured its treasury.[85] He sent the bulk of his army to the Persian ceremonial capital of Persepolis via the Persian Royal Road. Alexander himself took selected troops on the direct route to the city. He then stormed the pass of the Persian Gates (in the modern Zagros Mountains) which had been blocked by a Persian army under Ariobarzanes and then hurried to Persepolis before its garrison could loot the treasury.[86]
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On entering Persepolis, Alexander allowed his troops to loot the city for several days.[87] Alexander stayed in Persepolis for five months.[88] During his stay a fire broke out in the eastern palace of Xerxes I and spread to the rest of the city. Possible causes include a drunken accident or deliberate revenge for the burning of the Acropolis of Athens during the Second Persian War by Xerxes;[89] Plutarch and Diodorus allege that Alexander's companion, the hetaera Thaïs, instigated and started the fire. Even as he watched the city burn, Alexander immediately began to regret his decision.[90][91][92] Plutarch claims that he ordered his men to put out the fires,[90] but that the flames had already spread to most of the city.[90] Curtius claims that Alexander did not regret his decision until the next morning.[90] Plutarch recounts an anecdote in which Alexander pauses and talks to a fallen statue of Xerxes as if it were a live person:
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Shall I pass by and leave you lying there because of the expeditions you led against Greece, or shall I set you up again because of your magnanimity and your virtues in other respects?[93]
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Alexander then chased Darius, first into Media, and then Parthia.[95] The Persian king no longer controlled his own destiny, and was taken prisoner by Bessus, his Bactrian satrap and kinsman.[96] As Alexander approached, Bessus had his men fatally stab the Great King and then declared himself Darius' successor as Artaxerxes V, before retreating into Central Asia to launch a guerrilla campaign against Alexander.[97] Alexander buried Darius' remains next to his Achaemenid predecessors in a regal funeral.[98] He claimed that, while dying, Darius had named him as his successor to the Achaemenid throne.[99] The Achaemenid Empire is normally considered to have fallen with Darius.[100]
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Alexander viewed Bessus as a usurper and set out to defeat him. This campaign, initially against Bessus, turned into a grand tour of central Asia. Alexander founded a series of new cities, all called Alexandria, including modern Kandahar in Afghanistan, and Alexandria Eschate ("The Furthest") in modern Tajikistan. The campaign took Alexander through Media, Parthia, Aria (West Afghanistan), Drangiana, Arachosia (South and Central Afghanistan), Bactria (North and Central Afghanistan), and Scythia.[101]
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In 329 BC, Spitamenes, who held an undefined position in the satrapy of Sogdiana, betrayed Bessus to Ptolemy, one of Alexander's trusted companions, and Bessus was executed.[102] However, when, at some point later, Alexander was on the Jaxartes dealing with an incursion by a horse nomad army, Spitamenes raised Sogdiana in revolt. Alexander personally defeated the Scythians at the Battle of Jaxartes and immediately launched a campaign against Spitamenes, defeating him in the Battle of Gabai. After the defeat, Spitamenes was killed by his own men, who then sued for peace.[103]
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During this time, Alexander adopted some elements of Persian dress and customs at his court, notably the custom of proskynesis, either a symbolic kissing of the hand, or prostration on the ground, that Persians showed to their social superiors.[104] The Greeks regarded the gesture as the province of deities and believed that Alexander meant to deify himself by requiring it. This cost him the sympathies of many of his countrymen, and he eventually abandoned it.[105]
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A plot against his life was revealed, and one of his officers, Philotas, was executed for failing to alert Alexander. The death of the son necessitated the death of the father, and thus Parmenion, who had been charged with guarding the treasury at Ecbatana, was assassinated at Alexander's command, to prevent attempts at vengeance. Most infamously, Alexander personally killed the man who had saved his life at Granicus, Cleitus the Black, during a violent drunken altercation at Maracanda (modern day Samarkand in Uzbekistan), in which Cleitus accused Alexander of several judgmental mistakes and most especially, of having forgotten the Macedonian ways in favour of a corrupt oriental lifestyle.[106]
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Later, in the Central Asian campaign, a second plot against his life was revealed, this one instigated by his own royal pages. His official historian, Callisthenes of Olynthus, was implicated in the plot, and in the Anabasis of Alexander, Arrian states that Callisthenes and the pages were then tortured on the rack as punishment, and likely died soon after.[107] It remains unclear if Callisthenes was actually involved in the plot, for prior to his accusation he had fallen out of favour by leading the opposition to the attempt to introduce proskynesis.[108]
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When Alexander set out for Asia, he left his general Antipater, an experienced military and political leader and part of Philip II's "Old Guard", in charge of Macedon.[60] Alexander's sacking of Thebes ensured that Greece remained quiet during his absence.[60] The one exception was a call to arms by Spartan king Agis III in 331 BC, whom Antipater defeated and killed in the battle of Megalopolis.[60] Antipater referred the Spartans' punishment to the League of Corinth, which then deferred to Alexander, who chose to pardon them.[109] There was also considerable friction between Antipater and Olympias, and each complained to Alexander about the other.[110]
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In general, Greece enjoyed a period of peace and prosperity during Alexander's campaign in Asia.[111] Alexander sent back vast sums from his conquest, which stimulated the economy and increased trade across his empire.[112] However, Alexander's constant demands for troops and the migration of Macedonians throughout his empire depleted Macedon's strength, greatly weakening it in the years after Alexander, and ultimately led to its subjugation by Rome after the Third Macedonian War (171–168 BC).[16]
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After the death of Spitamenes and his marriage to Roxana (Raoxshna in Old Iranian) to cement relations with his new satrapies, Alexander turned to the Indian subcontinent. He invited the chieftains of the former satrapy of Gandhara (a region presently straddling eastern Afghanistan and northern Pakistan), to come to him and submit to his authority. Omphis (Indian name Ambhi), the ruler of Taxila, whose kingdom extended from the Indus to the Hydaspes (Jhelum), complied, but the chieftains of some hill clans, including the Aspasioi and Assakenoi sections of the Kambojas (known in Indian texts also as Ashvayanas and Ashvakayanas), refused to submit.[113] Ambhi hastened to relieve Alexander of his apprehension and met him with valuable presents, placing himself and all his forces at his disposal. Alexander not only returned Ambhi his title and the gifts but he also presented him with a wardrobe of "Persian robes, gold and silver ornaments, 30 horses and 1,000 talents in gold". Alexander was emboldened to divide his forces, and Ambhi assisted Hephaestion and Perdiccas in constructing a bridge over the Indus where it bends at Hund,[114] supplied their troops with provisions, and received Alexander himself, and his whole army, in his capital city of Taxila, with every demonstration of friendship and the most liberal hospitality.
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On the subsequent advance of the Macedonian king, Taxiles accompanied him with a force of 5,000 men and took part in the battle of the Hydaspes River. After that victory he was sent by Alexander in pursuit of Porus (Indian name Puru), to whom he was charged to offer favourable terms, but narrowly escaped losing his life at the hands of his old enemy. Subsequently, however, the two rivals were reconciled by the personal mediation of Alexander; and Taxiles, after having contributed zealously to the equipment of the fleet on the Hydaspes, was entrusted by the king with the government of the whole territory between that river and the Indus. A considerable accession of power was granted him after the death of Philip, son of Machatas; and he was allowed to retain his authority at the death of Alexander himself (323 BC), as well as in the subsequent partition of the provinces at Triparadisus, 321 BC.
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In the winter of 327/326 BC, Alexander personally led a campaign against the Aspasioi of Kunar valleys, the Guraeans of the Guraeus valley, and the Assakenoi of the Swat and Buner valleys.[115] A fierce contest ensued with the Aspasioi in which Alexander was wounded in the shoulder by a dart, but eventually the Aspasioi lost. Alexander then faced the Assakenoi, who fought against him from the strongholds of Massaga, Ora and Aornos.[113]
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The fort of Massaga was reduced only after days of bloody fighting, in which Alexander was wounded seriously in the ankle. According to Curtius, "Not only did Alexander slaughter the entire population of Massaga, but also did he reduce its buildings to rubble."[116] A similar slaughter followed at Ora. In the aftermath of Massaga and Ora, numerous Assakenians fled to the fortress of Aornos. Alexander followed close behind and captured the strategic hill-fort after four bloody days.[113]
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After Aornos, Alexander crossed the Indus and fought and won an epic battle against King Porus, who ruled a region lying between the Hydaspes and the Acesines (Chenab), in what is now the Punjab, in the Battle of the Hydaspes in 326 BC.[117] Alexander was impressed by Porus' bravery, and made him an ally. He appointed Porus as satrap, and added to Porus' territory land that he did not previously own, towards the south-east, up to the Hyphasis (Beas).[118][119] Choosing a local helped him control these lands so distant from Greece.[120] Alexander founded two cities on opposite sides of the Hydaspes river, naming one Bucephala, in honour of his horse, who died around this time.[121] The other was Nicaea (Victory), thought to be located at the site of modern-day Mong, Punjab.[122] Philostratus the Elder in the Life of Apollonius of Tyana writes that in the army of Porus there was an elephant who fought brave against Alexander's army and Alexander dedicated it to the Helios (Sun) and named it Ajax, because he thought that a so great animal deserved a great name. The elephant had gold rings around its tusks and an inscription was on them written in Greek: "Alexander the son of Zeus dedicates Ajax to the Helios" (ΑΛΕΞΑΝΔΡΟΣ Ο ΔΙΟΣ ΤΟΝ ΑΙΑΝΤΑ ΤΩΙ ΗΛΙΩΙ).[123]
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East of Porus' kingdom, near the Ganges River, was the Nanda Empire of Magadha, and further east, the Gangaridai Empire of Bengal region of the Indian subcontinent. Fearing the prospect of facing other large armies and exhausted by years of campaigning, Alexander's army mutinied at the Hyphasis River (Beas), refusing to march farther east.[124] This river thus marks the easternmost extent of Alexander's conquests.[125]
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As for the Macedonians, however, their struggle with Porus blunted their courage and stayed their further advance into India. For having had all they could do to repulse an enemy who mustered only twenty thousand infantry and two thousand horse, they violently opposed Alexander when he insisted on crossing the river Ganges also, the width of which, as they learned, was thirty-two furlongs, its depth a hundred fathoms, while its banks on the further side were covered with multitudes of men-at-arms and horsemen and elephants. For they were told that the kings of the Ganderites and Praesii were awaiting them with eighty thousand horsemen, two hundred thousand footmen, eight thousand chariots, and six thousand war elephants.[126]
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Alexander tried to persuade his soldiers to march farther, but his general Coenus pleaded with him to change his opinion and return; the men, he said, "longed to again see their parents, their wives and children, their homeland". Alexander eventually agreed and turned south, marching along the Indus. Along the way his army conquered the Malhi (in modern-day Multan) and other Indian tribes and Alexander sustained an injury during the siege.[127]
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Alexander sent much of his army to Carmania (modern southern Iran) with general Craterus, and commissioned a fleet to explore the Persian Gulf shore under his admiral Nearchus, while he led the rest back to Persia through the more difficult southern route along the Gedrosian Desert and Makran.[128] Alexander reached Susa in 324 BC, but not before losing many men to the harsh desert.[129]
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Discovering that many of his satraps and military governors had misbehaved in his absence, Alexander executed several of them as examples on his way to Susa.[131][132] As a gesture of thanks, he paid off the debts of his soldiers, and announced that he would send over-aged and disabled veterans back to Macedon, led by Craterus. His troops misunderstood his intention and mutinied at the town of Opis. They refused to be sent away and criticized his adoption of Persian customs and dress and the introduction of Persian officers and soldiers into Macedonian units.[133]
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After three days, unable to persuade his men to back down, Alexander gave Persians command posts in the army and conferred Macedonian military titles upon Persian units. The Macedonians quickly begged forgiveness, which Alexander accepted, and held a great banquet for several thousand of his men at which he and they ate together.[134] In an attempt to craft a lasting harmony between his Macedonian and Persian subjects, Alexander held a mass marriage of his senior officers to Persian and other noblewomen at Susa, but few of those marriages seem to have lasted much beyond a year.[132] Meanwhile, upon his return to Persia, Alexander learned that guards of the tomb of Cyrus the Great in Pasargadae had desecrated it, and swiftly executed them.[135] Alexander admired Cyrus the Great, from an early age reading Xenophon's Cyropaedia, which described Cyrus's heroism in battle and governance as a king and legislator.[136] During his visit to Pasargadae Alexander ordered his architect Aristobulus to decorate the interior of the sepulchral chamber of Cyrus' tomb.[136]
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Afterwards, Alexander travelled to Ecbatana to retrieve the bulk of the Persian treasure. There, his closest friend and possible lover, Hephaestion, died of illness or poisoning.[137][138] Hephaestion's death devastated Alexander, and he ordered the preparation of an expensive funeral pyre in Babylon, as well as a decree for public mourning.[137] Back in Babylon, Alexander planned a series of new campaigns, beginning with an invasion of Arabia, but he would not have a chance to realize them, as he died shortly after Hephaestion.[139]
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On either 10 or 11 June 323 BC, Alexander died in the palace of Nebuchadnezzar II, in Babylon, at age 32.[140] There are two different versions of Alexander's death and details of the death differ slightly in each. Plutarch's account is that roughly 14 days before his death, Alexander entertained admiral Nearchus, and spent the night and next day drinking with Medius of Larissa.[141] He developed a fever, which worsened until he was unable to speak. The common soldiers, anxious about his health, were granted the right to file past him as he silently waved at them.[142] In the second account, Diodorus recounts that Alexander was struck with pain after downing a large bowl of unmixed wine in honour of Heracles, followed by 11 days of weakness; he did not develop a fever and died after some agony.[143] Arrian also mentioned this as an alternative, but Plutarch specifically denied this claim.[141]
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Given the propensity of the Macedonian aristocracy to assassination,[144] foul play featured in multiple accounts of his death. Diodorus, Plutarch, Arrian and Justin all mentioned the theory that Alexander was poisoned. Justin stated that Alexander was the victim of a poisoning conspiracy, Plutarch dismissed it as a fabrication,[145] while both Diodorus and Arrian noted that they mentioned it only for the sake of completeness.[143][146] The accounts were nevertheless fairly consistent in designating Antipater, recently removed as Macedonian viceroy, and at odds with Olympias, as the head of the alleged plot. Perhaps taking his summons to Babylon as a death sentence,[147] and having seen the fate of Parmenion and Philotas,[148] Antipater purportedly arranged for Alexander to be poisoned by his son Iollas, who was Alexander's wine-pourer.[146][148] There was even a suggestion that Aristotle may have participated.[146]
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The strongest argument against the poison theory is the fact that twelve days passed between the start of his illness and his death; such long-acting poisons were probably not available.[149] However, in a 2003 BBC documentary investigating the death of Alexander, Leo Schep from the New Zealand National Poisons Centre proposed that the plant white hellebore (Veratrum album), which was known in antiquity, may have been used to poison Alexander.[150][151][152] In a 2014 manuscript in the journal Clinical Toxicology, Schep suggested Alexander's wine was spiked with Veratrum album, and that this would produce poisoning symptoms that match the course of events described in the Alexander Romance.[153] Veratrum album poisoning can have a prolonged course and it was suggested that if Alexander was poisoned, Veratrum album offers the most plausible cause.[153][154] Another poisoning explanation put forward in 2010 proposed that the circumstances of his death were compatible with poisoning by water of the river Styx (modern-day Mavroneri in Arcadia, Greece) that contained calicheamicin, a dangerous compound produced by bacteria.[155]
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Several natural causes (diseases) have been suggested, including malaria and typhoid fever. A 1998 article in the New England Journal of Medicine attributed his death to typhoid fever complicated by bowel perforation and ascending paralysis.[156] Another recent analysis suggested pyogenic (infectious) spondylitis or meningitis.[157] Other illnesses fit the symptoms, including acute pancreatitis and West Nile virus.[158][159] Natural-cause theories also tend to emphasize that Alexander's health may have been in general decline after years of heavy drinking and severe wounds. The anguish that Alexander felt after Hephaestion's death may also have contributed to his declining health.[156]
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Alexander's body was laid in a gold anthropoid sarcophagus that was filled with honey, which was in turn placed in a gold casket.[160][161] According to Aelian, a seer called Aristander foretold that the land where Alexander was laid to rest "would be happy and unvanquishable forever".[162] Perhaps more likely, the successors may have seen possession of the body as a symbol of legitimacy, since burying the prior king was a royal prerogative.[163]
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While Alexander's funeral cortege was on its way to Macedon, Ptolemy seized it and took it temporarily to Memphis.[160][162] His successor, Ptolemy II Philadelphus, transferred the sarcophagus to Alexandria, where it remained until at least late Antiquity. Ptolemy IX Lathyros, one of Ptolemy's final successors, replaced Alexander's sarcophagus with a glass one so he could convert the original to coinage.[164] The recent discovery of an enormous tomb in northern Greece, at Amphipolis, dating from the time of Alexander the Great[165] has given rise to speculation that its original intent was to be the burial place of Alexander. This would fit with the intended destination of Alexander's funeral cortege. However, the memorial was found to be dedicated to the dearest friend of Alexander the Great, Hephaestion.[166][167]
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Pompey, Julius Caesar and Augustus all visited the tomb in Alexandria, where Augustus, allegedly, accidentally knocked the nose off. Caligula was said to have taken Alexander's breastplate from the tomb for his own use. Around AD 200, Emperor Septimius Severus closed Alexander's tomb to the public. His son and successor, Caracalla, a great admirer, visited the tomb during his own reign. After this, details on the fate of the tomb are hazy.[164]
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The so-called "Alexander Sarcophagus", discovered near Sidon and now in the Istanbul Archaeology Museum, is so named not because it was thought to have contained Alexander's remains, but because its bas-reliefs depict Alexander and his companions fighting the Persians and hunting. It was originally thought to have been the sarcophagus of Abdalonymus (died 311 BC), the king of Sidon appointed by Alexander immediately following the battle of Issus in 331.[168][169] However, more recently, it has been suggested that it may date from earlier than Abdalonymus' death.
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Demades likened the Macedonian army, after the death of Alexander, to the blinded Cyclop, due to the many random and disorderly movements that it made.[170][171][172] In addition, Leosthenes, also, likened the anarchy between the generals, after Alexander's death, to the blinded Cyclop "who after he had lost his eye went feeling and groping about with his hands before him, not knowing where to lay them".[173]
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Alexander's death was so sudden that when reports of his death reached Greece, they were not immediately believed.[60] Alexander had no obvious or legitimate heir, his son Alexander IV by Roxane being born after Alexander's death.[174] According to Diodorus, Alexander's companions asked him on his deathbed to whom he bequeathed his kingdom; his laconic reply was "tôi kratistôi"—"to the strongest".[143] Another theory is that his successors willfully or erroneously misheard "tôi Kraterôi"—"to Craterus", the general leading his Macedonian troops home and newly entrusted with the regency of Macedonia.[175]
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Arrian and Plutarch claimed that Alexander was speechless by this point, implying that this was an apocryphal story.[176] Diodorus, Curtius and Justin offered the more plausible story that Alexander passed his signet ring to Perdiccas, a bodyguard and leader of the companion cavalry, in front of witnesses, thereby nominating him.[143][174]
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Perdiccas initially did not claim power, instead suggesting that Roxane's baby would be king, if male; with himself, Craterus, Leonnatus, and Antipater as guardians. However, the infantry, under the command of Meleager, rejected this arrangement since they had been excluded from the discussion. Instead, they supported Alexander's half-brother Philip Arrhidaeus. Eventually, the two sides reconciled, and after the birth of Alexander IV, he and Philip III were appointed joint kings, albeit in name only.[177]
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Dissension and rivalry soon afflicted the Macedonians, however. The satrapies handed out by Perdiccas at the Partition of Babylon became power bases each general used to bid for power. After the assassination of Perdiccas in 321 BC, Macedonian unity collapsed, and 40 years of war between "The Successors" (Diadochi) ensued before the Hellenistic world settled into four stable power blocs: Ptolemaic Egypt, Seleucid Mesopotamia and Central Asia, Attalid Anatolia, and Antigonid Macedon. In the process, both Alexander IV and Philip III were murdered.[178]
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Diodorus stated that Alexander had given detailed written instructions to Craterus some time before his death.[179] Craterus started to carry out Alexander's commands, but the successors chose not to further implement them, on the grounds they were impractical and extravagant.[179] Nevertheless, Perdiccas read Alexander's will to his troops.[60]
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Alexander's will called for military expansion into the southern and western Mediterranean, monumental constructions, and the intermixing of Eastern and Western populations. It included:
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Alexander earned the epithet "the Great" due to his unparalleled success as a military commander. He never lost a battle, despite typically being outnumbered.[59] This was due to use of terrain, phalanx and cavalry tactics, bold strategy, and the fierce loyalty of his troops.[181] The Macedonian phalanx, armed with the sarissa, a spear 6 metres (20 ft) long, had been developed and perfected by Philip II through rigorous training, and Alexander used its speed and maneuverability to great effect against larger but more disparate[clarification needed] Persian forces.[182] Alexander also recognized the potential for disunity among his diverse army, which employed various languages and weapons. He overcame this by being personally involved in battle,[88] in the manner of a Macedonian king.[181]
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In his first battle in Asia, at Granicus, Alexander used only a small part of his forces, perhaps 13,000 infantry with 5,000 cavalry, against a much larger Persian force of 40,000.[183] Alexander placed the phalanx at the center and cavalry and archers on the wings, so that his line matched the length of the Persian cavalry line, about 3 km (1.86 mi). By contrast, the Persian infantry was stationed behind its cavalry. This ensured that Alexander would not be outflanked, while his phalanx, armed with long pikes, had a considerable advantage over the Persians' scimitars and javelins. Macedonian losses were negligible compared to those of the Persians.[184]
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At Issus in 333 BC, his first confrontation with Darius, he used the same deployment, and again the central phalanx pushed through.[184] Alexander personally led the charge in the center, routing the opposing army.[185] At the decisive encounter with Darius at Gaugamela, Darius equipped his chariots with scythes on the wheels to break up the phalanx and equipped his cavalry with pikes. Alexander arranged a double phalanx, with the center advancing at an angle, parting when the chariots bore down and then reforming. The advance was successful and broke Darius' center, causing the latter to flee once again.[184]
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When faced with opponents who used unfamiliar fighting techniques, such as in Central Asia and India, Alexander adapted his forces to his opponents' style. Thus, in Bactria and Sogdiana, Alexander successfully used his javelin throwers and archers to prevent outflanking movements, while massing his cavalry at the center.[185] In India, confronted by Porus' elephant corps, the Macedonians opened their ranks to envelop the elephants and used their sarissas to strike upwards and dislodge the elephants' handlers.[134]
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Greek biographer Plutarch (c. 45 – c. 120 AD) describes Alexander's appearance as:
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The outward appearance of Alexander is best represented by the statues of him which Lysippus made, and it was by this artist alone that Alexander himself thought it fit that he should be modelled. For those peculiarities which many of his successors and friends afterwards tried to imitate, namely, the poise of the neck, which was bent slightly to the left, and the melting glance of his eyes, this artist has accurately observed. Apelles, however, in painting him as wielder of the thunder-bolt, did not reproduce his complexion, but made it too dark and swarthy. Whereas he was of a fair colour, as they say, and his fairness passed into ruddiness on his breast particularly, and in his face. Moreover, that a very pleasant odour exhaled from his skin and that there was a fragrance about his mouth and all his flesh, so that his garments were filled with it, this we have read in the Memoirs of Aristoxenus.[186]
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The semi-legendary Alexander Romance also suggests that Alexander exhibited heterochromia iridum: that one eye was dark and the other light.[187]
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British historian Peter Green provided a description of Alexander's appearance, based on his review of statues and some ancient documents:
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Physically, Alexander was not prepossessing. Even by Macedonian standards he was very short, though stocky and tough. His beard was scanty, and he stood out against his hirsute Macedonian barons by going clean-shaven. His neck was in some way twisted, so that he appeared to be gazing upward at an angle. His eyes (one blue, one brown) revealed a dewy, feminine quality. He had a high complexion and a harsh voice.[188]
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Historian and Egyptologist Joann Fletcher has said that the Macedonian ruler Alexander the Great had blond hair.[189]
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Ancient authors recorded that Alexander was so pleased with portraits of himself created by Lysippos that he forbade other sculptors from crafting his image.[190] Lysippos had often used the contrapposto sculptural scheme to portray Alexander and other characters such as Apoxyomenos, Hermes and Eros.[191] Lysippos' sculpture, famous for its naturalism, as opposed to a stiffer, more static pose, is thought to be the most faithful depiction.[192]
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Some of Alexander's strongest personality traits formed in response to his parents. His mother had huge ambitions, and encouraged him to believe it was his destiny to conquer the Persian Empire.[188] Olympias' influence instilled a sense of destiny in him,[194] and Plutarch tells how his ambition "kept his spirit serious and lofty in advance of his years".[195] However, his father Philip was Alexander's most immediate and influential role model, as the young Alexander watched him campaign practically every year, winning victory after victory while ignoring severe wounds.[48] Alexander's relationship with his father forged the competitive side of his personality; he had a need to outdo his father, illustrated by his reckless behaviour in battle.[188] While Alexander worried that his father would leave him "no great or brilliant achievement to be displayed to the world",[196] he also downplayed his father's achievements to his companions.[188]
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According to Plutarch, among Alexander's traits were a violent temper and rash, impulsive nature,[197] which undoubtedly contributed to some of his decisions.[188] Although Alexander was stubborn and did not respond well to orders from his father, he was open to reasoned debate.[198] He had a calmer side—perceptive, logical, and calculating. He had a great desire for knowledge, a love for philosophy, and was an avid reader.[199] This was no doubt in part due to Aristotle's tutelage; Alexander was intelligent and quick to learn.[188] His intelligent and rational side was amply demonstrated by his ability and success as a general.[197] He had great self-restraint in "pleasures of the body", in contrast with his lack of self-control with alcohol.[200]
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Alexander was erudite and patronized both arts and sciences.[195][199] However, he had little interest in sports or the Olympic games (unlike his father), seeking only the Homeric ideals of honour (timê) and glory (kudos).[201] He had great charisma and force of personality, characteristics which made him a great leader.[174][197] His unique abilities were further demonstrated by the inability of any of his generals to unite Macedonia and retain the Empire after his death—only Alexander had the ability to do so.[174]
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During his final years, and especially after the death of Hephaestion, Alexander began to exhibit signs of megalomania and paranoia.[147] His extraordinary achievements, coupled with his own ineffable sense of destiny and the flattery of his companions, may have combined to produce this effect.[202] His delusions of grandeur are readily visible in his will and in his desire to conquer the world,[147] in as much as he is by various sources described as having boundless ambition,[203][204] an epithet, the meaning of which has descended into an historical cliché.[205][206]
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He appears to have believed himself a deity, or at least sought to deify himself.[147] Olympias always insisted to him that he was the son of Zeus,[207] a theory apparently confirmed to him by the oracle of Amun at Siwa.[208] He began to identify himself as the son of Zeus-Ammon.[208] Alexander adopted elements of Persian dress and customs at court, notably proskynesis, a practice of which Macedonians disapproved, and were loath to perform.[104] This behaviour cost him the sympathies of many of his countrymen.[209] However, Alexander also was a pragmatic ruler who understood the difficulties of ruling culturally disparate peoples, many of whom lived in kingdoms where the king was divine.[210] Thus, rather than megalomania, his behaviour may simply have been a practical attempt at strengthening his rule and keeping his empire together.[211]
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Alexander married three times: Roxana, daughter of the Sogdian nobleman Oxyartes of Bactria,[212][213][214] out of love;[215] and the Persian princesses Stateira II and Parysatis II, the former a daughter of Darius III and latter a daughter of Artaxerxes III, for political reasons.[216][217] He apparently had two sons, Alexander IV of Macedon by Roxana and, possibly, Heracles of Macedon from his mistress Barsine. He lost another child when Roxana miscarried at Babylon.[218][219]
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Alexander also had a close relationship with his friend, general, and bodyguard Hephaestion, the son of a Macedonian noble.[137][188][220] Hephaestion's death devastated Alexander.[137][221] This event may have contributed to Alexander's failing health and detached mental state during his final months.[147][156]
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Alexander's sexuality has been the subject of speculation and controversy in modern times.[222] The Roman era writer Athenaeus says, based on the scholar Dicaearchus, who was Alexander's contemporary, that the king "was quite excessively keen on boys", and that Alexander sexually embraced his eunuch Bagoas in public.[223] This episode is also told by Plutarch, probably based on the same source. None of Alexander's contemporaries, however, are known to have explicitly described Alexander's relationship with Hephaestion as sexual, though the pair was often compared to Achilles and Patroclus, whom classical Greek culture painted as a couple. Aelian writes of Alexander's visit to Troy where "Alexander garlanded the tomb of Achilles, and Hephaestion that of Patroclus, the latter hinting that he was a beloved of Alexander, in just the same way as Patroclus was of Achilles."[224] Some modern historians (e.g., Robin Lane Fox) believe not only that Alexander's youthful relationship with Hephaestion was sexual, but that their sexual contacts may have continued into adulthood, which went against the social norms of at least some Greek cities, such as Athens,[225][226] though some modern researchers have tentatively proposed that Macedonia (or at least the Macedonian court) may have been more tolerant of homosexuality between adults.[227]
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Green argues that there is little evidence in ancient sources that Alexander had much carnal interest in women; he did not produce an heir until the very end of his life.[188] However, Ogden calculates that Alexander, who impregnated his partners thrice in eight years, had a higher matrimonial record than his father at the same age.[228] Two of these pregnancies — Stateira's and Barsine's — are of dubious legitimacy.[229]
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According to Diodorus Siculus, Alexander accumulated a harem in the style of Persian kings, but he used it rather sparingly,[230] showing great self-control in "pleasures of the body".[200] Nevertheless, Plutarch described how Alexander was infatuated by Roxana while complimenting him on not forcing himself on her.[231] Green suggested that, in the context of the period, Alexander formed quite strong friendships with women, including Ada of Caria, who adopted him, and even Darius' mother Sisygambis, who supposedly died from grief upon hearing of Alexander's death.[188]
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Alexander's legacy extended beyond his military conquests. His campaigns greatly increased contacts and trade between East and West, and vast areas to the east were significantly exposed to Greek civilization and influence.[16] Some of the cities he founded became major cultural centers, many surviving into the 21st century. His chroniclers recorded valuable information about the areas through which he marched, while the Greeks themselves got a sense of belonging to a world beyond the Mediterranean.[16]
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Alexander's most immediate legacy was the introduction of Macedonian rule to huge new swathes of Asia. At the time of his death, Alexander's empire covered some 5,200,000 km2 (2,000,000 sq mi),[233] and was the largest state of its time. Many of these areas remained in Macedonian hands or under Greek influence for the next 200–300 years. The successor states that emerged were, at least initially, dominant forces, and these 300 years are often referred to as the Hellenistic period.[234]
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The eastern borders of Alexander's empire began to collapse even during his lifetime.[174] However, the power vacuum he left in the northwest of the Indian subcontinent directly gave rise to one of the most powerful Indian dynasties in history, the Maurya Empire. Taking advantage of this power vacuum, Chandragupta Maurya (referred to in Greek sources as "Sandrokottos"), of relatively humble origin, took control of the Punjab, and with that power base proceeded to conquer the Nanda Empire.[235]
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Over the course of his conquests, Alexander founded some twenty cities that bore his name, most of them east of the Tigris.[105][236] The first, and greatest, was Alexandria in Egypt, which would become one of the leading Mediterranean cities.[105] The cities' locations reflected trade routes as well as defensive positions. At first, the cities must have been inhospitable, little more than defensive garrisons.[105] Following Alexander's death, many Greeks who had settled there tried to return to Greece.[105][236] However, a century or so after Alexander's death, many of the Alexandrias were thriving, with elaborate public buildings and substantial populations that included both Greek and local peoples.[105]
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In 334 BC, Alexander the Great donated funds for the completion of the new temple of Athena Polias in Priene, in modern-day western Turkey.[238][239] An inscription from the temple, now housed in the British Museum, declares: "King Alexander dedicated [this temple] to Athena Polias."[237] This inscription is one of the few independent archaeological discoveries confirming an episode from Alexander's life.[237] The temple was designed by Pytheos, one of the architects of the Mausoleum at Halicarnassus.[237][238][239][240]
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Libanius wrote that Alexander founded the temple of Zeus Bottiaios (Ancient Greek: Βοττιαίου Δῖός), in the place where later the city of Antioch was built.[241][242]
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Hellenization was coined by the German historian Johann Gustav Droysen to denote the spread of Greek language, culture, and population into the former Persian empire after Alexander's conquest.[234] That this export took place is undoubted, and can be seen in the great Hellenistic cities of, for instance, Alexandria, Antioch[243] and Seleucia (south of modern Baghdad).[244] Alexander sought to insert Greek elements into Persian culture and attempted to hybridize Greek and Persian culture. This culminated in his aspiration to homogenize the populations of Asia and Europe. However, his successors explicitly rejected such policies. Nevertheless, Hellenization occurred throughout the region, accompanied by a distinct and opposite 'Orientalization' of the successor states.[245]
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The core of the Hellenistic culture promulgated by the conquests was essentially Athenian.[246] The close association of men from across Greece in Alexander's army directly led to the emergence of the largely Attic-based "koine", or "common" Greek dialect.[247] Koine spread throughout the Hellenistic world, becoming the lingua franca of Hellenistic lands and eventually the ancestor of modern Greek.[247] Furthermore, town planning, education, local government, and art current in the Hellenistic period were all based on Classical Greek ideals, evolving into distinct new forms commonly grouped as Hellenistic.[243] Aspects of Hellenistic culture were still evident in the traditions of the Byzantine Empire in the mid-15th century.[248]
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Some of the most pronounced effects of Hellenization can be seen in Afghanistan and India, in the region of the relatively late-rising Greco-Bactrian Kingdom (250–125 BC) (in modern Afghanistan, Pakistan, and Tajikistan) and the Indo-Greek Kingdom (180 BC – 10 AD) in modern Afghanistan and India.[249] On the Silk Road trade routes, Hellenistic culture hybridized with Iranian and Buddhist cultures. The cosmopolitan art and mythology of Gandhara (a region spanning the upper confluence of the Indus, Swat and Kabul rivers in modern Pakistan) of the ~3rd century BC to the ~5th century AD are most evident of the direct contact between Hellenistic civilization and South Asia, as are the Edicts of Ashoka, which directly mention the Greeks within Ashoka's dominion as converting to Buddhism and the reception of Buddhist emissaries by Ashoka's contemporaries in the Hellenistic world.[250] The resulting syncretism known as Greco-Buddhism influenced the development of Buddhism[citation needed] and created a culture of Greco-Buddhist art. These Greco-Buddhist kingdoms sent some of the first Buddhist missionaries to China, Sri Lanka and Hellenistic Asia and Europe (Greco-Buddhist monasticism).
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Some of the first and most influential figurative portrayals of the Buddha appeared at this time, perhaps modeled on Greek statues of Apollo in the Greco-Buddhist style.[249] Several Buddhist traditions may have been influenced by the ancient Greek religion: the concept of Boddhisatvas is reminiscent of Greek divine heroes,[251] and some Mahayana ceremonial practices (burning incense, gifts of flowers, and food placed on altars) are similar to those practiced by the ancient Greeks; however, similar practices were also observed amongst the native Indic culture. One Greek king, Menander I, probably became Buddhist, and was immortalized in Buddhist literature as 'Milinda'.[249] The process of Hellenization also spurred trade between the east and west.[252] For example, Greek astronomical instruments dating to the 3rd century BC were found in the Greco-Bactrian city of Ai Khanoum in modern-day Afghanistan,[253] while the Greek concept of a spherical earth surrounded by the spheres of planets eventually supplanted the long-standing Indian cosmological belief of a disc consisting of four continents grouped around a central mountain (Mount Meru) like the petals of a flower.[252][254][255] The Yavanajataka (lit. Greek astronomical treatise) and Paulisa Siddhanta texts depict the influence of Greek astronomical ideas on Indian astronomy.
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Following the conquests of Alexander the Great in the east, Hellenistic influence on Indian art was far-ranging. In the area of architecture, a few examples of the Ionic order can be found as far as Pakistan with the Jandial temple near Taxila. Several examples of capitals displaying Ionic influences can be seen as far as Patna, especially with the Pataliputra capital, dated to the 3rd century BC.[256] The Corinthian order is also heavily represented in the art of Gandhara, especially through Indo-Corinthian capitals.
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Alexander and his exploits were admired by many Romans, especially generals, who wanted to associate themselves with his achievements.[257] Polybius began his Histories by reminding Romans of Alexander's achievements, and thereafter Roman leaders saw him as a role model. Pompey the Great adopted the epithet "Magnus" and even Alexander's anastole-type haircut, and searched the conquered lands of the east for Alexander's 260-year-old cloak, which he then wore as a sign of greatness.[257] Julius Caesar dedicated a Lysippean equestrian bronze statue but replaced Alexander's head with his own, while Octavian visited Alexander's tomb in Alexandria and temporarily changed his seal from a sphinx to Alexander's profile.[257] The emperor Trajan also admired Alexander, as did Nero and Caracalla.[257] The Macriani, a Roman family that in the person of Macrinus briefly ascended to the imperial throne, kept images of Alexander on their persons, either on jewelry, or embroidered into their clothes.[258]
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On the other hand, some Roman writers, particularly Republican figures, used Alexander as a cautionary tale of how autocratic tendencies can be kept in check by republican values.[259] Alexander was used by these writers as an example of ruler values such as amicita (friendship) and clementia (clemency), but also iracundia (anger) and cupiditas gloriae (over-desire for glory).[259]
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Emperor Julian in his satire called "The Caesars", describes a contest between the previous Roman emperors, with Alexander the Great called in as an extra contestant, in the presence of the assembled gods.[260]
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Pausanias writes that Alexander wanted to dig the Mimas mountain (today at the Karaburun area), but he didn't succeed. He also mentions that this was the only unsuccessful project of Alexander.[261] In addition, Pliny the Elder writes about this unsuccessful plan adding that the distance was 12 kilometres (7 1⁄2 mi), and the purpose was to cut a canal through the isthmus, so as to connect the Caystrian and Hermaean bays.[262][263]
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Arrian wrote that Aristobulus said that the Icarus island (modern Failaka Island) in the Persian Gulf had this name because Alexander ordered the island to be named like this, after the Icarus island in the Aegean Sea.[264][265]
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Legendary accounts surround the life of Alexander the Great, many deriving from his own lifetime, probably encouraged by Alexander himself.[266] His court historian Callisthenes portrayed the sea in Cilicia as drawing back from him in proskynesis. Writing shortly after Alexander's death, another participant, Onesicritus, invented a tryst between Alexander and Thalestris, queen of the mythical Amazons. When Onesicritus read this passage to his patron, Alexander's general and later King Lysimachus reportedly quipped, "I wonder where I was at the time."[267]
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In the first centuries after Alexander's death, probably in Alexandria, a quantity of the legendary material coalesced into a text known as the Alexander Romance, later falsely ascribed to Callisthenes and therefore known as Pseudo-Callisthenes. This text underwent numerous expansions and revisions throughout Antiquity and the Middle Ages,[268] containing many dubious stories,[266] and was translated into numerous languages.[269]
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Alexander the Great's accomplishments and legacy have been depicted in many cultures. Alexander has figured in both high and popular culture beginning in his own era to the present day. The Alexander Romance, in particular, has had a significant impact on portrayals of Alexander in later cultures, from Persian to medieval European to modern Greek.[269]
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Alexander features prominently in modern Greek folklore, more so than any other ancient figure.[270] The colloquial form of his name in modern Greek ("O Megalexandros") is a household name, and he is the only ancient hero to appear in the Karagiozis shadow play.[270] One well-known fable among Greek seamen involves a solitary mermaid who would grasp a ship's prow during a storm and ask the captain "Is King Alexander alive?" The correct answer is "He is alive and well and rules the world!" causing the mermaid to vanish and the sea to calm. Any other answer would cause the mermaid to turn into a raging Gorgon who would drag the ship to the bottom of the sea, all hands aboard.[270]
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In pre-Islamic Middle Persian (Zoroastrian) literature, Alexander is referred to by the epithet gujastak, meaning "accursed", and is accused of destroying temples and burning the sacred texts of Zoroastrianism.[271] In Sunni Islamic Persia, under the influence of the Alexander Romance (in Persian: اسکندرنامه Iskandarnamah), a more positive portrayal of Alexander emerges.[272] Firdausi's Shahnameh ("The Book of Kings") includes Alexander in a line of legitimate Persian shahs, a mythical figure who explored the far reaches of the world in search of the Fountain of Youth.[273] Later Persian writers associate him with philosophy, portraying him at a symposium with figures such as Socrates, Plato and Aristotle, in search of immortality.[272]
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The figure of Dhul-Qarnayn (literally "the Two-Horned One") mentioned in the Quran is believed by scholars to be based on later legends of Alexander.[272] In this tradition, he was a heroic figure who built a wall to defend against the nations of Gog and Magog.[274] He then travelled the known world in search of the Water of Life and Immortality, eventually becoming a prophet.[274]
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The Syriac version of the Alexander Romance portrays him as an ideal Christian world conqueror who prayed to "the one true God".[272] In Egypt, Alexander was portrayed as the son of Nectanebo II, the last pharaoh before the Persian conquest.[274] His defeat of Darius was depicted as Egypt's salvation, "proving" Egypt was still ruled by an Egyptian.[272]
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According to Josephus, Alexander was shown the Book of Daniel when he entered Jerusalem, which described a mighty Greek king who would conquer the Persian Empire. This is cited as a reason for sparing Jerusalem.[275]
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In Hindi and Urdu, the name "Sikandar", derived from the Persian name for Alexander, denotes a rising young talent, and the Delhi Sultanate ruler Aladdin Khajli stylized himself as "Sikandar-i-Sani" (the Second Alexander the Great).[276] In medieval India, Turkic and Afghan sovereigns from the Iranian-cultured region of Central Asia brought positive cultural connotations of Alexander to the Indian subcontinent, resulting in the efflorescence of Sikandernameh (Alexander Romances) written by Indo-Persian poets such as Amir Khusrow and the prominence of Alexander the Great as a popular subject in Mughal-era Persian miniatures.[277] In medieval Europe, Alexander the Great was revered as a member of the Nine Worthies, a group of heroes whose lives were believed to encapsulate all the ideal qualities of chivalry.[278]
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In Greek Anthology there are poems referring to Alexander.[279][280]
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Irish playwright Aubrey Thomas de Vere wrote Alexander the Great, a Dramatic Poem.
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In popular culture, the British heavy metal band Iron Maiden included a song titled "Alexander the Great" on their 1986 album Somewhere in Time. Written by bass player Steve Harris, the song retells Alexander's life.
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Apart from a few inscriptions and fragments, texts written by people who actually knew Alexander or who gathered information from men who served with Alexander were all lost.[16] Contemporaries who wrote accounts of his life included Alexander's campaign historian Callisthenes; Alexander's generals Ptolemy and Nearchus; Aristobulus, a junior officer on the campaigns; and Onesicritus, Alexander's chief helmsman. Their works are lost, but later works based on these original sources have survived. The earliest of these is Diodorus Siculus (1st century BC), followed by Quintus Curtius Rufus (mid-to-late 1st century AD), Arrian (1st to 2nd century AD), the biographer Plutarch (1st to 2nd century AD), and finally Justin, whose work dated as late as the 4th century.[16] Of these, Arrian is generally considered the most reliable, given that he used Ptolemy and Aristobulus as his sources, closely followed by Diodorus.[16]
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Knowledge is a familiarity, awareness, or understanding of someone or something, such as facts (propositional knowledge), skills (procedural knowledge), or objects (acquaintance knowledge). By most accounts, knowledge can be acquired in many different ways and from many difference sources, including but not limited to perception, reason, memory, testimony, scientific inquiry, education, and practice. The philosophical study of knowledge is called epistemology.
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Knowledge can refer to a theoretical or practical understanding of a subject. It can be implicit (as with practical skill or expertise) or explicit (as with the theoretical understanding of a subject); formal or informal; systematic or particular.[1] The philosopher Plato famously pointed out the need for a distinction between knowledge and true belief in the Theaetetus, leading many to attribute to him a definition of knowledge as "justified true belief".[2][3] The difficulties with this definition raised by the Gettier problem have been the subject of extensive debate in epistemology for more than half a century.[2]
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The eventual demarcation of philosophy from science was made possible by the notion that philosophy's core was "theory of knowledge," a theory distinct from the sciences because it was their foundation... Without this idea of a "theory of knowledge," it is hard to imagine what "philosophy" could have been in the age of modern science.
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The definition of knowledge is a matter of ongoing debate among philosophers in the field of epistemology. The classical definition, described but not ultimately endorsed by Plato,[4] specifies that a statement must meet three criteria in order to be considered knowledge: it must be justified, true, and believed. Some claim that these conditions are not sufficient, as Gettier case examples allegedly demonstrate. There are a number of alternatives proposed, including Robert Nozick's arguments for a requirement that knowledge 'tracks the truth' and Simon Blackburn's additional requirement that we do not want to say that those who meet any of these conditions 'through a defect, flaw, or failure' have knowledge. Richard Kirkham suggests that our definition of knowledge requires that the evidence for the belief necessitates its truth.[5]
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In contrast to this approach, Ludwig Wittgenstein observed, following Moore's paradox, that one can say "He believes it, but it isn't so," but not "He knows it, but it isn't so."[6] He goes on to argue that these do not correspond to distinct mental states, but rather to distinct ways of talking about conviction. What is different here is not the mental state of the speaker, but the activity in which they are engaged. For example, on this account, to know that the kettle is boiling is not to be in a particular state of mind, but to perform a particular task with the statement that the kettle is boiling. Wittgenstein sought to bypass the difficulty of definition by looking to the way "knowledge" is used in natural languages. He saw knowledge as a case of a family resemblance. Following this idea, "knowledge" has been reconstructed as a cluster concept that points out relevant features but that is not adequately captured by any definition.[7]
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“Self-knowledge” usually refers to a person's knowledge of her own sensations, thoughts, beliefs, and other mental states.[8] A number of questions regarding self-knowledge have been the subject of extensive debates/ in philosophy, including whether self-knowledge differs from other types of knowledge, whether we have privileged self-knowledge compared to knowledge of other minds, and the nature of our acquaintance with ourselves.[8] David Hume famously expressed skepticism about whether we could ever have self-knowledge over and above our immediate awareness of a "bundle of perceptions", which was part of his broader skepticism about personal identity.[8]
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We generally assume that knowledge is more valuable than mere true belief. If so, what is the explanation? A formulation of the value problem in epistemology first occurs in Plato's Meno. Socrates points out to Meno that a man who knew the way to Larissa could lead others there correctly. But so, too, could a man who had true beliefs about how to get there, even if he had not gone there or had any knowledge of Larissa. Socrates says that it seems that both knowledge and true opinion can guide action. Meno then wonders why knowledge is valued more than true belief and why knowledge and true belief are different. Socrates responds that knowledge is more valuable than mere true belief because it is tethered or justified. Justification, or working out the reason for a true belief, locks down true belief.[9]
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The problem is to identify what (if anything) makes knowledge more valuable than mere true belief, or that makes knowledge more valuable than a mere minimal conjunction of its components, such as justification, safety, sensitivity, statistical likelihood, and anti-Gettier conditions, on a particular analysis of knowledge that conceives of knowledge as divided into components (to which knowledge-first epistemological theories, which posit knowledge as fundamental, are notable exceptions).[10] The value problem re-emerged in the philosophical literature on epistemology in the twenty-first century following the rise of virtue epistemology in the 1980s, partly because of the obvious link to the concept of value in ethics.[11]
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In contemporary philosophy, epistemologists including Ernest Sosa, John Greco, Jonathan Kvanvig,[12] Linda Zagzebski, and Duncan Pritchard have defended virtue epistemology as a solution to the value problem. They argue that epistemology should also evaluate the "properties" of people as epistemic agents (i.e. intellectual virtues), rather than merely the properties of propositions and propositional mental attitudes.
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The development of the scientific method has made a significant contribution to how knowledge of the physical world and its phenomena is acquired.[13] To be termed scientific, a method of inquiry must be based on gathering observable and measurable evidence subject to specific principles of reasoning and experimentation.[14] The scientific method consists of the collection of data through observation and experimentation, and the formulation and testing of hypotheses.[15] Science, and the nature of scientific knowledge have also become the subject of philosophy. As science itself has developed, scientific knowledge now includes a broader usage[16] in the soft sciences such as biology and the social sciences – discussed elsewhere as meta-epistemology, or genetic epistemology, and to some extent related to "theory of cognitive development". Note that "epistemology" is the study of knowledge and how it is acquired. Science is "the process used everyday to logically complete thoughts through inference of facts determined by calculated experiments." Sir Francis Bacon was critical in the historical development of the scientific method; his works established and popularized an inductive methodology for scientific inquiry. His famous aphorism, "knowledge is power", is found in the Meditations Sacrae (1597).[17]
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Until recent times, at least in the Western tradition, it was simply taken for granted that knowledge was something possessed only by humans – and probably adult humans at that. Sometimes the notion might stretch to Society-as-such, as in (e. g.) "the knowledge possessed by the Coptic culture" (as opposed to its individual members), but that was not assured either. Nor was it usual to consider unconscious knowledge in any systematic way until this approach was popularized by Freud.[18]
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Other biological domains where "knowledge" might be said to reside, include: (iii) the immune system, and (iv) in the DNA of the genetic code. See the list of four "epistemological domains": Popper, (1975);[19] and Traill (2008:[20] Table S, p. 31) – also references by both to Niels Jerne.
|
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+
|
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Such considerations seem to call for a separate definition of "knowledge" to cover the biological systems. For biologists, knowledge must be usefully available to the system, though that system need not be conscious. Thus the criteria seem to be:
|
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+
|
31 |
+
Those who use the phrase "scientific knowledge" don't necessary claim to certainty, since scientists will never be absolutely certain when they are correct and when they are not. It is thus an irony of proper scientific method that one must doubt even when correct, in the hopes that this practice will lead to greater convergence on the truth in general.[22]
|
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Situated knowledge is knowledge specific to a particular situation. It was used by Donna Haraway as an extension of the feminist approaches of "successor science" suggested by Sandra Harding, one which "offers a more adequate, richer, better account of a world, in order to live in it well and in critical, reflexive relation to our own as well as others' practices of domination and the unequal parts of privilege and oppression that makes up all positions."[23] This situation partially transforms science into a narrative, which Arturo Escobar explains as, "neither fictions nor supposed facts." This narrative of situation is historical textures woven of fact and fiction, and as Escobar explains further, "even the most neutral scientific domains are narratives in this sense," insisting that rather than a purpose dismissing science as a trivial matter of contingency, "it is to treat (this narrative) in the most serious way, without succumbing to its mystification as 'the truth' or to the ironic skepticism common to many critiques."[24]
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Haraway's argument stems from the limitations of the human perception, as well as the overemphasis of the sense of vision in science. According to Haraway, vision in science has been, "used to signify a leap out of the marked body and into a conquering gaze from nowhere." This is the "gaze that mythically inscribes all the marked bodies, that makes the unmarked category claim the power to see and not be seen, to represent while escaping representation."[23] This causes a limitation of views in the position of science itself as a potential player in the creation of knowledge, resulting in a position of "modest witness". This is what Haraway terms a "god trick", or the aforementioned representation while escaping representation.[25] In order to avoid this, "Haraway perpetuates a tradition of thought which emphasizes the importance of the subject in terms of both ethical and political accountability".[26]
|
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|
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Some methods of generating knowledge, such as trial and error, or learning from experience, tend to create highly situational knowledge.
|
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+
Situational knowledge is often embedded in language, culture, or traditions. This integration of situational knowledge is an allusion to the community, and its attempts at collecting subjective perspectives into an embodiment "of views from somewhere." [23] Knowledge is also said to be related to the capacity of acknowledgement in human beings.[27]
|
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|
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+
Even though Haraway's arguments are largely based on feminist studies,[23] this idea of different worlds, as well as the skeptic stance of situated knowledge is present in the main arguments of post-structuralism. Fundamentally, both argue the contingency of knowledge on the presence of history; power, and geography, as well as the rejection of universal rules or laws or elementary structures; and the idea of power as an inherited trait of objectification.[28]
|
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|
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One discipline of epistemology focuses on partial knowledge. In most cases, it is not possible to understand an information domain exhaustively; our knowledge is always incomplete or partial. Most real problems have to be solved by taking advantage of a partial understanding of the problem context and problem data, unlike the typical math problems one might solve at school, where all data is given and one is given a complete understanding of formulas necessary to solve them.[citation needed]
|
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+
|
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+
This idea is also present in the concept of bounded rationality which assumes that in real life situations people often have a limited amount of information and make decisions accordingly.
|
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+
|
46 |
+
In many expressions of Christianity, such as Catholicism and Anglicanism, knowledge is one of the seven gifts of the Holy Spirit.[29]
|
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+
|
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The Old Testament's tree of the knowledge of good and evil contained the knowledge that separated Man from God: "And the LORD God said, Behold, the man is become as one of us, to know good and evil..." (Genesis 3:22)
|
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+
|
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+
In Gnosticism, divine knowledge or gnosis is hoped to be attained.
|
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+
|
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+
विद्या दान (Vidya Daan) i.e. knowledge sharing is a major part of Daan, a tenet of all Dharmic Religions.[30]
|
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Hindu Scriptures present two kinds of knowledge, Paroksh Gyan and Prataksh Gyan. Paroksh Gyan (also spelled Paroksha-Jnana) is secondhand knowledge: knowledge obtained from books, hearsay, etc. Pratyaksh Gyan (also spelled Pratyaksha-Jnana) is the knowledge borne of direct experience, i.e., knowledge that one discovers for oneself.[31] Jnana yoga ("path of knowledge") is one of three main types of yoga expounded by Krishna in the Bhagavad Gita. (It is compared and contrasted with Bhakti Yoga and Karma yoga.)
|
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|
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+
In Islam, knowledge (Arabic: علم, ʿilm) is given great significance. "The Knowing" (al-ʿAlīm) is one of the 99 names reflecting distinct attributes of God. The Qur'an asserts that knowledge comes from God (2:239) and various hadith encourage the acquisition of knowledge. Muhammad is reported to have said "Seek knowledge from the cradle to the grave" and "Verily the men of knowledge are the inheritors of the prophets". Islamic scholars, theologians and jurists are often given the title alim, meaning "knowledgeble".[citation needed]
|
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+
|
57 |
+
In Jewish tradition, knowledge (Hebrew: דעת da'ath) is considered one of the most valuable traits a person can acquire. Observant Jews recite three times a day in the Amidah "Favor us with knowledge, understanding and discretion that come from you. Exalted are you, Existent-One, the gracious giver of knowledge." The Tanakh states, "A wise man gains power, and a man of knowledge maintains power", and "knowledge is chosen above gold".
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1 |
+
Coordinates: 41°36′N 72°42′W / 41.6°N 72.7°W / 41.6; -72.7
|
2 |
+
|
3 |
+
Connecticut (/kəˈnɛtɪkət/ (listen))[9] is the southernmost state in the New England region of the northeastern United States. As of the 2010 Census, it has the highest per-capita income, Human Development Index (0.962), and median household income in the United States.[10][11][12] It is bordered by Rhode Island to the east, Massachusetts to the north, New York to the west, and Long Island Sound to the south. Its capital is Hartford and its most populous city is Bridgeport. According to most sources, it is part of New England, although large portions of it are often grouped with New York and New Jersey as the tri-state area instead. The state is named for the Connecticut River which approximately bisects the state. The word "Connecticut" is derived from various anglicized spellings of a Mohegan-Pequot word for "long tidal river".[13]
|
4 |
+
|
5 |
+
Connecticut's first European settlers were Dutchmen who established a small, short-lived settlement called Fort Hoop in Hartford at the confluence of the Park and Connecticut Rivers. Half of Connecticut was initially part of the Dutch colony New Netherland, which included much of the land between the Connecticut and Delaware Rivers, although the first major settlements were established in the 1630s by the English. Thomas Hooker led a band of followers from the Massachusetts Bay Colony and founded the Connecticut Colony; other settlers from Massachusetts founded the Saybrook Colony and the New Haven Colony. The Connecticut and New Haven colonies established documents of Fundamental Orders, considered the first constitutions in America. In 1662, the three colonies were merged under a royal charter, making Connecticut a crown colony. This was one of the Thirteen Colonies which rejected British rule in the American Revolution.
|
6 |
+
|
7 |
+
Connecticut is the third smallest state by area,[14] the 29th most populous,[15] and the fourth most densely populated[14] of the fifty states. It is known as the "Constitution State", the "Nutmeg State", the "Provisions State", and the "Land of Steady Habits".[1] It was influential in the development of the federal government of the United States (see Connecticut Compromise).
|
8 |
+
|
9 |
+
The Connecticut River, Thames River, and ports along Long Island Sound have given Connecticut a strong maritime tradition which continues today. The state also has a long history of hosting the financial services industry, including insurance companies in Hartford and hedge funds in Fairfield County.
|
10 |
+
|
11 |
+
Connecticut is bordered on the south by Long Island Sound, on the west by New York, on the north by Massachusetts, and on the east by Rhode Island. The state capital and fourth largest city is Hartford, and other major cities and towns (by population) include Bridgeport, New Haven, Stamford, Waterbury, Norwalk, Danbury, New Britain, Greenwich, and Bristol. Connecticut is slightly larger than the country of Montenegro. There are 169 incorporated towns in Connecticut.
|
12 |
+
|
13 |
+
The highest peak in Connecticut is Bear Mountain in Salisbury in the northwest corner of the state. The highest point is just east of where Connecticut, Massachusetts, and New York meet (42°3′ N, 73°29′ W), on the southern slope of Mount Frissell, whose peak lies nearby in Massachusetts.[16] At the opposite extreme, many of the coastal towns have areas that are less than 20 feet (6 m) above sea level.
|
14 |
+
|
15 |
+
Connecticut has a long maritime history and a reputation based on that history—yet the state has no direct oceanfront (technically speaking). The coast of Connecticut sits on Long Island Sound, which is an estuary. The state's access to the open Atlantic Ocean is both to the west (toward New York City) and to the east (toward the "race" near Rhode Island). This situation provides many safe harbors from ocean storms, and many transatlantic ships seek anchor inside Long Island Sound when tropical cyclones pass off the upper East Coast.[citation needed]
|
16 |
+
|
17 |
+
The Connecticut River cuts through the center of the state, flowing into Long Island Sound. The most populous metropolitan region centered within the state lies in the Connecticut River Valley. Despite Connecticut's relatively small size, it features wide regional variations in its landscape; for example, in the northwestern Litchfield Hills, it features rolling mountains and horse farms, whereas in areas to the east of New Haven along the coast, the landscape features coastal marshes, beaches, and large scale maritime activities.
|
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|
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+
Connecticut's rural areas and small towns in the northeast and northwest corners of the state contrast sharply with its industrial cities such as Stamford, Bridgeport, and New Haven, located along the coastal highways from the New York border to New London, then northward up the Connecticut River to Hartford. Many towns in northeastern and northwestern Connecticut center around a green, such as the Litchfield Green, Lebanon Green (the largest in New England), Milford Green (second largest in New England) and Wethersfield Green (the oldest in the state). Near the green typically stand historical visual symbols of New England towns, such as a white church, a colonial meeting house, a colonial tavern or inn, several colonial houses, and so on, establishing a scenic historical appearance maintained for both historic preservation and tourism. Many of the areas in southern and coastal Connecticut have been built up and rebuilt over the years, and look less visually like traditional New England.
|
20 |
+
|
21 |
+
The northern boundary of the state with Massachusetts is marked by the Southwick Jog or Granby Notch, an approximately 2.5 miles (4.0 km) square detour into Connecticut. The origin of this anomaly is clearly established in a long line of disputes and temporary agreements which were finally concluded in 1804, when southern Southwick's residents sought to leave Massachusetts, and the town was split in half.[17][18]
|
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+
|
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+
The southwestern border of Connecticut where it abuts New York State is marked by a panhandle in Fairfield County, containing the towns of Greenwich, Stamford, New Canaan, Darien, and parts of Norwalk and Wilton. This irregularity in the boundary is the result of territorial disputes in the late 17th century, culminating with New York giving up its claim to the area, whose residents considered themselves part of Connecticut, in exchange for an equivalent area extending northwards from Ridgefield to the Massachusetts border, as well as undisputed claim to Rye, New York.[19]
|
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+
|
25 |
+
Areas maintained by the National Park Service include Appalachian National Scenic Trail, Quinebaug and Shetucket Rivers Valley National Heritage Corridor, and Weir Farm National Historic Site.[20]
|
26 |
+
|
27 |
+
Bridgeport
|
28 |
+
|
29 |
+
New Haven
|
30 |
+
|
31 |
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Hartford
|
32 |
+
|
33 |
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Stamford
|
34 |
+
|
35 |
+
New London
|
36 |
+
|
37 |
+
Willimantic
|
38 |
+
|
39 |
+
Gold Star Bridge and Amtrak Thames River Bridge
|
40 |
+
|
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+
Mount Frissell is the highest point in the state.
|
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|
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+
Lake McDonough reservoir
|
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+
|
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+
Candlewood Lake, Connecticut's largest
|
46 |
+
|
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+
The Connecticut River near Connecticut Route 82
|
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+
|
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+
Connecticut lies at the rough transition zone between the southern end of the humid continental climate, and the northern portion of the humid subtropical climate. Northern Connecticut generally experiences a climate with cold winters with moderate snowfall and hot, humid summers. Far southern and coastal Connecticut has a climate with cool winters with a mix of rain and infrequent snow, and the long hot and humid summers typical of the middle and lower East Coast.
|
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+
|
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+
Connecticut sees a fairly even precipitation pattern with rainfall/snowfall spread throughout the 12 months. Connecticut averages 56% of possible sunshine (higher than the U.S. national average), averaging 2,400 hours of sunshine annually.[21]
|
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+
|
53 |
+
Early spring (April) can range from slightly cool (40s to low 50s F) to warm (65 to 70 F), while mid and late spring (late April/May) is warm. By late May, the building Bermuda High creates a southerly flow of warm and humid tropical air, bringing hot weather conditions throughout the state, with average highs in New London of 81 °F (27 °C) and 85 °F (29 °C) in Windsor Locks at the peak of summer in late July. On occasion, heat waves with highs from 90 to 100 °F (38 °C) occur across Connecticut. Although summers are sunny in Connecticut, quick moving summer thunderstorms can bring brief downpours with thunder and lightning. Occasionally these thunderstorms can be severe, and the state usually averages one tornado per year.[22] During hurricane season, the remains of tropical cyclones occasionally affect the region, though a direct hit is rare.
|
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+
|
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+
Weather commonly associated with the fall season typically begins in October and lasts to the first days of December. Daily high temperatures in October and November range from the 50s to 60s (Fahrenheit) with nights in the 40s and upper 30s. Colorful foliage begins across northern parts of the state in early October and moves south and east reaching southeast Connecticut by early November. Far southern and coastal areas, however, have more oak and hickory trees (and fewer maples) and are often less colorful than areas to the north. By December daytime highs are in the 40s ºF for much of the state, and average overnight lows are below freezing.
|
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+
|
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+
Winters (December through mid-March) are generally cold from south to north in Connecticut. The coldest month (January) has average high temperatures ranging from 38 °F (3 °C) in the coastal lowlands to 33 °F (1 °C) in the inland and northern portions on the state. The average yearly snowfall ranges from about 60 inches (1,500 mm) in the higher elevations of the northern portion of the state to only 20–25 inches (510–640 mm) along the southeast coast of Connecticut (Branford to Groton). Generally, any locale north or west of Interstate 84 receives the most snow, during a storm, and throughout the season. Most of Connecticut has less than 60 days of snow cover. Snow usually falls from late November to late March in the northern part of the state, and from early December to mid-March in the southern and coastal parts of the state.
|
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|
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Connecticut's record high temperature is 106 °F (41 °C) which occurred in Danbury on July 15, 1995; the record low is −32 °F (−36 °C) which occurred in the Northwest Hills Falls Village on February 16, 1943, and Coventry on January 22, 1961.[23]
|
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+
|
61 |
+
Forests consist of a mix of Northeastern coastal forests of Oak in southern areas of the state, to the upland New England-Acadian forests in the northwestern parts of the state. Mountain Laurel (Kalmia latifolia) is the state flower and is native to low ridges in several parts of Connecticut. Rosebay Rhododendron (Rhododendron maximum) is also native to eastern uplands of Connecticut and Pachaug State Forest is home to the Rhododendron Sanctuary Trail. Atlantic white cedar (Chamaecyparis thyoides), is found in wetlands in the southern parts of the state. Connecticut has one native cactus (Opuntia humifusa), found in sandy coastal areas and low hillsides. Several types of beach grasses and wildflowers are also native to Connecticut.[26] Connecticut spans USDA Plant Hardiness Zones 5b to 7a. Coastal Connecticut is the broad transition zone where more southern and subtropical plants are cultivated. In some coastal communities, Magnolia grandiflora (southern magnolia), Crape Myrtles, scrub palms (Sabal minor), and other broadleaved evergreens are cultivated in small numbers.[citation needed]
|
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+
|
63 |
+
The name Connecticut is derived from the Mohegan-Pequot word that has been translated as "long tidal river" and "upon the long river",[27] referring to the Connecticut River. The Connecticut region was inhabited by multiple Indian tribes before European settlement and colonization, including the Mohegans, the Pequots, and the Paugusetts.[28]
|
64 |
+
|
65 |
+
The first European explorer in Connecticut was Dutchman Adriaen Block,[29] who explored the region in 1614. Dutch fur traders then sailed up the Connecticut River, which they called Versche Rivier ("Fresh River"), and built a fort at Dutch Point in Hartford that they named "House of Hope" (Dutch: Huis van Hoop).[30]
|
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+
|
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+
The Connecticut Colony was originally a number of separate, smaller settlements at Windsor, Wethersfield, Saybrook, Hartford, and New Haven. The first English settlers came in 1633 and settled at Windsor, and then at Wethersfield the following year.[31] John Winthrop the Younger of Massachusetts received a commission to create Saybrook Colony at the mouth of the Connecticut River in 1635.[32]
|
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+
|
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+
The main body of settlers came in one large group in 1636. They were Puritans from Massachusetts Bay Colony led by Thomas Hooker, who established the Connecticut Colony at Hartford.[33] The Quinnipiack Colony[34] was established by John Davenport, Theophilus Eaton, and others at New Haven in March 1638. The New Haven Colony had its own constitution called "The Fundamental Agreement of the New Haven Colony", signed on June 4, 1639.[35]
|
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|
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The settlements were established without official sanction of the English Crown, and each was an independent political entity.[36] In 1662, Winthrop traveled to England and obtained a charter from Charles II which united the settlements of Connecticut.[37] Historically important colonial settlements included Windsor (1633), Wethersfield (1634), Saybrook (1635), Hartford (1636), New Haven (1638), Fairfield (1639), Guilford (1639), Milford (1639), Stratford (1639), Farmington (1640), Stamford (1641), and New London (1646).
|
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|
73 |
+
The Pequot War marked the first major clash between colonists and Indians in New England. The Pequots reacted with increasing aggression to Colonial settlements in their territory—while simultaneously taking lands from the Narragansett and Mohegan tribes. Settlers responded to a murder in 1636 with a raid on a Pequot village on Block Island; the Pequots laid siege to Saybrook Colony's garrison that autumn, then raided Wethersfield in the spring of 1637. Colonists declared war on the Pequots, organized a band of militia and allies from the Mohegan and Narragansett tribes, and attacked a Pequot village on the Mystic River, with death toll estimates ranging between 300 and 700 Pequots. After suffering another major loss at a battle in Fairfield, the Pequots asked for a truce and peace terms.[38]
|
74 |
+
|
75 |
+
The western boundaries of Connecticut have been subject to change over time. The Hartford Treaty with the Dutch was signed on September 19, 1650, but it was never ratified by the British. According to it, the western boundary of Connecticut ran north from Greenwich Bay for a distance of 20 miles (32 km),[39][40] "provided the said line come not within 10 miles of Hudson River".[39][40] This agreement was observed by both sides until war erupted between England and The Netherlands in 1652. Conflict continued concerning colonial limits until the Duke of York captured New Netherland in 1664.[39][40]
|
76 |
+
|
77 |
+
On the other hand, Connecticut's original Charter in 1662 granted it all the land to the "South Sea"—that is, to the Pacific Ocean.[41] Most Colonial royal grants were for long east-west strips. Connecticut took its grant seriously and established a ninth county between the Susquehanna River and Delaware River named Westmoreland County. This resulted in the brief Pennamite Wars with Pennsylvania.[42]
|
78 |
+
|
79 |
+
Yale College was established in 1701, providing Connecticut with an important institution to educate clergy and civil leaders.[43] The Congregational church dominated religious life in the colony and, by extension, town affairs in many parts.[44]
|
80 |
+
|
81 |
+
With more than 600 miles of coastline including along its navigable rivers,[45] during the colonial years Connecticut developed the antecedents of a maritime tradition that would later produce booms in shipbuilding, marine transport, naval support, seafood production, and leisure boating.
|
82 |
+
|
83 |
+
Historical records list the Tryall as the first vessel built in Connecticut Colony, in 1649 at a site on the Connecticut River in present-day Wethersfield.[46] In the two decades leading up to 1776 and the American Revolution, Connecticut boatyards launched about 100 sloops, schooners and brigs according to a database of U.S. customs records maintained online by the Mystic Seaport Museum, the largest being the 180-ton Patient Mary launched in New Haven in 1763.[47] Connecticut's first lighthouse was constructed in 1760 at the mouth of the Thames River with the New London Harbor Lighthouse.[48]
|
84 |
+
|
85 |
+
Connecticut designated four delegates to the Second Continental Congress who signed the Declaration of Independence: Samuel Huntington, Roger Sherman, William Williams, and Oliver Wolcott.[49]
|
86 |
+
|
87 |
+
Connecticut's legislature authorized the outfitting of six new regiments in 1775, in the wake of the clashes between British regulars and Massachusetts militia at Lexington and Concord. There were some 1,200 Connecticut troops on hand at the Battle of Bunker Hill in June 1775.[50]
|
88 |
+
|
89 |
+
In 1775, David Bushnell invented the Turtle which the following year launched the first submarine attack in history, unsuccessfully against a British warship at anchor in New York Harbor.[51]
|
90 |
+
|
91 |
+
In 1777, the British got word of Continental Army supplies in Danbury, and they landed an expeditionary force of some 2,000 troops in Westport. This force then marched to Danbury and destroyed homes and much of the depot. Continental Army troops and militia led by General David Wooster and General Benedict Arnold engaged them on their return march at Ridgefield in 1777.[52]
|
92 |
+
|
93 |
+
For the winter of 1778–79, General George Washington decided to split the Continental Army into three divisions encircling New York City, where British General Sir Henry Clinton had taken up winter quarters.[53] Major General Israel Putnam chose Redding as the winter encampment quarters for some 3,000 regulars and militia under his command. The Redding encampment allowed Putnam's soldiers to guard the replenished supply depot in Danbury and to support any operations along Long Island Sound and the Hudson River Valley.[54] Some of the men were veterans of the winter encampment at Valley Forge, Pennsylvania the previous winter. Soldiers at the Redding camp endured supply shortages, cold temperatures, and significant snow, with some historians dubbing the encampment "Connecticut's Valley Forge".[55]
|
94 |
+
|
95 |
+
The state was also the launching site for a number of raids against Long Island orchestrated by Samuel Holden Parsons and Benjamin Tallmadge,[56] and provided men and material for the war effort, especially to Washington's army outside New York City. General William Tryon raided the Connecticut coast in July 1779, focusing on New Haven, Norwalk, and Fairfield.[57] New London and Groton Heights were raided in September 1781 by Benedict Arnold, who had turned traitor to the British.[58]
|
96 |
+
|
97 |
+
At the outset of the American Revolution, the Continental Congress assigned Nathaniel Shaw Jr. of New London as its naval agent in charge of recruiting privateers to seize British vessels as opportunities presented, with nearly 50 operating out of the Thames River which eventually drew the reprisal from the British force led by Arnold.[59]
|
98 |
+
|
99 |
+
Connecticut ratified the U.S. Constitution on January 9, 1788, becoming the fifth state.[60]
|
100 |
+
|
101 |
+
The state prospered during the era following the American Revolution, as mills and textile factories were built and seaports flourished from trade[61] and fisheries. After Congress established in 1790 the predecessor to the U.S. Revenue Cutter Service that would evolve into the U.S. Coast Guard, President Washington assigned Jonathan Maltbie as one of seven masters to enforce customs regulations, with Maltbie monitoring the southern New England coast with a 48-foot cutter sloop named Argus.[62]
|
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+
|
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+
In 1786, Connecticut ceded territory to the U.S. government that became part of the Northwest Territory. The state retained land extending across the northern part of present-day Ohio called the Connecticut Western Reserve.[63] The Western Reserve section was settled largely by people from Connecticut, and they brought Connecticut place names to Ohio.
|
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+
|
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+
Connecticut made agreements with Pennsylvania and New York which extinguished the land claims within those states' boundaries and created the Connecticut Panhandle. The state then ceded the Western Reserve in 1800 to the federal government,[63] which brought it to its present boundaries (other than minor adjustments with Massachusetts).
|
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+
|
107 |
+
For the first time in 1800, Connecticut shipwrights launched more than 100 vessels in a single year. Over the following decade to the doorstep of renewed hostilities with Britain that sparked the War of 1812, Connecticut boatyards constructed close to 1,000 vessels, the most productive stretch of any decade in the 19th century.[64]
|
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+
|
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+
During the war, the British launched raids in Stonington and Essex and blockaded vessels in the Thames River. Derby native Isaac Hull became Connecticut's best-known naval figure to win renown during the conflict, as captain of the USS Constitution.
|
110 |
+
|
111 |
+
The British blockade during the War of 1812 hurt exports and bolstered the influence of Federalists who opposed the war.[65] The cessation of imports from Britain stimulated the construction of factories to manufacture textiles and machinery. Connecticut came to be recognized as a major center for manufacturing, due in part to the inventions of Eli Whitney and other early innovators of the Industrial Revolution.[66]
|
112 |
+
|
113 |
+
The war led to the development of fast clippers that helped extend the reach of New England merchants to the Pacific and Indian oceans. The first half of the 19th century saw as well a rapid rise in whaling, with New London emerging as one of the New England industry's three biggest home ports after Nantucket and New Bedford.[67]
|
114 |
+
|
115 |
+
The state was known for its political conservatism, typified by its Federalist party and the Yale College of Timothy Dwight. The foremost intellectuals were Dwight and Noah Webster,[68] who compiled his great dictionary in New Haven. Religious tensions polarized the state, as the Congregational Church struggled to maintain traditional viewpoints, in alliance with the Federalists. The failure of the Hartford Convention in 1814 hurt the Federalist cause, with the Democratic-Republican Party gaining control in 1817.[69]
|
116 |
+
|
117 |
+
Connecticut had been governed under the "Fundamental Orders" since 1639, but the state adopted a new constitution in 1818.[70]
|
118 |
+
|
119 |
+
Connecticut manufacturers played a major role in supplying the Union forces with weapons and supplies during the Civil War. The state furnished 55,000 men, formed into thirty full regiments of infantry, including two in the U.S. Colored Troops, with several Connecticut men becoming generals. The Navy attracted 250 officers and 2,100 men, and Glastonbury native Gideon Welles was Secretary of the Navy. James H. Ward of Hartford was the first U.S. Naval Officer killed in the Civil War.[71] Connecticut casualties included 2,088 killed in combat, 2,801 dying from disease, and 689 dying in Confederate prison camps.[72][73][74]
|
120 |
+
|
121 |
+
A surge of national unity in 1861 brought thousands flocking to the colors from every town and city. However, as the war became a crusade to end slavery, many Democrats (especially Irish Catholics) pulled back. The Democrats took a pro-slavery position and included many Copperheads willing to let the South secede. The intensely fought 1863 election for governor was narrowly won by the Republicans.[75][76]
|
122 |
+
|
123 |
+
Connecticut's extensive industry, dense population, flat terrain, and wealth encouraged the construction of railroads starting in 1839. By 1840, 102 miles (164 km) of line were in operation, growing to 402 miles (647 km) in 1850 and 601 miles (967 km) in 1860.[77]
|
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+
|
125 |
+
The New York, New Haven and Hartford Railroad, called the New Haven or "The Consolidated", became the dominant Connecticut railroad company after 1872. J. P. Morgan began financing the major New England railroads in the 1890s, dividing territory so that they would not compete. The New Haven purchased 50 smaller companies, including steamship lines, and built a network of light rails (electrified trolleys) that provided inter-urban transportation for all of southern New England. By 1912, the New Haven operated over 2,000 miles (3,200 km) of track with 120,000 employees.[78]
|
126 |
+
|
127 |
+
As steam-powered passenger ships proliferated after the Civil War, Noank would produce the two largest built in Connecticut during the 19th century, with the 332-foot wooden steam paddle wheeler Rhode Island launched in 1882, and the 345-foot paddle wheeler Connecticut seven years later. Connecticut shipyards would launch more than 165 steam-powered vessels in the 19th century.[79]
|
128 |
+
|
129 |
+
In 1875, the first telephone exchange in the world was established in New Haven.[80]
|
130 |
+
|
131 |
+
When World War I broke out in 1914, Connecticut became a major supplier of weaponry to the U.S. military; by 1918, 80% of the state's industries were producing goods for the war effort.[81] Remington Arms in Bridgeport produced half the small-arms cartridges used by the U.S. Army,[82] with other major suppliers including Winchester in New Haven and Colt in Hartford.[83]
|
132 |
+
|
133 |
+
Connecticut was also an important U.S. Navy supplier, with Electric Boat receiving orders for 85 submarines,[84] Lake Torpedo Boat building more than 20 subs,[85] and the Groton Iron Works building freighters.[86] On June 21, 1916, the Navy made Groton the site for its East Coast submarine base and school.
|
134 |
+
|
135 |
+
The state enthusiastically supported the American war effort in 1917 and 1918 with large purchases of war bonds, a further expansion of industry, and an emphasis on increasing food production on the farms. Thousands of state, local, and volunteer groups mobilized for the war effort and were coordinated by the Connecticut State Council of Defense.[87] Manufacturers wrestled with manpower shortages; Waterbury's American Brass and Manufacturing Company was running at half capacity, so the federal government agreed to furlough soldiers to work there.[88]
|
136 |
+
|
137 |
+
In 1919, J. Henry Roraback started the Connecticut Light & Power Co.[89] which became the state's dominant electric utility. In 1925, Frederick Rentschler spurred the creation of Pratt & Whitney in Hartford to develop engines for aircraft; the company became an important military supplier in World War II and one of the three major manufacturers of jet engines in the world.[90]
|
138 |
+
|
139 |
+
On September 21, 1938, the most destructive storm in New England history struck eastern Connecticut, killing hundreds of people.[91] The eye of the "Long Island Express" passed just west of New Haven and devastated the Connecticut shoreline between Old Saybrook and Stonington from the full force of wind and waves, even though they had partial protection by Long Island. The hurricane caused extensive damage to infrastructure, homes, and businesses. In New London, a 500-foot (150 m) sailing ship was driven into a warehouse complex, causing a major fire. Heavy rainfall caused the Connecticut River to flood downtown Hartford and East Hartford. An estimated 50,000 trees fell onto roadways.[92]
|
140 |
+
|
141 |
+
The advent of lend-lease in support of Britain helped lift Connecticut from the Great Depression,[93] with the state a major production center for weaponry and supplies used in World War II. Connecticut manufactured 4.1% of total U.S. military armaments produced during the war, ranking ninth among the 48 states,[94] with major factories including Colt[95] for firearms, Pratt & Whitney for aircraft engines, Chance Vought for fighter planes, Hamilton Standard for propellers,[96] and Electric Boat for submarines and PT boats.[97] In Bridgeport, General Electric produced a significant new weapon to combat tanks: the bazooka.[98]
|
142 |
+
|
143 |
+
On May 13, 1940, Igor Sikorsky made an untethered flight of the first practical helicopter.[99] The helicopter saw limited use in World War II, but future military production made Sikorsky Aircraft's Stratford plant Connecticut's largest single manufacturing site by the start of the 21st century.[100]
|
144 |
+
|
145 |
+
Connecticut lost some wartime factories following the end of hostilities, but the state shared in a general post-war expansion that included the construction of highways[101] and resulting in middle-class growth in suburban areas.
|
146 |
+
|
147 |
+
Prescott Bush represented Connecticut in the U.S. Senate from 1952 to 1963; his son George H.W. Bush and grandson George W. Bush both became presidents of the United States.[102] In 1965, Connecticut ratified its current constitution, replacing the document that had served since 1818.[103]
|
148 |
+
|
149 |
+
In 1968, commercial operation began for the Connecticut Yankee Nuclear Power Plant in East Haddam; in 1970, the Millstone Nuclear Power Station began operations in Waterford.[104] In 1974, Connecticut elected Democratic Governor Ella T. Grasso, who became the first woman in any state to be elected governor.[105]
|
150 |
+
|
151 |
+
Connecticut's dependence on the defense industry posed an economic challenge at the end of the Cold War. The resulting budget crisis helped elect Lowell Weicker as governor on a third-party ticket in 1990. Weicker's remedy was a state income tax which proved effective in balancing the budget, but only for the short-term. He did not run for a second term, in part because of this politically unpopular move.[106]
|
152 |
+
|
153 |
+
In 1992, initial construction was completed on Foxwoods Casino at the Mashantucket Pequots reservation in eastern Connecticut, which became the largest casino in the Western Hemisphere. Mohegan Sun followed four years later.[107]
|
154 |
+
|
155 |
+
In 2000, presidential candidate Al Gore chose Senator Joe Lieberman as his running mate, marking the first time that a major party presidential ticket included someone of the Jewish faith.[108] Gore and Lieberman fell five votes short of George W. Bush and Dick Cheney in the Electoral College.
|
156 |
+
In the terrorist attacks of September 11, 2001, 65 state residents were killed, mostly Fairfield County residents who were working in the World Trade Center.[109]
|
157 |
+
In 2004, Republican Governor John G. Rowland resigned during a corruption investigation, later pleading guilty to federal charges.[110][111]
|
158 |
+
Connecticut was hit by three major storms in just over 14 months in 2011 and 2012, with all three causing extensive property damage and electric outages. Hurricane Irene struck Connecticut August 28, and damage totaled $235 million.[112] Two months later, the "Halloween nor'easter" dropped extensive snow onto trees, resulting in snapped branches and trunks that damaged power lines; some areas were without electricity for 11 days.[113] Hurricane Sandy had tropical storm-force winds when it reached Connecticut October 29, 2012.[114] Sandy's winds drove storm surges into streets and cut power to 98% of homes and businesses, with more than $360 million in damage.[115]
|
159 |
+
|
160 |
+
On December 14, 2012, Adam Lanza shot and killed 26 people at Sandy Hook Elementary School in Newtown, and then killed himself.[116] The massacre spurred renewed efforts by activists for tighter laws on gun ownership nationally.[117]
|
161 |
+
|
162 |
+
In the summer and fall of 2016, Connecticut experienced a drought in many parts of the state, causing some water-use bans. As of November 15, 2016 (2016-11-15), 45% of the state was listed at Severe Drought by the U.S. Drought Monitor, including almost all of Hartford and Litchfield counties. All the rest of the state was in Moderate Drought or Severe Drought, including Middlesex, Fairfield, New London, New Haven, Windham, and Tolland counties. This affected the agricultural economy in the state.[118][119][120]
|
163 |
+
|
164 |
+
9/11 killed 65 people from Connecticut.
|
165 |
+
|
166 |
+
Governor John G. Rowland resigned from office for corruption in 2004.
|
167 |
+
|
168 |
+
Tropical Storm Irene, August 2011
|
169 |
+
|
170 |
+
The 2011 October nor'easter caused major snow damage in the state.
|
171 |
+
|
172 |
+
Category 1 Hurricane Sandy made landfall in Connecticut in October 2012, causing heavy destruction.
|
173 |
+
|
174 |
+
In the Sandy Hook Elementary School shooting, Adam Lanza killed twenty children and six adults.
|
175 |
+
|
176 |
+
The United States Census Bureau estimates that the population of Connecticut was 3,565,287 on July 1, 2019, a 0.25% decrease since the 2010 United States Census.[4]
|
177 |
+
|
178 |
+
As of 2019[update], Connecticut had an estimated population of 3,565,287,[4] which is a decrease of 7,378 (0.25%) from the prior year and a decrease of 8,810 (0.25%) since 2010. This includes a natural increase since the last census of 67,427 (222,222 births minus 154,795 deaths) and an increase due to net migration of 41,718 people into the state. Immigration from outside the United States resulted in a net increase of 75,991 people, and migration within the country produced a net loss of 34,273. Based on the 2005 estimates, Connecticut moved from 29th most populous state to 30th. 2018 estimates put Connecticut's population at 3,572,665.[4]
|
179 |
+
|
180 |
+
6.6% of its population was reported as being under 5 years old, 24.7% under 18 years old, and 13.8% were 65 years of age or older. Females made up approximately 51.6% of the population, with 48.4% male.
|
181 |
+
|
182 |
+
In 1790, 97% of the population in Connecticut was classified as "rural". The first census in which less than half the population was classified as rural was 1890. In the 2000 census, only 12.3% was considered rural. Most of western and southern Connecticut (particularly the Gold Coast) is strongly associated with New York City; this area is the most affluent and populous region of the state and has high property costs and high incomes. The center of population of Connecticut is located in the town of Cheshire.[124]
|
183 |
+
|
184 |
+
As of the 2010 United States Census, Connecticut's race and ethnic percentages were:
|
185 |
+
|
186 |
+
Hispanics and Latinos of any race made up 13.4% of the population in the 2010 Census.[125]
|
187 |
+
|
188 |
+
The state's most populous ethnic group is Non-Hispanic White, but this has declined from 98% in 1940 to 71% in 2010.[126]
|
189 |
+
|
190 |
+
As of 2004, 11.4% of the population (400,000) was foreign-born. In 1870, native-born Americans had accounted for 75% of the state's population, but that had dropped to 35% by 1918.
|
191 |
+
|
192 |
+
As of 2000, 81.69% of Connecticut residents age 5 and older spoke English at home and 8.42% spoke Spanish, followed by Italian at 1.59%, French at 1.31%, and Polish at 1.20%.[129]
|
193 |
+
|
194 |
+
The largest European ancestry groups are:[130]
|
195 |
+
|
196 |
+
As of 2011[update], 46.1% of Connecticut's population younger than age 1 were minorities.[131]
|
197 |
+
|
198 |
+
Note: Births in table do not add up, because Hispanics are counted both by their ethnicity and by their race, giving a higher overall number.
|
199 |
+
|
200 |
+
The religious affiliations of the people of Connecticut as of 2014[update]:[138]
|
201 |
+
|
202 |
+
A Pew survey of Connecticut residents' religious self-identification showed the following distribution of affiliations: Protestant 35%, Mormonism 1%, Jewish 3%, Roman Catholic 33%, Orthodox 1%, Non-religious 28%, Jehovah's Witness 1%, Hinduism 1%, Buddhism 1% and Islam 1%.[138][139] Jewish congregations had 108,280 (3.2%) members in 2000.[140] The Jewish population is concentrated in the towns near Long Island Sound between Greenwich and New Haven, in Greater New Haven and in Greater Hartford, especially the suburb of West Hartford. According to the Association of Religion Data Archives, the largest Christian denominations, by number of adherents, in 2010 were: the Catholic Church, with 1,252,936; the United Church of Christ, with 96,506; and non-denominational Evangelical Protestants, with 72,863.[140]
|
203 |
+
|
204 |
+
Recent immigration has brought other non-Christian religions to the state, but the numbers of adherents of other religions are still low. Connecticut is also home to New England's largest Protestant Church: The First Cathedral in Bloomfield, Connecticut located in Hartford County. Hartford is seat to the Roman Catholic Archdiocese of Hartford, which is sovereign over the Diocese of Bridgeport and the Diocese of Norwich.
|
205 |
+
|
206 |
+
Bridgeport
|
207 |
+
|
208 |
+
New Haven
|
209 |
+
|
210 |
+
Hartford
|
211 |
+
|
212 |
+
Stamford
|
213 |
+
|
214 |
+
Waterbury
|
215 |
+
|
216 |
+
Connecticut's economic output in 2019 as measured by gross domestic product was $289 billion, up from $277.9 billion in 2018.[142]
|
217 |
+
|
218 |
+
Connecticut's per capita personal income in 2019 was estimated at $79,087, the highest of any state.[143] There is, however, a great disparity in incomes throughout the state; after New York, Connecticut had the second largest gap nationwide between the average incomes of the top 1% and the average incomes of the bottom 99%.[144] According to a 2018 study by Phoenix Marketing International, Connecticut had the third-largest number of millionaires per capita in the United States, with a ratio of 7.75%.[145] New Canaan is the wealthiest town in Connecticut, with a per capita income of $85,459. Hartford is the poorest municipality in Connecticut, with a per capita income of $13,428 in 2000.[146]
|
219 |
+
|
220 |
+
As of December 2019, Connecticut's seasonally adjusted unemployment rate was 3.8%, with U.S. unemployment at 3.5% that month. Dating back to 1982, Connecticut recorded its lowest unemployment in 2000 between August and October, at 2.2%. The highest unemployment rate during that period occurred in November and December 2010 at 9.3%,[147] but economists expect record new levels of layoffs as a result of business closures in the spring of 2020 as the result of the coronavirus pandemic.[148]
|
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+
|
222 |
+
Tax is collected by the Connecticut Department of Revenue Services[149] and by local municipalities.[150]
|
223 |
+
|
224 |
+
As of 2012, Connecticut residents had the second highest rate in the nation of combined state and local taxes after New York, at 12.6% of income compared to the national average of 9.9% as reported by the Tax Foundation.[151]
|
225 |
+
|
226 |
+
Before 1991, Connecticut had an investment-only income tax system. Income from employment was untaxed, but income from investments was taxed at 13%, the highest rate in the U.S., with no deductions allowed for costs of producing the investment income, such as interest on borrowing.
|
227 |
+
|
228 |
+
In 1991, under Governor Lowell P. Weicker Jr., an independent, the system was changed to one in which the taxes on employment income and investment income were equalized at a maximum rate of 4%. The new tax policy drew investment firms to Connecticut; as of 2019[update], Fairfield County was home to the headquarters for 16 of the 200 largest hedge funds in the world.[152]
|
229 |
+
|
230 |
+
As of 2019[update], the income tax rates on Connecticut individuals were divided into seven tax brackets of 3% (on income up to $10,000); 5% ($10,000-$50,000); 5.5% ($50,000-$100,000); 6% ($100,000-$200,000); 6.5% ($200,000-$250,000); 6.9% ($250,000-$500,000); and 6.99% above $500,000, with additional amounts owed depending on the bracket.[153]
|
231 |
+
|
232 |
+
All wages of Connecticut residents are subject to the state's income tax, even if earned outside the state. However, in those cases, Connecticut income tax must be withheld only to the extent the Connecticut tax exceeds the amount withheld by the other jurisdiction.[154] Since New York has higher income tax rates than Connecticut,[155] this effectively means that Connecticut residents who work in New York have no Connecticut income tax withheld. Connecticut permits a credit for taxes paid to other jurisdictions, but since residents who work in other states are still subject to Connecticut income taxation, they may owe taxes if the jurisdictional credit does not fully offset the Connecticut tax amount.[156]
|
233 |
+
|
234 |
+
Connecticut levies a 6.35% state sales tax on the retail sale, lease, or rental of most goods.[157] Some items and services in general are not subject to sales and use taxes unless specifically enumerated as taxable by statute. A provision excluding clothing under $50 from sales tax was repealed as of July 1, 2011[update].[157] There are no additional sales taxes imposed by local jurisdictions. In 2001, Connecticut instituted what became an annual sales tax "holiday" each August lasting one week, when retailers do not have to remit sales tax on certain items and quantities of clothing that has varied from year to year.[158]
|
235 |
+
|
236 |
+
State law authorizes municipalities to tax property, including real estate, vehicles and other personal property, with state statute providing varying exemptions, credits and abatements. All assessments are at 70% of fair market value.[159] The maximum property tax credit is $200 per return[160] and any excess may not be refunded or carried forward.[161] According to the Tax Foundation, on a per capita basis in the 2017 fiscal year Connecticut residents paid the 3rd highest average property taxes in the nation after New Hampshire and New Jersey.[162]
|
237 |
+
|
238 |
+
As of January 1, 2020[update], gasoline taxes and fees in Connecticut were 40.13 cents per gallon, 11th highest in the United States which had a nationwide average of 36.13 cents a gallon excluding federal taxes. Diesel taxes and fees as of January 2020 in Connecticut were 46.50 cents per gallon, ninth highest nationally with the U.S. average at 37.91 cents.[163]
|
239 |
+
|
240 |
+
In 2019, sales of single-family homes in Connecticut totaled 33,146 units, a 2.1 percent decline from the 2018 transaction total. The median home sold in 2019 recorded a transaction amount of $260,000, up 0.4 percent from 2018.[164]
|
241 |
+
|
242 |
+
Connecticut had the seventh highest rate of home foreclosure activity in the country in 2019 at 0.53 percent of the total housing stock.[165]
|
243 |
+
|
244 |
+
Finance, insurance and real estate was Connecticut's largest industry in 2018 as ranked by gross domestic product, generating $75.7 billion in GDP that year.[166] Major financial industry employers include The Hartford, Travelers, Cigna, the Aetna subsidiary of CVS Health, Mass Mutual, People's United Financial, Bank of America, Realogy,[167] Bridgewater Associates,[168] GE Capital,[169] William Raveis Real Estate,[170] and Berkshire Hathaway through reinsurance and residential real estate subsidiaries.
|
245 |
+
|
246 |
+
The combined educational, health and social services sector was the largest single industry as ranked by employment, with a combined workforce of 342,600 people at the end of 2019,[171] ranking fourth the year before in GDP at $28.3 billion.
|
247 |
+
|
248 |
+
The broad business and professional services sector had the second highest GDP total in Connecticut in 2018 at an estimated $33.7 billion.[172]
|
249 |
+
|
250 |
+
Manufacturing was the third biggest industry in 2018 with GDP of $30.8 billion,[173] dominated by Raytheon Technologies formed in the March 2020 merger of Hartford-based United Technologies and Waltham, Mass.-based Raytheon Co. As of the merger, Raytheon Technologies employed about 19,000 people in Connecticut through subsidiaries Pratt & Whitney and Collins Aerospace.[174] Lockheed Martin subsidiary Sikorsky Aircraft operates Connecticut's single largest manufacturing plant in Stratford,[170] where it makes helicopters.
|
251 |
+
|
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Other major manufacturers include the Electric Boat division of General Dynamics, which makes submarines in Groton,[175] Boehringer Ingelheim, a pharmaceuticals manufacturer with its U.S. headquarters in Ridgefield, [170] and ASML, which in Wilton makes precision lithography machines used to create circuitry on semiconductors and flat-screen displays.[176]
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Connecticut historically was a center of gun manufacturing, and four gun-manufacturing firms continued to operate in the state as of December 2012[update], employing 2,000 people: Colt, Stag, Ruger, and Mossberg.[177] Marlin, owned by Remington, closed in April 2011.[178]
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Other large components of the Connecticut economy in 2018 included wholesale trade ($18.1 billion in GDP); information services ($13.8 billion); retail ($13.7 billion); arts, entertainment and food services ($9.1 billion); and construction ($8.3 billion).[179]
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Tourists spent $9.3 billion in Connecticut in 2017 according to estimates as part of a series of studies commissioned by the state of Connecticut.[180] Foxwoods Resort Casino and Mohegan Sun are the two biggest tourist draws and number among the state's largest employers;[181] both are located on Indian reservations in the eastern part of Connecticut.
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Connecticut's agricultural production totaled $580 million in 2017, with just over half of that revenue the result of nursery stock production. Milk production totaled $81 million that year, with other major product categories including eggs, vegetables and fruit, tobacco and shellfish. [182]
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The Interstate highways in the state are Interstate 95 (I-95) traveling southwest to northeast along the coast, I-84 traveling southwest to northeast in the center of the state, I-91 traveling north to south in the center of the state, and I-395 traveling north to south near the eastern border of the state. The other major highways in Connecticut are the Merritt Parkway and Wilbur Cross Parkway, which together form Connecticut Route 15 (Route 15), traveling from the Hutchinson River Parkway in New York parallel to I-95 before turning north of New Haven and traveling parallel to I-91, finally becoming a surface road in Berlin. I-95 and Route 15 were originally toll roads; they relied on a system of toll plazas at which all traffic stopped and paid fixed tolls. A series of major crashes at these plazas eventually contributed to the decision to remove the tolls in 1988.[183] Other major arteries in the state include U.S. Route 7 (US 7) in the west traveling parallel to the New York state line, Route 8 farther east near the industrial city of Waterbury and traveling north–south along the Naugatuck River Valley nearly parallel with US 7, and Route 9 in the east.
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Between New Haven and New York City, I-95 is one of the most congested highways in the United States. Although I-95 has been widened in several spots, some areas are only three lanes and this strains traffic capacity, resulting in frequent and lengthy rush hour delays. Frequently, the congestion spills over to clog the parallel Merritt Parkway and even US 1. The state has encouraged traffic reduction schemes, including rail use and ride-sharing.[184]
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Connecticut also has a very active bicycling community, with one of the highest rates of bicycle ownership and use in the United States, particularly in New Haven. According to the U.S. Census 2006 American Community Survey, New Haven has the highest percentage of commuters who bicycle to work of any major metropolitan center on the East Coast.[185]
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Rail is a popular travel mode between New Haven and New York City's Grand Central Terminal. Southwestern Connecticut is served by the Metro-North Railroad's New Haven Line, operated by the Metropolitan Transportation Authority and providing commuter service to New York City and New Haven, with branches servicing New Canaan, Danbury, and Waterbury. Connecticut lies along Amtrak's Northeast Corridor which features frequent Northeast Regional and Acela Express service from New Haven south to New York City, Philadelphia, Baltimore, Washington, DC, and Norfolk, VA.
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Coastal cities and towns between New Haven and New London are also served by the Shore Line East commuter line. Several new stations were completed along the Connecticut shoreline recently, and a commuter rail service called the Hartford Line between New Haven and Springfield on Amtrak's New Haven-Springfield Line began operating in June 2018.[186]
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A proposed commuter rail service, the Central Corridor Rail Line, will connect New London with Norwich, Willimantic, Storrs, and Stafford Springs, with service continuing into Massachusetts and Brattleboro. Amtrak also operates a shuttle service (CTRail) between New Haven and Springfield, Massachusetts, serving Wallingford, Meriden, Berlin, Hartford, Windsor Locks, and Springfield, MA and the Vermonter runs from Washington to St. Albans, Vermont via the same line.
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Statewide bus service is supplied by Connecticut Transit, owned by the Connecticut Department of Transportation, with smaller municipal authorities providing local service. Bus networks are an important part of the transportation system in Connecticut, especially in urban areas like Hartford, Stamford, Norwalk, Bridgeport and New Haven. Connecticut Transit also operates CTfastrak, a bus rapid transit service between New Britain and Hartford. The bus route opened to the public on March 28, 2015.[187][188][189]
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Bradley International Airport,[190] is located in Windsor Locks, 15 miles (24 km) north of Hartford. Many residents of central and southern Connecticut also make heavy use of JFK International Airport and Newark International Airports, especially for international travel. Smaller regional air service is provided at Tweed New Haven Regional Airport. Larger civil airports include Danbury Municipal Airport and Waterbury-Oxford Airport in western Connecticut, Hartford–Brainard Airport in central Connecticut, and Groton-New London Airport in eastern Connecticut. Sikorsky Memorial Airport is located in Stratford and mostly services cargo, helicopter and private aviation.
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The Bridgeport & Port Jefferson Ferry travels between Bridgeport, Connecticut and Port Jefferson, New York by crossing Long Island Sound. Ferry service also operates out of New London to Orient, New York; Fishers Island, New York; and Block Island, Rhode Island, which are popular tourist destinations. Small local services operate the Rocky Hill–Glastonbury Ferry and the Chester–Hadlyme Ferry which cross the Connecticut River.
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Hartford has been the sole capital of Connecticut since 1875. Before then, New Haven and Hartford alternated as capitals.[60]
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Connecticut is known as the "Constitution State". The origin of this nickname is uncertain, but it likely comes from Connecticut's pivotal role in the federal constitutional convention of 1787, during which Roger Sherman and Oliver Ellsworth helped to orchestrate what became known as the Connecticut Compromise, or the Great Compromise. This plan combined the Virginia Plan and the New Jersey Plan to form a bicameral legislature, a form copied by almost every state constitution since the adoption of the federal constitution. Variations of the bicameral legislature had been proposed by Virginia and New Jersey, but Connecticut's plan was the one that was in effect until the early 20th century, when Senators ceased to be selected by their state legislatures and were instead directly elected. Otherwise, it is still the design of Congress.
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The nickname also might refer to the Fundamental Orders of 1638–39. These Fundamental Orders represent the framework for the first formal Connecticut state government written by a representative body in Connecticut. The State of Connecticut government has operated under the direction of four separate documents in the course of the state's constitutional history. After the Fundamental Orders, Connecticut was granted governmental authority by King Charles II of England through the Connecticut Charter of 1662.
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Separate branches of government did not exist during this period, and the General Assembly acted as the supreme authority. A constitution similar to the modern U.S. Constitution was not adopted in Connecticut until 1818. Finally, the current state constitution was implemented in 1965. The 1965 constitution absorbed a majority of its 1818 predecessor, but incorporated a handful of important modifications.
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The governor heads the executive branch. As of 2020[update], Ned Lamont is the Governor[191] and Susan Bysiewicz is the Lieutenant Governor;[192] both are Democrats. From 1639 until the adoption of the 1818 constitution, the governor presided over the General Assembly. In 1974, Ella Grasso was elected as the governor of Connecticut. This was the first time in United States history when a woman was a governor without her husband being governor first.[105]
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There are several executive departments: Administrative Services, Agriculture, Banking, Children and Families, Consumer Protection, Correction, Economic and Community Development, Developmental Services, Construction Services, Education, Emergency Management and Public Protection, Energy & Environmental Protection, Higher Education, Insurance, Labor, Mental Health and Addiction Services, Military, Motor Vehicles, Public Health, Public Utility Regulatory Authority, Public Works, Revenue Services, Social Services, Transportation, and Veterans Affairs. In addition to these departments, there are other independent bureaus, offices and commissions.[193]
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In addition to the Governor and Lieutenant Governor, there are four other executive officers named in the state constitution that are elected directly by voters: Secretary of the State, Treasurer, Comptroller, and Attorney General. All executive officers are elected to four-year terms.[60]
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The legislature is the General Assembly. The General Assembly is a bicameral body consisting of an upper body, the State Senate (36 senators); and a lower body, the House of Representatives (151 representatives).[60] Bills must pass each house in order to become law. The governor can veto the bill, but this veto can be overridden by a two-thirds majority in each house. Per Article XV of the state constitution, Senators and Representatives must be at least 18 years of age and are elected to two-year terms in November on even-numbered years. There also must always be between 30 and 50 senators and 125 to 225 representatives. The Lieutenant Governor presides over the Senate, except when absent from the chamber, when the President pro tempore presides. The Speaker of the House presides over the House.[194] As of 2020[update], Joe Aresimowicz is the Speaker of the House of Connecticut.
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As of 2019[update], Connecticut's United States Senators are Richard Blumenthal (Democrat) and Chris Murphy (Democrat).[195] Connecticut has five representatives in the U.S. House, all of whom are Democrats.[196]
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Locally elected representatives also develop Local ordinances to govern cities and towns.[197] The town ordinances often include noise control and zoning guidelines.[198] However, the State of Connecticut also provides statewide ordinances for noise control as well.[199]
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The highest court of Connecticut's judicial branch is the Connecticut Supreme Court, headed by the Chief Justice of Connecticut. The Supreme Court is responsible for deciding on the constitutionality of the law or cases as they relate to the law. Its proceedings are similar to those of the United States Supreme Court, with no testimony given by witnesses, and the lawyers of the two sides each present oral arguments no longer than thirty minutes. Following a court proceeding, the court may take several months to arrive at a judgment. As of 2020[update] the Chief Justice is Richard A. Robinson.
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In 1818, the court became a separate entity, independent of the legislative and executive branches.[200] The Appellate Court is a lesser statewide court and the Superior Courts are lower courts that resemble county courts of other states.
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The State of Connecticut also offers access to Arrest warrant enforcement statistics through the Office of Policy and Management.[201]
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Connecticut does not have county government, unlike all other states except Rhode Island. Connecticut county governments were mostly eliminated in 1960, with the exception of sheriffs elected in each county.[202] In 2000, the county sheriff was abolished and replaced with the state marshal system, which has districts that follow the old county territories. The judicial system is divided into judicial districts at the trial-court level which largely follow the old county lines.[203] The eight counties are still widely used for purely geographical and statistical purposes, such as weather reports and census reporting.
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Connecticut shares with the rest of New England a governmental institution called the New England town. The state is divided into 169 towns which serve as the fundamental political jurisdictions.[60] There are also 21 cities,[60] most of which simply follow the boundaries of their namesake towns and have a merged city-town government. There are two exceptions: the City of Groton, which is a subsection of the Town of Groton, and the City of Winsted in the Town of Winchester. There are also nine incorporated boroughs which may provide additional services to a section of town.[60][204] Naugatuck is a consolidated town and borough.
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The state is also divided into 15 planning regions defined by the state Office of Planning and Management, with the exception of the Town of Stafford in Tolland County.[205] The Intragovernmental Policy Division of this Office coordinates regional planning with the administrative bodies of these regions. Each region has an administrative body known as a regional council of governments, a regional council of elected officials, or a regional planning agency. The regions are established for the purpose of planning "coordination of regional and state planning activities; redesignation of logical planning regions and promotion of the continuation of regional planning organizations within the state; and provision for technical aid and the administration of financial assistance to regional planning organizations".[205]
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Connecticut residents who register to vote may declare an affiliation to a political party, may become unaffiliated at will, and may change affiliations subject to certain waiting periods. As of 2018[update] about 60% of registered voters are enrolled (just over 1% total in 28 third parties minor parties), and ratios among unaffiliated voters and the two major parties are about eight unaffiliated for every seven in the Democratic Party of Connecticut and for every four in the Connecticut Republican Party.
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(Among the minor parties, the Libertarian Party and Green Party appeared in the Presidential-electors column in 2016, and drew, respectively, 2.96% and 1.39% of the vote.)
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Many Connecticut towns and cities show a marked preference for moderate candidates of either party.[1]
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In April 2012 both houses of the Connecticut state legislature passed a bill (20 to 16 and 86 to 62) that abolished the capital punishment for all future crimes, while 11 inmates who were waiting on the death row at the time could still be executed.[207]
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In July 2009 the Connecticut legislature overrode a veto by Governor M. Jodi Rell to pass SustiNet, the first significant public-option health care reform legislation in the nation.[208]
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Connecticut ranked third in the nation for educational performance, according to Education Week's Quality Counts 2018 report. It earned an overall score of 83.5 out of 100 points. On average, the country received a score of 75.2.[209]
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Connecticut posted a B-plus in the Chance-for-Success category, ranking fourth on factors that contribute to a person's success both within and outside the K-12 education system. Connecticut received a mark of B-plus and finished fourth for School Finance. It ranked 12th with a grade of C on the K-12 Achievement Index.[209]
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The Connecticut State Board of Education manages the public school system for children in grades K–12. Board of Education members are appointed by the Governor of Connecticut. Statistics for each school are made available to the public through an online database system called "CEDAR".[210] The CEDAR database also provides statistics for "ACES" or "RESC" schools for children with behavioral disorders.[211]
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Connecticut was home to the nation's first law school, Litchfield Law School, which operated from 1773 to 1833 in Litchfield. Hartford Public High School (1638) is the third-oldest secondary school in the nation after the Collegiate School (1628) in Manhattan and the Boston Latin School (1635).
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The state also has many noted private day schools, and its boarding schools draw students from around the world.
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There are two Connecticut teams in the American Hockey League. The Bridgeport Sound Tigers is a farm team for the New York Islanders which competes at the Webster Bank Arena in Bridgeport. The Hartford Wolf Pack is the affiliate of the New York Rangers; they play in the XL Center in Hartford.
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The Hartford Yard Goats of the Eastern League are a AA affiliate of the Colorado Rockies. Also, the Norwich Sea Unicorns play in the New York-Penn League and are an A affiliate of the Detroit Tigers. The New Britain Bees play in the Atlantic League of Professional Baseball. The Connecticut Sun of the WNBA currently play at the Mohegan Sun Arena in Uncasville. In soccer, Hartford Athletic began play in the USL Championship in 2019, serving as the reserve team for the New England Revolution of Major League Soccer.
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The state hosts several major sporting events. Since 1952, a PGA Tour golf tournament has been played in the Hartford area. It was originally called the "Insurance City Open" and later the "Greater Hartford Open" and is now known as the Travelers Championship. The Connecticut Open tennis tournament is held annually in the Cullman-Heyman Tennis Center at Yale University in New Haven.
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Lime Rock Park in Salisbury is a 1.5-mile (2.4 km) road racing course, home to the International Motor Sports Association, SCCA, United States Auto Club, and K&N Pro Series East races. Thompson International Speedway, Stafford Motor Speedway, and Waterford Speedbowl are oval tracks holding weekly races for NASCAR Modifieds and other classes, including the NASCAR Whelen Modified Tour. The state also hosts several major mixed martial arts events for Bellator MMA and the Ultimate Fighting Championship.
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The Hartford Whalers of the National Hockey League played in Hartford from 1975 to 1997 at the Hartford Civic Center. They departed to Raleigh, North Carolina after disputes with the state over the construction of a new arena, and they are now known as the Carolina Hurricanes. In 1926, Hartford had a franchise in the National Football League known as the Hartford Blues.[226] They joined the National League for one season in 1876, making them the state's only Major League baseball franchise before moving to Brooklyn, New York and then disbanding one season later. From 2000 until 2006 the city was home to the Hartford FoxForce of World TeamTennis.[227]
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The Connecticut Huskies are the team of the University of Connecticut (UConn); they play NCAA Division I sports. Both the men's basketball and women's basketball teams have won multiple national championships. In 2004, UConn became the first school in NCAA Division I history to have its men's and women's basketball programs win the national title in the same year; they repeated the feat in 2014 and are still the only Division I school to win both titles in the same year.[228][229] The UConn women's basketball team holds the record for the longest consecutive winning streak in NCAA college basketball at 111 games, a streak that ended in 2017.[230] The UConn Huskies football team has played in the Football Bowl Subdivision since 2002, and has played in four bowl games.
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New Haven biennially hosts "The Game" between the Yale Bulldogs and the Harvard Crimson, the country's second-oldest college football rivalry. Yale alumnus Walter Camp is deemed the "Father of American Football", and he helped develop modern football while living in New Haven.[231] Other Connecticut universities which feature Division I sports teams are Quinnipiac University, Fairfield University, Central Connecticut State University, Sacred Heart University, and the University of Hartford.
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The Constitution State Rivalry is an in-state college football rivalry between Sacred Heart University and Central Connecticut State University. Both teams compete at the NCAA Division 1 Football Championship Subdivision level in the Northeast Conference[232]. Since 1998, the game has been played annually with the location of the matchup determined on a yearly basis.
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The name "Connecticut" originated with the Mohegan word quonehtacut, meaning "place of long tidal river".[60] Connecticut's official nickname is "The Constitution State", adopted in 1959 and based on its colonial constitution of 1638–1639 which was the first in America and, arguably, the world.[1] Connecticut is also unofficially known as "The Nutmeg State,"[1] whose origin is unknown. It may have come from its sailors returning from voyages with nutmeg, which was a very valuable spice in the 18th and 19th centuries. It may have originated in the early machined sheet tin nutmeg grinders sold by early Connecticut peddlers. It is also facetiously said to come from Yankee peddlers from Connecticut who would sell small carved nobs of wood shaped to look like nutmeg to unsuspecting customers.[233] George Washington gave Connecticut the title of "The Provisions State"[1] because of the material aid that the state rendered to the American Revolutionary War effort. Connecticut is also known as "The Land of Steady Habits".[1]
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According to Webster's New International Dictionary (1993), a person who is a native or resident of Connecticut is a "Connecticuter". There are numerous other terms coined in print but not in use, such as "Connecticotian" (Cotton Mather in 1702) and "Connecticutensian" (Samuel Peters in 1781). Linguist Allen Walker Read suggests the more playful term "connecticutie". "Nutmegger" is sometimes used,[233] as is "Yankee" The official state song is "Yankee Doodle". The traditional abbreviation of the state's name is "Conn".; the official postal abbreviation is CT.
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Commemorative stamps issued by the United States Postal Service with Connecticut themes include Nathan Hale, Eugene O'Neill, Josiah Willard Gibbs, Noah Webster, Eli Whitney, the whaling ship the Charles W. Morgan, which is docked at Mystic Seaport, and a decoy of a broadbill duck.
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The Charter Oak
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The USS Nautilus (SSN-571)
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Space exploration is the use of astronomy and space technology to explore outer space.[1] While the exploration of space is carried out mainly by astronomers with telescopes, its physical exploration though is conducted both by unmanned robotic space probes and human spaceflight. Space exploration, like its classical form astronomy, is one of the main sources for space science.
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While the observation of objects in space, known as astronomy, predates reliable recorded history, it was the development of large and relatively efficient rockets during the mid-twentieth century that allowed physical space exploration to become a reality. Common rationales for exploring space include advancing scientific research, national prestige, uniting different nations, ensuring the future survival of humanity, and developing military and strategic advantages against other countries.[2]
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The early era of space exploration was driven by a "Space Race" between the Soviet Union and the United States. The launch of the first human-made object to orbit Earth, the Soviet Union's Sputnik 1, on 4 October 1957, and the first Moon landing by the American Apollo 11 mission on 20 July 1969 are often taken as landmarks for this initial period. The Soviet space program achieved many of the first milestones, including the first living being in orbit in 1957, the first human spaceflight (Yuri Gagarin aboard Vostok 1) in 1961, the first spacewalk (by Alexei Leonov) on 18 March 1965, the first automatic landing on another celestial body in 1966, and the launch of the first space station (Salyut 1) in 1971.
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After the first 20 years of exploration, focus shifted from one-off flights to renewable hardware, such as the Space Shuttle program, and from competition to cooperation as with the International Space Station (ISS).
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With the substantial completion of the ISS[3] following STS-133 in March 2011, plans for space exploration by the U.S. remain in flux. Constellation, a Bush Administration program for a return to the Moon by 2020[4] was judged inadequately funded and unrealistic by an expert review panel reporting in 2009.[5]
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The Obama Administration proposed a revision of Constellation in 2010 to focus on the development of the capability for crewed missions beyond low Earth orbit (LEO), envisioning extending the operation of the ISS beyond 2020, transferring the development of launch vehicles for human crews from NASA to the private sector, and developing technology to enable missions to beyond LEO, such as Earth–Moon L1, the Moon, Earth–Sun L2, near-Earth asteroids, and Phobos or Mars orbit.[6]
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In the 2000s, the People's Republic of China initiated a successful manned spaceflight program, while the European Union, Japan, and India have also planned future crewed space missions. China, Russia, Japan, and India have advocated crewed missions to the Moon during the 21st century, while the European Union has advocated manned missions to both the Moon and Mars during the 20th and 21st century.
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From the 1990s onwards, private interests began promoting space tourism and then public space exploration of the Moon (see Google Lunar X Prize).
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The first telescope was said to be invented in 1608 in the Netherlands by an eyeglass maker named Hans Lippershey. The Orbiting Astronomical Observatory 2 was the first space telescope launched on December 7, 1968.[7] As of February 2, 2019, there was 3,891 confirmed exoplanets discovered. The Milky Way is estimated to contain 100–400 billion stars[8] and more than 100 billion planets.[9] There are at least 2 trillion galaxies in the observable universe.[10][11] GN-z11 is the most distant known object from Earth, reported as 32 billion light-years away.[12][13]
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In 1949, the Bumper-WAC reached an altitude of 393 kilometres (244 mi), becoming the first human-made object to enter space, according to NASA,[14] although V-2 Rocket MW 18014 crossed the Kármán line earlier, in 1944.[15]
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The first successful orbital launch was of the Soviet uncrewed Sputnik 1 ("Satellite 1") mission on 4 October 1957. The satellite weighed about 83 kg (183 lb), and is believed to have orbited Earth at a height of about 250 km (160 mi). It had two radio transmitters (20 and 40 MHz), which emitted "beeps" that could be heard by radios around the globe. Analysis of the radio signals was used to gather information about the electron density of the ionosphere, while temperature and pressure data was encoded in the duration of radio beeps. The results indicated that the satellite was not punctured by a meteoroid. Sputnik 1 was launched by an R-7 rocket. It burned up upon re-entry on 3 January 1958.
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The first successful human spaceflight was Vostok 1 ("East 1"), carrying 27-year-old Russian cosmonaut Yuri Gagarin on 12 April 1961. The spacecraft completed one orbit around the globe, lasting about 1 hour and 48 minutes. Gagarin's flight resonated around the world; it was a demonstration of the advanced Soviet space program and it opened an entirely new era in space exploration: human spaceflight.
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The first artificial object to reach another celestial body was Luna 2 reaching the Moon in 1959.[16] The first soft landing on another celestial body was performed by Luna 9 landing on the Moon on February 3, 1966.[17] Luna 10 became the first artificial satellite of the Moon, entering Moon Orbit on April 3, 1966.[18]
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The first crewed landing on another celestial body was performed by Apollo 11 on July 20, 1969, landing on the Moon. There have been a total of six spacecraft with humans landing on the Moon starting from 1969 to the last human landing in 1972.
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The first interplanetary flyby was the 1961 Venera 1 flyby of Venus, though the 1962 Mariner 2 was the first flyby of Venus to return data (closest approach 34,773 kilometers). Pioneer 6 was the first satellite to orbit the Sun, launched on December 16, 1965. The other planets were first flown by in 1965 for Mars by Mariner 4, 1973 for Jupiter by Pioneer 10, 1974 for Mercury by Mariner 10, 1979 for Saturn by Pioneer 11, 1986 for Uranus by Voyager 2, 1989 for Neptune by Voyager 2. In 2015, the dwarf planets Ceres and Pluto were orbited by Dawn and passed by New Horizons, respectively. This accounts for flybys of each of the eight planets in our Solar System, the Sun, the Moon and Ceres & Pluto (2 of the 5 recognized dwarf planets).
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The first interplanetary surface mission to return at least limited surface data from another planet was the 1970 landing of Venera 7 which returned data to Earth for 23 minutes from Venus. In 1975 the Venera 9 was the first to return images from the surface of another planet, returning images from Venus. In 1971 the Mars 3 mission achieved the first soft landing on Mars returning data for almost 20 seconds. Later much longer duration surface missions were achieved, including over six years of Mars surface operation by Viking 1 from 1975 to 1982 and over two hours of transmission from the surface of Venus by Venera 13 in 1982, the longest ever Soviet planetary surface mission. Venus and Mars are the two planets outside of Earth, humans have conducted surface missions on with unmanned robotic spacecraft.
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Salyut 1 was the first space station of any kind, launched into low Earth orbit by the Soviet Union on April 19, 1971. The International Space Station is currently the only fully functional space station, with continuous inhabitance since the year 2000.
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Voyager 1 became the first human-made object to leave our Solar System into interstellar space on August 25, 2012. The probe passed the heliopause at 121 AU to enter interstellar space.[19]
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The Apollo 13 flight passed the far side of the Moon at an altitude of 254 kilometers (158 miles; 137 nautical miles) above the lunar surface, and 400,171 km (248,655 mi) from Earth, marking the record for the farthest humans have ever traveled from Earth in 1970.
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Voyager 1 is currently at a distance of 145.11 astronomical units (2.1708×1010 km; 1.3489×1010 mi) (21.708 billion kilometers; 13.489 billion miles) from Earth as of January 1, 2019.[20] It is the most distant human-made object from Earth.[21]
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GN-z11 is the most distant known object from Earth, reported as 13.4 billion light-years away.[12][13]
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The dream of stepping into the outer reaches of Earth's atmosphere was driven by the fiction of Jules Verne[22][23][24] and H. G. Wells,[25] and rocket technology was developed to try to realize this vision. The German V-2 was the first rocket to travel into space, overcoming the problems of thrust and material failure. During the final days of World War II this technology was obtained by both the Americans and Soviets as were its designers. The initial driving force for further development of the technology was a weapons race for intercontinental ballistic missiles (ICBMs) to be used as long-range carriers for fast nuclear weapon delivery, but in 1961 when the Soviet Union launched the first man into space, the United States declared itself to be in a "Space Race" with the Soviets.
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Konstantin Tsiolkovsky, Robert Goddard, Hermann Oberth, and Reinhold Tiling laid the groundwork of rocketry in the early years of the 20th century.
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Wernher von Braun was the lead rocket engineer for Nazi Germany's World War II V-2 rocket project. In the last days of the war he led a caravan of workers in the German rocket program to the American lines, where they surrendered and were brought to the United States to work on their rocket development ("Operation Paperclip"). He acquired American citizenship and led the team that developed and launched Explorer 1, the first American satellite. Von Braun later led the team at NASA's Marshall Space Flight Center which developed the Saturn V moon rocket.
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Initially the race for space was often led by Sergei Korolev, whose legacy includes both the R7 and Soyuz—which remain in service to this day. Korolev was the mastermind behind the first satellite, first man (and first woman) in orbit and first spacewalk. Until his death his identity was a closely guarded state secret; not even his mother knew that he was responsible for creating the Soviet space program.
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Kerim Kerimov was one of the founders of the Soviet space program and was one of the lead architects behind the first human spaceflight (Vostok 1) alongside Sergey Korolev. After Korolev's death in 1966, Kerimov became the lead scientist of the Soviet space program and was responsible for the launch of the first space stations from 1971 to 1991, including the Salyut and Mir series, and their precursors in 1967, the Cosmos 186 and Cosmos 188.[26][27]
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Other key people:
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Starting in the mid-20th century probes and then human mission were sent into Earth orbit, and then on to the Moon. Also, probes were sent throughout the known Solar system, and into Solar orbit. Unmanned spacecraft have been sent into orbit around Saturn, Jupiter, Mars, Venus, and Mercury by the 21st century, and the most distance active spacecraft, Voyager 1 and 2 traveled beyond 100 times the Earth-Sun distance. The instruments were enough though that it is thought they have left the Sun's heliosphere, a sort of bubble of particles made in the Galaxy by the Sun's solar wind.
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The Sun is a major focus of space exploration. Being above the atmosphere in particular and Earth's magnetic field gives access to the solar wind and infrared and ultraviolet radiations that cannot reach Earth's surface. The Sun generates most space weather, which can affect power generation and transmission systems on Earth and interfere with, and even damage, satellites and space probes. Numerous spacecraft dedicated to observing the Sun, beginning with the Apollo Telescope Mount, have been launched and still others have had solar observation as a secondary objective. Parker Solar Probe, launched in 2018, will approach the Sun to within 1/8th the orbit of Mercury.
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Mercury remains the least explored of the Terrestrial planets. As of May 2013, the Mariner 10 and MESSENGER missions have been the only missions that have made close observations of Mercury. MESSENGER entered orbit around Mercury in March 2011, to further investigate the observations made by Mariner 10 in 1975 (Munsell, 2006b).
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A third mission to Mercury, scheduled to arrive in 2025, BepiColombo is to include two probes. BepiColombo is a joint mission between Japan and the European Space Agency. MESSENGER and BepiColombo are intended to gather complementary data to help scientists understand many of the mysteries discovered by Mariner 10's flybys.
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Flights to other planets within the Solar System are accomplished at a cost in energy, which is described by the net change in velocity of the spacecraft, or delta-v. Due to the relatively high delta-v to reach Mercury and its proximity to the Sun, it is difficult to explore and orbits around it are rather unstable.
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Venus was the first target of interplanetary flyby and lander missions and, despite one of the most hostile surface environments in the Solar System, has had more landers sent to it (nearly all from the Soviet Union) than any other planet in the Solar System. The first flyby was the 1961 Venera 1, though the 1962 Mariner 2 was the first flyby to successfully return data. Mariner 2 has been followed by several other flybys by multiple space agencies often as part of missions using a Venus flyby to provide a gravitational assist en route to other celestial bodies. In 1967 Venera 4 became the first probe to enter and directly examine the atmosphere of Venus. In 1970, Venera 7 became the first successful lander to reach the surface of Venus and by 1985 it had been followed by eight additional successful Soviet Venus landers which provided images and other direct surface data. Starting in 1975 with the Soviet orbiter Venera 9 some ten successful orbiter missions have been sent to Venus, including later missions which were able to map the surface of Venus using radar to pierce the obscuring atmosphere.
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Space exploration has been used as a tool to understand Earth as a celestial object in its own right. Orbital missions can provide data for Earth that can be difficult or impossible to obtain from a purely ground-based point of reference.
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For example, the existence of the Van Allen radiation belts was unknown until their discovery by the United States' first artificial satellite, Explorer 1. These belts contain radiation trapped by Earth's magnetic fields, which currently renders construction of habitable space stations above 1000 km impractical.
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Following this early unexpected discovery, a large number of Earth observation satellites have been deployed specifically to explore Earth from a space based perspective. These satellites have significantly contributed to the understanding of a variety of Earth-based phenomena. For instance, the hole in the ozone layer was found by an artificial satellite that was exploring Earth's atmosphere, and satellites have allowed for the discovery of archeological sites or geological formations that were difficult or impossible to otherwise identify.
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The Moon was the first celestial body to be the object of space exploration. It holds the distinctions of being the first remote celestial object to be flown by, orbited, and landed upon by spacecraft, and the only remote celestial object ever to be visited by humans.
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In 1959 the Soviets obtained the first images of the far side of the Moon, never previously visible to humans. The U.S. exploration of the Moon began with the Ranger 4 impactor in 1962. Starting in 1966 the Soviets successfully deployed a number of landers to the Moon which were able to obtain data directly from the Moon's surface; just four months later, Surveyor 1 marked the debut of a successful series of U.S. landers. The Soviet uncrewed missions culminated in the Lunokhod program in the early 1970s, which included the first uncrewed rovers and also successfully brought lunar soil samples to Earth for study. This marked the first (and to date the only) automated return of extraterrestrial soil samples to Earth. Uncrewed exploration of the Moon continues with various nations periodically deploying lunar orbiters, and in 2008 the Indian Moon Impact Probe.
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Crewed exploration of the Moon began in 1968 with the Apollo 8 mission that successfully orbited the Moon, the first time any extraterrestrial object was orbited by humans. In 1969, the Apollo 11 mission marked the first time humans set foot upon another world. Crewed exploration of the Moon did not continue for long, however. The Apollo 17 mission in 1972 marked the sixth landing and the most recent human visit there. Artemis 2 will flyby the Moon in 2022. Robotic missions are still pursued vigorously.
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The exploration of Mars has been an important part of the space exploration programs of the Soviet Union (later Russia), the United States, Europe, Japan and India. Dozens of robotic spacecraft, including orbiters, landers, and rovers, have been launched toward Mars since the 1960s. These missions were aimed at gathering data about current conditions and answering questions about the history of Mars. The questions raised by the scientific community are expected to not only give a better appreciation of the red planet but also yield further insight into the past, and possible future, of Earth.
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The exploration of Mars has come at a considerable financial cost with roughly two-thirds of all spacecraft destined for Mars failing before completing their missions, with some failing before they even began. Such a high failure rate can be attributed to the complexity and large number of variables involved in an interplanetary journey, and has led researchers to jokingly speak of The Great Galactic Ghoul[28] which subsists on a diet of Mars probes. This phenomenon is also informally known as the "Mars Curse".[29]
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In contrast to overall high failure rates in the exploration of Mars, India has become the first country to achieve success of its maiden attempt. India's Mars Orbiter Mission (MOM)[30][31][32] is one of the least expensive interplanetary missions ever undertaken with an approximate total cost of ₹450 Crore (US$73 million).[33][34] The first mission to Mars by any Arab country has been taken up by the United Arab Emirates. Called the Emirates Mars Mission, it is scheduled for launch in 2020. The uncrewed exploratory probe has been named "Hope Probe" and will be sent to Mars to study its atmosphere in detail.[35]
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SpaceX CEO Elon Musk hopes that the SpaceX Starship will explore the Mars.
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The Russian space mission Fobos-Grunt, which launched on 9 November 2011 experienced a failure leaving it stranded in low Earth orbit.[36] It was to begin exploration of the Phobos and Martian circumterrestrial orbit, and study whether the moons of Mars, or at least Phobos, could be a "trans-shipment point" for spaceships traveling to Mars.[37]
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The exploration of Jupiter has consisted solely of a number of automated NASA spacecraft visiting the planet since 1973. A large majority of the missions have been "flybys", in which detailed observations are taken without the probe landing or entering orbit; such as in Pioneer and Voyager programs. The Galileo and Juno spacecraft are the only spacecraft to have entered the planet's orbit. As Jupiter is believed to have only a relatively small rocky core and no real solid surface, a landing mission is precluded.
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Reaching Jupiter from Earth requires a delta-v of 9.2 km/s,[38] which is comparable to the 9.7 km/s delta-v needed to reach low Earth orbit.[39] Fortunately, gravity assists through planetary flybys can be used to reduce the energy required at launch to reach Jupiter, albeit at the cost of a significantly longer flight duration.[38]
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Jupiter has 79 known moons, many of which have relatively little known information about them.
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Saturn has been explored only through uncrewed spacecraft launched by NASA, including one mission (Cassini–Huygens) planned and executed in cooperation with other space agencies. These missions consist of flybys in 1979 by Pioneer 11, in 1980 by Voyager 1, in 1982 by Voyager 2 and an orbital mission by the Cassini spacecraft, which lasted from 2004 until 2017.
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Saturn has at least 62 known moons, although the exact number is debatable since Saturn's rings are made up of vast numbers of independently orbiting objects of varying sizes. The largest of the moons is Titan, which holds the distinction of being the only moon in the Solar System with an atmosphere denser and thicker than that of Earth. Titan holds the distinction of being the only object in the Outer Solar System that has been explored with a lander, the Huygens probe deployed by the Cassini spacecraft.
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The exploration of Uranus has been entirely through the Voyager 2 spacecraft, with no other visits currently planned. Given its axial tilt of 97.77°, with its polar regions exposed to sunlight or darkness for long periods, scientists were not sure what to expect at Uranus. The closest approach to Uranus occurred on 24 January 1986. Voyager 2 studied the planet's unique atmosphere and magnetosphere. Voyager 2 also examined its ring system and the moons of Uranus including all five of the previously known moons, while discovering an additional ten previously unknown moons.
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Images of Uranus proved to have a very uniform appearance, with no evidence of the dramatic storms or atmospheric banding evident on Jupiter and Saturn. Great effort was required to even identify a few clouds in the images of the planet. The magnetosphere of Uranus, however, proved to be unique, being profoundly affected by the planet's unusual axial tilt. In contrast to the bland appearance of Uranus itself, striking images were obtained of the Moons of Uranus, including evidence that Miranda had been unusually geologically active.
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The exploration of Neptune began with the 25 August 1989 Voyager 2 flyby, the sole visit to the system as of 2014. The possibility of a Neptune Orbiter has been discussed, but no other missions have been given serious thought.
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Although the extremely uniform appearance of Uranus during Voyager 2's visit in 1986 had led to expectations that Neptune would also have few visible atmospheric phenomena, the spacecraft found that Neptune had obvious banding, visible clouds, auroras, and even a conspicuous anticyclone storm system rivaled in size only by Jupiter's small Spot. Neptune also proved to have the fastest winds of any planet in the Solar System, measured as high as 2,100 km/h.[40] Voyager 2 also examined Neptune's ring and moon system. It discovered 900 complete rings and additional partial ring "arcs" around Neptune. In addition to examining Neptune's three previously known moons, Voyager 2 also discovered five previously unknown moons, one of which, Proteus, proved to be the last largest moon in the system. Data from Voyager 2 supported the view that Neptune's largest moon, Triton, is a captured Kuiper belt object.[41]
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The dwarf planet Pluto presents significant challenges for spacecraft because of its great distance from Earth (requiring high velocity for reasonable trip times) and small mass (making capture into orbit very difficult at present). Voyager 1 could have visited Pluto, but controllers opted instead for a close flyby of Saturn's moon Titan, resulting in a trajectory incompatible with a Pluto flyby. Voyager 2 never had a plausible trajectory for reaching Pluto.[42]
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Pluto continues to be of great interest, despite its reclassification as the lead and nearest member of a new and growing class of distant icy bodies of intermediate size (and also the first member of the important subclass, defined by orbit and known as "plutinos"). After an intense political battle, a mission to Pluto dubbed New Horizons was granted funding from the United States government in 2003.[43] New Horizons was launched successfully on 19 January 2006. In early 2007 the craft made use of a gravity assist from Jupiter. Its closest approach to Pluto was on 14 July 2015; scientific observations of Pluto began five months prior to closest approach and continued for 16 days after the encounter.
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Until the advent of space travel, objects in the asteroid belt were merely pinpricks of light in even the largest telescopes, their shapes and terrain remaining a mystery.
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Several asteroids have now been visited by probes, the first of which was Galileo, which flew past two: 951 Gaspra in 1991, followed by 243 Ida in 1993. Both of these lay near enough to Galileo's planned trajectory to Jupiter that they could be visited at acceptable cost. The first landing on an asteroid was performed by the NEAR Shoemaker probe in 2000, following an orbital survey of the object. The dwarf planet Ceres and the asteroid 4 Vesta, two of the three largest asteroids, were visited by NASA's Dawn spacecraft, launched in 2007.
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Although many comets have been studied from Earth sometimes with centuries-worth of observations, only a few comets have been closely visited. In 1985, the International Cometary Explorer conducted the first comet fly-by (21P/Giacobini-Zinner) before joining the Halley Armada studying the famous comet. The Deep Impact probe smashed into 9P/Tempel to learn more about its structure and composition and the Stardust mission returned samples of another comet's tail. The Philae lander successfully landed on Comet Churyumov–Gerasimenko in 2014 as part of the broader Rosetta mission.
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Hayabusa was a robotic spacecraft developed by the Japan Aerospace Exploration Agency to return a sample of material from the small near-Earth asteroid 25143 Itokawa to Earth for further analysis. Hayabusa was launched on 9 May 2003 and rendezvoused with Itokawa in mid-September 2005. After arriving at Itokawa, Hayabusa studied the asteroid's shape, spin, topography, color, composition, density, and history. In November 2005, it landed on the asteroid twice to collect samples. The spacecraft returned to Earth on 13 June 2010.
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Deep space exploration is the branch of astronomy, astronautics and space technology that is involved with the exploration of distant regions of outer space.[44] Physical exploration of space is conducted both by human spaceflights (deep-space astronautics) and by robotic spacecraft.
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Some of the best candidates for future deep space engine technologies include anti-matter, nuclear power and beamed propulsion.[45] The latter, beamed propulsion, appears to be the best candidate for deep space exploration presently available, since it uses known physics and known technology that is being developed for other purposes.[46]
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Breakthrough Starshot is a research and engineering project by the Breakthrough Initiatives to develop a proof-of-concept fleet of light sail spacecraft named StarChip,[47] to be capable of making the journey to the Alpha Centauri star system 4.37 light-years away. It was founded in 2016 by Yuri Milner, Stephen Hawking, and Mark Zuckerberg.[48][49]
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An article in science magazine Nature suggested the use of asteroids as a gateway for space exploration, with the ultimate destination being Mars. In order to make such an approach viable, three requirements need to be fulfilled: first, "a thorough asteroid survey to find thousands of nearby bodies suitable for astronauts to visit"; second, "extending flight duration and distance capability to ever-increasing ranges out to Mars"; and finally, "developing better robotic vehicles and tools to enable astronauts to explore an asteroid regardless of its size, shape or spin." Furthermore, using asteroids would provide astronauts with protection from galactic cosmic rays, with mission crews being able to land on them without great risk to radiation exposure.
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The James Webb Space Telescope (JWST or "Webb") is a space telescope that is planned to be the successor to the Hubble Space Telescope.[50][51] The JWST will provide greatly improved resolution and sensitivity over the Hubble, and will enable a broad range of investigations across the fields of astronomy and cosmology, including observing some of the most distant events and objects in the universe, such as the formation of the first galaxies. Other goals include understanding the formation of stars and planets, and direct imaging of exoplanets and novas.[52]
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The primary mirror of the JWST, the Optical Telescope Element, is composed of 18 hexagonal mirror segments made of gold-plated beryllium which combine to create a 6.5-meter (21 ft; 260 in) diameter mirror that is much larger than the Hubble's 2.4-meter (7.9 ft; 94 in) mirror. Unlike the Hubble, which observes in the near ultraviolet, visible, and near infrared (0.1 to 1 μm) spectra, the JWST will observe in a lower frequency range, from long-wavelength visible light through mid-infrared (0.6 to 27 μm), which will allow it to observe high redshift objects that are too old and too distant for the Hubble to observe.[53] The telescope must be kept very cold in order to observe in the infrared without interference, so it will be deployed in space near the Earth–Sun L2 Lagrangian point, and a large sunshield made of silicon- and aluminum-coated Kapton will keep its mirror and instruments below 50 K (−220 °C; −370 °F).[54]
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The Artemis program is an ongoing crewed spaceflight program carried out by NASA, U.S. commercial spaceflight companies, and international partners such as ESA,[55] with the goal of landing "the first woman and the next man" on the Moon, specifically at the lunar south pole region by 2024. Artemis would be the next step towards the long-term goal of establishing a sustainable presence on the Moon, laying the foundation for private companies to build a lunar economy, and eventually sending humans to Mars.
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In 2017, the lunar campaign was authorized by Space Policy Directive 1, utilizing various ongoing spacecraft programs such as Orion, the Lunar Gateway, Commercial Lunar Payload Services, and adding an undeveloped crewed lander. The Space Launch System will serve as the primary launch vehicle for Orion, while commercial launch vehicles are planned for use to launch various other elements of the campaign.[56] NASA requested $1.6 billion in additional funding for Artemis for fiscal year 2020,[57] while the Senate Appropriations Committee requested from NASA a five-year budget profile[58] which is needed for evaluation and approval by Congress.[59][60]
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The research that is conducted by national space exploration agencies, such as NASA and Roscosmos, is one of the reasons supporters cite to justify government expenses. Economic analyses of the NASA programs often showed ongoing economic benefits (such as NASA spin-offs), generating many times the revenue of the cost of the program.[61] It is also argued that space exploration would lead to the extraction of resources on other planets and especially asteroids, which contain billions of dollars that worth of minerals and metals. Such expeditions could generate a lot of revenue.[62] In addition, it has been argued that space exploration programs help inspire youth to study in science and engineering.[63] Space exploration also gives scientists the ability to perform experiments in other settings and expand humanity's knowledge.[64]
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Another claim is that space exploration is a necessity to mankind and that staying on Earth will lead to extinction. Some of the reasons are lack of natural resources, comets, nuclear war, and worldwide epidemic. Stephen Hawking, renowned British theoretical physicist, said that "I don't think the human race will survive the next thousand years, unless we spread into space. There are too many accidents that can befall life on a single planet. But I'm an optimist. We will reach out to the stars."[65] Arthur C. Clarke (1950) presented a summary of motivations for the human exploration of space in his non-fiction semi-technical monograph Interplanetary Flight.[66] He argued that humanity's choice is essentially between expansion off Earth into space, versus cultural (and eventually biological) stagnation and death.
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NASA has produced a series of public service announcement videos supporting the concept of space exploration.[67]
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Overall, the public remains largely supportive of both crewed and uncrewed space exploration. According to an Associated Press Poll conducted in July 2003, 71% of U.S. citizens agreed with the statement that the space program is "a good investment", compared to 21% who did not.[68]
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Spaceflight is the use of space technology to achieve the flight of spacecraft into and through outer space.
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Spaceflight is used in space exploration, and also in commercial activities like space tourism and satellite telecommunications. Additional non-commercial uses of spaceflight include space observatories, reconnaissance satellites and other Earth observation satellites.
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A spaceflight typically begins with a rocket launch, which provides the initial thrust to overcome the force of gravity and propels the spacecraft from the surface of Earth. Once in space, the motion of a spacecraft—both when unpropelled and when under propulsion—is covered by the area of study called astrodynamics. Some spacecraft remain in space indefinitely, some disintegrate during atmospheric reentry, and others reach a planetary or lunar surface for landing or impact.
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Satellites are used for a large number of purposes. Common types include military (spy) and civilian Earth observation satellites, communication satellites, navigation satellites, weather satellites, and research satellites. Space stations and human spacecraft in orbit are also satellites.
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Current examples of the commercial use of space include satellite navigation systems, satellite television and satellite radio. Space tourism is the recent phenomenon of space travel by individuals for the purpose of personal pleasure.
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Private spaceflight companies such as SpaceX and Blue Origin, and commercial space stations such as the Axiom Space and the Bigelow Commercial Space Station have dramatically changed the landscape of space exploration, and will continue to do so in the near future.
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Astrobiology is the interdisciplinary study of life in the universe, combining aspects of astronomy, biology and geology.[69] It is focused primarily on the study of the origin, distribution and evolution of life. It is also known as exobiology (from Greek: έξω, exo, "outside").[70][71][72] The term "Xenobiology" has been used as well, but this is technically incorrect because its terminology means "biology of the foreigners".[73] Astrobiologists must also consider the possibility of life that is chemically entirely distinct from any life found on Earth.[74] In the Solar System some of the prime locations for current or past astrobiology are on Enceladus, Europa, Mars, and Titan.[75]
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To date, the longest human occupation of space is the International Space Station which has been in continuous use for 19 years, 267 days. Valeri Polyakov's record single spaceflight of almost 438 days aboard the Mir space station has not been surpassed. The health effects of space have been well documented through years of research conducted in the field of aerospace medicine. Analog environments similar to those one may experience in space travel (like deep sea submarines) have been used in this research to further explore the relationship between isolation and extreme environments.[76] It is imperative that the health of the crew be maintained as any deviation from baseline may compromise the integrity of the mission as well as the safety of the crew, hence the reason why astronauts must endure rigorous medical screenings and tests prior to embarking on any missions. However, it does not take long for the environmental dynamics of spaceflight to commence its toll on the human body; for example, space motion sickness (SMS) - a condition which affects the neurovestibular system and culminates in mild to severe signs and symptoms such as vertigo, dizziness, fatigue, nausea, and disorientation - plagues almost all space travelers within their first few days in orbit.[76] Space travel can also have a profound impact on the psyche of the crew members as delineated in anecdotal writings composed after their retirement. Space travel can adversely affect the body's natural biological clock (circadian rhythm); sleep patterns causing sleep deprivation and fatigue; and social interaction; consequently, residing in a Low Earth Orbit (LEO) environment for a prolonged amount of time can result in both mental and physical exhaustion.[76] Long-term stays in space reveal issues with bone and muscle loss in low gravity, immune system suppression, and radiation exposure. The lack of gravity causes fluid to rise upward which can cause pressure to build up in the eye, resulting in vision problems; the loss of bone minerals and densities; cardiovascular deconditioning; and decreased endurance and muscle mass.[77]
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Radiation is perhaps the most insidious health hazard to space travelers as it is invisible to the naked eye and can cause cancer. Space craft are no longer protected from the sun's radiation as they are positioned above the Earth's magnetic field; the danger of radiation is even more potent when one enters deep space. The hazards of radiation can be ameliorated through protective shielding on the spacecraft, alerts, and dosimetry.[78]
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Fortunately, with new and rapidly evolving technological advancements, those in Mission Control are able to monitor the health of their astronauts more closely utilizing telemedicine. One may not be able to completely evade the physiological effects of space flight, but they can be mitigated. For example, medical systems aboard space vessels such as the International Space Station (ISS) are well equipped and designed to counteract the effects of lack of gravity and weightlessness; on-board treadmills can help prevent muscle loss and reduce the risk of developing premature osteoporosis.[76][78] Additionally, a crew medical officer is appointed for each ISS mission and a flight surgeon is available 24/7 via the ISS Mission Control Center located in Houston, Texas. [79]Although the interactions are intended to take place in real time, communications between the space and terrestrial crew may become delayed - sometimes by as much as 20 minutes[78] - as their distance from each other increases when the spacecraft moves further out of LEO; because of this the crew are trained and need to be prepared to respond to any medical emergencies that may arise on the vessel as the ground crew are hundreds of miles away. As one can see, travelling and possibly living in space poses many challenges. Many past and current concepts for the continued exploration and colonization of space focus on a return to the Moon as a "stepping stone" to the other planets, especially Mars. At the end of 2006 NASA announced they were planning to build a permanent Moon base with continual presence by 2024.[80]
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Beyond the technical factors that could make living in space more widespread, it has been suggested that the lack of private property, the inability or difficulty in establishing property rights in space, has been an impediment to the development of space for human habitation. Since the advent of space technology in the latter half of the twentieth century, the ownership of property in space has been murky, with strong arguments both for and against. In particular, the making of national territorial claims in outer space and on celestial bodies has been specifically proscribed by the Outer Space Treaty, which had been, as of 2012[update], ratified by all spacefaring nations.[81]
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Space colonization, also called space settlement and space humanization, would be the permanent autonomous (self-sufficient) human habitation of locations outside Earth, especially of natural satellites or planets such as the Moon or Mars, using significant amounts of in-situ resource utilization.
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The first woman to ever enter space was Valentina Tereshkova. She flew in 1963 but it was not until the 1980s that another woman entered space again. All astronauts were required to be military test pilots at the time and women were not able to enter this career, this is one reason for the delay in allowing women to join space crews.[citation needed] After the rule changed, Svetlana Savitskaya became the second woman to enter space, she was also from the Soviet Union. Sally Ride became the next woman to enter space and the first woman to enter space through the United States program.
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Since then, eleven other countries have allowed women astronauts. Due to some slow changes in the space programs to allow women.
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The first all female space walk occurred in 2018, including Christina Koch and Jessica Meir. These two women have both participated in separate space walks with NASA. The first woman to go to the moon is planned for 2024.
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Despite these developments women are still underrepresented among astronauts and especially cosmonauts. Issues that block potential applicants from the programs and limit the space missions they are able to go on, are for example:
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Additionally women have been discriminately treated for example as with Sally Ride by beeing scrutinized more than her male counterparts and asked sexist questions by the press.
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Artistry in and from space ranges from signals, capturing and arranging material like Yuri Gagarin's selfie in space or the image The Blue Marble, over drawings like the first one in space by cosmonaut and artist Alexei Leonov, music videos like Chris Hadfield's cover of Space Oddity onboard the ISS, to permanent installations on celestial bodies like on the Moon.
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Solar System → Local Interstellar Cloud → Local Bubble → Gould Belt → Orion Arm → Milky Way → Milky Way subgroup → Local Group → Local Sheet → Virgo Supercluster → Laniakea Supercluster → Observable universe → UniverseEach arrow (→) may be read as "within" or "part of".
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Space exploration is the use of astronomy and space technology to explore outer space.[1] While the exploration of space is carried out mainly by astronomers with telescopes, its physical exploration though is conducted both by unmanned robotic space probes and human spaceflight. Space exploration, like its classical form astronomy, is one of the main sources for space science.
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While the observation of objects in space, known as astronomy, predates reliable recorded history, it was the development of large and relatively efficient rockets during the mid-twentieth century that allowed physical space exploration to become a reality. Common rationales for exploring space include advancing scientific research, national prestige, uniting different nations, ensuring the future survival of humanity, and developing military and strategic advantages against other countries.[2]
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The early era of space exploration was driven by a "Space Race" between the Soviet Union and the United States. The launch of the first human-made object to orbit Earth, the Soviet Union's Sputnik 1, on 4 October 1957, and the first Moon landing by the American Apollo 11 mission on 20 July 1969 are often taken as landmarks for this initial period. The Soviet space program achieved many of the first milestones, including the first living being in orbit in 1957, the first human spaceflight (Yuri Gagarin aboard Vostok 1) in 1961, the first spacewalk (by Alexei Leonov) on 18 March 1965, the first automatic landing on another celestial body in 1966, and the launch of the first space station (Salyut 1) in 1971.
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After the first 20 years of exploration, focus shifted from one-off flights to renewable hardware, such as the Space Shuttle program, and from competition to cooperation as with the International Space Station (ISS).
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With the substantial completion of the ISS[3] following STS-133 in March 2011, plans for space exploration by the U.S. remain in flux. Constellation, a Bush Administration program for a return to the Moon by 2020[4] was judged inadequately funded and unrealistic by an expert review panel reporting in 2009.[5]
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The Obama Administration proposed a revision of Constellation in 2010 to focus on the development of the capability for crewed missions beyond low Earth orbit (LEO), envisioning extending the operation of the ISS beyond 2020, transferring the development of launch vehicles for human crews from NASA to the private sector, and developing technology to enable missions to beyond LEO, such as Earth–Moon L1, the Moon, Earth–Sun L2, near-Earth asteroids, and Phobos or Mars orbit.[6]
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In the 2000s, the People's Republic of China initiated a successful manned spaceflight program, while the European Union, Japan, and India have also planned future crewed space missions. China, Russia, Japan, and India have advocated crewed missions to the Moon during the 21st century, while the European Union has advocated manned missions to both the Moon and Mars during the 20th and 21st century.
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From the 1990s onwards, private interests began promoting space tourism and then public space exploration of the Moon (see Google Lunar X Prize).
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The first telescope was said to be invented in 1608 in the Netherlands by an eyeglass maker named Hans Lippershey. The Orbiting Astronomical Observatory 2 was the first space telescope launched on December 7, 1968.[7] As of February 2, 2019, there was 3,891 confirmed exoplanets discovered. The Milky Way is estimated to contain 100–400 billion stars[8] and more than 100 billion planets.[9] There are at least 2 trillion galaxies in the observable universe.[10][11] GN-z11 is the most distant known object from Earth, reported as 32 billion light-years away.[12][13]
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In 1949, the Bumper-WAC reached an altitude of 393 kilometres (244 mi), becoming the first human-made object to enter space, according to NASA,[14] although V-2 Rocket MW 18014 crossed the Kármán line earlier, in 1944.[15]
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The first successful orbital launch was of the Soviet uncrewed Sputnik 1 ("Satellite 1") mission on 4 October 1957. The satellite weighed about 83 kg (183 lb), and is believed to have orbited Earth at a height of about 250 km (160 mi). It had two radio transmitters (20 and 40 MHz), which emitted "beeps" that could be heard by radios around the globe. Analysis of the radio signals was used to gather information about the electron density of the ionosphere, while temperature and pressure data was encoded in the duration of radio beeps. The results indicated that the satellite was not punctured by a meteoroid. Sputnik 1 was launched by an R-7 rocket. It burned up upon re-entry on 3 January 1958.
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The first successful human spaceflight was Vostok 1 ("East 1"), carrying 27-year-old Russian cosmonaut Yuri Gagarin on 12 April 1961. The spacecraft completed one orbit around the globe, lasting about 1 hour and 48 minutes. Gagarin's flight resonated around the world; it was a demonstration of the advanced Soviet space program and it opened an entirely new era in space exploration: human spaceflight.
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The first artificial object to reach another celestial body was Luna 2 reaching the Moon in 1959.[16] The first soft landing on another celestial body was performed by Luna 9 landing on the Moon on February 3, 1966.[17] Luna 10 became the first artificial satellite of the Moon, entering Moon Orbit on April 3, 1966.[18]
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The first crewed landing on another celestial body was performed by Apollo 11 on July 20, 1969, landing on the Moon. There have been a total of six spacecraft with humans landing on the Moon starting from 1969 to the last human landing in 1972.
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The first interplanetary flyby was the 1961 Venera 1 flyby of Venus, though the 1962 Mariner 2 was the first flyby of Venus to return data (closest approach 34,773 kilometers). Pioneer 6 was the first satellite to orbit the Sun, launched on December 16, 1965. The other planets were first flown by in 1965 for Mars by Mariner 4, 1973 for Jupiter by Pioneer 10, 1974 for Mercury by Mariner 10, 1979 for Saturn by Pioneer 11, 1986 for Uranus by Voyager 2, 1989 for Neptune by Voyager 2. In 2015, the dwarf planets Ceres and Pluto were orbited by Dawn and passed by New Horizons, respectively. This accounts for flybys of each of the eight planets in our Solar System, the Sun, the Moon and Ceres & Pluto (2 of the 5 recognized dwarf planets).
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The first interplanetary surface mission to return at least limited surface data from another planet was the 1970 landing of Venera 7 which returned data to Earth for 23 minutes from Venus. In 1975 the Venera 9 was the first to return images from the surface of another planet, returning images from Venus. In 1971 the Mars 3 mission achieved the first soft landing on Mars returning data for almost 20 seconds. Later much longer duration surface missions were achieved, including over six years of Mars surface operation by Viking 1 from 1975 to 1982 and over two hours of transmission from the surface of Venus by Venera 13 in 1982, the longest ever Soviet planetary surface mission. Venus and Mars are the two planets outside of Earth, humans have conducted surface missions on with unmanned robotic spacecraft.
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Salyut 1 was the first space station of any kind, launched into low Earth orbit by the Soviet Union on April 19, 1971. The International Space Station is currently the only fully functional space station, with continuous inhabitance since the year 2000.
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Voyager 1 became the first human-made object to leave our Solar System into interstellar space on August 25, 2012. The probe passed the heliopause at 121 AU to enter interstellar space.[19]
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The Apollo 13 flight passed the far side of the Moon at an altitude of 254 kilometers (158 miles; 137 nautical miles) above the lunar surface, and 400,171 km (248,655 mi) from Earth, marking the record for the farthest humans have ever traveled from Earth in 1970.
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Voyager 1 is currently at a distance of 145.11 astronomical units (2.1708×1010 km; 1.3489×1010 mi) (21.708 billion kilometers; 13.489 billion miles) from Earth as of January 1, 2019.[20] It is the most distant human-made object from Earth.[21]
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GN-z11 is the most distant known object from Earth, reported as 13.4 billion light-years away.[12][13]
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The dream of stepping into the outer reaches of Earth's atmosphere was driven by the fiction of Jules Verne[22][23][24] and H. G. Wells,[25] and rocket technology was developed to try to realize this vision. The German V-2 was the first rocket to travel into space, overcoming the problems of thrust and material failure. During the final days of World War II this technology was obtained by both the Americans and Soviets as were its designers. The initial driving force for further development of the technology was a weapons race for intercontinental ballistic missiles (ICBMs) to be used as long-range carriers for fast nuclear weapon delivery, but in 1961 when the Soviet Union launched the first man into space, the United States declared itself to be in a "Space Race" with the Soviets.
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Konstantin Tsiolkovsky, Robert Goddard, Hermann Oberth, and Reinhold Tiling laid the groundwork of rocketry in the early years of the 20th century.
|
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Wernher von Braun was the lead rocket engineer for Nazi Germany's World War II V-2 rocket project. In the last days of the war he led a caravan of workers in the German rocket program to the American lines, where they surrendered and were brought to the United States to work on their rocket development ("Operation Paperclip"). He acquired American citizenship and led the team that developed and launched Explorer 1, the first American satellite. Von Braun later led the team at NASA's Marshall Space Flight Center which developed the Saturn V moon rocket.
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Initially the race for space was often led by Sergei Korolev, whose legacy includes both the R7 and Soyuz—which remain in service to this day. Korolev was the mastermind behind the first satellite, first man (and first woman) in orbit and first spacewalk. Until his death his identity was a closely guarded state secret; not even his mother knew that he was responsible for creating the Soviet space program.
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Kerim Kerimov was one of the founders of the Soviet space program and was one of the lead architects behind the first human spaceflight (Vostok 1) alongside Sergey Korolev. After Korolev's death in 1966, Kerimov became the lead scientist of the Soviet space program and was responsible for the launch of the first space stations from 1971 to 1991, including the Salyut and Mir series, and their precursors in 1967, the Cosmos 186 and Cosmos 188.[26][27]
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Other key people:
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Starting in the mid-20th century probes and then human mission were sent into Earth orbit, and then on to the Moon. Also, probes were sent throughout the known Solar system, and into Solar orbit. Unmanned spacecraft have been sent into orbit around Saturn, Jupiter, Mars, Venus, and Mercury by the 21st century, and the most distance active spacecraft, Voyager 1 and 2 traveled beyond 100 times the Earth-Sun distance. The instruments were enough though that it is thought they have left the Sun's heliosphere, a sort of bubble of particles made in the Galaxy by the Sun's solar wind.
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The Sun is a major focus of space exploration. Being above the atmosphere in particular and Earth's magnetic field gives access to the solar wind and infrared and ultraviolet radiations that cannot reach Earth's surface. The Sun generates most space weather, which can affect power generation and transmission systems on Earth and interfere with, and even damage, satellites and space probes. Numerous spacecraft dedicated to observing the Sun, beginning with the Apollo Telescope Mount, have been launched and still others have had solar observation as a secondary objective. Parker Solar Probe, launched in 2018, will approach the Sun to within 1/8th the orbit of Mercury.
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Mercury remains the least explored of the Terrestrial planets. As of May 2013, the Mariner 10 and MESSENGER missions have been the only missions that have made close observations of Mercury. MESSENGER entered orbit around Mercury in March 2011, to further investigate the observations made by Mariner 10 in 1975 (Munsell, 2006b).
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A third mission to Mercury, scheduled to arrive in 2025, BepiColombo is to include two probes. BepiColombo is a joint mission between Japan and the European Space Agency. MESSENGER and BepiColombo are intended to gather complementary data to help scientists understand many of the mysteries discovered by Mariner 10's flybys.
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Flights to other planets within the Solar System are accomplished at a cost in energy, which is described by the net change in velocity of the spacecraft, or delta-v. Due to the relatively high delta-v to reach Mercury and its proximity to the Sun, it is difficult to explore and orbits around it are rather unstable.
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Venus was the first target of interplanetary flyby and lander missions and, despite one of the most hostile surface environments in the Solar System, has had more landers sent to it (nearly all from the Soviet Union) than any other planet in the Solar System. The first flyby was the 1961 Venera 1, though the 1962 Mariner 2 was the first flyby to successfully return data. Mariner 2 has been followed by several other flybys by multiple space agencies often as part of missions using a Venus flyby to provide a gravitational assist en route to other celestial bodies. In 1967 Venera 4 became the first probe to enter and directly examine the atmosphere of Venus. In 1970, Venera 7 became the first successful lander to reach the surface of Venus and by 1985 it had been followed by eight additional successful Soviet Venus landers which provided images and other direct surface data. Starting in 1975 with the Soviet orbiter Venera 9 some ten successful orbiter missions have been sent to Venus, including later missions which were able to map the surface of Venus using radar to pierce the obscuring atmosphere.
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Space exploration has been used as a tool to understand Earth as a celestial object in its own right. Orbital missions can provide data for Earth that can be difficult or impossible to obtain from a purely ground-based point of reference.
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For example, the existence of the Van Allen radiation belts was unknown until their discovery by the United States' first artificial satellite, Explorer 1. These belts contain radiation trapped by Earth's magnetic fields, which currently renders construction of habitable space stations above 1000 km impractical.
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Following this early unexpected discovery, a large number of Earth observation satellites have been deployed specifically to explore Earth from a space based perspective. These satellites have significantly contributed to the understanding of a variety of Earth-based phenomena. For instance, the hole in the ozone layer was found by an artificial satellite that was exploring Earth's atmosphere, and satellites have allowed for the discovery of archeological sites or geological formations that were difficult or impossible to otherwise identify.
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The Moon was the first celestial body to be the object of space exploration. It holds the distinctions of being the first remote celestial object to be flown by, orbited, and landed upon by spacecraft, and the only remote celestial object ever to be visited by humans.
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In 1959 the Soviets obtained the first images of the far side of the Moon, never previously visible to humans. The U.S. exploration of the Moon began with the Ranger 4 impactor in 1962. Starting in 1966 the Soviets successfully deployed a number of landers to the Moon which were able to obtain data directly from the Moon's surface; just four months later, Surveyor 1 marked the debut of a successful series of U.S. landers. The Soviet uncrewed missions culminated in the Lunokhod program in the early 1970s, which included the first uncrewed rovers and also successfully brought lunar soil samples to Earth for study. This marked the first (and to date the only) automated return of extraterrestrial soil samples to Earth. Uncrewed exploration of the Moon continues with various nations periodically deploying lunar orbiters, and in 2008 the Indian Moon Impact Probe.
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Crewed exploration of the Moon began in 1968 with the Apollo 8 mission that successfully orbited the Moon, the first time any extraterrestrial object was orbited by humans. In 1969, the Apollo 11 mission marked the first time humans set foot upon another world. Crewed exploration of the Moon did not continue for long, however. The Apollo 17 mission in 1972 marked the sixth landing and the most recent human visit there. Artemis 2 will flyby the Moon in 2022. Robotic missions are still pursued vigorously.
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The exploration of Mars has been an important part of the space exploration programs of the Soviet Union (later Russia), the United States, Europe, Japan and India. Dozens of robotic spacecraft, including orbiters, landers, and rovers, have been launched toward Mars since the 1960s. These missions were aimed at gathering data about current conditions and answering questions about the history of Mars. The questions raised by the scientific community are expected to not only give a better appreciation of the red planet but also yield further insight into the past, and possible future, of Earth.
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The exploration of Mars has come at a considerable financial cost with roughly two-thirds of all spacecraft destined for Mars failing before completing their missions, with some failing before they even began. Such a high failure rate can be attributed to the complexity and large number of variables involved in an interplanetary journey, and has led researchers to jokingly speak of The Great Galactic Ghoul[28] which subsists on a diet of Mars probes. This phenomenon is also informally known as the "Mars Curse".[29]
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In contrast to overall high failure rates in the exploration of Mars, India has become the first country to achieve success of its maiden attempt. India's Mars Orbiter Mission (MOM)[30][31][32] is one of the least expensive interplanetary missions ever undertaken with an approximate total cost of ₹450 Crore (US$73 million).[33][34] The first mission to Mars by any Arab country has been taken up by the United Arab Emirates. Called the Emirates Mars Mission, it is scheduled for launch in 2020. The uncrewed exploratory probe has been named "Hope Probe" and will be sent to Mars to study its atmosphere in detail.[35]
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SpaceX CEO Elon Musk hopes that the SpaceX Starship will explore the Mars.
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The Russian space mission Fobos-Grunt, which launched on 9 November 2011 experienced a failure leaving it stranded in low Earth orbit.[36] It was to begin exploration of the Phobos and Martian circumterrestrial orbit, and study whether the moons of Mars, or at least Phobos, could be a "trans-shipment point" for spaceships traveling to Mars.[37]
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The exploration of Jupiter has consisted solely of a number of automated NASA spacecraft visiting the planet since 1973. A large majority of the missions have been "flybys", in which detailed observations are taken without the probe landing or entering orbit; such as in Pioneer and Voyager programs. The Galileo and Juno spacecraft are the only spacecraft to have entered the planet's orbit. As Jupiter is believed to have only a relatively small rocky core and no real solid surface, a landing mission is precluded.
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Reaching Jupiter from Earth requires a delta-v of 9.2 km/s,[38] which is comparable to the 9.7 km/s delta-v needed to reach low Earth orbit.[39] Fortunately, gravity assists through planetary flybys can be used to reduce the energy required at launch to reach Jupiter, albeit at the cost of a significantly longer flight duration.[38]
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Jupiter has 79 known moons, many of which have relatively little known information about them.
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Saturn has been explored only through uncrewed spacecraft launched by NASA, including one mission (Cassini–Huygens) planned and executed in cooperation with other space agencies. These missions consist of flybys in 1979 by Pioneer 11, in 1980 by Voyager 1, in 1982 by Voyager 2 and an orbital mission by the Cassini spacecraft, which lasted from 2004 until 2017.
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Saturn has at least 62 known moons, although the exact number is debatable since Saturn's rings are made up of vast numbers of independently orbiting objects of varying sizes. The largest of the moons is Titan, which holds the distinction of being the only moon in the Solar System with an atmosphere denser and thicker than that of Earth. Titan holds the distinction of being the only object in the Outer Solar System that has been explored with a lander, the Huygens probe deployed by the Cassini spacecraft.
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The exploration of Uranus has been entirely through the Voyager 2 spacecraft, with no other visits currently planned. Given its axial tilt of 97.77°, with its polar regions exposed to sunlight or darkness for long periods, scientists were not sure what to expect at Uranus. The closest approach to Uranus occurred on 24 January 1986. Voyager 2 studied the planet's unique atmosphere and magnetosphere. Voyager 2 also examined its ring system and the moons of Uranus including all five of the previously known moons, while discovering an additional ten previously unknown moons.
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Images of Uranus proved to have a very uniform appearance, with no evidence of the dramatic storms or atmospheric banding evident on Jupiter and Saturn. Great effort was required to even identify a few clouds in the images of the planet. The magnetosphere of Uranus, however, proved to be unique, being profoundly affected by the planet's unusual axial tilt. In contrast to the bland appearance of Uranus itself, striking images were obtained of the Moons of Uranus, including evidence that Miranda had been unusually geologically active.
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The exploration of Neptune began with the 25 August 1989 Voyager 2 flyby, the sole visit to the system as of 2014. The possibility of a Neptune Orbiter has been discussed, but no other missions have been given serious thought.
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Although the extremely uniform appearance of Uranus during Voyager 2's visit in 1986 had led to expectations that Neptune would also have few visible atmospheric phenomena, the spacecraft found that Neptune had obvious banding, visible clouds, auroras, and even a conspicuous anticyclone storm system rivaled in size only by Jupiter's small Spot. Neptune also proved to have the fastest winds of any planet in the Solar System, measured as high as 2,100 km/h.[40] Voyager 2 also examined Neptune's ring and moon system. It discovered 900 complete rings and additional partial ring "arcs" around Neptune. In addition to examining Neptune's three previously known moons, Voyager 2 also discovered five previously unknown moons, one of which, Proteus, proved to be the last largest moon in the system. Data from Voyager 2 supported the view that Neptune's largest moon, Triton, is a captured Kuiper belt object.[41]
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The dwarf planet Pluto presents significant challenges for spacecraft because of its great distance from Earth (requiring high velocity for reasonable trip times) and small mass (making capture into orbit very difficult at present). Voyager 1 could have visited Pluto, but controllers opted instead for a close flyby of Saturn's moon Titan, resulting in a trajectory incompatible with a Pluto flyby. Voyager 2 never had a plausible trajectory for reaching Pluto.[42]
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Pluto continues to be of great interest, despite its reclassification as the lead and nearest member of a new and growing class of distant icy bodies of intermediate size (and also the first member of the important subclass, defined by orbit and known as "plutinos"). After an intense political battle, a mission to Pluto dubbed New Horizons was granted funding from the United States government in 2003.[43] New Horizons was launched successfully on 19 January 2006. In early 2007 the craft made use of a gravity assist from Jupiter. Its closest approach to Pluto was on 14 July 2015; scientific observations of Pluto began five months prior to closest approach and continued for 16 days after the encounter.
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Until the advent of space travel, objects in the asteroid belt were merely pinpricks of light in even the largest telescopes, their shapes and terrain remaining a mystery.
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Several asteroids have now been visited by probes, the first of which was Galileo, which flew past two: 951 Gaspra in 1991, followed by 243 Ida in 1993. Both of these lay near enough to Galileo's planned trajectory to Jupiter that they could be visited at acceptable cost. The first landing on an asteroid was performed by the NEAR Shoemaker probe in 2000, following an orbital survey of the object. The dwarf planet Ceres and the asteroid 4 Vesta, two of the three largest asteroids, were visited by NASA's Dawn spacecraft, launched in 2007.
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Although many comets have been studied from Earth sometimes with centuries-worth of observations, only a few comets have been closely visited. In 1985, the International Cometary Explorer conducted the first comet fly-by (21P/Giacobini-Zinner) before joining the Halley Armada studying the famous comet. The Deep Impact probe smashed into 9P/Tempel to learn more about its structure and composition and the Stardust mission returned samples of another comet's tail. The Philae lander successfully landed on Comet Churyumov–Gerasimenko in 2014 as part of the broader Rosetta mission.
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Hayabusa was a robotic spacecraft developed by the Japan Aerospace Exploration Agency to return a sample of material from the small near-Earth asteroid 25143 Itokawa to Earth for further analysis. Hayabusa was launched on 9 May 2003 and rendezvoused with Itokawa in mid-September 2005. After arriving at Itokawa, Hayabusa studied the asteroid's shape, spin, topography, color, composition, density, and history. In November 2005, it landed on the asteroid twice to collect samples. The spacecraft returned to Earth on 13 June 2010.
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Deep space exploration is the branch of astronomy, astronautics and space technology that is involved with the exploration of distant regions of outer space.[44] Physical exploration of space is conducted both by human spaceflights (deep-space astronautics) and by robotic spacecraft.
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Some of the best candidates for future deep space engine technologies include anti-matter, nuclear power and beamed propulsion.[45] The latter, beamed propulsion, appears to be the best candidate for deep space exploration presently available, since it uses known physics and known technology that is being developed for other purposes.[46]
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Breakthrough Starshot is a research and engineering project by the Breakthrough Initiatives to develop a proof-of-concept fleet of light sail spacecraft named StarChip,[47] to be capable of making the journey to the Alpha Centauri star system 4.37 light-years away. It was founded in 2016 by Yuri Milner, Stephen Hawking, and Mark Zuckerberg.[48][49]
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An article in science magazine Nature suggested the use of asteroids as a gateway for space exploration, with the ultimate destination being Mars. In order to make such an approach viable, three requirements need to be fulfilled: first, "a thorough asteroid survey to find thousands of nearby bodies suitable for astronauts to visit"; second, "extending flight duration and distance capability to ever-increasing ranges out to Mars"; and finally, "developing better robotic vehicles and tools to enable astronauts to explore an asteroid regardless of its size, shape or spin." Furthermore, using asteroids would provide astronauts with protection from galactic cosmic rays, with mission crews being able to land on them without great risk to radiation exposure.
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The James Webb Space Telescope (JWST or "Webb") is a space telescope that is planned to be the successor to the Hubble Space Telescope.[50][51] The JWST will provide greatly improved resolution and sensitivity over the Hubble, and will enable a broad range of investigations across the fields of astronomy and cosmology, including observing some of the most distant events and objects in the universe, such as the formation of the first galaxies. Other goals include understanding the formation of stars and planets, and direct imaging of exoplanets and novas.[52]
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The primary mirror of the JWST, the Optical Telescope Element, is composed of 18 hexagonal mirror segments made of gold-plated beryllium which combine to create a 6.5-meter (21 ft; 260 in) diameter mirror that is much larger than the Hubble's 2.4-meter (7.9 ft; 94 in) mirror. Unlike the Hubble, which observes in the near ultraviolet, visible, and near infrared (0.1 to 1 μm) spectra, the JWST will observe in a lower frequency range, from long-wavelength visible light through mid-infrared (0.6 to 27 μm), which will allow it to observe high redshift objects that are too old and too distant for the Hubble to observe.[53] The telescope must be kept very cold in order to observe in the infrared without interference, so it will be deployed in space near the Earth–Sun L2 Lagrangian point, and a large sunshield made of silicon- and aluminum-coated Kapton will keep its mirror and instruments below 50 K (−220 °C; −370 °F).[54]
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The Artemis program is an ongoing crewed spaceflight program carried out by NASA, U.S. commercial spaceflight companies, and international partners such as ESA,[55] with the goal of landing "the first woman and the next man" on the Moon, specifically at the lunar south pole region by 2024. Artemis would be the next step towards the long-term goal of establishing a sustainable presence on the Moon, laying the foundation for private companies to build a lunar economy, and eventually sending humans to Mars.
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In 2017, the lunar campaign was authorized by Space Policy Directive 1, utilizing various ongoing spacecraft programs such as Orion, the Lunar Gateway, Commercial Lunar Payload Services, and adding an undeveloped crewed lander. The Space Launch System will serve as the primary launch vehicle for Orion, while commercial launch vehicles are planned for use to launch various other elements of the campaign.[56] NASA requested $1.6 billion in additional funding for Artemis for fiscal year 2020,[57] while the Senate Appropriations Committee requested from NASA a five-year budget profile[58] which is needed for evaluation and approval by Congress.[59][60]
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The research that is conducted by national space exploration agencies, such as NASA and Roscosmos, is one of the reasons supporters cite to justify government expenses. Economic analyses of the NASA programs often showed ongoing economic benefits (such as NASA spin-offs), generating many times the revenue of the cost of the program.[61] It is also argued that space exploration would lead to the extraction of resources on other planets and especially asteroids, which contain billions of dollars that worth of minerals and metals. Such expeditions could generate a lot of revenue.[62] In addition, it has been argued that space exploration programs help inspire youth to study in science and engineering.[63] Space exploration also gives scientists the ability to perform experiments in other settings and expand humanity's knowledge.[64]
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Another claim is that space exploration is a necessity to mankind and that staying on Earth will lead to extinction. Some of the reasons are lack of natural resources, comets, nuclear war, and worldwide epidemic. Stephen Hawking, renowned British theoretical physicist, said that "I don't think the human race will survive the next thousand years, unless we spread into space. There are too many accidents that can befall life on a single planet. But I'm an optimist. We will reach out to the stars."[65] Arthur C. Clarke (1950) presented a summary of motivations for the human exploration of space in his non-fiction semi-technical monograph Interplanetary Flight.[66] He argued that humanity's choice is essentially between expansion off Earth into space, versus cultural (and eventually biological) stagnation and death.
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NASA has produced a series of public service announcement videos supporting the concept of space exploration.[67]
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Overall, the public remains largely supportive of both crewed and uncrewed space exploration. According to an Associated Press Poll conducted in July 2003, 71% of U.S. citizens agreed with the statement that the space program is "a good investment", compared to 21% who did not.[68]
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Spaceflight is the use of space technology to achieve the flight of spacecraft into and through outer space.
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Spaceflight is used in space exploration, and also in commercial activities like space tourism and satellite telecommunications. Additional non-commercial uses of spaceflight include space observatories, reconnaissance satellites and other Earth observation satellites.
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A spaceflight typically begins with a rocket launch, which provides the initial thrust to overcome the force of gravity and propels the spacecraft from the surface of Earth. Once in space, the motion of a spacecraft—both when unpropelled and when under propulsion—is covered by the area of study called astrodynamics. Some spacecraft remain in space indefinitely, some disintegrate during atmospheric reentry, and others reach a planetary or lunar surface for landing or impact.
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Satellites are used for a large number of purposes. Common types include military (spy) and civilian Earth observation satellites, communication satellites, navigation satellites, weather satellites, and research satellites. Space stations and human spacecraft in orbit are also satellites.
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Current examples of the commercial use of space include satellite navigation systems, satellite television and satellite radio. Space tourism is the recent phenomenon of space travel by individuals for the purpose of personal pleasure.
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Private spaceflight companies such as SpaceX and Blue Origin, and commercial space stations such as the Axiom Space and the Bigelow Commercial Space Station have dramatically changed the landscape of space exploration, and will continue to do so in the near future.
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Astrobiology is the interdisciplinary study of life in the universe, combining aspects of astronomy, biology and geology.[69] It is focused primarily on the study of the origin, distribution and evolution of life. It is also known as exobiology (from Greek: έξω, exo, "outside").[70][71][72] The term "Xenobiology" has been used as well, but this is technically incorrect because its terminology means "biology of the foreigners".[73] Astrobiologists must also consider the possibility of life that is chemically entirely distinct from any life found on Earth.[74] In the Solar System some of the prime locations for current or past astrobiology are on Enceladus, Europa, Mars, and Titan.[75]
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To date, the longest human occupation of space is the International Space Station which has been in continuous use for 19 years, 267 days. Valeri Polyakov's record single spaceflight of almost 438 days aboard the Mir space station has not been surpassed. The health effects of space have been well documented through years of research conducted in the field of aerospace medicine. Analog environments similar to those one may experience in space travel (like deep sea submarines) have been used in this research to further explore the relationship between isolation and extreme environments.[76] It is imperative that the health of the crew be maintained as any deviation from baseline may compromise the integrity of the mission as well as the safety of the crew, hence the reason why astronauts must endure rigorous medical screenings and tests prior to embarking on any missions. However, it does not take long for the environmental dynamics of spaceflight to commence its toll on the human body; for example, space motion sickness (SMS) - a condition which affects the neurovestibular system and culminates in mild to severe signs and symptoms such as vertigo, dizziness, fatigue, nausea, and disorientation - plagues almost all space travelers within their first few days in orbit.[76] Space travel can also have a profound impact on the psyche of the crew members as delineated in anecdotal writings composed after their retirement. Space travel can adversely affect the body's natural biological clock (circadian rhythm); sleep patterns causing sleep deprivation and fatigue; and social interaction; consequently, residing in a Low Earth Orbit (LEO) environment for a prolonged amount of time can result in both mental and physical exhaustion.[76] Long-term stays in space reveal issues with bone and muscle loss in low gravity, immune system suppression, and radiation exposure. The lack of gravity causes fluid to rise upward which can cause pressure to build up in the eye, resulting in vision problems; the loss of bone minerals and densities; cardiovascular deconditioning; and decreased endurance and muscle mass.[77]
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Radiation is perhaps the most insidious health hazard to space travelers as it is invisible to the naked eye and can cause cancer. Space craft are no longer protected from the sun's radiation as they are positioned above the Earth's magnetic field; the danger of radiation is even more potent when one enters deep space. The hazards of radiation can be ameliorated through protective shielding on the spacecraft, alerts, and dosimetry.[78]
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Fortunately, with new and rapidly evolving technological advancements, those in Mission Control are able to monitor the health of their astronauts more closely utilizing telemedicine. One may not be able to completely evade the physiological effects of space flight, but they can be mitigated. For example, medical systems aboard space vessels such as the International Space Station (ISS) are well equipped and designed to counteract the effects of lack of gravity and weightlessness; on-board treadmills can help prevent muscle loss and reduce the risk of developing premature osteoporosis.[76][78] Additionally, a crew medical officer is appointed for each ISS mission and a flight surgeon is available 24/7 via the ISS Mission Control Center located in Houston, Texas. [79]Although the interactions are intended to take place in real time, communications between the space and terrestrial crew may become delayed - sometimes by as much as 20 minutes[78] - as their distance from each other increases when the spacecraft moves further out of LEO; because of this the crew are trained and need to be prepared to respond to any medical emergencies that may arise on the vessel as the ground crew are hundreds of miles away. As one can see, travelling and possibly living in space poses many challenges. Many past and current concepts for the continued exploration and colonization of space focus on a return to the Moon as a "stepping stone" to the other planets, especially Mars. At the end of 2006 NASA announced they were planning to build a permanent Moon base with continual presence by 2024.[80]
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Beyond the technical factors that could make living in space more widespread, it has been suggested that the lack of private property, the inability or difficulty in establishing property rights in space, has been an impediment to the development of space for human habitation. Since the advent of space technology in the latter half of the twentieth century, the ownership of property in space has been murky, with strong arguments both for and against. In particular, the making of national territorial claims in outer space and on celestial bodies has been specifically proscribed by the Outer Space Treaty, which had been, as of 2012[update], ratified by all spacefaring nations.[81]
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Space colonization, also called space settlement and space humanization, would be the permanent autonomous (self-sufficient) human habitation of locations outside Earth, especially of natural satellites or planets such as the Moon or Mars, using significant amounts of in-situ resource utilization.
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The first woman to ever enter space was Valentina Tereshkova. She flew in 1963 but it was not until the 1980s that another woman entered space again. All astronauts were required to be military test pilots at the time and women were not able to enter this career, this is one reason for the delay in allowing women to join space crews.[citation needed] After the rule changed, Svetlana Savitskaya became the second woman to enter space, she was also from the Soviet Union. Sally Ride became the next woman to enter space and the first woman to enter space through the United States program.
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Since then, eleven other countries have allowed women astronauts. Due to some slow changes in the space programs to allow women.
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The first all female space walk occurred in 2018, including Christina Koch and Jessica Meir. These two women have both participated in separate space walks with NASA. The first woman to go to the moon is planned for 2024.
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Despite these developments women are still underrepresented among astronauts and especially cosmonauts. Issues that block potential applicants from the programs and limit the space missions they are able to go on, are for example:
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Additionally women have been discriminately treated for example as with Sally Ride by beeing scrutinized more than her male counterparts and asked sexist questions by the press.
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Artistry in and from space ranges from signals, capturing and arranging material like Yuri Gagarin's selfie in space or the image The Blue Marble, over drawings like the first one in space by cosmonaut and artist Alexei Leonov, music videos like Chris Hadfield's cover of Space Oddity onboard the ISS, to permanent installations on celestial bodies like on the Moon.
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Solar System → Local Interstellar Cloud → Local Bubble → Gould Belt → Orion Arm → Milky Way → Milky Way subgroup → Local Group → Local Sheet → Virgo Supercluster → Laniakea Supercluster → Observable universe → UniverseEach arrow (→) may be read as "within" or "part of".
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Coordinates: 25°S 133°E / 25°S 133°E / -25; 133
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Australia, officially the Commonwealth of Australia,[12] is a sovereign country comprising the mainland of the Australian continent, the island of Tasmania, and numerous smaller islands. It is the largest country in Oceania and the world's sixth-largest country by total area. The population of 26 million[6] is highly urbanised and heavily concentrated on the eastern seaboard.[13] Australia's capital is Canberra, and its largest city is Sydney. The country's other major metropolitan areas are Melbourne, Brisbane, Perth, and Adelaide.
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Indigenous Australians inhabited the continent for about 65,000 years[14] prior to the first arrival of Dutch explorers in the early 17th century, who named it New Holland. In 1770, Australia's eastern half was claimed by Great Britain and initially settled through penal transportation to the colony of New South Wales from 26 January 1788, a date which became Australia's national day. The population grew steadily in subsequent decades, and by the time of an 1850s gold rush, most of the continent had been explored by European settlers and an additional five self-governing crown colonies established. On 1 January 1901, the six colonies federated, forming the Commonwealth of Australia. Australia has since maintained a stable liberal democratic political system that functions as a federal parliamentary constitutional monarchy, comprising six states and ten territories.
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Australia is the oldest,[15] flattest,[16] and driest inhabited continent,[17][18] with the least fertile soils.[19][20] It has a landmass of 7,617,930 square kilometres (2,941,300 sq mi).[21] A megadiverse country, its size gives it a wide variety of landscapes, with deserts in the centre, tropical rainforests in the north-east, and mountain ranges in the south-east. Australia generates its income from various sources, including mining-related exports, telecommunications, banking, manufacturing, and international education.[22][23][24]
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Australia is a highly developed country, with the world's 14th-largest economy. It has a high-income economy, with the world's tenth-highest per capita income.[25] It is a regional power and has the world's 13th-highest military expenditure.[26] Immigrants account for 30% of the population,[27] the highest proportion in any country with a population over 10 million.[28] Having the third-highest human development index and the eighth-highest ranked democracy globally, the country ranks highly in quality of life, health, education, economic freedom, civil liberties, and political rights,[29] with all its major cities faring well in global comparative livability surveys.[30] Australia is a member of the United Nations, G20, Commonwealth of Nations, ANZUS, Organisation for Economic Co-operation and Development (OECD), World Trade Organization, Asia-Pacific Economic Cooperation, Pacific Islands Forum, and the ASEAN Plus Six mechanism.
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The name Australia (pronounced /əˈstreɪliə/ in Australian English[31]) is derived from the Latin Terra Australis ("southern land"), a name used for a hypothetical continent in the Southern Hemisphere since ancient times.[32] When Europeans first began visiting and mapping Australia in the 17th century, the name Terra Australis was naturally applied to the new territories.[N 5]
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Until the early 19th century, Australia was best known as "New Holland", a name first applied by the Dutch explorer Abel Tasman in 1644 (as Nieuw-Holland) and subsequently anglicised. Terra Australis still saw occasional usage, such as in scientific texts.[N 6] The name Australia was popularised by the explorer Matthew Flinders, who said it was "more agreeable to the ear, and an assimilation to the names of the other great portions of the earth".[38] Several famous early cartographers also made use of the word Australia on maps. Gerardus Mercator (1512–1594) used the phrase climata australia on his double cordiform map of the world of 1538, as did Gemma Frisius (1508–1555), who was Mercator's teacher and collaborator, on his own cordiform wall map in 1540. Australia appears in a book on astronomy by Cyriaco Jacob zum Barth published in Frankfurt-am-Main in 1545.[39]
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The first time that Australia appears to have been officially used was in April 1817, when Governor Lachlan Macquarie acknowledged the receipt of Flinders' charts of Australia from Lord Bathurst.[40] In December 1817, Macquarie recommended to the Colonial Office that it be formally adopted.[41] In 1824, the Admiralty agreed that the continent should be known officially by that name.[42] The first official published use of the new name came with the publication in 1830 of The Australia Directory by the Hydrographic Office.[43]
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Colloquial names for Australia include "Oz" and "the Land Down Under" (usually shortened to just "Down Under"). Other epithets include "the Great Southern Land", "the Lucky Country", "the Sunburnt Country", and "the Wide Brown Land". The latter two both derive from Dorothea Mackellar's 1908 poem "My Country".[44]
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Human habitation of the Australian continent is known to have begun at least 65,000 years ago,[45][46] with the migration of people by land bridges and short sea-crossings from what is now Southeast Asia.[47] The Madjedbebe rock shelter in Arnhem Land is recognised as the oldest site showing the presence of humans in Australia.[48] The oldest human remains found are the Lake Mungo remains, which have been dated to around 41,000 years ago.[49][50] These people were the ancestors of modern Indigenous Australians.[51] Aboriginal Australian culture is one of the oldest continual cultures on earth.[52]
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At the time of first European contact, most Indigenous Australians were hunter-gatherers with complex economies and societies.[53][54] Recent archaeological finds suggest that a population of 750,000 could have been sustained.[55][56] Indigenous Australians have an oral culture with spiritual values based on reverence for the land and a belief in the Dreamtime.[57] The Torres Strait Islanders, ethnically Melanesian, obtained their livelihood from seasonal horticulture and the resources of their reefs and seas.[58] The northern coasts and waters of Australia were visited sporadically by Makassan fishermen from what is now Indonesia.[59]
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The first recorded European sighting of the Australian mainland, and the first recorded European landfall on the Australian continent, are attributed to the Dutch.[60] The first ship and crew to chart the Australian coast and meet with Aboriginal people was the Duyfken captained by Dutch navigator, Willem Janszoon.[61] He sighted the coast of Cape York Peninsula in early 1606, and made landfall on 26 February at the Pennefather River near the modern town of Weipa on Cape York.[62] Later that year, Spanish explorer Luís Vaz de Torres sailed through, and navigated, Torres Strait islands.[63] The Dutch charted the whole of the western and northern coastlines and named the island continent "New Holland" during the 17th century, and although no attempt at settlement was made,[62] a number of shipwrecks left men either stranded or, as in the case of the Batavia in 1629, marooned for mutiny and murder, thus becoming the first Europeans to permanently inhabit the continent.[64] William Dampier, an English explorer and privateer, landed on the north-west coast of New Holland in 1688 (while serving as a crewman under pirate Captain John Read[65]) and again in 1699 on a return trip.[66] In 1770, James Cook sailed along and mapped the east coast, which he named New South Wales and claimed for Great Britain.[67]
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With the loss of its American colonies in 1783, the British Government sent a fleet of ships, the "First Fleet", under the command of Captain Arthur Phillip, to establish a new penal colony in New South Wales. A camp was set up and the Union flag raised at Sydney Cove, Port Jackson, on 26 January 1788,[68][69] a date which later became Australia's national day, Australia Day. Most early convicts were transported for petty crimes and assigned as labourers or servants upon arrival. While the majority settled into colonial society once emancipated, convict rebellions and uprisings were also staged, but invariably suppressed under martial law. The 1808 Rum Rebellion, the only successful armed takeover of government in Australia, instigated a two-year period of military rule.[70]
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The indigenous population declined for 150 years following settlement, mainly due to infectious disease.[71] Thousands more died as a result of frontier conflict with settlers.[72] A government policy of "assimilation" beginning with the Aboriginal Protection Act 1869 resulted in the removal of many Aboriginal children from their families and communities—referred to as the Stolen Generations—a practice which also contributed to the decline in the indigenous population.[73] As a result of the 1967 referendum, the Federal government's power to enact special laws with respect to a particular race was extended to enable the making of laws with respect to Aboriginals.[74] Traditional ownership of land ("native title") was not recognised in law until 1992, when the High Court of Australia held in Mabo v Queensland (No 2) that the legal doctrine that Australia had been terra nullius ("land belonging to no one") did not apply to Australia at the time of British settlement.[75]
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The expansion of British control over other areas of the continent began in the early 19th century, initially confined to coastal regions. A settlement was established in Van Diemen's Land (present-day Tasmania) in 1803, and it became a separate colony in 1825.[76] In 1813, Gregory Blaxland, William Lawson and William Wentworth crossed the Blue Mountains west of Sydney, opening the interior to European settlement.[77] The British claim was extended to the whole Australian continent in 1827 when Major Edmund Lockyer established a settlement on King George Sound (modern-day Albany, Western Australia).[78] The Swan River Colony was established in 1829, evolving into the largest Australian colony by area, Western Australia.[79] In accordance with population growth, separate colonies were carved from parts of New South Wales: South Australia in 1836, New Zealand in 1841, Victoria in 1851, and Queensland in 1859.[80] The Northern Territory was excised from South Australia in 1911.[81] South Australia was founded as a "free province"—it was never a penal colony.[82] Western Australia was also founded "free" but later accepted transported convicts, the last of which arrived in 1868, decades after transportation had ceased to the other colonies.[83] By 1850, Europeans still had not entered large areas of the inland. Explorers remained ambitious to discover new lands for agriculture or answers to scientific enquiries.[84]
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A series of gold rushes beginning in the early 1850s led to an influx of new migrants from China, North America and mainland Europe,[85] and also spurred outbreaks of bushranging and civil unrest. The latter peaked in 1854 when Ballarat miners launched the Eureka Rebellion against gold license fees.[86] Between 1855 and 1890, the six colonies individually gained responsible government, managing most of their own affairs while remaining part of the British Empire.[87] The Colonial Office in London retained control of some matters, notably foreign affairs,[88] defence,[89] and international shipping.
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On 1 January 1901, federation of the colonies was achieved after a decade of planning, consultation and voting.[90] After the 1907 Imperial Conference, Australia and the other self-governing British colonies were given the status of "dominion" within the British Empire.[91][92] The Federal Capital Territory (later renamed the Australian Capital Territory) was formed in 1911 as the location for the future federal capital of Canberra. Melbourne was the temporary seat of government from 1901 to 1927 while Canberra was being constructed.[93] The Northern Territory was transferred from the control of the South Australian government to the federal parliament in 1911.[94] Australia became the colonial ruler of the Territory of Papua (which had initially been annexed by Queensland in 1888) in 1902 and of the Territory of New Guinea (formerly German New Guinea) in 1920. The two were unified as the Territory of Papua and New Guinea in 1949 and gained independence from Australia in 1975.
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In 1914, Australia joined Britain in fighting World War I, with support from both the outgoing Commonwealth Liberal Party and the incoming Australian Labor Party.[95][96] Australians took part in many of the major battles fought on the Western Front.[97] Of about 416,000 who served, about 60,000 were killed and another 152,000 were wounded.[98] Many Australians regard the defeat of the Australian and New Zealand Army Corps (ANZACs) at Gallipoli as the birth of the nation—its first major military action.[99][100] The Kokoda Track campaign is regarded by many as an analogous nation-defining event during World War II.[101]
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Britain's Statute of Westminster 1931 formally ended most of the constitutional links between Australia and the UK. Australia adopted it in 1942,[102] but it was backdated to 1939 to confirm the validity of legislation passed by the Australian Parliament during World War II.[103][104] The shock of Britain's defeat in Asia in 1942, followed soon after by the Japanese bombing of Darwin and attack on Sydney Harbour, led to a widespread belief in Australia that an invasion was imminent, and a shift towards the United States as a new ally and protector.[105] Since 1951, Australia has been a formal military ally of the US, under the ANZUS treaty.[106]
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After World War II, Australia encouraged immigration from mainland Europe. Since the 1970s and following the abolition of the White Australia policy, immigration from Asia and elsewhere was also promoted.[107] As a result, Australia's demography, culture, and self-image were transformed.[108] The Australia Act 1986 severed the remaining constitutional ties between Australia and the UK.[109] In a 1999 referendum, 55% of voters and a majority in every state rejected a proposal to become a republic with a president appointed by a two-thirds vote in both Houses of the Australian Parliament. There has been an increasing focus in foreign policy on ties with other Pacific Rim nations, while maintaining close ties with Australia's traditional allies and trading partners.[110]
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Surrounded by the Indian and Pacific oceans,[N 7] Australia is separated from Asia by the Arafura and Timor seas, with the Coral Sea lying off the Queensland coast, and the Tasman Sea lying between Australia and New Zealand. The world's smallest continent[112] and sixth largest country by total area,[113] Australia—owing to its size and isolation—is often dubbed the "island continent"[114] and is sometimes considered the world's largest island.[115] Australia has 34,218 kilometres (21,262 mi) of coastline (excluding all offshore islands),[116] and claims an extensive Exclusive Economic Zone of 8,148,250 square kilometres (3,146,060 sq mi). This exclusive economic zone does not include the Australian Antarctic Territory.[117] Apart from Macquarie Island, Australia lies between latitudes 9° and 44°S, and longitudes 112° and 154°E.
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Australia's size gives it a wide variety of landscapes, with tropical rainforests in the north-east, mountain ranges in the south-east, south-west and east, and desert in the centre.[118] The desert or semi-arid land commonly known as the outback makes up by far the largest portion of land.[119] Australia is the driest inhabited continent; its annual rainfall averaged over continental area is less than 500 mm.[120] The population density, 3.2 inhabitants per square kilometre, although a large proportion of the population lives along the temperate south-eastern coastline.[121]
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The Great Barrier Reef, the world's largest coral reef,[122] lies a short distance off the north-east coast and extends for over 2,000 kilometres (1,240 mi). Mount Augustus, claimed to be the world's largest monolith,[123] is located in Western Australia. At 2,228 metres (7,310 ft), Mount Kosciuszko is the highest mountain on the Australian mainland. Even taller are Mawson Peak (at 2,745 metres or 9,006 feet), on the remote Australian external territory of Heard Island, and, in the Australian Antarctic Territory, Mount McClintock and Mount Menzies, at 3,492 metres (11,457 ft) and 3,355 metres (11,007 ft) respectively.[124]
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Eastern Australia is marked by the Great Dividing Range, which runs parallel to the coast of Queensland, New South Wales and much of Victoria. The name is not strictly accurate, because parts of the range consist of low hills, and the highlands are typically no more than 1,600 metres (5,249 ft) in height.[125] The coastal uplands and a belt of Brigalow grasslands lie between the coast and the mountains, while inland of the dividing range are large areas of grassland and shrubland.[125][126] These include the western plains of New South Wales, and the Mitchell Grass Downs and Mulga Lands of inland Queensland. The northernmost point of the east coast is the tropical Cape York Peninsula.[127][128][129][130]
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The landscapes of the Top End and the Gulf Country—with their tropical climate—include forest, woodland, wetland, grassland, rainforest and desert.[131][132][133] At the north-west corner of the continent are the sandstone cliffs and gorges of The Kimberley, and below that the Pilbara. The Victoria Plains tropical savanna lies south of the Kimberly and Arnhem Land savannas, forming a transition between the coastal savannas and the interior deserts.[134][135][136] At the heart of the country are the uplands of central Australia. Prominent features of the centre and south include Uluru (also known as Ayers Rock), the famous sandstone monolith, and the inland Simpson, Tirari and Sturt Stony, Gibson, Great Sandy, Tanami, and Great Victoria deserts, with the famous Nullarbor Plain on the southern coast.[137][138][139][140] The Western Australian mulga shrublands lie between the interior deserts and Mediterranean-climate Southwest Australia.[141][142]
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Lying on the Indo-Australian Plate, the mainland of Australia is the lowest and most primordial landmass on Earth with a relatively stable geological history.[143][144] The landmass includes virtually all known rock types and from all geological time periods spanning over 3.8 billion years of the Earth's history. The Pilbara Craton is one of only two pristine Archaean 3.6–2.7 Ga (billion years ago) crusts identified on the Earth.[145]
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Having been part of all major supercontinents, the Australian continent began to form after the breakup of Gondwana in the Permian, with the separation of the continental landmass from the African continent and Indian subcontinent. It separated from Antarctica over a prolonged period beginning in the Permian and continuing through to the Cretaceous.[146] When the last glacial period ended in about 10,000 BC, rising sea levels formed Bass Strait, separating Tasmania from the mainland. Then between about 8,000 and 6,500 BC, the lowlands in the north were flooded by the sea, separating New Guinea, the Aru Islands, and the mainland of Australia.[147] The Australian continent is currently moving toward Eurasia at the rate of 6 to 7 centimetres a year.[148]
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The Australian mainland's continental crust, excluding the thinned margins, has an average thickness of 38 km, with a range in thickness from 24 km to 59 km.[149] Australia's geology can be divided into several main sections, showcasing that the continent grew from west to east: the Archaean cratonic shields found mostly in the west, Proterozoic fold belts in the centre and Phanerozoic sedimentary basins, metamorphic and igneous rocks in the east.[150]
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The Australian mainland and Tasmania are situated in the middle of the tectonic plate and currently have no active volcanoes,[151] but due to passing over the East Australia hotspot, recent volcanism has occurred during the Holocene, in the Newer Volcanics Province of western Victoria and southeastern South Australia. Volcanism also occurs in the island of New Guinea (considered geologically as part of the Australian continent), and in the Australian external territory of Heard Island and McDonald Islands.[152] Seismic activity in the Australian mainland and Tasmania is also low, with the greatest number of fatalities having occurred in the 1989 Newcastle earthquake.[153]
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The climate of Australia is significantly influenced by ocean currents, including the Indian Ocean Dipole and the El Niño–Southern Oscillation, which is correlated with periodic drought, and the seasonal tropical low-pressure system that produces cyclones in northern Australia.[155][156] These factors cause rainfall to vary markedly from year to year. Much of the northern part of the country has a tropical, predominantly summer-rainfall (monsoon).[120] The south-west corner of the country has a Mediterranean climate.[157] The south-east ranges from oceanic (Tasmania and coastal Victoria) to humid subtropical (upper half of New South Wales), with the highlands featuring alpine and subpolar oceanic climates. The interior is arid to semi-arid.[120]
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According to the Bureau of Meteorology's 2011 Australian Climate Statement, Australia had lower than average temperatures in 2011 as a consequence of a La Niña weather pattern; however, "the country's 10-year average continues to demonstrate the rising trend in temperatures, with 2002–2011 likely to rank in the top two warmest 10-year periods on record for Australia, at 0.52 °C (0.94 °F) above the long-term average".[158] Furthermore, 2014 was Australia's third warmest year since national temperature observations commenced in 1910.[159][160]
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Water restrictions are frequently in place in many regions and cities of Australia in response to chronic shortages due to urban population increases and localised drought.[161][162] Throughout much of the continent, major flooding regularly follows extended periods of drought, flushing out inland river systems, overflowing dams and inundating large inland flood plains, as occurred throughout Eastern Australia in 2010, 2011 and 2012 after the 2000s Australian drought.
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Australia's carbon dioxide emissions per capita are among the highest in the world, lower than those of only a few other industrialised nations.[163]
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January 2019 was the hottest month ever in Australia with average temperatures exceeding 30 °C (86 °F).[164][165]
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The 2019–20 Australian bushfire season was Australia's worst bushfire season on record.[166]
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Although most of Australia is semi-arid or desert, the continent includes a diverse range of habitats from alpine heaths to tropical rainforests. Fungi typify that diversity—an estimated 250,000 species—of which only 5% have been described—occur in Australia.[167] Because of the continent's great age, extremely variable weather patterns, and long-term geographic isolation, much of Australia's biota is unique. About 85% of flowering plants, 84% of mammals, more than 45% of birds, and 89% of in-shore, temperate-zone fish are endemic.[168] Australia has at least 755 species of reptile, more than any other country in the world.[169] Besides Antarctica, Australia is the only continent that developed without feline species. Feral cats may have been introduced in the 17th century by Dutch shipwrecks, and later in the 18th century by European settlers. They are now considered a major factor in the decline and extinction of many vulnerable and endangered native species.[170]
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Australian forests are mostly made up of evergreen species, particularly eucalyptus trees in the less arid regions; wattles replace them as the dominant species in drier regions and deserts.[171] Among well-known Australian animals are the monotremes (the platypus and echidna); a host of marsupials, including the kangaroo, koala, and wombat, and birds such as the emu and the kookaburra.[171] Australia is home to many dangerous animals including some of the most venomous snakes in the world.[172] The dingo was introduced by Austronesian people who traded with Indigenous Australians around 3000 BCE.[173] Many animal and plant species became extinct soon after first human settlement,[174] including the Australian megafauna; others have disappeared since European settlement, among them the thylacine.[175][176]
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Many of Australia's ecoregions, and the species within those regions, are threatened by human activities and introduced animal, chromistan, fungal and plant species.[177] All these factors have led to Australia's having the highest mammal extinction rate of any country in the world.[178] The federal Environment Protection and Biodiversity Conservation Act 1999 is the legal framework for the protection of threatened species.[179] Numerous protected areas have been created under the National Strategy for the Conservation of Australia's Biological Diversity to protect and preserve unique ecosystems;[180][181] 65 wetlands are listed under the Ramsar Convention,[182] and 16 natural World Heritage Sites have been established.[183] Australia was ranked 21st out of 178 countries in the world on the 2018 Environmental Performance Index.[184] There are more than 1,800 animals and plants on Australia's threatened species list, including more than 500 animals.[185]
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Australia is a federal parliamentary constitutional monarchy.[186] The country has maintained a stable liberal democratic political system under its constitution, which is one of the world's oldest, since Federation in 1901. It is also one of the world's oldest federations, in which power is divided between the federal and state and territorial governments. The Australian system of government combines elements derived from the political systems of the United Kingdom (a fused executive, constitutional monarchy and strong party discipline) and the United States (federalism, a written constitution and strong bicameralism with an elected upper house), along with distinctive indigenous features.[187][188]
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The federal government is separated into three branches:
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Elizabeth II reigns as Queen of Australia and is represented in Australia by the governor-general at the federal level and by the governors at the state level, who by convention act on the advice of her ministers.[190][191] Thus, in practice the governor-general acts as a legal figurehead for the actions of the prime minister and the Federal Executive Council. The governor-general does have extraordinary reserve powers which may be exercised outside the prime minister's request in rare and limited circumstances, the most notable exercise of which was the dismissal of the Whitlam Government in the constitutional crisis of 1975.[192]
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In the Senate (the upper house), there are 76 senators: twelve each from the states and two each from the mainland territories (the Australian Capital Territory and the Northern Territory).[193] The House of Representatives (the lower house) has 151 members elected from single-member electoral divisions, commonly known as "electorates" or "seats", allocated to states on the basis of population,[194] with each original state guaranteed a minimum of five seats.[195] Elections for both chambers are normally held every three years simultaneously; senators have overlapping six-year terms except for those from the territories, whose terms are not fixed but are tied to the electoral cycle for the lower house; thus only 40 of the 76 places in the Senate are put to each election unless the cycle is interrupted by a double dissolution.[193]
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Australia's electoral system uses preferential voting for all lower house elections with the exception of Tasmania and the ACT which, along with the Senate and most state upper houses, combine it with proportional representation in a system known as the single transferable vote. Voting is compulsory for all enrolled citizens 18 years and over in every jurisdiction,[196] as is enrolment (with the exception of South Australia).[197] The party with majority support in the House of Representatives forms the government and its leader becomes Prime Minister. In cases where no party has majority support, the Governor-General has the constitutional power to appoint the Prime Minister and, if necessary, dismiss one that has lost the confidence of Parliament.[198]
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There are two major political groups that usually form government, federally and in the states: the Australian Labor Party and the Coalition which is a formal grouping of the Liberal Party and its minor partner, the National Party.[199][200] Within Australian political culture, the Coalition is considered centre-right and the Labor Party is considered centre-left.[201] Independent members and several minor parties have achieved representation in Australian parliaments, mostly in upper houses. The Australian Greens are often considered the "third force" in politics, being the third largest party by both vote and membership.[202]
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The most recent federal election was held on 18 May 2019 and resulted in the Coalition, led by Prime Minister Scott Morrison, retaining government.[203]
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Australia has six states—New South Wales (NSW), Queensland (QLD), South Australia (SA), Tasmania (TAS), Victoria (VIC) and Western Australia (WA)—and two major mainland territories—the Australian Capital Territory (ACT) and the Northern Territory (NT). In most respects, these two territories function as states, except that the Commonwealth Parliament has the power to modify or repeal any legislation passed by the territory parliaments.[204]
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Under the constitution, the states essentially have plenary legislative power to legislate on any subject, whereas the Commonwealth (federal) Parliament may legislate only within the subject areas enumerated under section 51. For example, state parliaments have the power to legislate with respect to education, criminal law and state police, health, transport, and local government, but the Commonwealth Parliament does not have any specific power to legislate in these areas.[205] However, Commonwealth laws prevail over state laws to the extent of the inconsistency.[206] In addition, the Commonwealth has the power to levy income tax which, coupled with the power to make grants to States, has given it the financial means to incentivise States to pursue specific legislative agendas within areas over which the Commonwealth does not have legislative power.
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Each state and major mainland territory has its own parliament—unicameral in the Northern Territory, the ACT and Queensland, and bicameral in the other states. The states are sovereign entities, although subject to certain powers of the Commonwealth as defined by the Constitution. The lower houses are known as the Legislative Assembly (the House of Assembly in South Australia and Tasmania); the upper houses are known as the Legislative Council. The head of the government in each state is the Premier and in each territory the Chief Minister. The Queen is represented in each state by a governor; and in the Northern Territory, the administrator.[207] In the Commonwealth, the Queen's representative is the governor-general.[208]
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The Commonwealth Parliament also directly administers the external territories of Ashmore and Cartier Islands, the Australian Antarctic Territory, Christmas Island, the Cocos (Keeling) Islands, the Coral Sea Islands, and Heard Island and McDonald Islands, as well as the internal Jervis Bay Territory, a naval base and sea port for the national capital in land that was formerly part of New South Wales.[189] The external territory of Norfolk Island previously exercised considerable autonomy under the Norfolk Island Act 1979 through its own legislative assembly and an Administrator to represent the Queen.[209] In 2015, the Commonwealth Parliament abolished self-government, integrating Norfolk Island into the Australian tax and welfare systems and replacing its legislative assembly with a council.[210] Macquarie Island is part of Tasmania,[211] and Lord Howe Island of New South Wales.[212]
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Over recent decades, Australia's foreign relations have been driven by a close association with the United States through the ANZUS pact, and by a desire to develop relationships with Asia and the Pacific, particularly through ASEAN, the Pacific Islands Forum and the Pacific Community, of which Australia is a founding member. In 2005 Australia secured an inaugural seat at the East Asia Summit following its accession to the Treaty of Amity and Cooperation in Southeast Asia, and in 2011 attended the Sixth East Asia Summit in Indonesia. Australia is a member of the Commonwealth of Nations, in which the Commonwealth Heads of Government meetings provide the main forum for co-operation.[213] Australia has pursued the cause of international trade liberalisation.[214] It led the formation of the Cairns Group and Asia-Pacific Economic Cooperation.[215][216]
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Australia is a member of the Organisation for Economic Co-operation and Development and the World Trade Organization,[217][218] and has pursued several major bilateral free trade agreements, most recently the Australia–United States Free Trade Agreement[219] and Closer Economic Relations with New Zealand,[220] with another free trade agreement being negotiated with China—the Australia–China Free Trade Agreement—and Japan,[221] South Korea in 2011,[222][223] Australia–Chile Free Trade Agreement, and as of November 2015[update] has put the Trans-Pacific Partnership before parliament for ratification.[224]
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Australia maintains a deeply integrated relationship with neighbouring New Zealand, with free mobility of citizens between the two countries under the Trans-Tasman Travel Arrangement and free trade under the
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Australia–New Zealand Closer Economic Relations Trade Agreement.[225] New Zealand, Canada and the United Kingdom are the most favourably viewed countries in the world by Australian people,[226][227] sharing a number of close diplomatic, military and cultural ties with Australia.
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Along with New Zealand, the United Kingdom, Malaysia and Singapore, Australia is party to the Five Power Defence Arrangements, a regional defence agreement. A founding member country of the United Nations, Australia is strongly committed to multilateralism[228] and maintains an international aid program under which some 60 countries receive assistance. The 2005–06 budget provides A$2.5 billion for development assistance.[229] Australia ranks fifteenth overall in the Center for Global Development's 2012 Commitment to Development Index.[230]
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Australia's armed forces—the Australian Defence Force (ADF)—comprise the Royal Australian Navy (RAN), the Australian Army and the Royal Australian Air Force (RAAF), in total numbering 81,214 personnel (including 57,982 regulars and 23,232 reservists) as of November 2015[update]. The titular role of Commander-in-Chief is vested in the Governor-General, who appoints a Chief of the Defence Force from one of the armed services on the advice of the government.[231] Day-to-day force operations are under the command of the Chief, while broader administration and the formulation of defence policy is undertaken by the Minister and Department of Defence.
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In the 2016–17 budget, defence spending comprised 2% of GDP, representing the world's 12th largest defence budget.[232] Australia has been involved in UN and regional peacekeeping, disaster relief and armed conflict, including the 2003 invasion of Iraq; it currently has deployed about 2,241 personnel in varying capacities to 12 international operations in areas including Iraq and Afghanistan.[233]
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A wealthy country, Australia has a market economy, a high GDP per capita, and a relatively low rate of poverty. In terms of average wealth, Australia ranked second in the world after Switzerland from 2013 until 2018.[235] In 2018, Australia overtook Switzerland and became the country with the highest average wealth.[235] Australia's poverty rate increased from 10.2% to 11.8%, from 2000/01 to 2013.[236][237] It was identified by the Credit Suisse Research Institute as the nation with the highest median wealth in the world and the second-highest average wealth per adult in 2013.[236]
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The Australian dollar is the currency for the nation, including Christmas Island, Cocos (Keeling) Islands, and Norfolk Island, as well as the independent Pacific Island states of Kiribati, Nauru, and Tuvalu. With the 2006 merger of the Australian Stock Exchange and the Sydney Futures Exchange, the Australian Securities Exchange became the ninth largest in the world.[238]
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Ranked fifth in the Index of Economic Freedom (2017),[239] Australia is the world's 14th largest economy and has the tenth highest per capita GDP (nominal) at US$55,692.[240] The country was ranked third in the United Nations 2017 Human Development Index.[241] Melbourne reached top spot for the fourth year in a row on The Economist's 2014 list of the world's most liveable cities,[242] followed by Adelaide, Sydney, and Perth in the fifth, seventh, and ninth places respectively. Total government debt in Australia is about A$190 billion[243]—20% of GDP in 2010.[244] Australia has among the highest house prices and some of the highest household debt levels in the world.[245]
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An emphasis on exporting commodities rather than manufactured goods has underpinned a significant increase in Australia's terms of trade since the start of the 21st century, due to rising commodity prices. Australia has a balance of payments that is more than 7% of GDP negative, and has had persistently large current account deficits for more than 50 years.[246] Australia has grown at an average annual rate of 3.6% for over 15 years, in comparison to the OECD annual average of 2.5%.[246]
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Australia was the only advanced economy not to experience a recession due to the global financial downturn in 2008–2009.[247] However, the economies of six of Australia's major trading partners have been in recession[when?], which in turn has affected Australia, significantly hampering its economic growth in recent years[when?].[248][249] From 2012 to early 2013, Australia's national economy grew, but some non-mining states and Australia's non-mining economy experienced a recession.[250][251][252]
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The Hawke Government floated the Australian dollar in 1983 and partially deregulated the financial system.[253] The Howard Government followed with a partial deregulation of the labour market and the further privatisation of state-owned businesses, most notably in the telecommunications industry.[254] The indirect tax system was substantially changed in July 2000 with the introduction of a 10% Goods and Services Tax (GST).[255] In Australia's tax system, personal and company income tax are the main sources of government revenue.[256]
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As of September 2018[update], there were 12,640,800 people employed (either full- or part-time), with an unemployment rate of 5.2%.[257] Data released in mid-November 2013 showed that the number of welfare recipients had grown by 55%. In 2007 228,621 Newstart unemployment allowance recipients were registered, a total that increased to 646,414 in March 2013.[258] According to the Graduate Careers Survey, full-time employment for newly qualified professionals from various occupations has declined since 2011 but it increases for graduates three years after graduation.[259][260]
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Since 2008[when?], inflation has typically been 2–3% and the base interest rate 5–6%. The service sector of the economy, including tourism, education, and financial services, accounts for about 70% of GDP.[261] Rich in natural resources, Australia is a major exporter of agricultural products, particularly wheat and wool, minerals such as iron-ore and gold, and energy in the forms of liquified natural gas and coal. Although agriculture and natural resources account for only 3% and 5% of GDP respectively, they contribute substantially to export performance. Australia's largest export markets are Japan, China, the United States, South Korea, and New Zealand.[262] Australia is the world's fourth largest exporter of wine, and the wine industry contributes A$5.5 billion per year to the nation's economy.[263]
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Access to biocapacity in Australia is much higher than world average. In 2016, Australia had 12.3 global hectares[264] of biocapacity per person within its territory, much more than the world average of 1.6 global hectares per person.[265] In 2016 Australia used 6.6 global hectares of biocapacity per person – their ecological footprint of consumption. This means they use half as much biocapacity as Australia contains. As a result, Australia is running a biocapacity reserve.[264]
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In 2020 ACOSS released a new report revealing that poverty is growing in Australia, with an estimated 3.2 million people, or 13.6% of the population, living below the internationally accepted poverty line of 50% of a country's median income. It also estimated that there are 774,000 (17.7%) children under the age of 15 that are in poverty.[266][267]
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Australia has an average population density of 3.3 persons per square kilometre of total land area, which makes it is one of the most sparsely populated countries in the world. The population is heavily concentrated on the east coast, and in particular in the south-eastern region between South East Queensland to the north-east and Adelaide to the south-west.[268]
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Australia is highly urbanised, with 67% of the population living in the Greater Capital City Statistical Areas (metropolitan areas of the state and mainland territorial capital cities) in 2018.[269] Metropolitan areas with more than one million inhabitants are Sydney, Melbourne, Brisbane, Perth and Adelaide.
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In common with many other developed countries, Australia is experiencing a demographic shift towards an older population, with more retirees and fewer people of working age. In 2018 the average age of the Australian population was 38.8 years.[270] In 2015, 2.15% of the Australian population lived overseas, one of the lowest proportions worldwide.[271]
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Between 1788 and the Second World War, the vast majority of settlers and immigrants came from the British Isles (principally England, Ireland and Scotland), although there was significant immigration from China and Germany during the 19th century. In the decades immediately following the Second World War, Australia received a large wave of immigration from across Europe, with many more immigrants arriving from Southern and Eastern Europe than in previous decades. Since the end of the White Australia policy in 1973, Australia has pursued an official policy of multiculturalism,[274] and there has been a large and continuing wave of immigration from across the world, with Asia being the largest source of immigrants in the 21st century.[275]
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Today, Australia has the world's eighth-largest immigrant population, with immigrants accounting for 30% of the population, a higher proportion than in any other nation with a population of over 10 million.[27][276] 160,323 permanent immigrants were admitted to Australia in 2018–19 (excluding refugees),[275] whilst there was a net population gain of 239,600 people from all permanent and temporary immigration in that year.[277] The majority of immigrants are skilled,[275] but the immigration program includes categories for family members and refugees.[277] In 2019 the largest foreign-born populations were those born in England (3.9%), Mainland China (2.7%), India (2.6%), New Zealand (2.2%), the Philippines (1.2%) and Vietnam (1%).[27]
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In the 2016 Australian census, the most commonly nominated ancestries were:[N 9][278][279]
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At the 2016 census, 649,171 people (2.8% of the total population) identified as being Indigenous—Aboriginal Australians and Torres Strait Islanders.[N 12][281] Indigenous Australians experience higher than average rates of imprisonment and unemployment, lower levels of education, and life expectancies for males and females that are, respectively, 11 and 17 years lower than those of non-indigenous Australians.[262][282][283] Some remote Indigenous communities have been described as having "failed state"-like conditions.[284]
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Although Australia has no official language, English is the de facto national language.[2] Australian English is a major variety of the language with a distinctive accent and lexicon,[285] and differs slightly from other varieties of English in grammar and spelling.[286] General Australian serves as the standard dialect.
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According to the 2016 census, English is the only language spoken in the home for 72.7% of the population. The next most common languages spoken at home are Mandarin (2.5%), Arabic (1.4%), Cantonese (1.2%), Vietnamese (1.2%) and Italian (1.2%).[278] A considerable proportion of first- and second-generation migrants are bilingual.
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Over 250 Indigenous Australian languages are thought to have existed at the time of first European contact,[287] of which fewer than twenty are still in daily use by all age groups.[288][289] About 110 others are spoken exclusively by older people.[289] At the time of the 2006 census, 52,000 Indigenous Australians, representing 12% of the Indigenous population, reported that they spoke an Indigenous language at home.[290] Australia has a sign language known as Auslan, which is the main language of about 10,112 deaf people who reported that they spoke Auslan language at home in the 2016 census.[291]
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Australia has no state religion; Section 116 of the Australian Constitution prohibits the federal government from making any law to establish any religion, impose any religious observance, or prohibit the free exercise of any religion.[293] In the 2016 census, 52.1% of Australians were counted as Christian, including 22.6% as Catholic and 13.3% as Anglican; 30.1% of the population reported having "no religion"; 8.2% identify with non-Christian religions, the largest of these being Islam (2.6%), followed by Buddhism (2.4%), Hinduism (1.9%), Sikhism (0.5%) and Judaism (0.4%). The remaining 9.7% of the population did not provide an adequate answer. Those who reported having no religion increased conspicuously from 19% in 2006 to 22% in 2011 to 30.1% in 2016.[292]
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Before European settlement, the animist beliefs of Australia's indigenous people had been practised for many thousands of years. Mainland Aboriginal Australians' spirituality is known as the Dreamtime and it places a heavy emphasis on belonging to the land. The collection of stories that it contains shaped Aboriginal law and customs. Aboriginal art, story and dance continue to draw on these spiritual traditions. The spirituality and customs of Torres Strait Islanders, who inhabit the islands between Australia and New Guinea, reflected their Melanesian origins and dependence on the sea. The 1996 Australian census counted more than 7000 respondents as followers of a traditional Aboriginal religion.[294]
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Since the arrival of the First Fleet of British ships in 1788, Christianity has become the major religion practised in Australia. Christian churches have played an integral role in the development of education, health and welfare services in Australia. For much of Australian history, the Church of England (now known as the Anglican Church of Australia) was the largest religious denomination, with a large Roman Catholic minority. However, multicultural immigration has contributed to a steep decline in its relative position since the Second World War. Similarly, Islam, Buddhism, Hinduism, Sikhism and Judaism have all grown in Australia over the past half-century.[295]
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Australia has one of the lowest levels of religious adherence in the world.[296] In 2001, only 8.8% of Australians attended church on a weekly basis.[297]
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Australia's life expectancy is the third highest in the world for males and the seventh highest for females.[298] Life expectancy in Australia in 2010 was 79.5 years for males and 84.0 years for females.[299] Australia has the highest rates of skin cancer in the world,[300] while cigarette smoking is the largest preventable cause of death and disease, responsible for 7.8% of the total mortality and disease. Ranked second in preventable causes is hypertension at 7.6%, with obesity third at 7.5%.[301][302] Australia ranks 35th in the world[303] and near the top of developed nations for its proportion of obese adults[304] and nearly two thirds (63%) of its adult population is either overweight or obese.[305]
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Total expenditure on health (including private sector spending) is around 9.8% of GDP.[306] Australia introduced universal health care in 1975.[307] Known as Medicare, it is now nominally funded by an income tax surcharge known as the Medicare levy, currently set at 2%.[308] The states manage hospitals and attached outpatient services, while the Commonwealth funds the Pharmaceutical Benefits Scheme (subsidising the costs of medicines) and general practice.[307]
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School attendance, or registration for home schooling,[310] is compulsory throughout Australia. Education is the responsibility of the individual states and territories[311] so the rules vary between states, but in general children are required to attend school from the age of about 5 until about 16.[312][313] In some states (e.g., Western Australia,[314] the Northern Territory[315] and New South Wales[316][317]), children aged 16–17 are required to either attend school or participate in vocational training, such as an apprenticeship.
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Australia has an adult literacy rate that was estimated to be 99% in 2003.[318] However, a 2011–12 report for the Australian Bureau of Statistics reported that Tasmania has a literacy and numeracy rate of only 50%.[319] In the Programme for International Student Assessment, Australia regularly scores among the top five of thirty major developed countries (member countries of the Organisation for Economic Co-operation and Development). Catholic education accounts for the largest non-government sector.
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Australia has 37 government-funded universities and two private universities, as well as a number of other specialist institutions that provide approved courses at the higher education level.[320] The OECD places Australia among the most expensive nations to attend university.[321] There is a state-based system of vocational training, known as TAFE, and many trades conduct apprenticeships for training new tradespeople.[322] About 58% of Australians aged from 25 to 64 have vocational or tertiary qualifications,[262] and the tertiary graduation rate of 49% is the highest among OECD countries. 30.9 percent of Australia's population has attained a higher education qualification, which is among the highest percentages in the world.[323][324][325]
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Australia has the highest ratio of international students per head of population in the world by a large margin, with 812,000 international students enrolled in the nation's universities and vocational institutions in 2019.[326][327] Accordingly, in 2019, international students represented on average 26.7% of the student bodies of Australian universities. International education therefore represents one of the country's largest exports and has a pronounced influence on the country's demographics, with a significant proportion of international students remaining in Australia after graduation on various skill and employment visas.[328]
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Since 1788, the primary influence behind Australian culture has been Anglo-Celtic Western culture, with some Indigenous influences.[330][331] The divergence and evolution that has occurred in the ensuing centuries has resulted in a distinctive Australian culture.[332][333] The culture of the United States has also been highly influential, particularly through television and cinema. Other cultural influences come from neighbouring Asian countries, and through large-scale immigration from non-English-speaking nations.[334]
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Australia has over 100,000 Aboriginal rock art sites,[335] and traditional designs, patterns and stories infuse contemporary Indigenous Australian art, "the last great art movement of the 20th century" according to critic Robert Hughes;[336] its exponents include Emily Kame Kngwarreye.[337] Early colonial artists showed a fascination with the unfamiliar land.[338] The impressionistic works of Arthur Streeton, Tom Roberts and other members of the 19th-century Heidelberg School—the first "distinctively Australian" movement in Western art—gave expression to nationalist sentiments in the lead-up to Federation.[338] While the school remained influential into the 1900s, modernists such as Margaret Preston, and, later, Sidney Nolan and Arthur Boyd, explored new artistic trends.[338] The landscape remained a central subject matter for Fred Williams, Brett Whiteley and other post-war artists whose works, eclectic in style yet uniquely Australian, moved between the figurative and the abstract.[338][339] The national and state galleries maintain collections of local and international art.[340] Australia has one of the world's highest attendances of art galleries and museums per head of population.[341]
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Australian literature grew slowly in the decades following European settlement though Indigenous oral traditions, many of which have since been recorded in writing, are much older.[343] In the 1870s, Adam Lindsay Gordon posthumously became the first Australian poet to attain a wide readership. Following in his footsteps, Henry Lawson and Banjo Paterson captured the experience of the bush using a distinctive Australian vocabulary.[344] Their works are still popular; Paterson's bush poem "Waltzing Matilda" (1895) is regarded as Australia's unofficial national anthem.[345] Miles Franklin is the namesake of Australia's most prestigious literary prize, awarded annually to the best novel about Australian life.[346] Its first recipient, Patrick White, went on to win the Nobel Prize in Literature in 1973.[347] Australian Booker Prize winners include Peter Carey, Thomas Keneally and Richard Flanagan.[348] Author David Malouf, playwright David Williamson and poet Les Murray are also renowned.[349][350]
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Many of Australia's performing arts companies receive funding through the federal government's Australia Council.[351] There is a symphony orchestra in each state,[352] and a national opera company, Opera Australia,[353] well known for its famous soprano Joan Sutherland.[354] At the beginning of the 20th century, Nellie Melba was one of the world's leading opera singers.[355] Ballet and dance are represented by The Australian Ballet and various state companies. Each state has a publicly funded theatre company.[356]
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The Story of the Kelly Gang (1906), the world's first feature-length narrative film, spurred a boom in Australian cinema during the silent film era.[357] After World War I, Hollywood monopolised the industry,[358] and by the 1960s Australian film production had effectively ceased.[359] With the benefit of government support, the Australian New Wave of the 1970s brought provocative and successful films, many exploring themes of national identity, such as Wake in Fright and Gallipoli,[360] while Crocodile Dundee and the Ozploitation movement's Mad Max series became international blockbusters.[361] In a film market flooded with foreign content, Australian films delivered a 7.7% share of the local box office in 2015.[362] The AACTAs are Australia's premier film and television awards, and notable Academy Award winners from Australia include Geoffrey Rush, Nicole Kidman, Cate Blanchett and Heath Ledger.[363]
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Australia has two public broadcasters (the Australian Broadcasting Corporation and the multicultural Special Broadcasting Service), three commercial television networks, several pay-TV services,[364] and numerous public, non-profit television and radio stations. Each major city has at least one daily newspaper,[364] and there are two national daily newspapers, The Australian and The Australian Financial Review.[364] In 2010, Reporters Without Borders placed Australia 18th on a list of 178 countries ranked by press freedom, behind New Zealand (8th) but ahead of the United Kingdom (19th) and United States (20th).[365] This relatively low ranking is primarily because of the limited diversity of commercial media ownership in Australia;[366] most print media are under the control of News Corporation and, after Fairfax Media was merged with Nine, Nine Entertainment Co.[367]
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Most Indigenous Australian groups subsisted on a simple hunter-gatherer diet of native fauna and flora, otherwise called bush tucker.[368] The first settlers introduced British food to the continent, much of which is now considered typical Australian food, such as the Sunday roast.[369][370] Multicultural immigration transformed Australian cuisine; post-World War II European migrants, particularly from the Mediterranean, helped to build a thriving Australian coffee culture, and the influence of Asian cultures has led to Australian variants of their staple foods, such as the Chinese-inspired dim sim and Chiko Roll.[371] Vegemite, pavlova, lamingtons and meat pies are regarded as iconic Australian foods.[372] Australian wine is produced mainly in the southern, cooler parts of the country.
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Australia is also known for its cafe and coffee culture in urban centres, which has influenced coffee culture abroad, including New York City.[373] Australia was responsible for the flat white coffee–purported to have originated in a Sydney cafe in the mid-1980s.[374]
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Cricket and football are the predominate sports in Australia during the summer and winter months, respectively. Australia is unique in that it has professional leagues for four football codes. Originating in Melbourne in the 1850s, Australian rules football is the most popular code in all states except New South Wales and Queensland, where rugby league holds sway, followed by rugby union. Soccer, while ranked fourth in popularity and resources, has the highest overall participation rates.[376] Cricket is popular across all borders and has been regarded by many Australians as the national sport. The Australian national cricket team competed against England in the first Test match (1877) and the first One Day International (1971), and against New Zealand in the first Twenty20 International (2004), winning all three games. It has also participated in every edition of the Cricket World Cup, winning the tournament a record five times.[377]
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Australia is a powerhouse in water-based sports, such as swimming and surfing.[378] The surf lifesaving movement originated in Australia, and the volunteer lifesaver is one of the country's icons.[379] Nationally, other popular sports include horse racing, basketball, and motor racing. The annual Melbourne Cup horse race and the Sydney to Hobart yacht race attract intense interest.[380] In 2016, the Australian Sports Commission revealed that swimming, cycling and soccer are the three most popular participation sports.[381][382]
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Australia is one of five nations to have participated in every Summer Olympics of the modern era,[383] and has hosted the Games twice: 1956 in Melbourne and 2000 in Sydney.[384] Australia has also participated in every Commonwealth Games,[385] hosting the event in 1938, 1962, 1982, 2006 and 2018.[386] Australia made its inaugural appearance at the Pacific Games in 2015. As well as being a regular FIFA World Cup participant, Australia has won the OFC Nations Cup four times and the AFC Asian Cup once—the only country to have won championships in two different FIFA confederations.[387] In June 2020, Australia won its bid to co-host the 2023 FIFA Women's World Cup with New Zealand.[388][389] The country regularly competes among the world elite basketball teams as it is among the global top three teams in terms of qualifications to the Basketball Tournament at the Summer Olympics. Other major international events held in Australia include the Australian Open tennis grand slam tournament, international cricket matches, and the Australian Formula One Grand Prix. The highest-rating television programs include sports telecasts such as the Summer Olympics, FIFA World Cup, The Ashes, Rugby League State of Origin, and the grand finals of the National Rugby League and Australian Football League.[390] Skiing in Australia began in the 1860s and snow sports take place in the Australian Alps and parts of Tasmania.
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Constantine the Great (Latin: Flavius Valerius Constantinus; Ancient Greek: Κωνσταντῖνος, romanized: Kōnstantînos; 27 February c. 272 – 22 May 337), also known as Constantine I, was a Roman emperor from AD 306 to 337. Born in Dacia Ripensis (now Serbia), he was the son of Flavius Constantius, an Illyrian army officer who became one of the four emperors of the Tetrarchy. His mother, Helena, was Greek and of low birth. Constantine served with distinction under emperors Diocletian and Galerius campaigning in the eastern provinces against barbarians and the Persians, before being recalled west in 305 to fight under his father in Britain. After his father's death in 306, Constantine was acclaimed as emperor by the army at Eboracum (York). He emerged victorious in the civil wars against emperors Maxentius and Licinius to become sole ruler of the Roman Empire by 324.
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As emperor, Constantine enacted administrative, financial, social and military reforms to strengthen the empire. He restructured the government, separating civil and military authorities. To combat inflation he introduced the solidus, a new gold coin that became the standard for Byzantine and European currencies for more than a thousand years. The Roman army was reorganised to consist of mobile units (comitatenses), and garrison troops (limitanei) capable of countering internal threats and barbarian invasions. Constantine pursued successful campaigns against the tribes on the Roman frontiers—the Franks, the Alamanni, the Goths and the Sarmatians—even resettling territories abandoned by his predecessors during the Crisis of the Third Century.
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Constantine was the first Roman emperor to convert to Christianity.[notes 1] Although he lived much of his life as a pagan, and later as a catechumen, he joined the Christian religion on his deathbed, being baptised by Eusebius of Nicomedia. He played an influential role in the proclamation of the Edict of Milan in 313, which declared tolerance for Christianity in the Roman Empire. He convoked the First Council of Nicaea in 325, which produced the statement of Christian belief known as the Nicene Creed.[3] The Church of the Holy Sepulchre was built on his orders at the purported site of Jesus' tomb in Jerusalem and became the holiest place in Christendom. The Papal claim to temporal power in the High Middle Ages was based on the fabricated Donation of Constantine. He has historically been referred to as the "First Christian Emperor" and he did favour the Christian Church. While some modern scholars debate his beliefs and even his comprehension of Christianity,[notes 2] he is venerated as a saint in Roman Catholicism and Eastern Orthodoxy.
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The age of Constantine marked a distinct epoch in the history of the Roman Empire.[6] He built a new imperial residence at Byzantium and renamed the city Constantinople (now Istanbul) after himself (the laudatory epithet of "New Rome" emerged in his time, and was never an official title). It subsequently became the capital of the Empire for more than a thousand years, the later Eastern Roman Empire being referred to as the Byzantine Empire by modern historians. His more immediate political legacy was that he replaced Diocletian's Tetrarchy with the de facto principle of dynastic succession, by leaving the empire to his sons and other members of the Constantinian dynasty. His reputation flourished during the lifetime of his children and for centuries after his reign. The medieval church held him up as a paragon of virtue, while secular rulers invoked him as a prototype, a point of reference and the symbol of imperial legitimacy and identity.[7] Beginning with the Renaissance, there were more critical appraisals of his reign, due to the rediscovery of anti-Constantinian sources. Trends in modern and recent scholarship have attempted to balance the extremes of previous scholarship.
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Constantine was a ruler of major importance, and he has always been a controversial figure.[8] The fluctuations in his reputation reflect the nature of the ancient sources for his reign. These are abundant and detailed,[9] but they have been strongly influenced by the official propaganda of the period[10] and are often one-sided;[11] no contemporaneous histories or biographies dealing with his life and rule have survived.[12] The nearest replacement is Eusebius's Vita Constantini—a mixture of eulogy and hagiography[13] written between AD 335 and circa AD 339[14]—that extols Constantine's moral and religious virtues.[15] The Vita creates a contentiously positive image of Constantine,[16] and modern historians have frequently challenged its reliability.[17] The fullest secular life of Constantine is the anonymous Origo Constantini,[18] a work of uncertain date,[19] which focuses on military and political events to the neglect of cultural and religious matters.[20]
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Lactantius' De Mortibus Persecutorum, a political Christian pamphlet on the reigns of Diocletian and the Tetrarchy, provides valuable but tendentious detail on Constantine's predecessors and early life.[21] The ecclesiastical histories of Socrates, Sozomen, and Theodoret describe the ecclesiastic disputes of Constantine's later reign.[22] Written during the reign of Theodosius II (AD 408–450), a century after Constantine's reign, these ecclesiastical historians obscure the events and theologies of the Constantinian period through misdirection, misrepresentation, and deliberate obscurity.[23] The contemporary writings of the orthodox Christian Athanasius, and the ecclesiastical history of the Arian Philostorgius also survive, though their biases are no less firm.[24]
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The epitomes of Aurelius Victor (De Caesaribus), Eutropius (Breviarium), Festus (Breviarium), and the anonymous author of the Epitome de Caesaribus offer compressed secular political and military histories of the period. Although not Christian, the epitomes paint a favourable image of Constantine but omit reference to Constantine's religious policies.[25] The Panegyrici Latini, a collection of panegyrics from the late third and early fourth centuries, provide valuable information on the politics and ideology of the tetrarchic period and the early life of Constantine.[26] Contemporary architecture, such as the Arch of Constantine in Rome and palaces in Gamzigrad and Córdoba,[27] epigraphic remains, and the coinage of the era complement the literary sources.[28]
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Flavius Valerius Constantinus, as he was originally named, was born in the city of Naissus, (today Niš, Serbia) part of the Dardania province of Moesia on 27 February,[29] probably c. AD 272.[30] His father was Flavius Constantius, an Illyrian,[31][32] and a native of Dardania province of Moesia (later Dacia Ripensis).[33] Constantine probably spent little time with his father[34] who was an officer in the Roman army, part of the Emperor Aurelian's imperial bodyguard. Being described as a tolerant and politically skilled man,[35] Constantius advanced through the ranks, earning the governorship of Dalmatia from Emperor Diocletian, another of Aurelian's companions from Illyricum, in 284 or 285.[33] Constantine's mother was Helena, a Greek woman of low social standing from Helenopolis of Bithynia.[36] It is uncertain whether she was legally married to Constantius or merely his concubine.[37] His main language was Latin, and during his public speeches he needed Greek translators.[38]
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In July AD 285, Diocletian declared Maximian, another colleague from Illyricum, his co-emperor. Each emperor would have his own court, his own military and administrative faculties, and each would rule with a separate praetorian prefect as chief lieutenant.[39] Maximian ruled in the West, from his capitals at Mediolanum (Milan, Italy) or Augusta Treverorum (Trier, Germany), while Diocletian ruled in the East, from Nicomedia (İzmit, Turkey). The division was merely pragmatic: the empire was called "indivisible" in official panegyric,[40] and both emperors could move freely throughout the empire.[41] In 288, Maximian appointed Constantius to serve as his praetorian prefect in Gaul. Constantius left Helena to marry Maximian's stepdaughter Theodora in 288 or 289.[42]
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Diocletian divided the Empire again in AD 293, appointing two caesars (junior emperors) to rule over further subdivisions of East and West. Each would be subordinate to their respective augustus (senior emperor) but would act with supreme authority in his assigned lands. This system would later be called the Tetrarchy. Diocletian's first appointee for the office of caesar was Constantius; his second was Galerius, a native of Felix Romuliana. According to Lactantius, Galerius was a brutal, animalistic man. Although he shared the paganism of Rome's aristocracy, he seemed to them an alien figure, a semi-barbarian.[43] On 1 March, Constantius was promoted to the office of caesar, and dispatched to Gaul to fight the rebels Carausius and Allectus.[44] In spite of meritocratic overtones, the Tetrarchy retained vestiges of hereditary privilege,[45] and Constantine became the prime candidate for future appointment as caesar as soon as his father took the position. Constantine went to the court of Diocletian, where he lived as his father's heir presumptive.[46]
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Constantine's parents and siblings, the dates in square brackets indicate the possession of minor titles
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Constantine received a formal education at Diocletian's court, where he learned Latin literature, Greek, and philosophy.[47] The cultural environment in Nicomedia was open, fluid, and socially mobile; in it, Constantine could mix with intellectuals both pagan and Christian. He may have attended the lectures of Lactantius, a Christian scholar of Latin in the city.[48] Because Diocletian did not completely trust Constantius—none of the Tetrarchs fully trusted their colleagues—Constantine was held as something of a hostage, a tool to ensure Constantius' best behavior. Constantine was nonetheless a prominent member of the court: he fought for Diocletian and Galerius in Asia and served in a variety of tribunates; he campaigned against barbarians on the Danube in AD 296 and fought the Persians under Diocletian in Syria (AD 297), as well as under Galerius in Mesopotamia (AD 298–299).[49] By late AD 305, he had become a tribune of the first order, a tribunus ordinis primi.[50]
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Constantine had returned to Nicomedia from the eastern front by the spring of AD 303, in time to witness the beginnings of Diocletian's "Great Persecution", the most severe persecution of Christians in Roman history.[51] In late 302, Diocletian and Galerius sent a messenger to the oracle of Apollo at Didyma with an inquiry about Christians.[52] Constantine could recall his presence at the palace when the messenger returned, when Diocletian accepted his court's demands for universal persecution.[53] On 23 February AD 303, Diocletian ordered the destruction of Nicomedia's new church, condemned its scriptures to the flames, and had its treasures seized. In the months that followed, churches and scriptures were destroyed, Christians were deprived of official ranks, and priests were imprisoned.[54]
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It is unlikely that Constantine played any role in the persecution.[55] In his later writings, he would attempt to present himself as an opponent of Diocletian's "sanguinary edicts" against the "Worshippers of God",[56] but nothing indicates that he opposed it effectively at the time.[57] Although no contemporary Christian challenged Constantine for his inaction during the persecutions, it remained a political liability throughout his life.[58]
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On 1 May AD 305, Diocletian, as a result of a debilitating sickness taken in the winter of AD 304–305, announced his resignation. In a parallel ceremony in Milan, Maximian did the same.[59] Lactantius states that Galerius manipulated the weakened Diocletian into resigning, and forced him to accept Galerius' allies in the imperial succession. According to Lactantius, the crowd listening to Diocletian's resignation speech believed, until the very last moment, that Diocletian would choose Constantine and Maxentius (Maximian's son) as his successors.[60] It was not to be: Constantius and Galerius were promoted to augusti, while Severus and Maximinus Daia, Galerius' nephew, were appointed their caesars respectively. Constantine and Maxentius were ignored.[61]
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Some of the ancient sources detail plots that Galerius made on Constantine's life in the months following Diocletian's abdication. They assert that Galerius assigned Constantine to lead an advance unit in a cavalry charge through a swamp on the middle Danube, made him enter into single combat with a lion, and attempted to kill him in hunts and wars. Constantine always emerged victorious: the lion emerged from the contest in a poorer condition than Constantine; Constantine returned to Nicomedia from the Danube with a Sarmatian captive to drop at Galerius' feet.[62] It is uncertain how much these tales can be trusted.[63]
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Constantine recognized the implicit danger in remaining at Galerius' court, where he was held as a virtual hostage. His career depended on being rescued by his father in the west. Constantius was quick to intervene.[64] In the late spring or early summer of AD 305, Constantius requested leave for his son to help him campaign in Britain. After a long evening of drinking, Galerius granted the request. Constantine's later propaganda describes how he fled the court in the night, before Galerius could change his mind. He rode from post-house to post-house at high speed, hamstringing every horse in his wake.[65] By the time Galerius awoke the following morning, Constantine had fled too far to be caught.[66] Constantine joined his father in Gaul, at Bononia (Boulogne) before the summer of AD 305.[67]
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From Bononia, they crossed the Channel to Britain and made their way to Eboracum (York), capital of the province of Britannia Secunda and home to a large military base. Constantine was able to spend a year in northern Britain at his father's side, campaigning against the Picts beyond Hadrian's Wall in the summer and autumn.[68] Constantius' campaign, like that of Septimius Severus before it, probably advanced far into the north without achieving great success.[69] Constantius had become severely sick over the course of his reign, and died on 25 July 306 in Eboracum. Before dying, he declared his support for raising Constantine to the rank of full augustus. The Alamannic king Chrocus, a barbarian taken into service under Constantius, then proclaimed Constantine as augustus. The troops loyal to Constantius' memory followed him in acclamation. Gaul and Britain quickly accepted his rule;[70] Hispania, which had been in his father's domain for less than a year, rejected it.[71]
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Constantine sent Galerius an official notice of Constantius' death and his own acclamation. Along with the notice, he included a portrait of himself in the robes of an augustus.[72] The portrait was wreathed in bay.[73] He requested recognition as heir to his father's throne, and passed off responsibility for his unlawful ascension on his army, claiming they had "forced it upon him".[74] Galerius was put into a fury by the message; he almost set the portrait and messenger on fire.[75] His advisers calmed him, and argued that outright denial of Constantine's claims would mean certain war.[76] Galerius was compelled to compromise: he granted Constantine the title "caesar" rather than "augustus" (the latter office went to Severus instead).[77] Wishing to make it clear that he alone gave Constantine legitimacy, Galerius personally sent Constantine the emperor's traditional purple robes.[78] Constantine accepted the decision,[77] knowing that it would remove doubts as to his legitimacy.[79]
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Constantine's share of the Empire consisted of Britain, Gaul, and Spain, and he commanded one of the largest Roman armies which was stationed along the important Rhine frontier.[80] He remained in Britain after his promotion to emperor, driving back the tribes of the Picts and securing his control in the northwestern dioceses. He completed the reconstruction of military bases begun under his father's rule, and he ordered the repair of the region's roadways.[81] He then left for Augusta Treverorum (Trier) in Gaul, the Tetrarchic capital of the northwestern Roman Empire.[82] The Franks learned of Constantine's acclamation and invaded Gaul across the lower Rhine over the winter of 306–307 AD.[83] He drove them back beyond the Rhine and captured Kings Ascaric and Merogais; the kings and their soldiers were fed to the beasts of Trier's amphitheatre in the adventus (arrival) celebrations which followed.[84]
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Constantine began a major expansion of Trier. He strengthened the circuit wall around the city with military towers and fortified gates, and he began building a palace complex in the northeastern part of the city. To the south of his palace, he ordered the construction of a large formal audience hall and a massive imperial bathhouse. He sponsored many building projects throughout Gaul during his tenure as emperor of the West, especially in Augustodunum (Autun) and Arelate (Arles).[86] According to Lactantius, Constantine followed a tolerant policy towards Christianity, although he was not yet a Christian himself. He probably judged it a more sensible policy than open persecution[87] and a way to distinguish himself from the "great persecutor" Galerius.[88] He decreed a formal end to persecution and returned to Christians all that they had lost during them.[89]
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Constantine was largely untried and had a hint of illegitimacy about him; he relied on his father's reputation in his early propaganda, which gave as much coverage to his father's deeds as to his.[90] His military skill and building projects, however, soon gave the panegyrist the opportunity to comment favourably on the similarities between father and son, and Eusebius remarked that Constantine was a "renewal, as it were, in his own person, of his father's life and reign".[91] Constantinian coinage, sculpture, and oratory also show a new tendency for disdain towards the "barbarians" beyond the frontiers. He minted a coin issue after his victory over the Alemanni which depicts weeping and begging Alemannic tribesmen, "the Alemanni conquered" beneath the phrase "Romans' rejoicing".[92] There was little sympathy for these enemies; as his panegyrist declared, "It is a stupid clemency that spares the conquered foe."[93]
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Following Galerius' recognition of Constantine as caesar, Constantine's portrait was brought to Rome, as was customary. Maxentius mocked the portrait's subject as the son of a harlot and lamented his own powerlessness.[94] Maxentius, envious of Constantine's authority,[95] seized the title of emperor on 28 October 306 AD. Galerius refused to recognize him but failed to unseat him. Galerius sent Severus against Maxentius, but during the campaign, Severus' armies, previously under command of Maxentius' father Maximian, defected, and Severus was seized and imprisoned.[96] Maximian, brought out of retirement by his son's rebellion, left for Gaul to confer with Constantine in late 307 AD. He offered to marry his daughter Fausta to Constantine and elevate him to augustan rank. In return, Constantine would reaffirm the old family alliance between Maximian and Constantius and offer support to Maxentius' cause in Italy. Constantine accepted and married Fausta in Trier in late summer 307 AD. Constantine now gave Maxentius his meagre support, offering Maxentius political recognition.[97]
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Constantine remained aloof from the Italian conflict, however. Over the spring and summer of 307 AD, he had left Gaul for Britain to avoid any involvement in the Italian turmoil;[98] now, instead of giving Maxentius military aid, he sent his troops against Germanic tribes along the Rhine. In 308 AD, he raided the territory of the Bructeri, and made a bridge across the Rhine at Colonia Agrippinensium (Cologne). In 310 AD, he marched to the northern Rhine and fought the Franks. When not campaigning, he toured his lands advertising his benevolence and supporting the economy and the arts. His refusal to participate in the war increased his popularity among his people and strengthened his power base in the West.[99] Maximian returned to Rome in the winter of 307–308 AD, but soon fell out with his son. In early 308 AD, after a failed attempt to usurp Maxentius' title, Maximian returned to Constantine's court.[100]
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On 11 November 308 AD, Galerius called a general council at the military city of Carnuntum (Petronell-Carnuntum, Austria) to resolve the instability in the western provinces. In attendance were Diocletian, briefly returned from retirement, Galerius, and Maximian. Maximian was forced to abdicate again and Constantine was again demoted to caesar. Licinius, one of Galerius' old military companions, was appointed augustus in the western regions. The new system did not last long: Constantine refused to accept the demotion, and continued to style himself as augustus on his coinage, even as other members of the Tetrarchy referred to him as a caesar on theirs. Maximinus Daia was frustrated that he had been passed over for promotion while the newcomer Licinius had been raised to the office of augustus and demanded that Galerius promote him. Galerius offered to call both Maximinus and Constantine "sons of the augusti",[101] but neither accepted the new title. By the spring of 310 AD, Galerius was referring to both men as augusti.[102]
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In 310 AD, a dispossessed Maximian rebelled against Constantine while Constantine was away campaigning against the Franks. Maximian had been sent south to Arles with a contingent of Constantine's army, in preparation for any attacks by Maxentius in southern Gaul. He announced that Constantine was dead, and took up the imperial purple. In spite of a large donative pledge to any who would support him as emperor, most of Constantine's army remained loyal to their emperor, and Maximian was soon compelled to leave. Constantine soon heard of the rebellion, abandoned his campaign against the Franks, and marched his army up the Rhine.[104] At Cabillunum (Chalon-sur-Saône), he moved his troops onto waiting boats to row down the slow waters of the Saône to the quicker waters of the Rhone. He disembarked at Lugdunum (Lyon).[105] Maximian fled to Massilia (Marseille), a town better able to withstand a long siege than Arles. It made little difference, however, as loyal citizens opened the rear gates to Constantine. Maximian was captured and reproved for his crimes. Constantine granted some clemency, but strongly encouraged his suicide. In July 310 AD, Maximian hanged himself.[104]
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In spite of the earlier rupture in their relations, Maxentius was eager to present himself as his father's devoted son after his death.[106] He began minting coins with his father's deified image, proclaiming his desire to avenge Maximian's death.[107] Constantine initially presented the suicide as an unfortunate family tragedy. By 311 AD, however, he was spreading another version. According to this, after Constantine had pardoned him, Maximian planned to murder Constantine in his sleep. Fausta learned of the plot and warned Constantine, who put a eunuch in his own place in bed. Maximian was apprehended when he killed the eunuch and was offered suicide, which he accepted.[108] Along with using propaganda, Constantine instituted a damnatio memoriae on Maximian, destroying all inscriptions referring to him and eliminating any public work bearing his image.[109]
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The death of Maximian required a shift in Constantine's public image. He could no longer rely on his connection to the elder Emperor Maximian, and needed a new source of legitimacy.[110] In a speech delivered in Gaul on 25 July 310 AD, the anonymous orator reveals a previously unknown dynastic connection to Claudius II, a 3rd-century emperor famed for defeating the Goths and restoring order to the empire. Breaking away from tetrarchic models, the speech emphasizes Constantine's ancestral prerogative to rule, rather than principles of imperial equality. The new ideology expressed in the speech made Galerius and Maximian irrelevant to Constantine's right to rule.[111] Indeed, the orator emphasizes ancestry to the exclusion of all other factors: "No chance agreement of men, nor some unexpected consequence of favor, made you emperor," the orator declares to Constantine.[112]
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The oration also moves away from the religious ideology of the Tetrarchy, with its focus on twin dynasties of Jupiter and Hercules. Instead, the orator proclaims that Constantine experienced a divine vision of Apollo and Victory granting him laurel wreaths of health and a long reign. In the likeness of Apollo, Constantine recognized himself as the saving figure to whom would be granted "rule of the whole world",[113] as the poet Virgil had once foretold.[114] The oration's religious shift is paralleled by a similar shift in Constantine's coinage. In his early reign, the coinage of Constantine advertised Mars as his patron. From 310 AD on, Mars was replaced by Sol Invictus, a god conventionally identified with Apollo.[115] There is little reason to believe that either the dynastic connection or the divine vision are anything other than fiction, but their proclamation strengthened Constantine's claims to legitimacy and increased his popularity among the citizens of Gaul.[116]
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By the middle of 310 AD, Galerius had become too ill to involve himself in imperial politics.[117] His final act survives: a letter to provincials posted in Nicomedia on 30 April 311 AD, proclaiming an end to the persecutions, and the resumption of religious toleration.[118] He died soon after the edict's proclamation,[119] destroying what little remained of the tetrarchy.[120] Maximinus mobilized against Licinius, and seized Asia Minor. A hasty peace was signed on a boat in the middle of the Bosphorus.[121] While Constantine toured Britain and Gaul, Maxentius prepared for war.[122] He fortified northern Italy, and strengthened his support in the Christian community by allowing it to elect a new Bishop of Rome, Eusebius.[123]
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Maxentius' rule was nevertheless insecure. His early support dissolved in the wake of heightened tax rates and depressed trade; riots broke out in Rome and Carthage;[124] and Domitius Alexander was able to briefly usurp his authority in Africa.[125] By 312 AD, he was a man barely tolerated, not one actively supported,[126] even among Christian Italians.[127] In the summer of 311 AD, Maxentius mobilized against Constantine while Licinius was occupied with affairs in the East. He declared war on Constantine, vowing to avenge his father's "murder".[128] To prevent Maxentius from forming an alliance against him with Licinius,[129] Constantine forged his own alliance with Licinius over the winter of 311–312 AD, and offered him his sister Constantia in marriage. Maximinus considered Constantine's arrangement with Licinius an affront to his authority. In response, he sent ambassadors to Rome, offering political recognition to Maxentius in exchange for a military support. Maxentius accepted.[130] According to Eusebius, inter-regional travel became impossible, and there was military buildup everywhere. There was "not a place where people were not expecting the onset of hostilities every day".[131]
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Constantine's advisers and generals cautioned against preemptive attack on Maxentius;[132] even his soothsayers recommended against it, stating that the sacrifices had produced unfavourable omens.[133] Constantine, with a spirit that left a deep impression on his followers, inspiring some to believe that he had some form of supernatural guidance,[134] ignored all these cautions.[135] Early in the spring of 312 AD,[136] Constantine crossed the Cottian Alps with a quarter of his army, a force numbering about 40,000.[137] The first town his army encountered was Segusium (Susa, Italy), a heavily fortified town that shut its gates to him. Constantine ordered his men to set fire to its gates and scale its walls. He took the town quickly. Constantine ordered his troops not to loot the town, and advanced with them into northern Italy.[136]
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At the approach to the west of the important city of Augusta Taurinorum (Turin, Italy), Constantine met a large force of heavily armed Maxentian cavalry.[138] In the ensuing battle Constantine's army encircled Maxentius' cavalry, flanked them with his own cavalry, and dismounted them with blows from his soldiers' iron-tipped clubs. Constantine's armies emerged victorious.[139] Turin refused to give refuge to Maxentius' retreating forces, opening its gates to Constantine instead.[140] Other cities of the north Italian plain sent Constantine embassies of congratulation for his victory. He moved on to Milan, where he was met with open gates and jubilant rejoicing. Constantine rested his army in Milan until mid-summer 312 AD, when he moved on to Brixia (Brescia).[141]
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Brescia's army was easily dispersed,[142] and Constantine quickly advanced to Verona, where a large Maxentian force was camped.[143] Ruricius Pompeianus, general of the Veronese forces and Maxentius' praetorian prefect,[144] was in a strong defensive position, since the town was surrounded on three sides by the Adige. Constantine sent a small force north of the town in an attempt to cross the river unnoticed. Ruricius sent a large detachment to counter Constantine's expeditionary force, but was defeated. Constantine's forces successfully surrounded the town and laid siege.[145] Ruricius gave Constantine the slip and returned with a larger force to oppose Constantine. Constantine refused to let up on the siege, and sent only a small force to oppose him. In the desperately fought encounter that followed, Ruricius was killed and his army destroyed.[146] Verona surrendered soon afterwards, followed by Aquileia,[147] Mutina (Modena),[148] and Ravenna.[149] The road to Rome was now wide open to Constantine.[150]
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Maxentius prepared for the same type of war he had waged against Severus and Galerius: he sat in Rome and prepared for a siege.[151] He still controlled Rome's praetorian guards, was well-stocked with African grain, and was surrounded on all sides by the seemingly impregnable Aurelian Walls. He ordered all bridges across the Tiber cut, reportedly on the counsel of the gods,[152] and left the rest of central Italy undefended; Constantine secured that region's support without challenge.[153] Constantine progressed slowly[154] along the Via Flaminia,[155] allowing the weakness of Maxentius to draw his regime further into turmoil.[154] Maxentius' support continued to weaken: at chariot races on 27 October, the crowd openly taunted Maxentius, shouting that Constantine was invincible.[156] Maxentius, no longer certain that he would emerge from a siege victorious, built a temporary boat bridge across the Tiber in preparation for a field battle against Constantine.[157] On 28 October 312 AD, the sixth anniversary of his reign, he approached the keepers of the Sibylline Books for guidance. The keepers prophesied that, on that very day, "the enemy of the Romans" would die. Maxentius advanced north to meet Constantine in battle.[158]
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Maxentius' forces were still twice the size of Constantine's, and he organized them in long lines facing the battle plain with their backs to the river.[159] Constantine's army arrived on the field bearing unfamiliar symbols on their standards and their shields.[160] According to Lactantius "Constantine was directed in a dream to cause the heavenly sign to be delineated on the shields of his soldiers, and so to proceed to battle. He did as he had been commanded, and he marked on their shields the letter Χ, with a perpendicular line drawn through it and turned round thus at the top, being the cipher of Christ. Having this sign (☧), his troops stood to arms."[161] Eusebius describes a vision that Constantine had while marching at midday in which "he saw with his own eyes the trophy of a cross of light in the heavens, above the sun, and bearing the inscription, In Hoc Signo Vinces" ("In this sign thou shalt conquer").[162] In Eusebius's account, Constantine had a dream the following night in which Christ appeared with the same heavenly sign and told him to make an army standard in the form of the labarum.[163] Eusebius is vague about when and where these events took place,[164] but it enters his narrative before the war begins against Maxentius.[165] He describes the sign as Chi (Χ) traversed by Rho (Ρ) to form ☧, representing the first two letters of the Greek word ΧΡΙΣΤΟΣ (Christos).[166][167] A medallion was issued at Ticinum in 315 AD which shows Constantine wearing a helmet emblazoned with the Chi Rho,[168] and coins issued at Siscia in 317/318 AD repeat the image.[169] The figure was otherwise rare and is uncommon in imperial iconography and propaganda before the 320s.[170] It wasn't completely unknown, however, being an abbreviation of the Greek word chrēston (good), having previously appeared on the coins of Ptolemy III, Euergetes I (247-222 BCE).
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Constantine deployed his own forces along the whole length of Maxentius' line. He ordered his cavalry to charge, and they broke Maxentius' cavalry. He then sent his infantry against Maxentius' infantry, pushing many into the Tiber where they were slaughtered and drowned.[159] The battle was brief,[171] and Maxentius' troops were broken before the first charge.[172] His horse guards and praetorians initially held their position, but they broke under the force of a Constantinian cavalry charge; they also broke ranks and fled to the river. Maxentius rode with them and attempted to cross the bridge of boats (Ponte Milvio), but he was pushed into the Tiber and drowned by the mass of his fleeing soldiers.[173]
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Constantine entered Rome on 29 October 312 AD,[175][176] and staged a grand adventus in the city which was met with jubilation.[177] Maxentius' body was fished out of the Tiber and decapitated, and his head was paraded through the streets for all to see.[178] After the ceremonies, the disembodied head was sent to Carthage, and Carthage offered no further resistance.[179] Unlike his predecessors, Constantine neglected to make the trip to the Capitoline Hill and perform customary sacrifices at the Temple of Jupiter.[180] However, he did visit the Senatorial Curia Julia,[181] and he promised to restore its ancestral privileges and give it a secure role in his reformed government; there would be no revenge against Maxentius' supporters.[182] In response, the Senate decreed him "title of the first name", which meant that his name would be listed first in all official documents,[183] and they acclaimed him as "the greatest Augustus".[184] He issued decrees returning property that was lost under Maxentius, recalling political exiles, and releasing Maxentius' imprisoned opponents.[185]
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An extensive propaganda campaign followed, during which Maxentius' image was purged from all public places. He was written up as a "tyrant" and set against an idealized image of Constantine the "liberator". Eusebius is the best representative of this strand of Constantinian propaganda.[186] Maxentius' rescripts were declared invalid, and the honours that he had granted to leaders of the Senate were also invalidated.[187] Constantine also attempted to remove Maxentius' influence on Rome's urban landscape. All structures built by him were rededicated to Constantine, including the Temple of Romulus and the Basilica of Maxentius.[188] At the focal point of the basilica, a stone statue was erected of Constantine holding the Christian labarum in its hand. Its inscription bore the message which the statue illustrated: By this sign, Constantine had freed Rome from the yoke of the tyrant.[189]
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Constantine also sought to upstage Maxentius' achievements. For example, the Circus Maximus was redeveloped so that its seating capacity was 25 times larger than that of Maxentius' racing complex on the Via Appia.[190] Maxentius' strongest military supporters were neutralized when he disbanded the Praetorian Guard and Imperial Horse Guard.[191] The tombstones of the Imperial Horse Guard were ground up and used in a basilica on the Via Labicana,[192] and their former base was redeveloped into the Lateran Basilica on 9 November 312 AD—barely two weeks after Constantine captured the city.[193] The Legio II Parthica was removed from Albano Laziale,[187] and the remainder of Maxentius' armies were sent to do frontier duty on the Rhine.[194]
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In the following years, Constantine gradually consolidated his military superiority over his rivals in the crumbling Tetrarchy. In 313, he met Licinius in Milan to secure their alliance by the marriage of Licinius and Constantine's half-sister Constantia. During this meeting, the emperors agreed on the so-called Edict of Milan,[195]
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officially granting full tolerance to Christianity and all religions in the Empire.[196]
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The document had special benefits for Christians, legalizing their religion and granting them restoration for all property seized during Diocletian's persecution. It repudiates past methods of religious coercion and used only general terms to refer to the divine sphere—"Divinity" and "Supreme Divinity", summa divinitas.[197]
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The conference was cut short, however, when news reached Licinius that his rival Maximinus had crossed the Bosporus and invaded European territory. Licinius departed and eventually defeated Maximinus, gaining control over the entire eastern half of the Roman Empire. Relations between the two remaining emperors deteriorated, as Constantine suffered an assassination attempt at the hands of a character that Licinius wanted elevated to the rank of Caesar;[198] Licinius, for his part, had Constantine's statues in Emona destroyed.[199] In either 314 or 316 AD, the two Augusti fought against one another at the Battle of Cibalae, with Constantine being victorious. They clashed again at the Battle of Mardia in 317, and agreed to a settlement in which Constantine's sons Crispus and Constantine II, and Licinius' son Licinianus were made caesars.[200] After this arrangement, Constantine ruled the dioceses of Pannonia and Macedonia and took residence at Sirmium, whence he could wage war on the Goths and Sarmatians in 322, and on the Goths in 323, defeating and killing their leader Rausimod.[198]
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In the year 320, Licinius allegedly reneged on the religious freedom promised by the Edict of Milan in 313 and began to oppress Christians anew,[201]
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generally without bloodshed, but resorting to confiscations and sacking of Christian office-holders.[202] Although this characterization of Licinius as anti-Christian is somewhat doubtful, the fact is that he seems to have been far less open in his support of Christianity than Constantine. Therefore, Licinius was prone to see the Church as a force more loyal to Constantine than to the Imperial system in general,[203] as the explanation offered by the Church historian Sozomen.[204]
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This dubious arrangement eventually became a challenge to Constantine in the West, climaxing in the great civil war of 324. Licinius, aided by Gothic mercenaries, represented the past and the ancient pagan faiths. Constantine and his Franks marched under the standard of the labarum, and both sides saw the battle in religious terms. Outnumbered, but fired by their zeal, Constantine's army emerged victorious in the Battle of Adrianople. Licinius fled across the Bosphorus and appointed Martinian, his magister officiorum, as nominal Augustus in the West, but Constantine next won the Battle of the Hellespont, and finally the Battle of Chrysopolis on 18 September 324.[205] Licinius and Martinian surrendered to Constantine at Nicomedia on the promise their lives would be spared: they were sent to live as private citizens in Thessalonica and Cappadocia respectively, but in 325 Constantine accused Licinius of plotting against him and had them both arrested and hanged; Licinius' son (the son of Constantine's half-sister) was killed in 326.[206] Thus Constantine became the sole emperor of the Roman Empire.[207]
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Licinius' defeat came to represent the defeat of a rival centre of pagan and Greek-speaking political activity in the East, as opposed to the Christian and Latin-speaking Rome, and it was proposed that a new Eastern capital should represent the integration of the East into the Roman Empire as a whole, as a center of learning, prosperity, and cultural preservation for the whole of the Eastern Roman Empire.[208] Among the various locations proposed for this alternative capital, Constantine appears to have toyed earlier with Serdica (present-day Sofia), as he was reported saying that "Serdica is my Rome".[209] Sirmium and Thessalonica were also considered.[210] Eventually, however, Constantine decided to work on the Greek city of Byzantium, which offered the advantage of having already been extensively rebuilt on Roman patterns of urbanism, during the preceding century, by Septimius Severus and Caracalla, who had already acknowledged its strategic importance.[211] The city was thus founded in 324,[212] dedicated on 11 May 330[212] and renamed Constantinopolis ("Constantine's City" or Constantinople in English). Special commemorative coins were issued in 330 to honor the event. The new city was protected by the relics of the True Cross, the Rod of Moses and other holy relics, though a cameo now at the Hermitage Museum also represented Constantine crowned by the tyche of the new city.[213] The figures of old gods were either replaced or assimilated into a framework of Christian symbolism. Constantine built the new Church of the Holy Apostles on the site of a temple to Aphrodite. Generations later there was the story that a divine vision led Constantine to this spot, and an angel no one else could see led him on a circuit of the new walls.[214] The capital would often be compared to the 'old' Rome as Nova Roma Constantinopolitana, the "New Rome of Constantinople".[207][215]
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Constantine was the first emperor to stop the persecution of Christians and to legalize Christianity, along with all other religions/cults in the Roman Empire. In February 313, he met with Licinius in Milan and developed the Edict of Milan, which stated that Christians should be allowed to follow their faith without oppression.[216][page needed] This removed penalties for professing Christianity, under which many had been martyred previously, and it returned confiscated Church property. The edict protected all religions from persecution, not only Christianity, allowing anyone to worship any deity that they chose. A similar edict had been issued in 311 by Galerius, senior emperor of the Tetrarchy, which granted Christians the right to practise their religion but did not restore any property to them.[217] The Edict of Milan included several clauses which stated that all confiscated churches would be returned, as well as other provisions for previously persecuted Christians. Scholars debate whether Constantine adopted his mother Helena's Christianity in his youth, or whether he adopted it gradually over the course of his life.[218]
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Constantine possibly retained the title of pontifex maximus which emperors bore as heads of the ancient Roman religion until Gratian renounced the title.[219][220] According to Christian writers, Constantine was over 40 when he finally declared himself a Christian, making it clear that he owed his successes to the protection of the Christian High God alone.[221] Despite these declarations of being a Christian, he waited to be baptized on his deathbed, believing that the baptism would release him of any sins he committed in the course of carrying out his policies while emperor.[222] He supported the Church financially, built basilicas, granted privileges to clergy (such as exemption from certain taxes), promoted Christians to high office, and returned property confiscated during the long period of persecution.[223] His most famous building projects include the Church of the Holy Sepulchre and Old Saint Peter's Basilica. In constructing the Old Saint Peter's Basilica, Constantine went to great lengths to erect the basilica on top of St. Peter's resting place, so much so that it even affected the design of the basilica, including the challenge of erecting it on the hill where St. Peter rested, making its complete construction time over 30 years from the date Constantine ordered it to be built.
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Constantine might not have patronized Christianity alone. He built a triumphal arch in 315 to celebrate his victory in the Battle of the Milvian Bridge (312) which was decorated with images of the goddess Victoria, and sacrifices were made to pagan gods at its dedication, including Apollo, Diana, and Hercules. Absent from the Arch are any depictions of Christian symbolism. However, the Arch was commissioned by the Senate, so the absence of Christian symbols may reflect the role of the Curia at the time as a pagan redoubt.[224]
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In 321, he legislated that the venerable Sunday should be a day of rest for all citizens.[225] In 323, he issued a decree banning Christians from participating in state sacrifices.[226] After the pagan gods had disappeared from his coinage, Christian symbols appeared as Constantine's attributes, the chi rho between his hands or on his labarum,[227] as well on the coin itself.[228]
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The reign of Constantine established a precedent for the emperor to have great influence and authority in the early Christian councils, most notably the dispute over Arianism. Constantine disliked the risks to societal stability that religious disputes and controversies brought with them, preferring to establish an orthodoxy.[229] His influence over the Church councils was to enforce doctrine, root out heresy, and uphold ecclesiastical unity; the Church's role was to determine proper worship, doctrines, and dogma.[230]
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North African bishops struggled with Christian bishops who had been ordained by Donatus in opposition to Caecilian from 313 to 316. The African bishops could not come to terms, and the Donatists asked Constantine to act as a judge in the dispute. Three regional Church councils and another trial before Constantine all ruled against Donatus and the Donatism movement in North Africa. In 317, Constantine issued an edict to confiscate Donatist church property and to send Donatist clergy into exile.[231] More significantly, in 325 he summoned the First Council of Nicaea, most known for its dealing with Arianism and for instituting the Nicene Creed. He enforced the council's prohibition against celebrating the Lord's Supper on the day before the Jewish Passover, which marked a definite break of Christianity from the Judaic tradition. From then on, the solar Julian Calendar was given precedence over the lunisolar Hebrew Calendar among the Christian churches of the Roman Empire.[232]
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Constantine made some new laws regarding the Jews; some of them were unfavorable towards Jews, although they were not harsher than those of his predecessors.[233] It was made illegal for Jews to seek converts or to attack other Jews who had converted to Christianity.[233] They were forbidden to own Christian slaves or to circumcise their slaves.[234][235] On the other hand, Jewish clergy were given the same exemptions as Christian clergy.[233][236]
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Beginning in the mid-3rd century, the emperors began to favor members of the equestrian order over senators, who had a monopoly on the most important offices of state. Senators were stripped of the command of legions and most provincial governorships, as it was felt that they lacked the specialized military upbringing needed in an age of acute defense needs;[237] such posts were given to equestrians by Diocletian and his colleagues, following a practice enforced piecemeal by their predecessors. The emperors, however, still needed the talents and the help of the very rich, who were relied on to maintain social order and cohesion by means of a web of powerful influence and contacts at all levels. Exclusion of the old senatorial aristocracy threatened this arrangement.
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In 326, Constantine reversed this pro-equestrian trend, raising many administrative positions to senatorial rank and thus opening these offices to the old aristocracy; at the same time, he elevated the rank of existing equestrian office-holders to senator, degrading the equestrian order in the process (at least as a bureaucratic rank).[238] The title of perfectissimus was granted only to mid- or low-level officials by the end of the 4th century.
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By the new Constantinian arrangement, one could become a senator by being elected praetor or by fulfilling a function of senatorial rank.[239] From then on, holding actual power and social status were melded together into a joint imperial hierarchy. Constantine gained the support of the old nobility with this,[240] as the Senate was allowed itself to elect praetors and quaestors, in place of the usual practice of the emperors directly creating new magistrates (adlectio). An inscription in honor of city prefect (336–337) Ceionius Rufus Albinus states that Constantine had restored the Senate "the auctoritas it had lost at Caesar's time".[241]
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The Senate as a body remained devoid of any significant power; nevertheless, the senators had been marginalized as potential holders of imperial functions during the 3rd century but could now dispute such positions alongside more upstart bureaucrats.[242] Some modern historians see in those administrative reforms an attempt by Constantine at reintegrating the senatorial order into the imperial administrative elite to counter the possibility of alienating pagan senators from a Christianized imperial rule;[243] however, such an interpretation remains conjectural, given the fact that we do not have the precise numbers about pre-Constantine conversions to Christianity in the old senatorial milieu. Some historians suggest that early conversions among the old aristocracy were more numerous than previously supposed.[244]
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Constantine's reforms had to do only with the civilian administration. The military chiefs had risen from the ranks since the Crisis of the Third Century[245] but remained outside the senate, in which they were included only by Constantine's children.[246]
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The third century saw runaway inflation associated with the production of fiat money to pay for public expenses, and Diocletian tried unsuccessfully to re-establish trustworthy minting of silver and billon coins. The failure resided in the fact that the silver currency was overvalued in terms of its actual metal content, and therefore could only circulate at much discounted rates. Constantine stopped minting the Diocletianic "pure" silver argenteus soon after 305, while the billon currency continued to be used until the 360s. From the early 300s on, Constantine forsook any attempts at restoring the silver currency, preferring instead to concentrate on minting large quantities of the gold solidus, 72 of which made a pound of gold. New and highly debased silver pieces continued to be issued during his later reign and after his death, in a continuous process of retariffing, until this bullion minting ceased in 367, and the silver piece was continued by various denominations of bronze coins, the most important being the centenionalis.[247] These bronze pieces continued to be devalued, assuring the possibility of keeping fiduciary minting alongside a gold standard. The author of De Rebus Bellicis held that the rift widened between classes because of this monetary policy; the rich benefited from the stability in purchasing power of the gold piece, while the poor had to cope with ever-degrading bronze pieces.[248] Later emperors such as Julian the Apostate insisted on trustworthy mintings of the bronze currency.[249]
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Constantine's monetary policies were closely associated with his religious policies; increased minting was associated with the confiscation of all gold, silver, and bronze statues from pagan temples between 331 and 336 which were declared to be imperial property. Two imperial commissioners for each province had the task of getting the statues and melting them for immediate minting, with the exception of a number of bronze statues that were used as public monuments in Constantinople.[250]
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Constantine had his eldest son Crispus seized and put to death by "cold poison" at Pola (Pula, Croatia) sometime between 15 May and 17 June 326.[251] In July, he had his wife Empress Fausta (stepmother of Crispus) killed in an overheated bath.[252] Their names were wiped from the face of many inscriptions, references to their lives were eradicated from the literary record, and the memory of both was condemned. Eusebius, for example, edited out any praise of Crispus from later copies of Historia Ecclesiastica, and his Vita Constantini contains no mention of Fausta or Crispus at all.[253] Few ancient sources are willing to discuss possible motives for the events, and the few that do are of later provenance and are generally unreliable.[254] At the time of the executions, it was commonly believed that Empress Fausta was either in an illicit relationship with Crispus or was spreading rumors to that effect. A popular myth arose, modified to allude to the Hippolytus–Phaedra legend, with the suggestion that Constantine killed Crispus and Fausta for their immoralities;[255] the largely fictional Passion of Artemius explicitly makes this connection.[256] The myth rests on slim evidence as an interpretation of the executions; only late and unreliable sources allude to the relationship between Crispus and Fausta, and there is no evidence for the modern suggestion that Constantine's "godly" edicts of 326 and the irregularities of Crispus are somehow connected.[255]
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Although Constantine created his apparent heirs "Caesars", following a pattern established by Diocletian, he gave his creations a hereditary character, alien to the tetrarchic system: Constantine's Caesars were to be kept in the hope of ascending to Empire, and entirely subordinated to their Augustus, as long as he was alive.[257] Therefore, an alternative explanation for the execution of Crispus was, perhaps, Constantine's desire to keep a firm grip on his prospective heirs, this—and Fausta's desire for having her sons inheriting instead of their half-brother—being reason enough for killing Crispus; the subsequent execution of Fausta, however, was probably meant as a reminder to her children that Constantine would not hesitate in "killing his own relatives when he felt this was necessary".[258]
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Constantine considered Constantinople his capital and permanent residence. He lived there for a good portion of his later life. In 328 construction was completed on Constantine's Bridge at Sucidava, (today Celei in Romania)[259] in hopes of reconquering Dacia, a province that had been abandoned under Aurelian. In the late winter of 332, Constantine campaigned with the Sarmatians against the Goths. The weather and lack of food cost the Goths dearly: reportedly, nearly one hundred thousand died before they submitted to Rome. In 334, after Sarmatian commoners had overthrown their leaders, Constantine led a campaign against the tribe. He won a victory in the war and extended his control over the region, as remains of camps and fortifications in the region indicate.[260] Constantine resettled some Sarmatian exiles as farmers in Illyrian and Roman districts, and conscripted the rest into the army. The new frontier in Dacia was along the Brazda lui Novac line supported by new castra.[261] Constantine took the title Dacicus maximus in 336.[262]
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In the last years of his life, Constantine made plans for a campaign against Persia. In a letter written to the king of Persia, Shapur, Constantine had asserted his patronage over Persia's Christian subjects and urged Shapur to treat them well.[263] The letter is undatable. In response to border raids, Constantine sent Constantius to guard the eastern frontier in 335. In 336, Prince Narseh invaded Armenia (a Christian kingdom since 301) and installed a Persian client on the throne. Constantine then resolved to campaign against Persia himself. He treated the war as a Christian crusade, calling for bishops to accompany the army and commissioning a tent in the shape of a church to follow him everywhere. Constantine planned to be baptized in the Jordan River before crossing into Persia. Persian diplomats came to Constantinople over the winter of 336–337, seeking peace, but Constantine turned them away. The campaign was called off, however, when Constantine became sick in the spring of 337.[264]
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Constantine knew death would soon come. Within the Church of the Holy Apostles, Constantine had secretly prepared a final resting-place for himself.[265] It came sooner than he had expected. Soon after the Feast of Easter 337, Constantine fell seriously ill.[266] He left Constantinople for the hot baths near his mother's city of Helenopolis (Altinova), on the southern shores of the Gulf of Nicomedia (present-day Gulf of İzmit). There, in a church his mother built in honor of Lucian the Apostle, he prayed, and there he realized that he was dying. Seeking purification, he became a catechumen, and attempted a return to Constantinople, making it only as far as a suburb of Nicomedia.[267] He summoned the bishops, and told them of his hope to be baptized in the River Jordan, where Christ was written to have been baptized. He requested the baptism right away, promising to live a more Christian life should he live through his illness. The bishops, Eusebius records, "performed the sacred ceremonies according to custom".[268] He chose the Arianizing bishop Eusebius of Nicomedia, bishop of the city where he lay dying, as his baptizer.[269] In postponing his baptism, he followed one custom at the time which postponed baptism until after infancy.[270] It has been thought that Constantine put off baptism as long as he did so as to be absolved from as much of his sin as possible.[271] Constantine died soon after at a suburban villa called Achyron, on the last day of the fifty-day festival of Pentecost directly following Pascha (or Easter), on 22 May 337.[272]
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Although Constantine's death follows the conclusion of the Persian campaign in Eusebius's account, most other sources report his death as occurring in its middle. Emperor Julian the Apostate (a nephew of Constantine), writing in the mid-350s, observes that the Sassanians escaped punishment for their ill-deeds, because Constantine died "in the middle of his preparations for war".[273] Similar accounts are given in the Origo Constantini, an anonymous document composed while Constantine was still living, and which has Constantine dying in Nicomedia;[274] the Historiae abbreviatae of Sextus Aurelius Victor, written in 361, which has Constantine dying at an estate near Nicomedia called Achyrona while marching against the Persians;[275] and the Breviarium of Eutropius, a handbook compiled in 369 for the Emperor Valens, which has Constantine dying in a nameless state villa in Nicomedia.[276] From these and other accounts, some have concluded that Eusebius's Vita was edited to defend Constantine's reputation against what Eusebius saw as a less congenial version of the campaign.[277]
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Following his death, his body was transferred to Constantinople and buried in the Church of the Holy Apostles,[278] in a porphyry sarcophagus that was described in the 10th century by Constantine VII Porphyrogenitus in the De Ceremoniis.[279] His body survived the plundering of the city during the Fourth Crusade in 1204, but was destroyed at some point afterwards.[280] Constantine was succeeded by his three sons born of Fausta, Constantine II, Constantius II and Constans. A number of relatives were killed by followers of Constantius, notably Constantine's nephews Dalmatius (who held the rank of Caesar) and Hannibalianus, presumably to eliminate possible contenders to an already complicated succession. He also had two daughters, Constantina and Helena, wife of Emperor Julian.[281]
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Constantine gained his honorific of "the Great" from Christian historians long after he had died, but he could have claimed the title on his military achievements and victories alone. He reunited the Empire under one emperor, and he won major victories over the Franks and Alamanni in 306–308, the Franks again in 313–314, the Goths in 332, and the Sarmatians in 334. By 336, he had reoccupied most of the long-lost province of Dacia which Aurelian had been forced to abandon in 271. At the time of his death, he was planning a great expedition to end raids on the eastern provinces from the Persian Empire.[283] He served for almost 31 years (combining his years as co-ruler and sole ruler), the second longest-serving emperor behind Augustus.
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In the cultural sphere, Constantine revived the clean-shaven face fashion of the Roman emperors from Augustus to Trajan, which was originally introduced among the Romans by Scipio Africanus. This new Roman imperial fashion lasted until the reign of Phocas.[284][285]
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The Holy Roman Empire reckoned Constantine among the venerable figures of its tradition. In the later Byzantine state, it became a great honor for an emperor to be hailed as a "new Constantine"; ten emperors carried the name, including the last emperor of the Eastern Roman Empire.[286] Charlemagne used monumental Constantinian forms in his court to suggest that he was Constantine's successor and equal. Constantine acquired a mythic role as a warrior against heathens. The motif of the Romanesque equestrian, the mounted figure in the posture of a triumphant Roman emperor, became a visual metaphor in statuary in praise of local benefactors. The name "Constantine" itself enjoyed renewed popularity in western France in the eleventh and twelfth centuries.[287] The Orthodox Church considers Constantine a saint (Άγιος Κωνσταντίνος, Saint Constantine), having a feast day on 21 May,[288] and calls him isapostolos (ισαπόστολος Κωνσταντίνος)—an equal of the Apostles.[289] Although not as celebrated as in Eastern Christianity, he is regarded as a saint by the Roman Catholic Church, with the same feast day.[290]
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The Niš Constantine the Great Airport is named in honor of him. A large Cross was planned to be built on a hill overlooking Niš, but the project was cancelled.[291] In 2012, a memorial was erected in Niš in his honor. The Commemoration of the Edict of Milan was held in Niš in 2013.[292]
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Constantine was presented as a paragon of virtue during his lifetime. Pagans showered him with praise, such as Praxagoras of Athens, and Libanius. His nephew and son-in-law Julian the Apostate, however, wrote the satire Symposium, or the Saturnalia in 361, after the last of his sons died; it denigrated Constantine, calling him inferior to the great pagan emperors, and given over to luxury and greed.[293] Following Julian, Eunapius began—and Zosimus continued—a historiographic tradition that blamed Constantine for weakening the Empire through his indulgence to the Christians.[294]
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Constantine was presented as an ideal ruler during the Middle Ages, the standard against which any king or emperor could be measured.[294] The Renaissance rediscovery of anti-Constantinian sources prompted a re-evaluation of his career. German humanist Johannes Leunclavius discovered Zosimus' writings and published a Latin translation in 1576. In its preface, he argued that Zosimus' picture of Constantine offered a more balanced view than that of Eusebius and the Church historians.[295] Cardinal Caesar Baronius criticized Zosimus, favoring Eusebius' account of the Constantinian era. Baronius' Life of Constantine (1588) presents Constantine as the model of a Christian prince.[296] Edward Gibbon aimed to unite the two extremes of Constantinian scholarship in his work The History of the Decline and Fall of the Roman Empire (1776–89) by contrasting the portraits presented by Eusebius and Zosimus.[297] He presents a noble war hero who transforms into an Oriental despot in his old age, "degenerating into a cruel and dissolute monarch".[298]
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Modern interpretations of Constantine's rule begin with Jacob Burckhardt's The Age of Constantine the Great (1853, rev. 1880). Burckhardt's Constantine is a scheming secularist, a politician who manipulates all parties in a quest to secure his own power.[299] Henri Grégoire followed Burckhardt's evaluation of Constantine in the 1930s, suggesting that Constantine developed an interest in Christianity only after witnessing its political usefulness. Grégoire was skeptical of the authenticity of Eusebius' Vita, and postulated a pseudo-Eusebius to assume responsibility for the vision and conversion narratives of that work.[300] Otto Seeck's Geschichte des Untergangs der antiken Welt (1920–23) and André Piganiol's L'empereur Constantin (1932) go against this historiographic tradition. Seeck presents Constantine as a sincere war hero whose ambiguities were the product of his own naïve inconsistency.[301] Piganiol's Constantine is a philosophical monotheist, a child of his era's religious syncretism.[302] Related histories by Arnold Hugh Martin Jones (Constantine and the Conversion of Europe, 1949) and Ramsay MacMullen (Constantine, 1969) give portraits of a less visionary and more impulsive Constantine.[303]
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These later accounts were more willing to present Constantine as a genuine convert to Christianity. Norman H. Baynes began a historiographic tradition with Constantine the Great and the Christian Church (1929) which presents Constantine as a committed Christian, reinforced by Andreas Alföldi's The Conversion of Constantine and Pagan Rome (1948), and Timothy Barnes's Constantine and Eusebius (1981) is the culmination of this trend. Barnes' Constantine experienced a radical conversion which drove him on a personal crusade to convert his empire.[304] Charles Matson Odahl's Constantine and the Christian Empire (2004) takes much the same tack.[305] In spite of Barnes' work, arguments continue over the strength and depth of Constantine's religious conversion.[306] Certain themes in this school reached new extremes in T.G. Elliott's The Christianity of Constantine the Great (1996), which presented Constantine as a committed Christian from early childhood.[307] Paul Veyne's 2007 work Quand notre monde est devenu chrétien holds a similar view which does not speculate on the origin of Constantine's Christian motivation, but presents him as a religious revolutionary who fervently believed that he was meant "to play a providential role in the millenary economy of the salvation of humanity".[308]
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Latin Rite Catholics considered it inappropriate that Constantine was baptized only on his death bed by an unorthodox bishop, as it undermined the authority of the Papacy, and a legend emerged by the early fourth century that Pope Sylvester I (314–335) had cured the pagan emperor from leprosy. According to this legend, Constantine was soon baptized and began the construction of a church in the Lateran Palace.[309] The Donation of Constantine appeared in the eighth century, most likely during the pontificate of Pope Stephen II (752–757), in which the freshly converted Constantine gives "the city of Rome and all the provinces, districts, and cities of Italy and the Western regions" to Sylvester and his successors.[310] In the High Middle Ages, this document was used and accepted as the basis for the Pope's temporal power, though it was denounced as a forgery by Emperor Otto III[311] and lamented as the root of papal worldliness by Dante Alighieri.[312] Philologist and Catholic priest Lorenzo Valla proved that the document was indeed a forgery.[313]
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During the medieval period, Britons regarded Constantine as a king of their own people, particularly associating him with Caernarfon in Gwynedd. While some of this is owed to his fame and his proclamation as Emperor in Britain, there was also confusion of his family with Magnus Maximus's supposed wife Saint Elen and her son, another Constantine (Welsh: Custennin). In the 12th century Henry of Huntingdon included a passage in his Historia Anglorum that the Emperor Constantine's mother was a Briton, making her the daughter of King Cole of Colchester.[314] Geoffrey of Monmouth expanded this story in his highly fictionalized Historia Regum Britanniae, an account of the supposed Kings of Britain from their Trojan origins to the Anglo-Saxon invasion.[315] According to Geoffrey, Cole was King of the Britons when Constantius, here a senator, came to Britain. Afraid of the Romans, Cole submitted to Roman law so long as he retained his kingship. However, he died only a month later, and Constantius took the throne himself, marrying Cole's daughter Helena. They had their son Constantine, who succeeded his father as King of Britain before becoming Roman Emperor.
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Historically, this series of events is extremely improbable. Constantius had already left Helena by the time he left for Britain.[42] Additionally, no earlier source mentions that Helena was born in Britain, let alone that she was a princess. Henry's source for the story is unknown, though it may have been a lost hagiography of Helena.[315]
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Constantine the Great (Latin: Flavius Valerius Constantinus; Ancient Greek: Κωνσταντῖνος, romanized: Kōnstantînos; 27 February c. 272 – 22 May 337), also known as Constantine I, was a Roman emperor from AD 306 to 337. Born in Dacia Ripensis (now Serbia), he was the son of Flavius Constantius, an Illyrian army officer who became one of the four emperors of the Tetrarchy. His mother, Helena, was Greek and of low birth. Constantine served with distinction under emperors Diocletian and Galerius campaigning in the eastern provinces against barbarians and the Persians, before being recalled west in 305 to fight under his father in Britain. After his father's death in 306, Constantine was acclaimed as emperor by the army at Eboracum (York). He emerged victorious in the civil wars against emperors Maxentius and Licinius to become sole ruler of the Roman Empire by 324.
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As emperor, Constantine enacted administrative, financial, social and military reforms to strengthen the empire. He restructured the government, separating civil and military authorities. To combat inflation he introduced the solidus, a new gold coin that became the standard for Byzantine and European currencies for more than a thousand years. The Roman army was reorganised to consist of mobile units (comitatenses), and garrison troops (limitanei) capable of countering internal threats and barbarian invasions. Constantine pursued successful campaigns against the tribes on the Roman frontiers—the Franks, the Alamanni, the Goths and the Sarmatians—even resettling territories abandoned by his predecessors during the Crisis of the Third Century.
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Constantine was the first Roman emperor to convert to Christianity.[notes 1] Although he lived much of his life as a pagan, and later as a catechumen, he joined the Christian religion on his deathbed, being baptised by Eusebius of Nicomedia. He played an influential role in the proclamation of the Edict of Milan in 313, which declared tolerance for Christianity in the Roman Empire. He convoked the First Council of Nicaea in 325, which produced the statement of Christian belief known as the Nicene Creed.[3] The Church of the Holy Sepulchre was built on his orders at the purported site of Jesus' tomb in Jerusalem and became the holiest place in Christendom. The Papal claim to temporal power in the High Middle Ages was based on the fabricated Donation of Constantine. He has historically been referred to as the "First Christian Emperor" and he did favour the Christian Church. While some modern scholars debate his beliefs and even his comprehension of Christianity,[notes 2] he is venerated as a saint in Roman Catholicism and Eastern Orthodoxy.
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The age of Constantine marked a distinct epoch in the history of the Roman Empire.[6] He built a new imperial residence at Byzantium and renamed the city Constantinople (now Istanbul) after himself (the laudatory epithet of "New Rome" emerged in his time, and was never an official title). It subsequently became the capital of the Empire for more than a thousand years, the later Eastern Roman Empire being referred to as the Byzantine Empire by modern historians. His more immediate political legacy was that he replaced Diocletian's Tetrarchy with the de facto principle of dynastic succession, by leaving the empire to his sons and other members of the Constantinian dynasty. His reputation flourished during the lifetime of his children and for centuries after his reign. The medieval church held him up as a paragon of virtue, while secular rulers invoked him as a prototype, a point of reference and the symbol of imperial legitimacy and identity.[7] Beginning with the Renaissance, there were more critical appraisals of his reign, due to the rediscovery of anti-Constantinian sources. Trends in modern and recent scholarship have attempted to balance the extremes of previous scholarship.
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Constantine was a ruler of major importance, and he has always been a controversial figure.[8] The fluctuations in his reputation reflect the nature of the ancient sources for his reign. These are abundant and detailed,[9] but they have been strongly influenced by the official propaganda of the period[10] and are often one-sided;[11] no contemporaneous histories or biographies dealing with his life and rule have survived.[12] The nearest replacement is Eusebius's Vita Constantini—a mixture of eulogy and hagiography[13] written between AD 335 and circa AD 339[14]—that extols Constantine's moral and religious virtues.[15] The Vita creates a contentiously positive image of Constantine,[16] and modern historians have frequently challenged its reliability.[17] The fullest secular life of Constantine is the anonymous Origo Constantini,[18] a work of uncertain date,[19] which focuses on military and political events to the neglect of cultural and religious matters.[20]
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Lactantius' De Mortibus Persecutorum, a political Christian pamphlet on the reigns of Diocletian and the Tetrarchy, provides valuable but tendentious detail on Constantine's predecessors and early life.[21] The ecclesiastical histories of Socrates, Sozomen, and Theodoret describe the ecclesiastic disputes of Constantine's later reign.[22] Written during the reign of Theodosius II (AD 408–450), a century after Constantine's reign, these ecclesiastical historians obscure the events and theologies of the Constantinian period through misdirection, misrepresentation, and deliberate obscurity.[23] The contemporary writings of the orthodox Christian Athanasius, and the ecclesiastical history of the Arian Philostorgius also survive, though their biases are no less firm.[24]
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The epitomes of Aurelius Victor (De Caesaribus), Eutropius (Breviarium), Festus (Breviarium), and the anonymous author of the Epitome de Caesaribus offer compressed secular political and military histories of the period. Although not Christian, the epitomes paint a favourable image of Constantine but omit reference to Constantine's religious policies.[25] The Panegyrici Latini, a collection of panegyrics from the late third and early fourth centuries, provide valuable information on the politics and ideology of the tetrarchic period and the early life of Constantine.[26] Contemporary architecture, such as the Arch of Constantine in Rome and palaces in Gamzigrad and Córdoba,[27] epigraphic remains, and the coinage of the era complement the literary sources.[28]
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Flavius Valerius Constantinus, as he was originally named, was born in the city of Naissus, (today Niš, Serbia) part of the Dardania province of Moesia on 27 February,[29] probably c. AD 272.[30] His father was Flavius Constantius, an Illyrian,[31][32] and a native of Dardania province of Moesia (later Dacia Ripensis).[33] Constantine probably spent little time with his father[34] who was an officer in the Roman army, part of the Emperor Aurelian's imperial bodyguard. Being described as a tolerant and politically skilled man,[35] Constantius advanced through the ranks, earning the governorship of Dalmatia from Emperor Diocletian, another of Aurelian's companions from Illyricum, in 284 or 285.[33] Constantine's mother was Helena, a Greek woman of low social standing from Helenopolis of Bithynia.[36] It is uncertain whether she was legally married to Constantius or merely his concubine.[37] His main language was Latin, and during his public speeches he needed Greek translators.[38]
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In July AD 285, Diocletian declared Maximian, another colleague from Illyricum, his co-emperor. Each emperor would have his own court, his own military and administrative faculties, and each would rule with a separate praetorian prefect as chief lieutenant.[39] Maximian ruled in the West, from his capitals at Mediolanum (Milan, Italy) or Augusta Treverorum (Trier, Germany), while Diocletian ruled in the East, from Nicomedia (İzmit, Turkey). The division was merely pragmatic: the empire was called "indivisible" in official panegyric,[40] and both emperors could move freely throughout the empire.[41] In 288, Maximian appointed Constantius to serve as his praetorian prefect in Gaul. Constantius left Helena to marry Maximian's stepdaughter Theodora in 288 or 289.[42]
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Diocletian divided the Empire again in AD 293, appointing two caesars (junior emperors) to rule over further subdivisions of East and West. Each would be subordinate to their respective augustus (senior emperor) but would act with supreme authority in his assigned lands. This system would later be called the Tetrarchy. Diocletian's first appointee for the office of caesar was Constantius; his second was Galerius, a native of Felix Romuliana. According to Lactantius, Galerius was a brutal, animalistic man. Although he shared the paganism of Rome's aristocracy, he seemed to them an alien figure, a semi-barbarian.[43] On 1 March, Constantius was promoted to the office of caesar, and dispatched to Gaul to fight the rebels Carausius and Allectus.[44] In spite of meritocratic overtones, the Tetrarchy retained vestiges of hereditary privilege,[45] and Constantine became the prime candidate for future appointment as caesar as soon as his father took the position. Constantine went to the court of Diocletian, where he lived as his father's heir presumptive.[46]
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Constantine's parents and siblings, the dates in square brackets indicate the possession of minor titles
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Constantine received a formal education at Diocletian's court, where he learned Latin literature, Greek, and philosophy.[47] The cultural environment in Nicomedia was open, fluid, and socially mobile; in it, Constantine could mix with intellectuals both pagan and Christian. He may have attended the lectures of Lactantius, a Christian scholar of Latin in the city.[48] Because Diocletian did not completely trust Constantius—none of the Tetrarchs fully trusted their colleagues—Constantine was held as something of a hostage, a tool to ensure Constantius' best behavior. Constantine was nonetheless a prominent member of the court: he fought for Diocletian and Galerius in Asia and served in a variety of tribunates; he campaigned against barbarians on the Danube in AD 296 and fought the Persians under Diocletian in Syria (AD 297), as well as under Galerius in Mesopotamia (AD 298–299).[49] By late AD 305, he had become a tribune of the first order, a tribunus ordinis primi.[50]
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Constantine had returned to Nicomedia from the eastern front by the spring of AD 303, in time to witness the beginnings of Diocletian's "Great Persecution", the most severe persecution of Christians in Roman history.[51] In late 302, Diocletian and Galerius sent a messenger to the oracle of Apollo at Didyma with an inquiry about Christians.[52] Constantine could recall his presence at the palace when the messenger returned, when Diocletian accepted his court's demands for universal persecution.[53] On 23 February AD 303, Diocletian ordered the destruction of Nicomedia's new church, condemned its scriptures to the flames, and had its treasures seized. In the months that followed, churches and scriptures were destroyed, Christians were deprived of official ranks, and priests were imprisoned.[54]
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It is unlikely that Constantine played any role in the persecution.[55] In his later writings, he would attempt to present himself as an opponent of Diocletian's "sanguinary edicts" against the "Worshippers of God",[56] but nothing indicates that he opposed it effectively at the time.[57] Although no contemporary Christian challenged Constantine for his inaction during the persecutions, it remained a political liability throughout his life.[58]
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On 1 May AD 305, Diocletian, as a result of a debilitating sickness taken in the winter of AD 304–305, announced his resignation. In a parallel ceremony in Milan, Maximian did the same.[59] Lactantius states that Galerius manipulated the weakened Diocletian into resigning, and forced him to accept Galerius' allies in the imperial succession. According to Lactantius, the crowd listening to Diocletian's resignation speech believed, until the very last moment, that Diocletian would choose Constantine and Maxentius (Maximian's son) as his successors.[60] It was not to be: Constantius and Galerius were promoted to augusti, while Severus and Maximinus Daia, Galerius' nephew, were appointed their caesars respectively. Constantine and Maxentius were ignored.[61]
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Some of the ancient sources detail plots that Galerius made on Constantine's life in the months following Diocletian's abdication. They assert that Galerius assigned Constantine to lead an advance unit in a cavalry charge through a swamp on the middle Danube, made him enter into single combat with a lion, and attempted to kill him in hunts and wars. Constantine always emerged victorious: the lion emerged from the contest in a poorer condition than Constantine; Constantine returned to Nicomedia from the Danube with a Sarmatian captive to drop at Galerius' feet.[62] It is uncertain how much these tales can be trusted.[63]
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Constantine recognized the implicit danger in remaining at Galerius' court, where he was held as a virtual hostage. His career depended on being rescued by his father in the west. Constantius was quick to intervene.[64] In the late spring or early summer of AD 305, Constantius requested leave for his son to help him campaign in Britain. After a long evening of drinking, Galerius granted the request. Constantine's later propaganda describes how he fled the court in the night, before Galerius could change his mind. He rode from post-house to post-house at high speed, hamstringing every horse in his wake.[65] By the time Galerius awoke the following morning, Constantine had fled too far to be caught.[66] Constantine joined his father in Gaul, at Bononia (Boulogne) before the summer of AD 305.[67]
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From Bononia, they crossed the Channel to Britain and made their way to Eboracum (York), capital of the province of Britannia Secunda and home to a large military base. Constantine was able to spend a year in northern Britain at his father's side, campaigning against the Picts beyond Hadrian's Wall in the summer and autumn.[68] Constantius' campaign, like that of Septimius Severus before it, probably advanced far into the north without achieving great success.[69] Constantius had become severely sick over the course of his reign, and died on 25 July 306 in Eboracum. Before dying, he declared his support for raising Constantine to the rank of full augustus. The Alamannic king Chrocus, a barbarian taken into service under Constantius, then proclaimed Constantine as augustus. The troops loyal to Constantius' memory followed him in acclamation. Gaul and Britain quickly accepted his rule;[70] Hispania, which had been in his father's domain for less than a year, rejected it.[71]
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Constantine sent Galerius an official notice of Constantius' death and his own acclamation. Along with the notice, he included a portrait of himself in the robes of an augustus.[72] The portrait was wreathed in bay.[73] He requested recognition as heir to his father's throne, and passed off responsibility for his unlawful ascension on his army, claiming they had "forced it upon him".[74] Galerius was put into a fury by the message; he almost set the portrait and messenger on fire.[75] His advisers calmed him, and argued that outright denial of Constantine's claims would mean certain war.[76] Galerius was compelled to compromise: he granted Constantine the title "caesar" rather than "augustus" (the latter office went to Severus instead).[77] Wishing to make it clear that he alone gave Constantine legitimacy, Galerius personally sent Constantine the emperor's traditional purple robes.[78] Constantine accepted the decision,[77] knowing that it would remove doubts as to his legitimacy.[79]
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Constantine's share of the Empire consisted of Britain, Gaul, and Spain, and he commanded one of the largest Roman armies which was stationed along the important Rhine frontier.[80] He remained in Britain after his promotion to emperor, driving back the tribes of the Picts and securing his control in the northwestern dioceses. He completed the reconstruction of military bases begun under his father's rule, and he ordered the repair of the region's roadways.[81] He then left for Augusta Treverorum (Trier) in Gaul, the Tetrarchic capital of the northwestern Roman Empire.[82] The Franks learned of Constantine's acclamation and invaded Gaul across the lower Rhine over the winter of 306–307 AD.[83] He drove them back beyond the Rhine and captured Kings Ascaric and Merogais; the kings and their soldiers were fed to the beasts of Trier's amphitheatre in the adventus (arrival) celebrations which followed.[84]
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Constantine began a major expansion of Trier. He strengthened the circuit wall around the city with military towers and fortified gates, and he began building a palace complex in the northeastern part of the city. To the south of his palace, he ordered the construction of a large formal audience hall and a massive imperial bathhouse. He sponsored many building projects throughout Gaul during his tenure as emperor of the West, especially in Augustodunum (Autun) and Arelate (Arles).[86] According to Lactantius, Constantine followed a tolerant policy towards Christianity, although he was not yet a Christian himself. He probably judged it a more sensible policy than open persecution[87] and a way to distinguish himself from the "great persecutor" Galerius.[88] He decreed a formal end to persecution and returned to Christians all that they had lost during them.[89]
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Constantine was largely untried and had a hint of illegitimacy about him; he relied on his father's reputation in his early propaganda, which gave as much coverage to his father's deeds as to his.[90] His military skill and building projects, however, soon gave the panegyrist the opportunity to comment favourably on the similarities between father and son, and Eusebius remarked that Constantine was a "renewal, as it were, in his own person, of his father's life and reign".[91] Constantinian coinage, sculpture, and oratory also show a new tendency for disdain towards the "barbarians" beyond the frontiers. He minted a coin issue after his victory over the Alemanni which depicts weeping and begging Alemannic tribesmen, "the Alemanni conquered" beneath the phrase "Romans' rejoicing".[92] There was little sympathy for these enemies; as his panegyrist declared, "It is a stupid clemency that spares the conquered foe."[93]
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Following Galerius' recognition of Constantine as caesar, Constantine's portrait was brought to Rome, as was customary. Maxentius mocked the portrait's subject as the son of a harlot and lamented his own powerlessness.[94] Maxentius, envious of Constantine's authority,[95] seized the title of emperor on 28 October 306 AD. Galerius refused to recognize him but failed to unseat him. Galerius sent Severus against Maxentius, but during the campaign, Severus' armies, previously under command of Maxentius' father Maximian, defected, and Severus was seized and imprisoned.[96] Maximian, brought out of retirement by his son's rebellion, left for Gaul to confer with Constantine in late 307 AD. He offered to marry his daughter Fausta to Constantine and elevate him to augustan rank. In return, Constantine would reaffirm the old family alliance between Maximian and Constantius and offer support to Maxentius' cause in Italy. Constantine accepted and married Fausta in Trier in late summer 307 AD. Constantine now gave Maxentius his meagre support, offering Maxentius political recognition.[97]
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Constantine remained aloof from the Italian conflict, however. Over the spring and summer of 307 AD, he had left Gaul for Britain to avoid any involvement in the Italian turmoil;[98] now, instead of giving Maxentius military aid, he sent his troops against Germanic tribes along the Rhine. In 308 AD, he raided the territory of the Bructeri, and made a bridge across the Rhine at Colonia Agrippinensium (Cologne). In 310 AD, he marched to the northern Rhine and fought the Franks. When not campaigning, he toured his lands advertising his benevolence and supporting the economy and the arts. His refusal to participate in the war increased his popularity among his people and strengthened his power base in the West.[99] Maximian returned to Rome in the winter of 307–308 AD, but soon fell out with his son. In early 308 AD, after a failed attempt to usurp Maxentius' title, Maximian returned to Constantine's court.[100]
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On 11 November 308 AD, Galerius called a general council at the military city of Carnuntum (Petronell-Carnuntum, Austria) to resolve the instability in the western provinces. In attendance were Diocletian, briefly returned from retirement, Galerius, and Maximian. Maximian was forced to abdicate again and Constantine was again demoted to caesar. Licinius, one of Galerius' old military companions, was appointed augustus in the western regions. The new system did not last long: Constantine refused to accept the demotion, and continued to style himself as augustus on his coinage, even as other members of the Tetrarchy referred to him as a caesar on theirs. Maximinus Daia was frustrated that he had been passed over for promotion while the newcomer Licinius had been raised to the office of augustus and demanded that Galerius promote him. Galerius offered to call both Maximinus and Constantine "sons of the augusti",[101] but neither accepted the new title. By the spring of 310 AD, Galerius was referring to both men as augusti.[102]
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In 310 AD, a dispossessed Maximian rebelled against Constantine while Constantine was away campaigning against the Franks. Maximian had been sent south to Arles with a contingent of Constantine's army, in preparation for any attacks by Maxentius in southern Gaul. He announced that Constantine was dead, and took up the imperial purple. In spite of a large donative pledge to any who would support him as emperor, most of Constantine's army remained loyal to their emperor, and Maximian was soon compelled to leave. Constantine soon heard of the rebellion, abandoned his campaign against the Franks, and marched his army up the Rhine.[104] At Cabillunum (Chalon-sur-Saône), he moved his troops onto waiting boats to row down the slow waters of the Saône to the quicker waters of the Rhone. He disembarked at Lugdunum (Lyon).[105] Maximian fled to Massilia (Marseille), a town better able to withstand a long siege than Arles. It made little difference, however, as loyal citizens opened the rear gates to Constantine. Maximian was captured and reproved for his crimes. Constantine granted some clemency, but strongly encouraged his suicide. In July 310 AD, Maximian hanged himself.[104]
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In spite of the earlier rupture in their relations, Maxentius was eager to present himself as his father's devoted son after his death.[106] He began minting coins with his father's deified image, proclaiming his desire to avenge Maximian's death.[107] Constantine initially presented the suicide as an unfortunate family tragedy. By 311 AD, however, he was spreading another version. According to this, after Constantine had pardoned him, Maximian planned to murder Constantine in his sleep. Fausta learned of the plot and warned Constantine, who put a eunuch in his own place in bed. Maximian was apprehended when he killed the eunuch and was offered suicide, which he accepted.[108] Along with using propaganda, Constantine instituted a damnatio memoriae on Maximian, destroying all inscriptions referring to him and eliminating any public work bearing his image.[109]
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The death of Maximian required a shift in Constantine's public image. He could no longer rely on his connection to the elder Emperor Maximian, and needed a new source of legitimacy.[110] In a speech delivered in Gaul on 25 July 310 AD, the anonymous orator reveals a previously unknown dynastic connection to Claudius II, a 3rd-century emperor famed for defeating the Goths and restoring order to the empire. Breaking away from tetrarchic models, the speech emphasizes Constantine's ancestral prerogative to rule, rather than principles of imperial equality. The new ideology expressed in the speech made Galerius and Maximian irrelevant to Constantine's right to rule.[111] Indeed, the orator emphasizes ancestry to the exclusion of all other factors: "No chance agreement of men, nor some unexpected consequence of favor, made you emperor," the orator declares to Constantine.[112]
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The oration also moves away from the religious ideology of the Tetrarchy, with its focus on twin dynasties of Jupiter and Hercules. Instead, the orator proclaims that Constantine experienced a divine vision of Apollo and Victory granting him laurel wreaths of health and a long reign. In the likeness of Apollo, Constantine recognized himself as the saving figure to whom would be granted "rule of the whole world",[113] as the poet Virgil had once foretold.[114] The oration's religious shift is paralleled by a similar shift in Constantine's coinage. In his early reign, the coinage of Constantine advertised Mars as his patron. From 310 AD on, Mars was replaced by Sol Invictus, a god conventionally identified with Apollo.[115] There is little reason to believe that either the dynastic connection or the divine vision are anything other than fiction, but their proclamation strengthened Constantine's claims to legitimacy and increased his popularity among the citizens of Gaul.[116]
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By the middle of 310 AD, Galerius had become too ill to involve himself in imperial politics.[117] His final act survives: a letter to provincials posted in Nicomedia on 30 April 311 AD, proclaiming an end to the persecutions, and the resumption of religious toleration.[118] He died soon after the edict's proclamation,[119] destroying what little remained of the tetrarchy.[120] Maximinus mobilized against Licinius, and seized Asia Minor. A hasty peace was signed on a boat in the middle of the Bosphorus.[121] While Constantine toured Britain and Gaul, Maxentius prepared for war.[122] He fortified northern Italy, and strengthened his support in the Christian community by allowing it to elect a new Bishop of Rome, Eusebius.[123]
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Maxentius' rule was nevertheless insecure. His early support dissolved in the wake of heightened tax rates and depressed trade; riots broke out in Rome and Carthage;[124] and Domitius Alexander was able to briefly usurp his authority in Africa.[125] By 312 AD, he was a man barely tolerated, not one actively supported,[126] even among Christian Italians.[127] In the summer of 311 AD, Maxentius mobilized against Constantine while Licinius was occupied with affairs in the East. He declared war on Constantine, vowing to avenge his father's "murder".[128] To prevent Maxentius from forming an alliance against him with Licinius,[129] Constantine forged his own alliance with Licinius over the winter of 311–312 AD, and offered him his sister Constantia in marriage. Maximinus considered Constantine's arrangement with Licinius an affront to his authority. In response, he sent ambassadors to Rome, offering political recognition to Maxentius in exchange for a military support. Maxentius accepted.[130] According to Eusebius, inter-regional travel became impossible, and there was military buildup everywhere. There was "not a place where people were not expecting the onset of hostilities every day".[131]
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Constantine's advisers and generals cautioned against preemptive attack on Maxentius;[132] even his soothsayers recommended against it, stating that the sacrifices had produced unfavourable omens.[133] Constantine, with a spirit that left a deep impression on his followers, inspiring some to believe that he had some form of supernatural guidance,[134] ignored all these cautions.[135] Early in the spring of 312 AD,[136] Constantine crossed the Cottian Alps with a quarter of his army, a force numbering about 40,000.[137] The first town his army encountered was Segusium (Susa, Italy), a heavily fortified town that shut its gates to him. Constantine ordered his men to set fire to its gates and scale its walls. He took the town quickly. Constantine ordered his troops not to loot the town, and advanced with them into northern Italy.[136]
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At the approach to the west of the important city of Augusta Taurinorum (Turin, Italy), Constantine met a large force of heavily armed Maxentian cavalry.[138] In the ensuing battle Constantine's army encircled Maxentius' cavalry, flanked them with his own cavalry, and dismounted them with blows from his soldiers' iron-tipped clubs. Constantine's armies emerged victorious.[139] Turin refused to give refuge to Maxentius' retreating forces, opening its gates to Constantine instead.[140] Other cities of the north Italian plain sent Constantine embassies of congratulation for his victory. He moved on to Milan, where he was met with open gates and jubilant rejoicing. Constantine rested his army in Milan until mid-summer 312 AD, when he moved on to Brixia (Brescia).[141]
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Brescia's army was easily dispersed,[142] and Constantine quickly advanced to Verona, where a large Maxentian force was camped.[143] Ruricius Pompeianus, general of the Veronese forces and Maxentius' praetorian prefect,[144] was in a strong defensive position, since the town was surrounded on three sides by the Adige. Constantine sent a small force north of the town in an attempt to cross the river unnoticed. Ruricius sent a large detachment to counter Constantine's expeditionary force, but was defeated. Constantine's forces successfully surrounded the town and laid siege.[145] Ruricius gave Constantine the slip and returned with a larger force to oppose Constantine. Constantine refused to let up on the siege, and sent only a small force to oppose him. In the desperately fought encounter that followed, Ruricius was killed and his army destroyed.[146] Verona surrendered soon afterwards, followed by Aquileia,[147] Mutina (Modena),[148] and Ravenna.[149] The road to Rome was now wide open to Constantine.[150]
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Maxentius prepared for the same type of war he had waged against Severus and Galerius: he sat in Rome and prepared for a siege.[151] He still controlled Rome's praetorian guards, was well-stocked with African grain, and was surrounded on all sides by the seemingly impregnable Aurelian Walls. He ordered all bridges across the Tiber cut, reportedly on the counsel of the gods,[152] and left the rest of central Italy undefended; Constantine secured that region's support without challenge.[153] Constantine progressed slowly[154] along the Via Flaminia,[155] allowing the weakness of Maxentius to draw his regime further into turmoil.[154] Maxentius' support continued to weaken: at chariot races on 27 October, the crowd openly taunted Maxentius, shouting that Constantine was invincible.[156] Maxentius, no longer certain that he would emerge from a siege victorious, built a temporary boat bridge across the Tiber in preparation for a field battle against Constantine.[157] On 28 October 312 AD, the sixth anniversary of his reign, he approached the keepers of the Sibylline Books for guidance. The keepers prophesied that, on that very day, "the enemy of the Romans" would die. Maxentius advanced north to meet Constantine in battle.[158]
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Maxentius' forces were still twice the size of Constantine's, and he organized them in long lines facing the battle plain with their backs to the river.[159] Constantine's army arrived on the field bearing unfamiliar symbols on their standards and their shields.[160] According to Lactantius "Constantine was directed in a dream to cause the heavenly sign to be delineated on the shields of his soldiers, and so to proceed to battle. He did as he had been commanded, and he marked on their shields the letter Χ, with a perpendicular line drawn through it and turned round thus at the top, being the cipher of Christ. Having this sign (☧), his troops stood to arms."[161] Eusebius describes a vision that Constantine had while marching at midday in which "he saw with his own eyes the trophy of a cross of light in the heavens, above the sun, and bearing the inscription, In Hoc Signo Vinces" ("In this sign thou shalt conquer").[162] In Eusebius's account, Constantine had a dream the following night in which Christ appeared with the same heavenly sign and told him to make an army standard in the form of the labarum.[163] Eusebius is vague about when and where these events took place,[164] but it enters his narrative before the war begins against Maxentius.[165] He describes the sign as Chi (Χ) traversed by Rho (Ρ) to form ☧, representing the first two letters of the Greek word ΧΡΙΣΤΟΣ (Christos).[166][167] A medallion was issued at Ticinum in 315 AD which shows Constantine wearing a helmet emblazoned with the Chi Rho,[168] and coins issued at Siscia in 317/318 AD repeat the image.[169] The figure was otherwise rare and is uncommon in imperial iconography and propaganda before the 320s.[170] It wasn't completely unknown, however, being an abbreviation of the Greek word chrēston (good), having previously appeared on the coins of Ptolemy III, Euergetes I (247-222 BCE).
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Constantine deployed his own forces along the whole length of Maxentius' line. He ordered his cavalry to charge, and they broke Maxentius' cavalry. He then sent his infantry against Maxentius' infantry, pushing many into the Tiber where they were slaughtered and drowned.[159] The battle was brief,[171] and Maxentius' troops were broken before the first charge.[172] His horse guards and praetorians initially held their position, but they broke under the force of a Constantinian cavalry charge; they also broke ranks and fled to the river. Maxentius rode with them and attempted to cross the bridge of boats (Ponte Milvio), but he was pushed into the Tiber and drowned by the mass of his fleeing soldiers.[173]
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Constantine entered Rome on 29 October 312 AD,[175][176] and staged a grand adventus in the city which was met with jubilation.[177] Maxentius' body was fished out of the Tiber and decapitated, and his head was paraded through the streets for all to see.[178] After the ceremonies, the disembodied head was sent to Carthage, and Carthage offered no further resistance.[179] Unlike his predecessors, Constantine neglected to make the trip to the Capitoline Hill and perform customary sacrifices at the Temple of Jupiter.[180] However, he did visit the Senatorial Curia Julia,[181] and he promised to restore its ancestral privileges and give it a secure role in his reformed government; there would be no revenge against Maxentius' supporters.[182] In response, the Senate decreed him "title of the first name", which meant that his name would be listed first in all official documents,[183] and they acclaimed him as "the greatest Augustus".[184] He issued decrees returning property that was lost under Maxentius, recalling political exiles, and releasing Maxentius' imprisoned opponents.[185]
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An extensive propaganda campaign followed, during which Maxentius' image was purged from all public places. He was written up as a "tyrant" and set against an idealized image of Constantine the "liberator". Eusebius is the best representative of this strand of Constantinian propaganda.[186] Maxentius' rescripts were declared invalid, and the honours that he had granted to leaders of the Senate were also invalidated.[187] Constantine also attempted to remove Maxentius' influence on Rome's urban landscape. All structures built by him were rededicated to Constantine, including the Temple of Romulus and the Basilica of Maxentius.[188] At the focal point of the basilica, a stone statue was erected of Constantine holding the Christian labarum in its hand. Its inscription bore the message which the statue illustrated: By this sign, Constantine had freed Rome from the yoke of the tyrant.[189]
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Constantine also sought to upstage Maxentius' achievements. For example, the Circus Maximus was redeveloped so that its seating capacity was 25 times larger than that of Maxentius' racing complex on the Via Appia.[190] Maxentius' strongest military supporters were neutralized when he disbanded the Praetorian Guard and Imperial Horse Guard.[191] The tombstones of the Imperial Horse Guard were ground up and used in a basilica on the Via Labicana,[192] and their former base was redeveloped into the Lateran Basilica on 9 November 312 AD—barely two weeks after Constantine captured the city.[193] The Legio II Parthica was removed from Albano Laziale,[187] and the remainder of Maxentius' armies were sent to do frontier duty on the Rhine.[194]
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In the following years, Constantine gradually consolidated his military superiority over his rivals in the crumbling Tetrarchy. In 313, he met Licinius in Milan to secure their alliance by the marriage of Licinius and Constantine's half-sister Constantia. During this meeting, the emperors agreed on the so-called Edict of Milan,[195]
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officially granting full tolerance to Christianity and all religions in the Empire.[196]
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The document had special benefits for Christians, legalizing their religion and granting them restoration for all property seized during Diocletian's persecution. It repudiates past methods of religious coercion and used only general terms to refer to the divine sphere—"Divinity" and "Supreme Divinity", summa divinitas.[197]
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The conference was cut short, however, when news reached Licinius that his rival Maximinus had crossed the Bosporus and invaded European territory. Licinius departed and eventually defeated Maximinus, gaining control over the entire eastern half of the Roman Empire. Relations between the two remaining emperors deteriorated, as Constantine suffered an assassination attempt at the hands of a character that Licinius wanted elevated to the rank of Caesar;[198] Licinius, for his part, had Constantine's statues in Emona destroyed.[199] In either 314 or 316 AD, the two Augusti fought against one another at the Battle of Cibalae, with Constantine being victorious. They clashed again at the Battle of Mardia in 317, and agreed to a settlement in which Constantine's sons Crispus and Constantine II, and Licinius' son Licinianus were made caesars.[200] After this arrangement, Constantine ruled the dioceses of Pannonia and Macedonia and took residence at Sirmium, whence he could wage war on the Goths and Sarmatians in 322, and on the Goths in 323, defeating and killing their leader Rausimod.[198]
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In the year 320, Licinius allegedly reneged on the religious freedom promised by the Edict of Milan in 313 and began to oppress Christians anew,[201]
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generally without bloodshed, but resorting to confiscations and sacking of Christian office-holders.[202] Although this characterization of Licinius as anti-Christian is somewhat doubtful, the fact is that he seems to have been far less open in his support of Christianity than Constantine. Therefore, Licinius was prone to see the Church as a force more loyal to Constantine than to the Imperial system in general,[203] as the explanation offered by the Church historian Sozomen.[204]
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This dubious arrangement eventually became a challenge to Constantine in the West, climaxing in the great civil war of 324. Licinius, aided by Gothic mercenaries, represented the past and the ancient pagan faiths. Constantine and his Franks marched under the standard of the labarum, and both sides saw the battle in religious terms. Outnumbered, but fired by their zeal, Constantine's army emerged victorious in the Battle of Adrianople. Licinius fled across the Bosphorus and appointed Martinian, his magister officiorum, as nominal Augustus in the West, but Constantine next won the Battle of the Hellespont, and finally the Battle of Chrysopolis on 18 September 324.[205] Licinius and Martinian surrendered to Constantine at Nicomedia on the promise their lives would be spared: they were sent to live as private citizens in Thessalonica and Cappadocia respectively, but in 325 Constantine accused Licinius of plotting against him and had them both arrested and hanged; Licinius' son (the son of Constantine's half-sister) was killed in 326.[206] Thus Constantine became the sole emperor of the Roman Empire.[207]
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Licinius' defeat came to represent the defeat of a rival centre of pagan and Greek-speaking political activity in the East, as opposed to the Christian and Latin-speaking Rome, and it was proposed that a new Eastern capital should represent the integration of the East into the Roman Empire as a whole, as a center of learning, prosperity, and cultural preservation for the whole of the Eastern Roman Empire.[208] Among the various locations proposed for this alternative capital, Constantine appears to have toyed earlier with Serdica (present-day Sofia), as he was reported saying that "Serdica is my Rome".[209] Sirmium and Thessalonica were also considered.[210] Eventually, however, Constantine decided to work on the Greek city of Byzantium, which offered the advantage of having already been extensively rebuilt on Roman patterns of urbanism, during the preceding century, by Septimius Severus and Caracalla, who had already acknowledged its strategic importance.[211] The city was thus founded in 324,[212] dedicated on 11 May 330[212] and renamed Constantinopolis ("Constantine's City" or Constantinople in English). Special commemorative coins were issued in 330 to honor the event. The new city was protected by the relics of the True Cross, the Rod of Moses and other holy relics, though a cameo now at the Hermitage Museum also represented Constantine crowned by the tyche of the new city.[213] The figures of old gods were either replaced or assimilated into a framework of Christian symbolism. Constantine built the new Church of the Holy Apostles on the site of a temple to Aphrodite. Generations later there was the story that a divine vision led Constantine to this spot, and an angel no one else could see led him on a circuit of the new walls.[214] The capital would often be compared to the 'old' Rome as Nova Roma Constantinopolitana, the "New Rome of Constantinople".[207][215]
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Constantine was the first emperor to stop the persecution of Christians and to legalize Christianity, along with all other religions/cults in the Roman Empire. In February 313, he met with Licinius in Milan and developed the Edict of Milan, which stated that Christians should be allowed to follow their faith without oppression.[216][page needed] This removed penalties for professing Christianity, under which many had been martyred previously, and it returned confiscated Church property. The edict protected all religions from persecution, not only Christianity, allowing anyone to worship any deity that they chose. A similar edict had been issued in 311 by Galerius, senior emperor of the Tetrarchy, which granted Christians the right to practise their religion but did not restore any property to them.[217] The Edict of Milan included several clauses which stated that all confiscated churches would be returned, as well as other provisions for previously persecuted Christians. Scholars debate whether Constantine adopted his mother Helena's Christianity in his youth, or whether he adopted it gradually over the course of his life.[218]
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Constantine possibly retained the title of pontifex maximus which emperors bore as heads of the ancient Roman religion until Gratian renounced the title.[219][220] According to Christian writers, Constantine was over 40 when he finally declared himself a Christian, making it clear that he owed his successes to the protection of the Christian High God alone.[221] Despite these declarations of being a Christian, he waited to be baptized on his deathbed, believing that the baptism would release him of any sins he committed in the course of carrying out his policies while emperor.[222] He supported the Church financially, built basilicas, granted privileges to clergy (such as exemption from certain taxes), promoted Christians to high office, and returned property confiscated during the long period of persecution.[223] His most famous building projects include the Church of the Holy Sepulchre and Old Saint Peter's Basilica. In constructing the Old Saint Peter's Basilica, Constantine went to great lengths to erect the basilica on top of St. Peter's resting place, so much so that it even affected the design of the basilica, including the challenge of erecting it on the hill where St. Peter rested, making its complete construction time over 30 years from the date Constantine ordered it to be built.
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Constantine might not have patronized Christianity alone. He built a triumphal arch in 315 to celebrate his victory in the Battle of the Milvian Bridge (312) which was decorated with images of the goddess Victoria, and sacrifices were made to pagan gods at its dedication, including Apollo, Diana, and Hercules. Absent from the Arch are any depictions of Christian symbolism. However, the Arch was commissioned by the Senate, so the absence of Christian symbols may reflect the role of the Curia at the time as a pagan redoubt.[224]
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In 321, he legislated that the venerable Sunday should be a day of rest for all citizens.[225] In 323, he issued a decree banning Christians from participating in state sacrifices.[226] After the pagan gods had disappeared from his coinage, Christian symbols appeared as Constantine's attributes, the chi rho between his hands or on his labarum,[227] as well on the coin itself.[228]
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The reign of Constantine established a precedent for the emperor to have great influence and authority in the early Christian councils, most notably the dispute over Arianism. Constantine disliked the risks to societal stability that religious disputes and controversies brought with them, preferring to establish an orthodoxy.[229] His influence over the Church councils was to enforce doctrine, root out heresy, and uphold ecclesiastical unity; the Church's role was to determine proper worship, doctrines, and dogma.[230]
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North African bishops struggled with Christian bishops who had been ordained by Donatus in opposition to Caecilian from 313 to 316. The African bishops could not come to terms, and the Donatists asked Constantine to act as a judge in the dispute. Three regional Church councils and another trial before Constantine all ruled against Donatus and the Donatism movement in North Africa. In 317, Constantine issued an edict to confiscate Donatist church property and to send Donatist clergy into exile.[231] More significantly, in 325 he summoned the First Council of Nicaea, most known for its dealing with Arianism and for instituting the Nicene Creed. He enforced the council's prohibition against celebrating the Lord's Supper on the day before the Jewish Passover, which marked a definite break of Christianity from the Judaic tradition. From then on, the solar Julian Calendar was given precedence over the lunisolar Hebrew Calendar among the Christian churches of the Roman Empire.[232]
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Constantine made some new laws regarding the Jews; some of them were unfavorable towards Jews, although they were not harsher than those of his predecessors.[233] It was made illegal for Jews to seek converts or to attack other Jews who had converted to Christianity.[233] They were forbidden to own Christian slaves or to circumcise their slaves.[234][235] On the other hand, Jewish clergy were given the same exemptions as Christian clergy.[233][236]
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Beginning in the mid-3rd century, the emperors began to favor members of the equestrian order over senators, who had a monopoly on the most important offices of state. Senators were stripped of the command of legions and most provincial governorships, as it was felt that they lacked the specialized military upbringing needed in an age of acute defense needs;[237] such posts were given to equestrians by Diocletian and his colleagues, following a practice enforced piecemeal by their predecessors. The emperors, however, still needed the talents and the help of the very rich, who were relied on to maintain social order and cohesion by means of a web of powerful influence and contacts at all levels. Exclusion of the old senatorial aristocracy threatened this arrangement.
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In 326, Constantine reversed this pro-equestrian trend, raising many administrative positions to senatorial rank and thus opening these offices to the old aristocracy; at the same time, he elevated the rank of existing equestrian office-holders to senator, degrading the equestrian order in the process (at least as a bureaucratic rank).[238] The title of perfectissimus was granted only to mid- or low-level officials by the end of the 4th century.
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By the new Constantinian arrangement, one could become a senator by being elected praetor or by fulfilling a function of senatorial rank.[239] From then on, holding actual power and social status were melded together into a joint imperial hierarchy. Constantine gained the support of the old nobility with this,[240] as the Senate was allowed itself to elect praetors and quaestors, in place of the usual practice of the emperors directly creating new magistrates (adlectio). An inscription in honor of city prefect (336–337) Ceionius Rufus Albinus states that Constantine had restored the Senate "the auctoritas it had lost at Caesar's time".[241]
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The Senate as a body remained devoid of any significant power; nevertheless, the senators had been marginalized as potential holders of imperial functions during the 3rd century but could now dispute such positions alongside more upstart bureaucrats.[242] Some modern historians see in those administrative reforms an attempt by Constantine at reintegrating the senatorial order into the imperial administrative elite to counter the possibility of alienating pagan senators from a Christianized imperial rule;[243] however, such an interpretation remains conjectural, given the fact that we do not have the precise numbers about pre-Constantine conversions to Christianity in the old senatorial milieu. Some historians suggest that early conversions among the old aristocracy were more numerous than previously supposed.[244]
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Constantine's reforms had to do only with the civilian administration. The military chiefs had risen from the ranks since the Crisis of the Third Century[245] but remained outside the senate, in which they were included only by Constantine's children.[246]
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The third century saw runaway inflation associated with the production of fiat money to pay for public expenses, and Diocletian tried unsuccessfully to re-establish trustworthy minting of silver and billon coins. The failure resided in the fact that the silver currency was overvalued in terms of its actual metal content, and therefore could only circulate at much discounted rates. Constantine stopped minting the Diocletianic "pure" silver argenteus soon after 305, while the billon currency continued to be used until the 360s. From the early 300s on, Constantine forsook any attempts at restoring the silver currency, preferring instead to concentrate on minting large quantities of the gold solidus, 72 of which made a pound of gold. New and highly debased silver pieces continued to be issued during his later reign and after his death, in a continuous process of retariffing, until this bullion minting ceased in 367, and the silver piece was continued by various denominations of bronze coins, the most important being the centenionalis.[247] These bronze pieces continued to be devalued, assuring the possibility of keeping fiduciary minting alongside a gold standard. The author of De Rebus Bellicis held that the rift widened between classes because of this monetary policy; the rich benefited from the stability in purchasing power of the gold piece, while the poor had to cope with ever-degrading bronze pieces.[248] Later emperors such as Julian the Apostate insisted on trustworthy mintings of the bronze currency.[249]
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Constantine's monetary policies were closely associated with his religious policies; increased minting was associated with the confiscation of all gold, silver, and bronze statues from pagan temples between 331 and 336 which were declared to be imperial property. Two imperial commissioners for each province had the task of getting the statues and melting them for immediate minting, with the exception of a number of bronze statues that were used as public monuments in Constantinople.[250]
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Constantine had his eldest son Crispus seized and put to death by "cold poison" at Pola (Pula, Croatia) sometime between 15 May and 17 June 326.[251] In July, he had his wife Empress Fausta (stepmother of Crispus) killed in an overheated bath.[252] Their names were wiped from the face of many inscriptions, references to their lives were eradicated from the literary record, and the memory of both was condemned. Eusebius, for example, edited out any praise of Crispus from later copies of Historia Ecclesiastica, and his Vita Constantini contains no mention of Fausta or Crispus at all.[253] Few ancient sources are willing to discuss possible motives for the events, and the few that do are of later provenance and are generally unreliable.[254] At the time of the executions, it was commonly believed that Empress Fausta was either in an illicit relationship with Crispus or was spreading rumors to that effect. A popular myth arose, modified to allude to the Hippolytus–Phaedra legend, with the suggestion that Constantine killed Crispus and Fausta for their immoralities;[255] the largely fictional Passion of Artemius explicitly makes this connection.[256] The myth rests on slim evidence as an interpretation of the executions; only late and unreliable sources allude to the relationship between Crispus and Fausta, and there is no evidence for the modern suggestion that Constantine's "godly" edicts of 326 and the irregularities of Crispus are somehow connected.[255]
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Although Constantine created his apparent heirs "Caesars", following a pattern established by Diocletian, he gave his creations a hereditary character, alien to the tetrarchic system: Constantine's Caesars were to be kept in the hope of ascending to Empire, and entirely subordinated to their Augustus, as long as he was alive.[257] Therefore, an alternative explanation for the execution of Crispus was, perhaps, Constantine's desire to keep a firm grip on his prospective heirs, this—and Fausta's desire for having her sons inheriting instead of their half-brother—being reason enough for killing Crispus; the subsequent execution of Fausta, however, was probably meant as a reminder to her children that Constantine would not hesitate in "killing his own relatives when he felt this was necessary".[258]
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Constantine considered Constantinople his capital and permanent residence. He lived there for a good portion of his later life. In 328 construction was completed on Constantine's Bridge at Sucidava, (today Celei in Romania)[259] in hopes of reconquering Dacia, a province that had been abandoned under Aurelian. In the late winter of 332, Constantine campaigned with the Sarmatians against the Goths. The weather and lack of food cost the Goths dearly: reportedly, nearly one hundred thousand died before they submitted to Rome. In 334, after Sarmatian commoners had overthrown their leaders, Constantine led a campaign against the tribe. He won a victory in the war and extended his control over the region, as remains of camps and fortifications in the region indicate.[260] Constantine resettled some Sarmatian exiles as farmers in Illyrian and Roman districts, and conscripted the rest into the army. The new frontier in Dacia was along the Brazda lui Novac line supported by new castra.[261] Constantine took the title Dacicus maximus in 336.[262]
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In the last years of his life, Constantine made plans for a campaign against Persia. In a letter written to the king of Persia, Shapur, Constantine had asserted his patronage over Persia's Christian subjects and urged Shapur to treat them well.[263] The letter is undatable. In response to border raids, Constantine sent Constantius to guard the eastern frontier in 335. In 336, Prince Narseh invaded Armenia (a Christian kingdom since 301) and installed a Persian client on the throne. Constantine then resolved to campaign against Persia himself. He treated the war as a Christian crusade, calling for bishops to accompany the army and commissioning a tent in the shape of a church to follow him everywhere. Constantine planned to be baptized in the Jordan River before crossing into Persia. Persian diplomats came to Constantinople over the winter of 336–337, seeking peace, but Constantine turned them away. The campaign was called off, however, when Constantine became sick in the spring of 337.[264]
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Constantine knew death would soon come. Within the Church of the Holy Apostles, Constantine had secretly prepared a final resting-place for himself.[265] It came sooner than he had expected. Soon after the Feast of Easter 337, Constantine fell seriously ill.[266] He left Constantinople for the hot baths near his mother's city of Helenopolis (Altinova), on the southern shores of the Gulf of Nicomedia (present-day Gulf of İzmit). There, in a church his mother built in honor of Lucian the Apostle, he prayed, and there he realized that he was dying. Seeking purification, he became a catechumen, and attempted a return to Constantinople, making it only as far as a suburb of Nicomedia.[267] He summoned the bishops, and told them of his hope to be baptized in the River Jordan, where Christ was written to have been baptized. He requested the baptism right away, promising to live a more Christian life should he live through his illness. The bishops, Eusebius records, "performed the sacred ceremonies according to custom".[268] He chose the Arianizing bishop Eusebius of Nicomedia, bishop of the city where he lay dying, as his baptizer.[269] In postponing his baptism, he followed one custom at the time which postponed baptism until after infancy.[270] It has been thought that Constantine put off baptism as long as he did so as to be absolved from as much of his sin as possible.[271] Constantine died soon after at a suburban villa called Achyron, on the last day of the fifty-day festival of Pentecost directly following Pascha (or Easter), on 22 May 337.[272]
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Although Constantine's death follows the conclusion of the Persian campaign in Eusebius's account, most other sources report his death as occurring in its middle. Emperor Julian the Apostate (a nephew of Constantine), writing in the mid-350s, observes that the Sassanians escaped punishment for their ill-deeds, because Constantine died "in the middle of his preparations for war".[273] Similar accounts are given in the Origo Constantini, an anonymous document composed while Constantine was still living, and which has Constantine dying in Nicomedia;[274] the Historiae abbreviatae of Sextus Aurelius Victor, written in 361, which has Constantine dying at an estate near Nicomedia called Achyrona while marching against the Persians;[275] and the Breviarium of Eutropius, a handbook compiled in 369 for the Emperor Valens, which has Constantine dying in a nameless state villa in Nicomedia.[276] From these and other accounts, some have concluded that Eusebius's Vita was edited to defend Constantine's reputation against what Eusebius saw as a less congenial version of the campaign.[277]
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Following his death, his body was transferred to Constantinople and buried in the Church of the Holy Apostles,[278] in a porphyry sarcophagus that was described in the 10th century by Constantine VII Porphyrogenitus in the De Ceremoniis.[279] His body survived the plundering of the city during the Fourth Crusade in 1204, but was destroyed at some point afterwards.[280] Constantine was succeeded by his three sons born of Fausta, Constantine II, Constantius II and Constans. A number of relatives were killed by followers of Constantius, notably Constantine's nephews Dalmatius (who held the rank of Caesar) and Hannibalianus, presumably to eliminate possible contenders to an already complicated succession. He also had two daughters, Constantina and Helena, wife of Emperor Julian.[281]
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Constantine gained his honorific of "the Great" from Christian historians long after he had died, but he could have claimed the title on his military achievements and victories alone. He reunited the Empire under one emperor, and he won major victories over the Franks and Alamanni in 306–308, the Franks again in 313–314, the Goths in 332, and the Sarmatians in 334. By 336, he had reoccupied most of the long-lost province of Dacia which Aurelian had been forced to abandon in 271. At the time of his death, he was planning a great expedition to end raids on the eastern provinces from the Persian Empire.[283] He served for almost 31 years (combining his years as co-ruler and sole ruler), the second longest-serving emperor behind Augustus.
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In the cultural sphere, Constantine revived the clean-shaven face fashion of the Roman emperors from Augustus to Trajan, which was originally introduced among the Romans by Scipio Africanus. This new Roman imperial fashion lasted until the reign of Phocas.[284][285]
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The Holy Roman Empire reckoned Constantine among the venerable figures of its tradition. In the later Byzantine state, it became a great honor for an emperor to be hailed as a "new Constantine"; ten emperors carried the name, including the last emperor of the Eastern Roman Empire.[286] Charlemagne used monumental Constantinian forms in his court to suggest that he was Constantine's successor and equal. Constantine acquired a mythic role as a warrior against heathens. The motif of the Romanesque equestrian, the mounted figure in the posture of a triumphant Roman emperor, became a visual metaphor in statuary in praise of local benefactors. The name "Constantine" itself enjoyed renewed popularity in western France in the eleventh and twelfth centuries.[287] The Orthodox Church considers Constantine a saint (Άγιος Κωνσταντίνος, Saint Constantine), having a feast day on 21 May,[288] and calls him isapostolos (ισαπόστολος Κωνσταντίνος)—an equal of the Apostles.[289] Although not as celebrated as in Eastern Christianity, he is regarded as a saint by the Roman Catholic Church, with the same feast day.[290]
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The Niš Constantine the Great Airport is named in honor of him. A large Cross was planned to be built on a hill overlooking Niš, but the project was cancelled.[291] In 2012, a memorial was erected in Niš in his honor. The Commemoration of the Edict of Milan was held in Niš in 2013.[292]
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Constantine was presented as a paragon of virtue during his lifetime. Pagans showered him with praise, such as Praxagoras of Athens, and Libanius. His nephew and son-in-law Julian the Apostate, however, wrote the satire Symposium, or the Saturnalia in 361, after the last of his sons died; it denigrated Constantine, calling him inferior to the great pagan emperors, and given over to luxury and greed.[293] Following Julian, Eunapius began—and Zosimus continued—a historiographic tradition that blamed Constantine for weakening the Empire through his indulgence to the Christians.[294]
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Constantine was presented as an ideal ruler during the Middle Ages, the standard against which any king or emperor could be measured.[294] The Renaissance rediscovery of anti-Constantinian sources prompted a re-evaluation of his career. German humanist Johannes Leunclavius discovered Zosimus' writings and published a Latin translation in 1576. In its preface, he argued that Zosimus' picture of Constantine offered a more balanced view than that of Eusebius and the Church historians.[295] Cardinal Caesar Baronius criticized Zosimus, favoring Eusebius' account of the Constantinian era. Baronius' Life of Constantine (1588) presents Constantine as the model of a Christian prince.[296] Edward Gibbon aimed to unite the two extremes of Constantinian scholarship in his work The History of the Decline and Fall of the Roman Empire (1776–89) by contrasting the portraits presented by Eusebius and Zosimus.[297] He presents a noble war hero who transforms into an Oriental despot in his old age, "degenerating into a cruel and dissolute monarch".[298]
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Modern interpretations of Constantine's rule begin with Jacob Burckhardt's The Age of Constantine the Great (1853, rev. 1880). Burckhardt's Constantine is a scheming secularist, a politician who manipulates all parties in a quest to secure his own power.[299] Henri Grégoire followed Burckhardt's evaluation of Constantine in the 1930s, suggesting that Constantine developed an interest in Christianity only after witnessing its political usefulness. Grégoire was skeptical of the authenticity of Eusebius' Vita, and postulated a pseudo-Eusebius to assume responsibility for the vision and conversion narratives of that work.[300] Otto Seeck's Geschichte des Untergangs der antiken Welt (1920–23) and André Piganiol's L'empereur Constantin (1932) go against this historiographic tradition. Seeck presents Constantine as a sincere war hero whose ambiguities were the product of his own naïve inconsistency.[301] Piganiol's Constantine is a philosophical monotheist, a child of his era's religious syncretism.[302] Related histories by Arnold Hugh Martin Jones (Constantine and the Conversion of Europe, 1949) and Ramsay MacMullen (Constantine, 1969) give portraits of a less visionary and more impulsive Constantine.[303]
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These later accounts were more willing to present Constantine as a genuine convert to Christianity. Norman H. Baynes began a historiographic tradition with Constantine the Great and the Christian Church (1929) which presents Constantine as a committed Christian, reinforced by Andreas Alföldi's The Conversion of Constantine and Pagan Rome (1948), and Timothy Barnes's Constantine and Eusebius (1981) is the culmination of this trend. Barnes' Constantine experienced a radical conversion which drove him on a personal crusade to convert his empire.[304] Charles Matson Odahl's Constantine and the Christian Empire (2004) takes much the same tack.[305] In spite of Barnes' work, arguments continue over the strength and depth of Constantine's religious conversion.[306] Certain themes in this school reached new extremes in T.G. Elliott's The Christianity of Constantine the Great (1996), which presented Constantine as a committed Christian from early childhood.[307] Paul Veyne's 2007 work Quand notre monde est devenu chrétien holds a similar view which does not speculate on the origin of Constantine's Christian motivation, but presents him as a religious revolutionary who fervently believed that he was meant "to play a providential role in the millenary economy of the salvation of humanity".[308]
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Latin Rite Catholics considered it inappropriate that Constantine was baptized only on his death bed by an unorthodox bishop, as it undermined the authority of the Papacy, and a legend emerged by the early fourth century that Pope Sylvester I (314–335) had cured the pagan emperor from leprosy. According to this legend, Constantine was soon baptized and began the construction of a church in the Lateran Palace.[309] The Donation of Constantine appeared in the eighth century, most likely during the pontificate of Pope Stephen II (752–757), in which the freshly converted Constantine gives "the city of Rome and all the provinces, districts, and cities of Italy and the Western regions" to Sylvester and his successors.[310] In the High Middle Ages, this document was used and accepted as the basis for the Pope's temporal power, though it was denounced as a forgery by Emperor Otto III[311] and lamented as the root of papal worldliness by Dante Alighieri.[312] Philologist and Catholic priest Lorenzo Valla proved that the document was indeed a forgery.[313]
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During the medieval period, Britons regarded Constantine as a king of their own people, particularly associating him with Caernarfon in Gwynedd. While some of this is owed to his fame and his proclamation as Emperor in Britain, there was also confusion of his family with Magnus Maximus's supposed wife Saint Elen and her son, another Constantine (Welsh: Custennin). In the 12th century Henry of Huntingdon included a passage in his Historia Anglorum that the Emperor Constantine's mother was a Briton, making her the daughter of King Cole of Colchester.[314] Geoffrey of Monmouth expanded this story in his highly fictionalized Historia Regum Britanniae, an account of the supposed Kings of Britain from their Trojan origins to the Anglo-Saxon invasion.[315] According to Geoffrey, Cole was King of the Britons when Constantius, here a senator, came to Britain. Afraid of the Romans, Cole submitted to Roman law so long as he retained his kingship. However, he died only a month later, and Constantius took the throne himself, marrying Cole's daughter Helena. They had their son Constantine, who succeeded his father as King of Britain before becoming Roman Emperor.
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Historically, this series of events is extremely improbable. Constantius had already left Helena by the time he left for Britain.[42] Additionally, no earlier source mentions that Helena was born in Britain, let alone that she was a princess. Henry's source for the story is unknown, though it may have been a lost hagiography of Helena.[315]
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Constantine the Great (Latin: Flavius Valerius Constantinus; Ancient Greek: Κωνσταντῖνος, romanized: Kōnstantînos; 27 February c. 272 – 22 May 337), also known as Constantine I, was a Roman emperor from AD 306 to 337. Born in Dacia Ripensis (now Serbia), he was the son of Flavius Constantius, an Illyrian army officer who became one of the four emperors of the Tetrarchy. His mother, Helena, was Greek and of low birth. Constantine served with distinction under emperors Diocletian and Galerius campaigning in the eastern provinces against barbarians and the Persians, before being recalled west in 305 to fight under his father in Britain. After his father's death in 306, Constantine was acclaimed as emperor by the army at Eboracum (York). He emerged victorious in the civil wars against emperors Maxentius and Licinius to become sole ruler of the Roman Empire by 324.
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As emperor, Constantine enacted administrative, financial, social and military reforms to strengthen the empire. He restructured the government, separating civil and military authorities. To combat inflation he introduced the solidus, a new gold coin that became the standard for Byzantine and European currencies for more than a thousand years. The Roman army was reorganised to consist of mobile units (comitatenses), and garrison troops (limitanei) capable of countering internal threats and barbarian invasions. Constantine pursued successful campaigns against the tribes on the Roman frontiers—the Franks, the Alamanni, the Goths and the Sarmatians—even resettling territories abandoned by his predecessors during the Crisis of the Third Century.
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Constantine was the first Roman emperor to convert to Christianity.[notes 1] Although he lived much of his life as a pagan, and later as a catechumen, he joined the Christian religion on his deathbed, being baptised by Eusebius of Nicomedia. He played an influential role in the proclamation of the Edict of Milan in 313, which declared tolerance for Christianity in the Roman Empire. He convoked the First Council of Nicaea in 325, which produced the statement of Christian belief known as the Nicene Creed.[3] The Church of the Holy Sepulchre was built on his orders at the purported site of Jesus' tomb in Jerusalem and became the holiest place in Christendom. The Papal claim to temporal power in the High Middle Ages was based on the fabricated Donation of Constantine. He has historically been referred to as the "First Christian Emperor" and he did favour the Christian Church. While some modern scholars debate his beliefs and even his comprehension of Christianity,[notes 2] he is venerated as a saint in Roman Catholicism and Eastern Orthodoxy.
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The age of Constantine marked a distinct epoch in the history of the Roman Empire.[6] He built a new imperial residence at Byzantium and renamed the city Constantinople (now Istanbul) after himself (the laudatory epithet of "New Rome" emerged in his time, and was never an official title). It subsequently became the capital of the Empire for more than a thousand years, the later Eastern Roman Empire being referred to as the Byzantine Empire by modern historians. His more immediate political legacy was that he replaced Diocletian's Tetrarchy with the de facto principle of dynastic succession, by leaving the empire to his sons and other members of the Constantinian dynasty. His reputation flourished during the lifetime of his children and for centuries after his reign. The medieval church held him up as a paragon of virtue, while secular rulers invoked him as a prototype, a point of reference and the symbol of imperial legitimacy and identity.[7] Beginning with the Renaissance, there were more critical appraisals of his reign, due to the rediscovery of anti-Constantinian sources. Trends in modern and recent scholarship have attempted to balance the extremes of previous scholarship.
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Constantine was a ruler of major importance, and he has always been a controversial figure.[8] The fluctuations in his reputation reflect the nature of the ancient sources for his reign. These are abundant and detailed,[9] but they have been strongly influenced by the official propaganda of the period[10] and are often one-sided;[11] no contemporaneous histories or biographies dealing with his life and rule have survived.[12] The nearest replacement is Eusebius's Vita Constantini—a mixture of eulogy and hagiography[13] written between AD 335 and circa AD 339[14]—that extols Constantine's moral and religious virtues.[15] The Vita creates a contentiously positive image of Constantine,[16] and modern historians have frequently challenged its reliability.[17] The fullest secular life of Constantine is the anonymous Origo Constantini,[18] a work of uncertain date,[19] which focuses on military and political events to the neglect of cultural and religious matters.[20]
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Lactantius' De Mortibus Persecutorum, a political Christian pamphlet on the reigns of Diocletian and the Tetrarchy, provides valuable but tendentious detail on Constantine's predecessors and early life.[21] The ecclesiastical histories of Socrates, Sozomen, and Theodoret describe the ecclesiastic disputes of Constantine's later reign.[22] Written during the reign of Theodosius II (AD 408–450), a century after Constantine's reign, these ecclesiastical historians obscure the events and theologies of the Constantinian period through misdirection, misrepresentation, and deliberate obscurity.[23] The contemporary writings of the orthodox Christian Athanasius, and the ecclesiastical history of the Arian Philostorgius also survive, though their biases are no less firm.[24]
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The epitomes of Aurelius Victor (De Caesaribus), Eutropius (Breviarium), Festus (Breviarium), and the anonymous author of the Epitome de Caesaribus offer compressed secular political and military histories of the period. Although not Christian, the epitomes paint a favourable image of Constantine but omit reference to Constantine's religious policies.[25] The Panegyrici Latini, a collection of panegyrics from the late third and early fourth centuries, provide valuable information on the politics and ideology of the tetrarchic period and the early life of Constantine.[26] Contemporary architecture, such as the Arch of Constantine in Rome and palaces in Gamzigrad and Córdoba,[27] epigraphic remains, and the coinage of the era complement the literary sources.[28]
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Flavius Valerius Constantinus, as he was originally named, was born in the city of Naissus, (today Niš, Serbia) part of the Dardania province of Moesia on 27 February,[29] probably c. AD 272.[30] His father was Flavius Constantius, an Illyrian,[31][32] and a native of Dardania province of Moesia (later Dacia Ripensis).[33] Constantine probably spent little time with his father[34] who was an officer in the Roman army, part of the Emperor Aurelian's imperial bodyguard. Being described as a tolerant and politically skilled man,[35] Constantius advanced through the ranks, earning the governorship of Dalmatia from Emperor Diocletian, another of Aurelian's companions from Illyricum, in 284 or 285.[33] Constantine's mother was Helena, a Greek woman of low social standing from Helenopolis of Bithynia.[36] It is uncertain whether she was legally married to Constantius or merely his concubine.[37] His main language was Latin, and during his public speeches he needed Greek translators.[38]
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In July AD 285, Diocletian declared Maximian, another colleague from Illyricum, his co-emperor. Each emperor would have his own court, his own military and administrative faculties, and each would rule with a separate praetorian prefect as chief lieutenant.[39] Maximian ruled in the West, from his capitals at Mediolanum (Milan, Italy) or Augusta Treverorum (Trier, Germany), while Diocletian ruled in the East, from Nicomedia (İzmit, Turkey). The division was merely pragmatic: the empire was called "indivisible" in official panegyric,[40] and both emperors could move freely throughout the empire.[41] In 288, Maximian appointed Constantius to serve as his praetorian prefect in Gaul. Constantius left Helena to marry Maximian's stepdaughter Theodora in 288 or 289.[42]
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Diocletian divided the Empire again in AD 293, appointing two caesars (junior emperors) to rule over further subdivisions of East and West. Each would be subordinate to their respective augustus (senior emperor) but would act with supreme authority in his assigned lands. This system would later be called the Tetrarchy. Diocletian's first appointee for the office of caesar was Constantius; his second was Galerius, a native of Felix Romuliana. According to Lactantius, Galerius was a brutal, animalistic man. Although he shared the paganism of Rome's aristocracy, he seemed to them an alien figure, a semi-barbarian.[43] On 1 March, Constantius was promoted to the office of caesar, and dispatched to Gaul to fight the rebels Carausius and Allectus.[44] In spite of meritocratic overtones, the Tetrarchy retained vestiges of hereditary privilege,[45] and Constantine became the prime candidate for future appointment as caesar as soon as his father took the position. Constantine went to the court of Diocletian, where he lived as his father's heir presumptive.[46]
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Constantine's parents and siblings, the dates in square brackets indicate the possession of minor titles
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Constantine received a formal education at Diocletian's court, where he learned Latin literature, Greek, and philosophy.[47] The cultural environment in Nicomedia was open, fluid, and socially mobile; in it, Constantine could mix with intellectuals both pagan and Christian. He may have attended the lectures of Lactantius, a Christian scholar of Latin in the city.[48] Because Diocletian did not completely trust Constantius—none of the Tetrarchs fully trusted their colleagues—Constantine was held as something of a hostage, a tool to ensure Constantius' best behavior. Constantine was nonetheless a prominent member of the court: he fought for Diocletian and Galerius in Asia and served in a variety of tribunates; he campaigned against barbarians on the Danube in AD 296 and fought the Persians under Diocletian in Syria (AD 297), as well as under Galerius in Mesopotamia (AD 298–299).[49] By late AD 305, he had become a tribune of the first order, a tribunus ordinis primi.[50]
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Constantine had returned to Nicomedia from the eastern front by the spring of AD 303, in time to witness the beginnings of Diocletian's "Great Persecution", the most severe persecution of Christians in Roman history.[51] In late 302, Diocletian and Galerius sent a messenger to the oracle of Apollo at Didyma with an inquiry about Christians.[52] Constantine could recall his presence at the palace when the messenger returned, when Diocletian accepted his court's demands for universal persecution.[53] On 23 February AD 303, Diocletian ordered the destruction of Nicomedia's new church, condemned its scriptures to the flames, and had its treasures seized. In the months that followed, churches and scriptures were destroyed, Christians were deprived of official ranks, and priests were imprisoned.[54]
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It is unlikely that Constantine played any role in the persecution.[55] In his later writings, he would attempt to present himself as an opponent of Diocletian's "sanguinary edicts" against the "Worshippers of God",[56] but nothing indicates that he opposed it effectively at the time.[57] Although no contemporary Christian challenged Constantine for his inaction during the persecutions, it remained a political liability throughout his life.[58]
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On 1 May AD 305, Diocletian, as a result of a debilitating sickness taken in the winter of AD 304–305, announced his resignation. In a parallel ceremony in Milan, Maximian did the same.[59] Lactantius states that Galerius manipulated the weakened Diocletian into resigning, and forced him to accept Galerius' allies in the imperial succession. According to Lactantius, the crowd listening to Diocletian's resignation speech believed, until the very last moment, that Diocletian would choose Constantine and Maxentius (Maximian's son) as his successors.[60] It was not to be: Constantius and Galerius were promoted to augusti, while Severus and Maximinus Daia, Galerius' nephew, were appointed their caesars respectively. Constantine and Maxentius were ignored.[61]
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Some of the ancient sources detail plots that Galerius made on Constantine's life in the months following Diocletian's abdication. They assert that Galerius assigned Constantine to lead an advance unit in a cavalry charge through a swamp on the middle Danube, made him enter into single combat with a lion, and attempted to kill him in hunts and wars. Constantine always emerged victorious: the lion emerged from the contest in a poorer condition than Constantine; Constantine returned to Nicomedia from the Danube with a Sarmatian captive to drop at Galerius' feet.[62] It is uncertain how much these tales can be trusted.[63]
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Constantine recognized the implicit danger in remaining at Galerius' court, where he was held as a virtual hostage. His career depended on being rescued by his father in the west. Constantius was quick to intervene.[64] In the late spring or early summer of AD 305, Constantius requested leave for his son to help him campaign in Britain. After a long evening of drinking, Galerius granted the request. Constantine's later propaganda describes how he fled the court in the night, before Galerius could change his mind. He rode from post-house to post-house at high speed, hamstringing every horse in his wake.[65] By the time Galerius awoke the following morning, Constantine had fled too far to be caught.[66] Constantine joined his father in Gaul, at Bononia (Boulogne) before the summer of AD 305.[67]
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From Bononia, they crossed the Channel to Britain and made their way to Eboracum (York), capital of the province of Britannia Secunda and home to a large military base. Constantine was able to spend a year in northern Britain at his father's side, campaigning against the Picts beyond Hadrian's Wall in the summer and autumn.[68] Constantius' campaign, like that of Septimius Severus before it, probably advanced far into the north without achieving great success.[69] Constantius had become severely sick over the course of his reign, and died on 25 July 306 in Eboracum. Before dying, he declared his support for raising Constantine to the rank of full augustus. The Alamannic king Chrocus, a barbarian taken into service under Constantius, then proclaimed Constantine as augustus. The troops loyal to Constantius' memory followed him in acclamation. Gaul and Britain quickly accepted his rule;[70] Hispania, which had been in his father's domain for less than a year, rejected it.[71]
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Constantine sent Galerius an official notice of Constantius' death and his own acclamation. Along with the notice, he included a portrait of himself in the robes of an augustus.[72] The portrait was wreathed in bay.[73] He requested recognition as heir to his father's throne, and passed off responsibility for his unlawful ascension on his army, claiming they had "forced it upon him".[74] Galerius was put into a fury by the message; he almost set the portrait and messenger on fire.[75] His advisers calmed him, and argued that outright denial of Constantine's claims would mean certain war.[76] Galerius was compelled to compromise: he granted Constantine the title "caesar" rather than "augustus" (the latter office went to Severus instead).[77] Wishing to make it clear that he alone gave Constantine legitimacy, Galerius personally sent Constantine the emperor's traditional purple robes.[78] Constantine accepted the decision,[77] knowing that it would remove doubts as to his legitimacy.[79]
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Constantine's share of the Empire consisted of Britain, Gaul, and Spain, and he commanded one of the largest Roman armies which was stationed along the important Rhine frontier.[80] He remained in Britain after his promotion to emperor, driving back the tribes of the Picts and securing his control in the northwestern dioceses. He completed the reconstruction of military bases begun under his father's rule, and he ordered the repair of the region's roadways.[81] He then left for Augusta Treverorum (Trier) in Gaul, the Tetrarchic capital of the northwestern Roman Empire.[82] The Franks learned of Constantine's acclamation and invaded Gaul across the lower Rhine over the winter of 306–307 AD.[83] He drove them back beyond the Rhine and captured Kings Ascaric and Merogais; the kings and their soldiers were fed to the beasts of Trier's amphitheatre in the adventus (arrival) celebrations which followed.[84]
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Constantine began a major expansion of Trier. He strengthened the circuit wall around the city with military towers and fortified gates, and he began building a palace complex in the northeastern part of the city. To the south of his palace, he ordered the construction of a large formal audience hall and a massive imperial bathhouse. He sponsored many building projects throughout Gaul during his tenure as emperor of the West, especially in Augustodunum (Autun) and Arelate (Arles).[86] According to Lactantius, Constantine followed a tolerant policy towards Christianity, although he was not yet a Christian himself. He probably judged it a more sensible policy than open persecution[87] and a way to distinguish himself from the "great persecutor" Galerius.[88] He decreed a formal end to persecution and returned to Christians all that they had lost during them.[89]
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Constantine was largely untried and had a hint of illegitimacy about him; he relied on his father's reputation in his early propaganda, which gave as much coverage to his father's deeds as to his.[90] His military skill and building projects, however, soon gave the panegyrist the opportunity to comment favourably on the similarities between father and son, and Eusebius remarked that Constantine was a "renewal, as it were, in his own person, of his father's life and reign".[91] Constantinian coinage, sculpture, and oratory also show a new tendency for disdain towards the "barbarians" beyond the frontiers. He minted a coin issue after his victory over the Alemanni which depicts weeping and begging Alemannic tribesmen, "the Alemanni conquered" beneath the phrase "Romans' rejoicing".[92] There was little sympathy for these enemies; as his panegyrist declared, "It is a stupid clemency that spares the conquered foe."[93]
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Following Galerius' recognition of Constantine as caesar, Constantine's portrait was brought to Rome, as was customary. Maxentius mocked the portrait's subject as the son of a harlot and lamented his own powerlessness.[94] Maxentius, envious of Constantine's authority,[95] seized the title of emperor on 28 October 306 AD. Galerius refused to recognize him but failed to unseat him. Galerius sent Severus against Maxentius, but during the campaign, Severus' armies, previously under command of Maxentius' father Maximian, defected, and Severus was seized and imprisoned.[96] Maximian, brought out of retirement by his son's rebellion, left for Gaul to confer with Constantine in late 307 AD. He offered to marry his daughter Fausta to Constantine and elevate him to augustan rank. In return, Constantine would reaffirm the old family alliance between Maximian and Constantius and offer support to Maxentius' cause in Italy. Constantine accepted and married Fausta in Trier in late summer 307 AD. Constantine now gave Maxentius his meagre support, offering Maxentius political recognition.[97]
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Constantine remained aloof from the Italian conflict, however. Over the spring and summer of 307 AD, he had left Gaul for Britain to avoid any involvement in the Italian turmoil;[98] now, instead of giving Maxentius military aid, he sent his troops against Germanic tribes along the Rhine. In 308 AD, he raided the territory of the Bructeri, and made a bridge across the Rhine at Colonia Agrippinensium (Cologne). In 310 AD, he marched to the northern Rhine and fought the Franks. When not campaigning, he toured his lands advertising his benevolence and supporting the economy and the arts. His refusal to participate in the war increased his popularity among his people and strengthened his power base in the West.[99] Maximian returned to Rome in the winter of 307–308 AD, but soon fell out with his son. In early 308 AD, after a failed attempt to usurp Maxentius' title, Maximian returned to Constantine's court.[100]
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On 11 November 308 AD, Galerius called a general council at the military city of Carnuntum (Petronell-Carnuntum, Austria) to resolve the instability in the western provinces. In attendance were Diocletian, briefly returned from retirement, Galerius, and Maximian. Maximian was forced to abdicate again and Constantine was again demoted to caesar. Licinius, one of Galerius' old military companions, was appointed augustus in the western regions. The new system did not last long: Constantine refused to accept the demotion, and continued to style himself as augustus on his coinage, even as other members of the Tetrarchy referred to him as a caesar on theirs. Maximinus Daia was frustrated that he had been passed over for promotion while the newcomer Licinius had been raised to the office of augustus and demanded that Galerius promote him. Galerius offered to call both Maximinus and Constantine "sons of the augusti",[101] but neither accepted the new title. By the spring of 310 AD, Galerius was referring to both men as augusti.[102]
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In 310 AD, a dispossessed Maximian rebelled against Constantine while Constantine was away campaigning against the Franks. Maximian had been sent south to Arles with a contingent of Constantine's army, in preparation for any attacks by Maxentius in southern Gaul. He announced that Constantine was dead, and took up the imperial purple. In spite of a large donative pledge to any who would support him as emperor, most of Constantine's army remained loyal to their emperor, and Maximian was soon compelled to leave. Constantine soon heard of the rebellion, abandoned his campaign against the Franks, and marched his army up the Rhine.[104] At Cabillunum (Chalon-sur-Saône), he moved his troops onto waiting boats to row down the slow waters of the Saône to the quicker waters of the Rhone. He disembarked at Lugdunum (Lyon).[105] Maximian fled to Massilia (Marseille), a town better able to withstand a long siege than Arles. It made little difference, however, as loyal citizens opened the rear gates to Constantine. Maximian was captured and reproved for his crimes. Constantine granted some clemency, but strongly encouraged his suicide. In July 310 AD, Maximian hanged himself.[104]
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In spite of the earlier rupture in their relations, Maxentius was eager to present himself as his father's devoted son after his death.[106] He began minting coins with his father's deified image, proclaiming his desire to avenge Maximian's death.[107] Constantine initially presented the suicide as an unfortunate family tragedy. By 311 AD, however, he was spreading another version. According to this, after Constantine had pardoned him, Maximian planned to murder Constantine in his sleep. Fausta learned of the plot and warned Constantine, who put a eunuch in his own place in bed. Maximian was apprehended when he killed the eunuch and was offered suicide, which he accepted.[108] Along with using propaganda, Constantine instituted a damnatio memoriae on Maximian, destroying all inscriptions referring to him and eliminating any public work bearing his image.[109]
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The death of Maximian required a shift in Constantine's public image. He could no longer rely on his connection to the elder Emperor Maximian, and needed a new source of legitimacy.[110] In a speech delivered in Gaul on 25 July 310 AD, the anonymous orator reveals a previously unknown dynastic connection to Claudius II, a 3rd-century emperor famed for defeating the Goths and restoring order to the empire. Breaking away from tetrarchic models, the speech emphasizes Constantine's ancestral prerogative to rule, rather than principles of imperial equality. The new ideology expressed in the speech made Galerius and Maximian irrelevant to Constantine's right to rule.[111] Indeed, the orator emphasizes ancestry to the exclusion of all other factors: "No chance agreement of men, nor some unexpected consequence of favor, made you emperor," the orator declares to Constantine.[112]
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The oration also moves away from the religious ideology of the Tetrarchy, with its focus on twin dynasties of Jupiter and Hercules. Instead, the orator proclaims that Constantine experienced a divine vision of Apollo and Victory granting him laurel wreaths of health and a long reign. In the likeness of Apollo, Constantine recognized himself as the saving figure to whom would be granted "rule of the whole world",[113] as the poet Virgil had once foretold.[114] The oration's religious shift is paralleled by a similar shift in Constantine's coinage. In his early reign, the coinage of Constantine advertised Mars as his patron. From 310 AD on, Mars was replaced by Sol Invictus, a god conventionally identified with Apollo.[115] There is little reason to believe that either the dynastic connection or the divine vision are anything other than fiction, but their proclamation strengthened Constantine's claims to legitimacy and increased his popularity among the citizens of Gaul.[116]
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By the middle of 310 AD, Galerius had become too ill to involve himself in imperial politics.[117] His final act survives: a letter to provincials posted in Nicomedia on 30 April 311 AD, proclaiming an end to the persecutions, and the resumption of religious toleration.[118] He died soon after the edict's proclamation,[119] destroying what little remained of the tetrarchy.[120] Maximinus mobilized against Licinius, and seized Asia Minor. A hasty peace was signed on a boat in the middle of the Bosphorus.[121] While Constantine toured Britain and Gaul, Maxentius prepared for war.[122] He fortified northern Italy, and strengthened his support in the Christian community by allowing it to elect a new Bishop of Rome, Eusebius.[123]
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Maxentius' rule was nevertheless insecure. His early support dissolved in the wake of heightened tax rates and depressed trade; riots broke out in Rome and Carthage;[124] and Domitius Alexander was able to briefly usurp his authority in Africa.[125] By 312 AD, he was a man barely tolerated, not one actively supported,[126] even among Christian Italians.[127] In the summer of 311 AD, Maxentius mobilized against Constantine while Licinius was occupied with affairs in the East. He declared war on Constantine, vowing to avenge his father's "murder".[128] To prevent Maxentius from forming an alliance against him with Licinius,[129] Constantine forged his own alliance with Licinius over the winter of 311–312 AD, and offered him his sister Constantia in marriage. Maximinus considered Constantine's arrangement with Licinius an affront to his authority. In response, he sent ambassadors to Rome, offering political recognition to Maxentius in exchange for a military support. Maxentius accepted.[130] According to Eusebius, inter-regional travel became impossible, and there was military buildup everywhere. There was "not a place where people were not expecting the onset of hostilities every day".[131]
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Constantine's advisers and generals cautioned against preemptive attack on Maxentius;[132] even his soothsayers recommended against it, stating that the sacrifices had produced unfavourable omens.[133] Constantine, with a spirit that left a deep impression on his followers, inspiring some to believe that he had some form of supernatural guidance,[134] ignored all these cautions.[135] Early in the spring of 312 AD,[136] Constantine crossed the Cottian Alps with a quarter of his army, a force numbering about 40,000.[137] The first town his army encountered was Segusium (Susa, Italy), a heavily fortified town that shut its gates to him. Constantine ordered his men to set fire to its gates and scale its walls. He took the town quickly. Constantine ordered his troops not to loot the town, and advanced with them into northern Italy.[136]
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At the approach to the west of the important city of Augusta Taurinorum (Turin, Italy), Constantine met a large force of heavily armed Maxentian cavalry.[138] In the ensuing battle Constantine's army encircled Maxentius' cavalry, flanked them with his own cavalry, and dismounted them with blows from his soldiers' iron-tipped clubs. Constantine's armies emerged victorious.[139] Turin refused to give refuge to Maxentius' retreating forces, opening its gates to Constantine instead.[140] Other cities of the north Italian plain sent Constantine embassies of congratulation for his victory. He moved on to Milan, where he was met with open gates and jubilant rejoicing. Constantine rested his army in Milan until mid-summer 312 AD, when he moved on to Brixia (Brescia).[141]
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Brescia's army was easily dispersed,[142] and Constantine quickly advanced to Verona, where a large Maxentian force was camped.[143] Ruricius Pompeianus, general of the Veronese forces and Maxentius' praetorian prefect,[144] was in a strong defensive position, since the town was surrounded on three sides by the Adige. Constantine sent a small force north of the town in an attempt to cross the river unnoticed. Ruricius sent a large detachment to counter Constantine's expeditionary force, but was defeated. Constantine's forces successfully surrounded the town and laid siege.[145] Ruricius gave Constantine the slip and returned with a larger force to oppose Constantine. Constantine refused to let up on the siege, and sent only a small force to oppose him. In the desperately fought encounter that followed, Ruricius was killed and his army destroyed.[146] Verona surrendered soon afterwards, followed by Aquileia,[147] Mutina (Modena),[148] and Ravenna.[149] The road to Rome was now wide open to Constantine.[150]
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Maxentius prepared for the same type of war he had waged against Severus and Galerius: he sat in Rome and prepared for a siege.[151] He still controlled Rome's praetorian guards, was well-stocked with African grain, and was surrounded on all sides by the seemingly impregnable Aurelian Walls. He ordered all bridges across the Tiber cut, reportedly on the counsel of the gods,[152] and left the rest of central Italy undefended; Constantine secured that region's support without challenge.[153] Constantine progressed slowly[154] along the Via Flaminia,[155] allowing the weakness of Maxentius to draw his regime further into turmoil.[154] Maxentius' support continued to weaken: at chariot races on 27 October, the crowd openly taunted Maxentius, shouting that Constantine was invincible.[156] Maxentius, no longer certain that he would emerge from a siege victorious, built a temporary boat bridge across the Tiber in preparation for a field battle against Constantine.[157] On 28 October 312 AD, the sixth anniversary of his reign, he approached the keepers of the Sibylline Books for guidance. The keepers prophesied that, on that very day, "the enemy of the Romans" would die. Maxentius advanced north to meet Constantine in battle.[158]
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Maxentius' forces were still twice the size of Constantine's, and he organized them in long lines facing the battle plain with their backs to the river.[159] Constantine's army arrived on the field bearing unfamiliar symbols on their standards and their shields.[160] According to Lactantius "Constantine was directed in a dream to cause the heavenly sign to be delineated on the shields of his soldiers, and so to proceed to battle. He did as he had been commanded, and he marked on their shields the letter Χ, with a perpendicular line drawn through it and turned round thus at the top, being the cipher of Christ. Having this sign (☧), his troops stood to arms."[161] Eusebius describes a vision that Constantine had while marching at midday in which "he saw with his own eyes the trophy of a cross of light in the heavens, above the sun, and bearing the inscription, In Hoc Signo Vinces" ("In this sign thou shalt conquer").[162] In Eusebius's account, Constantine had a dream the following night in which Christ appeared with the same heavenly sign and told him to make an army standard in the form of the labarum.[163] Eusebius is vague about when and where these events took place,[164] but it enters his narrative before the war begins against Maxentius.[165] He describes the sign as Chi (Χ) traversed by Rho (Ρ) to form ☧, representing the first two letters of the Greek word ΧΡΙΣΤΟΣ (Christos).[166][167] A medallion was issued at Ticinum in 315 AD which shows Constantine wearing a helmet emblazoned with the Chi Rho,[168] and coins issued at Siscia in 317/318 AD repeat the image.[169] The figure was otherwise rare and is uncommon in imperial iconography and propaganda before the 320s.[170] It wasn't completely unknown, however, being an abbreviation of the Greek word chrēston (good), having previously appeared on the coins of Ptolemy III, Euergetes I (247-222 BCE).
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Constantine deployed his own forces along the whole length of Maxentius' line. He ordered his cavalry to charge, and they broke Maxentius' cavalry. He then sent his infantry against Maxentius' infantry, pushing many into the Tiber where they were slaughtered and drowned.[159] The battle was brief,[171] and Maxentius' troops were broken before the first charge.[172] His horse guards and praetorians initially held their position, but they broke under the force of a Constantinian cavalry charge; they also broke ranks and fled to the river. Maxentius rode with them and attempted to cross the bridge of boats (Ponte Milvio), but he was pushed into the Tiber and drowned by the mass of his fleeing soldiers.[173]
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Constantine entered Rome on 29 October 312 AD,[175][176] and staged a grand adventus in the city which was met with jubilation.[177] Maxentius' body was fished out of the Tiber and decapitated, and his head was paraded through the streets for all to see.[178] After the ceremonies, the disembodied head was sent to Carthage, and Carthage offered no further resistance.[179] Unlike his predecessors, Constantine neglected to make the trip to the Capitoline Hill and perform customary sacrifices at the Temple of Jupiter.[180] However, he did visit the Senatorial Curia Julia,[181] and he promised to restore its ancestral privileges and give it a secure role in his reformed government; there would be no revenge against Maxentius' supporters.[182] In response, the Senate decreed him "title of the first name", which meant that his name would be listed first in all official documents,[183] and they acclaimed him as "the greatest Augustus".[184] He issued decrees returning property that was lost under Maxentius, recalling political exiles, and releasing Maxentius' imprisoned opponents.[185]
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An extensive propaganda campaign followed, during which Maxentius' image was purged from all public places. He was written up as a "tyrant" and set against an idealized image of Constantine the "liberator". Eusebius is the best representative of this strand of Constantinian propaganda.[186] Maxentius' rescripts were declared invalid, and the honours that he had granted to leaders of the Senate were also invalidated.[187] Constantine also attempted to remove Maxentius' influence on Rome's urban landscape. All structures built by him were rededicated to Constantine, including the Temple of Romulus and the Basilica of Maxentius.[188] At the focal point of the basilica, a stone statue was erected of Constantine holding the Christian labarum in its hand. Its inscription bore the message which the statue illustrated: By this sign, Constantine had freed Rome from the yoke of the tyrant.[189]
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Constantine also sought to upstage Maxentius' achievements. For example, the Circus Maximus was redeveloped so that its seating capacity was 25 times larger than that of Maxentius' racing complex on the Via Appia.[190] Maxentius' strongest military supporters were neutralized when he disbanded the Praetorian Guard and Imperial Horse Guard.[191] The tombstones of the Imperial Horse Guard were ground up and used in a basilica on the Via Labicana,[192] and their former base was redeveloped into the Lateran Basilica on 9 November 312 AD—barely two weeks after Constantine captured the city.[193] The Legio II Parthica was removed from Albano Laziale,[187] and the remainder of Maxentius' armies were sent to do frontier duty on the Rhine.[194]
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In the following years, Constantine gradually consolidated his military superiority over his rivals in the crumbling Tetrarchy. In 313, he met Licinius in Milan to secure their alliance by the marriage of Licinius and Constantine's half-sister Constantia. During this meeting, the emperors agreed on the so-called Edict of Milan,[195]
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officially granting full tolerance to Christianity and all religions in the Empire.[196]
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The document had special benefits for Christians, legalizing their religion and granting them restoration for all property seized during Diocletian's persecution. It repudiates past methods of religious coercion and used only general terms to refer to the divine sphere—"Divinity" and "Supreme Divinity", summa divinitas.[197]
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The conference was cut short, however, when news reached Licinius that his rival Maximinus had crossed the Bosporus and invaded European territory. Licinius departed and eventually defeated Maximinus, gaining control over the entire eastern half of the Roman Empire. Relations between the two remaining emperors deteriorated, as Constantine suffered an assassination attempt at the hands of a character that Licinius wanted elevated to the rank of Caesar;[198] Licinius, for his part, had Constantine's statues in Emona destroyed.[199] In either 314 or 316 AD, the two Augusti fought against one another at the Battle of Cibalae, with Constantine being victorious. They clashed again at the Battle of Mardia in 317, and agreed to a settlement in which Constantine's sons Crispus and Constantine II, and Licinius' son Licinianus were made caesars.[200] After this arrangement, Constantine ruled the dioceses of Pannonia and Macedonia and took residence at Sirmium, whence he could wage war on the Goths and Sarmatians in 322, and on the Goths in 323, defeating and killing their leader Rausimod.[198]
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In the year 320, Licinius allegedly reneged on the religious freedom promised by the Edict of Milan in 313 and began to oppress Christians anew,[201]
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generally without bloodshed, but resorting to confiscations and sacking of Christian office-holders.[202] Although this characterization of Licinius as anti-Christian is somewhat doubtful, the fact is that he seems to have been far less open in his support of Christianity than Constantine. Therefore, Licinius was prone to see the Church as a force more loyal to Constantine than to the Imperial system in general,[203] as the explanation offered by the Church historian Sozomen.[204]
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This dubious arrangement eventually became a challenge to Constantine in the West, climaxing in the great civil war of 324. Licinius, aided by Gothic mercenaries, represented the past and the ancient pagan faiths. Constantine and his Franks marched under the standard of the labarum, and both sides saw the battle in religious terms. Outnumbered, but fired by their zeal, Constantine's army emerged victorious in the Battle of Adrianople. Licinius fled across the Bosphorus and appointed Martinian, his magister officiorum, as nominal Augustus in the West, but Constantine next won the Battle of the Hellespont, and finally the Battle of Chrysopolis on 18 September 324.[205] Licinius and Martinian surrendered to Constantine at Nicomedia on the promise their lives would be spared: they were sent to live as private citizens in Thessalonica and Cappadocia respectively, but in 325 Constantine accused Licinius of plotting against him and had them both arrested and hanged; Licinius' son (the son of Constantine's half-sister) was killed in 326.[206] Thus Constantine became the sole emperor of the Roman Empire.[207]
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Licinius' defeat came to represent the defeat of a rival centre of pagan and Greek-speaking political activity in the East, as opposed to the Christian and Latin-speaking Rome, and it was proposed that a new Eastern capital should represent the integration of the East into the Roman Empire as a whole, as a center of learning, prosperity, and cultural preservation for the whole of the Eastern Roman Empire.[208] Among the various locations proposed for this alternative capital, Constantine appears to have toyed earlier with Serdica (present-day Sofia), as he was reported saying that "Serdica is my Rome".[209] Sirmium and Thessalonica were also considered.[210] Eventually, however, Constantine decided to work on the Greek city of Byzantium, which offered the advantage of having already been extensively rebuilt on Roman patterns of urbanism, during the preceding century, by Septimius Severus and Caracalla, who had already acknowledged its strategic importance.[211] The city was thus founded in 324,[212] dedicated on 11 May 330[212] and renamed Constantinopolis ("Constantine's City" or Constantinople in English). Special commemorative coins were issued in 330 to honor the event. The new city was protected by the relics of the True Cross, the Rod of Moses and other holy relics, though a cameo now at the Hermitage Museum also represented Constantine crowned by the tyche of the new city.[213] The figures of old gods were either replaced or assimilated into a framework of Christian symbolism. Constantine built the new Church of the Holy Apostles on the site of a temple to Aphrodite. Generations later there was the story that a divine vision led Constantine to this spot, and an angel no one else could see led him on a circuit of the new walls.[214] The capital would often be compared to the 'old' Rome as Nova Roma Constantinopolitana, the "New Rome of Constantinople".[207][215]
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Constantine was the first emperor to stop the persecution of Christians and to legalize Christianity, along with all other religions/cults in the Roman Empire. In February 313, he met with Licinius in Milan and developed the Edict of Milan, which stated that Christians should be allowed to follow their faith without oppression.[216][page needed] This removed penalties for professing Christianity, under which many had been martyred previously, and it returned confiscated Church property. The edict protected all religions from persecution, not only Christianity, allowing anyone to worship any deity that they chose. A similar edict had been issued in 311 by Galerius, senior emperor of the Tetrarchy, which granted Christians the right to practise their religion but did not restore any property to them.[217] The Edict of Milan included several clauses which stated that all confiscated churches would be returned, as well as other provisions for previously persecuted Christians. Scholars debate whether Constantine adopted his mother Helena's Christianity in his youth, or whether he adopted it gradually over the course of his life.[218]
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Constantine possibly retained the title of pontifex maximus which emperors bore as heads of the ancient Roman religion until Gratian renounced the title.[219][220] According to Christian writers, Constantine was over 40 when he finally declared himself a Christian, making it clear that he owed his successes to the protection of the Christian High God alone.[221] Despite these declarations of being a Christian, he waited to be baptized on his deathbed, believing that the baptism would release him of any sins he committed in the course of carrying out his policies while emperor.[222] He supported the Church financially, built basilicas, granted privileges to clergy (such as exemption from certain taxes), promoted Christians to high office, and returned property confiscated during the long period of persecution.[223] His most famous building projects include the Church of the Holy Sepulchre and Old Saint Peter's Basilica. In constructing the Old Saint Peter's Basilica, Constantine went to great lengths to erect the basilica on top of St. Peter's resting place, so much so that it even affected the design of the basilica, including the challenge of erecting it on the hill where St. Peter rested, making its complete construction time over 30 years from the date Constantine ordered it to be built.
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Constantine might not have patronized Christianity alone. He built a triumphal arch in 315 to celebrate his victory in the Battle of the Milvian Bridge (312) which was decorated with images of the goddess Victoria, and sacrifices were made to pagan gods at its dedication, including Apollo, Diana, and Hercules. Absent from the Arch are any depictions of Christian symbolism. However, the Arch was commissioned by the Senate, so the absence of Christian symbols may reflect the role of the Curia at the time as a pagan redoubt.[224]
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In 321, he legislated that the venerable Sunday should be a day of rest for all citizens.[225] In 323, he issued a decree banning Christians from participating in state sacrifices.[226] After the pagan gods had disappeared from his coinage, Christian symbols appeared as Constantine's attributes, the chi rho between his hands or on his labarum,[227] as well on the coin itself.[228]
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The reign of Constantine established a precedent for the emperor to have great influence and authority in the early Christian councils, most notably the dispute over Arianism. Constantine disliked the risks to societal stability that religious disputes and controversies brought with them, preferring to establish an orthodoxy.[229] His influence over the Church councils was to enforce doctrine, root out heresy, and uphold ecclesiastical unity; the Church's role was to determine proper worship, doctrines, and dogma.[230]
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North African bishops struggled with Christian bishops who had been ordained by Donatus in opposition to Caecilian from 313 to 316. The African bishops could not come to terms, and the Donatists asked Constantine to act as a judge in the dispute. Three regional Church councils and another trial before Constantine all ruled against Donatus and the Donatism movement in North Africa. In 317, Constantine issued an edict to confiscate Donatist church property and to send Donatist clergy into exile.[231] More significantly, in 325 he summoned the First Council of Nicaea, most known for its dealing with Arianism and for instituting the Nicene Creed. He enforced the council's prohibition against celebrating the Lord's Supper on the day before the Jewish Passover, which marked a definite break of Christianity from the Judaic tradition. From then on, the solar Julian Calendar was given precedence over the lunisolar Hebrew Calendar among the Christian churches of the Roman Empire.[232]
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Constantine made some new laws regarding the Jews; some of them were unfavorable towards Jews, although they were not harsher than those of his predecessors.[233] It was made illegal for Jews to seek converts or to attack other Jews who had converted to Christianity.[233] They were forbidden to own Christian slaves or to circumcise their slaves.[234][235] On the other hand, Jewish clergy were given the same exemptions as Christian clergy.[233][236]
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Beginning in the mid-3rd century, the emperors began to favor members of the equestrian order over senators, who had a monopoly on the most important offices of state. Senators were stripped of the command of legions and most provincial governorships, as it was felt that they lacked the specialized military upbringing needed in an age of acute defense needs;[237] such posts were given to equestrians by Diocletian and his colleagues, following a practice enforced piecemeal by their predecessors. The emperors, however, still needed the talents and the help of the very rich, who were relied on to maintain social order and cohesion by means of a web of powerful influence and contacts at all levels. Exclusion of the old senatorial aristocracy threatened this arrangement.
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In 326, Constantine reversed this pro-equestrian trend, raising many administrative positions to senatorial rank and thus opening these offices to the old aristocracy; at the same time, he elevated the rank of existing equestrian office-holders to senator, degrading the equestrian order in the process (at least as a bureaucratic rank).[238] The title of perfectissimus was granted only to mid- or low-level officials by the end of the 4th century.
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By the new Constantinian arrangement, one could become a senator by being elected praetor or by fulfilling a function of senatorial rank.[239] From then on, holding actual power and social status were melded together into a joint imperial hierarchy. Constantine gained the support of the old nobility with this,[240] as the Senate was allowed itself to elect praetors and quaestors, in place of the usual practice of the emperors directly creating new magistrates (adlectio). An inscription in honor of city prefect (336–337) Ceionius Rufus Albinus states that Constantine had restored the Senate "the auctoritas it had lost at Caesar's time".[241]
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The Senate as a body remained devoid of any significant power; nevertheless, the senators had been marginalized as potential holders of imperial functions during the 3rd century but could now dispute such positions alongside more upstart bureaucrats.[242] Some modern historians see in those administrative reforms an attempt by Constantine at reintegrating the senatorial order into the imperial administrative elite to counter the possibility of alienating pagan senators from a Christianized imperial rule;[243] however, such an interpretation remains conjectural, given the fact that we do not have the precise numbers about pre-Constantine conversions to Christianity in the old senatorial milieu. Some historians suggest that early conversions among the old aristocracy were more numerous than previously supposed.[244]
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Constantine's reforms had to do only with the civilian administration. The military chiefs had risen from the ranks since the Crisis of the Third Century[245] but remained outside the senate, in which they were included only by Constantine's children.[246]
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The third century saw runaway inflation associated with the production of fiat money to pay for public expenses, and Diocletian tried unsuccessfully to re-establish trustworthy minting of silver and billon coins. The failure resided in the fact that the silver currency was overvalued in terms of its actual metal content, and therefore could only circulate at much discounted rates. Constantine stopped minting the Diocletianic "pure" silver argenteus soon after 305, while the billon currency continued to be used until the 360s. From the early 300s on, Constantine forsook any attempts at restoring the silver currency, preferring instead to concentrate on minting large quantities of the gold solidus, 72 of which made a pound of gold. New and highly debased silver pieces continued to be issued during his later reign and after his death, in a continuous process of retariffing, until this bullion minting ceased in 367, and the silver piece was continued by various denominations of bronze coins, the most important being the centenionalis.[247] These bronze pieces continued to be devalued, assuring the possibility of keeping fiduciary minting alongside a gold standard. The author of De Rebus Bellicis held that the rift widened between classes because of this monetary policy; the rich benefited from the stability in purchasing power of the gold piece, while the poor had to cope with ever-degrading bronze pieces.[248] Later emperors such as Julian the Apostate insisted on trustworthy mintings of the bronze currency.[249]
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Constantine's monetary policies were closely associated with his religious policies; increased minting was associated with the confiscation of all gold, silver, and bronze statues from pagan temples between 331 and 336 which were declared to be imperial property. Two imperial commissioners for each province had the task of getting the statues and melting them for immediate minting, with the exception of a number of bronze statues that were used as public monuments in Constantinople.[250]
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Constantine had his eldest son Crispus seized and put to death by "cold poison" at Pola (Pula, Croatia) sometime between 15 May and 17 June 326.[251] In July, he had his wife Empress Fausta (stepmother of Crispus) killed in an overheated bath.[252] Their names were wiped from the face of many inscriptions, references to their lives were eradicated from the literary record, and the memory of both was condemned. Eusebius, for example, edited out any praise of Crispus from later copies of Historia Ecclesiastica, and his Vita Constantini contains no mention of Fausta or Crispus at all.[253] Few ancient sources are willing to discuss possible motives for the events, and the few that do are of later provenance and are generally unreliable.[254] At the time of the executions, it was commonly believed that Empress Fausta was either in an illicit relationship with Crispus or was spreading rumors to that effect. A popular myth arose, modified to allude to the Hippolytus–Phaedra legend, with the suggestion that Constantine killed Crispus and Fausta for their immoralities;[255] the largely fictional Passion of Artemius explicitly makes this connection.[256] The myth rests on slim evidence as an interpretation of the executions; only late and unreliable sources allude to the relationship between Crispus and Fausta, and there is no evidence for the modern suggestion that Constantine's "godly" edicts of 326 and the irregularities of Crispus are somehow connected.[255]
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Although Constantine created his apparent heirs "Caesars", following a pattern established by Diocletian, he gave his creations a hereditary character, alien to the tetrarchic system: Constantine's Caesars were to be kept in the hope of ascending to Empire, and entirely subordinated to their Augustus, as long as he was alive.[257] Therefore, an alternative explanation for the execution of Crispus was, perhaps, Constantine's desire to keep a firm grip on his prospective heirs, this—and Fausta's desire for having her sons inheriting instead of their half-brother—being reason enough for killing Crispus; the subsequent execution of Fausta, however, was probably meant as a reminder to her children that Constantine would not hesitate in "killing his own relatives when he felt this was necessary".[258]
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Constantine considered Constantinople his capital and permanent residence. He lived there for a good portion of his later life. In 328 construction was completed on Constantine's Bridge at Sucidava, (today Celei in Romania)[259] in hopes of reconquering Dacia, a province that had been abandoned under Aurelian. In the late winter of 332, Constantine campaigned with the Sarmatians against the Goths. The weather and lack of food cost the Goths dearly: reportedly, nearly one hundred thousand died before they submitted to Rome. In 334, after Sarmatian commoners had overthrown their leaders, Constantine led a campaign against the tribe. He won a victory in the war and extended his control over the region, as remains of camps and fortifications in the region indicate.[260] Constantine resettled some Sarmatian exiles as farmers in Illyrian and Roman districts, and conscripted the rest into the army. The new frontier in Dacia was along the Brazda lui Novac line supported by new castra.[261] Constantine took the title Dacicus maximus in 336.[262]
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In the last years of his life, Constantine made plans for a campaign against Persia. In a letter written to the king of Persia, Shapur, Constantine had asserted his patronage over Persia's Christian subjects and urged Shapur to treat them well.[263] The letter is undatable. In response to border raids, Constantine sent Constantius to guard the eastern frontier in 335. In 336, Prince Narseh invaded Armenia (a Christian kingdom since 301) and installed a Persian client on the throne. Constantine then resolved to campaign against Persia himself. He treated the war as a Christian crusade, calling for bishops to accompany the army and commissioning a tent in the shape of a church to follow him everywhere. Constantine planned to be baptized in the Jordan River before crossing into Persia. Persian diplomats came to Constantinople over the winter of 336–337, seeking peace, but Constantine turned them away. The campaign was called off, however, when Constantine became sick in the spring of 337.[264]
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Constantine knew death would soon come. Within the Church of the Holy Apostles, Constantine had secretly prepared a final resting-place for himself.[265] It came sooner than he had expected. Soon after the Feast of Easter 337, Constantine fell seriously ill.[266] He left Constantinople for the hot baths near his mother's city of Helenopolis (Altinova), on the southern shores of the Gulf of Nicomedia (present-day Gulf of İzmit). There, in a church his mother built in honor of Lucian the Apostle, he prayed, and there he realized that he was dying. Seeking purification, he became a catechumen, and attempted a return to Constantinople, making it only as far as a suburb of Nicomedia.[267] He summoned the bishops, and told them of his hope to be baptized in the River Jordan, where Christ was written to have been baptized. He requested the baptism right away, promising to live a more Christian life should he live through his illness. The bishops, Eusebius records, "performed the sacred ceremonies according to custom".[268] He chose the Arianizing bishop Eusebius of Nicomedia, bishop of the city where he lay dying, as his baptizer.[269] In postponing his baptism, he followed one custom at the time which postponed baptism until after infancy.[270] It has been thought that Constantine put off baptism as long as he did so as to be absolved from as much of his sin as possible.[271] Constantine died soon after at a suburban villa called Achyron, on the last day of the fifty-day festival of Pentecost directly following Pascha (or Easter), on 22 May 337.[272]
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Although Constantine's death follows the conclusion of the Persian campaign in Eusebius's account, most other sources report his death as occurring in its middle. Emperor Julian the Apostate (a nephew of Constantine), writing in the mid-350s, observes that the Sassanians escaped punishment for their ill-deeds, because Constantine died "in the middle of his preparations for war".[273] Similar accounts are given in the Origo Constantini, an anonymous document composed while Constantine was still living, and which has Constantine dying in Nicomedia;[274] the Historiae abbreviatae of Sextus Aurelius Victor, written in 361, which has Constantine dying at an estate near Nicomedia called Achyrona while marching against the Persians;[275] and the Breviarium of Eutropius, a handbook compiled in 369 for the Emperor Valens, which has Constantine dying in a nameless state villa in Nicomedia.[276] From these and other accounts, some have concluded that Eusebius's Vita was edited to defend Constantine's reputation against what Eusebius saw as a less congenial version of the campaign.[277]
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Following his death, his body was transferred to Constantinople and buried in the Church of the Holy Apostles,[278] in a porphyry sarcophagus that was described in the 10th century by Constantine VII Porphyrogenitus in the De Ceremoniis.[279] His body survived the plundering of the city during the Fourth Crusade in 1204, but was destroyed at some point afterwards.[280] Constantine was succeeded by his three sons born of Fausta, Constantine II, Constantius II and Constans. A number of relatives were killed by followers of Constantius, notably Constantine's nephews Dalmatius (who held the rank of Caesar) and Hannibalianus, presumably to eliminate possible contenders to an already complicated succession. He also had two daughters, Constantina and Helena, wife of Emperor Julian.[281]
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Constantine gained his honorific of "the Great" from Christian historians long after he had died, but he could have claimed the title on his military achievements and victories alone. He reunited the Empire under one emperor, and he won major victories over the Franks and Alamanni in 306–308, the Franks again in 313–314, the Goths in 332, and the Sarmatians in 334. By 336, he had reoccupied most of the long-lost province of Dacia which Aurelian had been forced to abandon in 271. At the time of his death, he was planning a great expedition to end raids on the eastern provinces from the Persian Empire.[283] He served for almost 31 years (combining his years as co-ruler and sole ruler), the second longest-serving emperor behind Augustus.
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In the cultural sphere, Constantine revived the clean-shaven face fashion of the Roman emperors from Augustus to Trajan, which was originally introduced among the Romans by Scipio Africanus. This new Roman imperial fashion lasted until the reign of Phocas.[284][285]
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The Holy Roman Empire reckoned Constantine among the venerable figures of its tradition. In the later Byzantine state, it became a great honor for an emperor to be hailed as a "new Constantine"; ten emperors carried the name, including the last emperor of the Eastern Roman Empire.[286] Charlemagne used monumental Constantinian forms in his court to suggest that he was Constantine's successor and equal. Constantine acquired a mythic role as a warrior against heathens. The motif of the Romanesque equestrian, the mounted figure in the posture of a triumphant Roman emperor, became a visual metaphor in statuary in praise of local benefactors. The name "Constantine" itself enjoyed renewed popularity in western France in the eleventh and twelfth centuries.[287] The Orthodox Church considers Constantine a saint (Άγιος Κωνσταντίνος, Saint Constantine), having a feast day on 21 May,[288] and calls him isapostolos (ισαπόστολος Κωνσταντίνος)—an equal of the Apostles.[289] Although not as celebrated as in Eastern Christianity, he is regarded as a saint by the Roman Catholic Church, with the same feast day.[290]
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The Niš Constantine the Great Airport is named in honor of him. A large Cross was planned to be built on a hill overlooking Niš, but the project was cancelled.[291] In 2012, a memorial was erected in Niš in his honor. The Commemoration of the Edict of Milan was held in Niš in 2013.[292]
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Constantine was presented as a paragon of virtue during his lifetime. Pagans showered him with praise, such as Praxagoras of Athens, and Libanius. His nephew and son-in-law Julian the Apostate, however, wrote the satire Symposium, or the Saturnalia in 361, after the last of his sons died; it denigrated Constantine, calling him inferior to the great pagan emperors, and given over to luxury and greed.[293] Following Julian, Eunapius began—and Zosimus continued—a historiographic tradition that blamed Constantine for weakening the Empire through his indulgence to the Christians.[294]
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Constantine was presented as an ideal ruler during the Middle Ages, the standard against which any king or emperor could be measured.[294] The Renaissance rediscovery of anti-Constantinian sources prompted a re-evaluation of his career. German humanist Johannes Leunclavius discovered Zosimus' writings and published a Latin translation in 1576. In its preface, he argued that Zosimus' picture of Constantine offered a more balanced view than that of Eusebius and the Church historians.[295] Cardinal Caesar Baronius criticized Zosimus, favoring Eusebius' account of the Constantinian era. Baronius' Life of Constantine (1588) presents Constantine as the model of a Christian prince.[296] Edward Gibbon aimed to unite the two extremes of Constantinian scholarship in his work The History of the Decline and Fall of the Roman Empire (1776–89) by contrasting the portraits presented by Eusebius and Zosimus.[297] He presents a noble war hero who transforms into an Oriental despot in his old age, "degenerating into a cruel and dissolute monarch".[298]
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Modern interpretations of Constantine's rule begin with Jacob Burckhardt's The Age of Constantine the Great (1853, rev. 1880). Burckhardt's Constantine is a scheming secularist, a politician who manipulates all parties in a quest to secure his own power.[299] Henri Grégoire followed Burckhardt's evaluation of Constantine in the 1930s, suggesting that Constantine developed an interest in Christianity only after witnessing its political usefulness. Grégoire was skeptical of the authenticity of Eusebius' Vita, and postulated a pseudo-Eusebius to assume responsibility for the vision and conversion narratives of that work.[300] Otto Seeck's Geschichte des Untergangs der antiken Welt (1920–23) and André Piganiol's L'empereur Constantin (1932) go against this historiographic tradition. Seeck presents Constantine as a sincere war hero whose ambiguities were the product of his own naïve inconsistency.[301] Piganiol's Constantine is a philosophical monotheist, a child of his era's religious syncretism.[302] Related histories by Arnold Hugh Martin Jones (Constantine and the Conversion of Europe, 1949) and Ramsay MacMullen (Constantine, 1969) give portraits of a less visionary and more impulsive Constantine.[303]
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These later accounts were more willing to present Constantine as a genuine convert to Christianity. Norman H. Baynes began a historiographic tradition with Constantine the Great and the Christian Church (1929) which presents Constantine as a committed Christian, reinforced by Andreas Alföldi's The Conversion of Constantine and Pagan Rome (1948), and Timothy Barnes's Constantine and Eusebius (1981) is the culmination of this trend. Barnes' Constantine experienced a radical conversion which drove him on a personal crusade to convert his empire.[304] Charles Matson Odahl's Constantine and the Christian Empire (2004) takes much the same tack.[305] In spite of Barnes' work, arguments continue over the strength and depth of Constantine's religious conversion.[306] Certain themes in this school reached new extremes in T.G. Elliott's The Christianity of Constantine the Great (1996), which presented Constantine as a committed Christian from early childhood.[307] Paul Veyne's 2007 work Quand notre monde est devenu chrétien holds a similar view which does not speculate on the origin of Constantine's Christian motivation, but presents him as a religious revolutionary who fervently believed that he was meant "to play a providential role in the millenary economy of the salvation of humanity".[308]
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Latin Rite Catholics considered it inappropriate that Constantine was baptized only on his death bed by an unorthodox bishop, as it undermined the authority of the Papacy, and a legend emerged by the early fourth century that Pope Sylvester I (314–335) had cured the pagan emperor from leprosy. According to this legend, Constantine was soon baptized and began the construction of a church in the Lateran Palace.[309] The Donation of Constantine appeared in the eighth century, most likely during the pontificate of Pope Stephen II (752–757), in which the freshly converted Constantine gives "the city of Rome and all the provinces, districts, and cities of Italy and the Western regions" to Sylvester and his successors.[310] In the High Middle Ages, this document was used and accepted as the basis for the Pope's temporal power, though it was denounced as a forgery by Emperor Otto III[311] and lamented as the root of papal worldliness by Dante Alighieri.[312] Philologist and Catholic priest Lorenzo Valla proved that the document was indeed a forgery.[313]
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During the medieval period, Britons regarded Constantine as a king of their own people, particularly associating him with Caernarfon in Gwynedd. While some of this is owed to his fame and his proclamation as Emperor in Britain, there was also confusion of his family with Magnus Maximus's supposed wife Saint Elen and her son, another Constantine (Welsh: Custennin). In the 12th century Henry of Huntingdon included a passage in his Historia Anglorum that the Emperor Constantine's mother was a Briton, making her the daughter of King Cole of Colchester.[314] Geoffrey of Monmouth expanded this story in his highly fictionalized Historia Regum Britanniae, an account of the supposed Kings of Britain from their Trojan origins to the Anglo-Saxon invasion.[315] According to Geoffrey, Cole was King of the Britons when Constantius, here a senator, came to Britain. Afraid of the Romans, Cole submitted to Roman law so long as he retained his kingship. However, he died only a month later, and Constantius took the throne himself, marrying Cole's daughter Helena. They had their son Constantine, who succeeded his father as King of Britain before becoming Roman Emperor.
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Historically, this series of events is extremely improbable. Constantius had already left Helena by the time he left for Britain.[42] Additionally, no earlier source mentions that Helena was born in Britain, let alone that she was a princess. Henry's source for the story is unknown, though it may have been a lost hagiography of Helena.[315]
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Constantine the Great (Latin: Flavius Valerius Constantinus; Ancient Greek: Κωνσταντῖνος, romanized: Kōnstantînos; 27 February c. 272 – 22 May 337), also known as Constantine I, was a Roman emperor from AD 306 to 337. Born in Dacia Ripensis (now Serbia), he was the son of Flavius Constantius, an Illyrian army officer who became one of the four emperors of the Tetrarchy. His mother, Helena, was Greek and of low birth. Constantine served with distinction under emperors Diocletian and Galerius campaigning in the eastern provinces against barbarians and the Persians, before being recalled west in 305 to fight under his father in Britain. After his father's death in 306, Constantine was acclaimed as emperor by the army at Eboracum (York). He emerged victorious in the civil wars against emperors Maxentius and Licinius to become sole ruler of the Roman Empire by 324.
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As emperor, Constantine enacted administrative, financial, social and military reforms to strengthen the empire. He restructured the government, separating civil and military authorities. To combat inflation he introduced the solidus, a new gold coin that became the standard for Byzantine and European currencies for more than a thousand years. The Roman army was reorganised to consist of mobile units (comitatenses), and garrison troops (limitanei) capable of countering internal threats and barbarian invasions. Constantine pursued successful campaigns against the tribes on the Roman frontiers—the Franks, the Alamanni, the Goths and the Sarmatians—even resettling territories abandoned by his predecessors during the Crisis of the Third Century.
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Constantine was the first Roman emperor to convert to Christianity.[notes 1] Although he lived much of his life as a pagan, and later as a catechumen, he joined the Christian religion on his deathbed, being baptised by Eusebius of Nicomedia. He played an influential role in the proclamation of the Edict of Milan in 313, which declared tolerance for Christianity in the Roman Empire. He convoked the First Council of Nicaea in 325, which produced the statement of Christian belief known as the Nicene Creed.[3] The Church of the Holy Sepulchre was built on his orders at the purported site of Jesus' tomb in Jerusalem and became the holiest place in Christendom. The Papal claim to temporal power in the High Middle Ages was based on the fabricated Donation of Constantine. He has historically been referred to as the "First Christian Emperor" and he did favour the Christian Church. While some modern scholars debate his beliefs and even his comprehension of Christianity,[notes 2] he is venerated as a saint in Roman Catholicism and Eastern Orthodoxy.
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The age of Constantine marked a distinct epoch in the history of the Roman Empire.[6] He built a new imperial residence at Byzantium and renamed the city Constantinople (now Istanbul) after himself (the laudatory epithet of "New Rome" emerged in his time, and was never an official title). It subsequently became the capital of the Empire for more than a thousand years, the later Eastern Roman Empire being referred to as the Byzantine Empire by modern historians. His more immediate political legacy was that he replaced Diocletian's Tetrarchy with the de facto principle of dynastic succession, by leaving the empire to his sons and other members of the Constantinian dynasty. His reputation flourished during the lifetime of his children and for centuries after his reign. The medieval church held him up as a paragon of virtue, while secular rulers invoked him as a prototype, a point of reference and the symbol of imperial legitimacy and identity.[7] Beginning with the Renaissance, there were more critical appraisals of his reign, due to the rediscovery of anti-Constantinian sources. Trends in modern and recent scholarship have attempted to balance the extremes of previous scholarship.
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Constantine was a ruler of major importance, and he has always been a controversial figure.[8] The fluctuations in his reputation reflect the nature of the ancient sources for his reign. These are abundant and detailed,[9] but they have been strongly influenced by the official propaganda of the period[10] and are often one-sided;[11] no contemporaneous histories or biographies dealing with his life and rule have survived.[12] The nearest replacement is Eusebius's Vita Constantini—a mixture of eulogy and hagiography[13] written between AD 335 and circa AD 339[14]—that extols Constantine's moral and religious virtues.[15] The Vita creates a contentiously positive image of Constantine,[16] and modern historians have frequently challenged its reliability.[17] The fullest secular life of Constantine is the anonymous Origo Constantini,[18] a work of uncertain date,[19] which focuses on military and political events to the neglect of cultural and religious matters.[20]
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Lactantius' De Mortibus Persecutorum, a political Christian pamphlet on the reigns of Diocletian and the Tetrarchy, provides valuable but tendentious detail on Constantine's predecessors and early life.[21] The ecclesiastical histories of Socrates, Sozomen, and Theodoret describe the ecclesiastic disputes of Constantine's later reign.[22] Written during the reign of Theodosius II (AD 408–450), a century after Constantine's reign, these ecclesiastical historians obscure the events and theologies of the Constantinian period through misdirection, misrepresentation, and deliberate obscurity.[23] The contemporary writings of the orthodox Christian Athanasius, and the ecclesiastical history of the Arian Philostorgius also survive, though their biases are no less firm.[24]
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The epitomes of Aurelius Victor (De Caesaribus), Eutropius (Breviarium), Festus (Breviarium), and the anonymous author of the Epitome de Caesaribus offer compressed secular political and military histories of the period. Although not Christian, the epitomes paint a favourable image of Constantine but omit reference to Constantine's religious policies.[25] The Panegyrici Latini, a collection of panegyrics from the late third and early fourth centuries, provide valuable information on the politics and ideology of the tetrarchic period and the early life of Constantine.[26] Contemporary architecture, such as the Arch of Constantine in Rome and palaces in Gamzigrad and Córdoba,[27] epigraphic remains, and the coinage of the era complement the literary sources.[28]
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Flavius Valerius Constantinus, as he was originally named, was born in the city of Naissus, (today Niš, Serbia) part of the Dardania province of Moesia on 27 February,[29] probably c. AD 272.[30] His father was Flavius Constantius, an Illyrian,[31][32] and a native of Dardania province of Moesia (later Dacia Ripensis).[33] Constantine probably spent little time with his father[34] who was an officer in the Roman army, part of the Emperor Aurelian's imperial bodyguard. Being described as a tolerant and politically skilled man,[35] Constantius advanced through the ranks, earning the governorship of Dalmatia from Emperor Diocletian, another of Aurelian's companions from Illyricum, in 284 or 285.[33] Constantine's mother was Helena, a Greek woman of low social standing from Helenopolis of Bithynia.[36] It is uncertain whether she was legally married to Constantius or merely his concubine.[37] His main language was Latin, and during his public speeches he needed Greek translators.[38]
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In July AD 285, Diocletian declared Maximian, another colleague from Illyricum, his co-emperor. Each emperor would have his own court, his own military and administrative faculties, and each would rule with a separate praetorian prefect as chief lieutenant.[39] Maximian ruled in the West, from his capitals at Mediolanum (Milan, Italy) or Augusta Treverorum (Trier, Germany), while Diocletian ruled in the East, from Nicomedia (İzmit, Turkey). The division was merely pragmatic: the empire was called "indivisible" in official panegyric,[40] and both emperors could move freely throughout the empire.[41] In 288, Maximian appointed Constantius to serve as his praetorian prefect in Gaul. Constantius left Helena to marry Maximian's stepdaughter Theodora in 288 or 289.[42]
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Diocletian divided the Empire again in AD 293, appointing two caesars (junior emperors) to rule over further subdivisions of East and West. Each would be subordinate to their respective augustus (senior emperor) but would act with supreme authority in his assigned lands. This system would later be called the Tetrarchy. Diocletian's first appointee for the office of caesar was Constantius; his second was Galerius, a native of Felix Romuliana. According to Lactantius, Galerius was a brutal, animalistic man. Although he shared the paganism of Rome's aristocracy, he seemed to them an alien figure, a semi-barbarian.[43] On 1 March, Constantius was promoted to the office of caesar, and dispatched to Gaul to fight the rebels Carausius and Allectus.[44] In spite of meritocratic overtones, the Tetrarchy retained vestiges of hereditary privilege,[45] and Constantine became the prime candidate for future appointment as caesar as soon as his father took the position. Constantine went to the court of Diocletian, where he lived as his father's heir presumptive.[46]
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Constantine's parents and siblings, the dates in square brackets indicate the possession of minor titles
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Constantine received a formal education at Diocletian's court, where he learned Latin literature, Greek, and philosophy.[47] The cultural environment in Nicomedia was open, fluid, and socially mobile; in it, Constantine could mix with intellectuals both pagan and Christian. He may have attended the lectures of Lactantius, a Christian scholar of Latin in the city.[48] Because Diocletian did not completely trust Constantius—none of the Tetrarchs fully trusted their colleagues—Constantine was held as something of a hostage, a tool to ensure Constantius' best behavior. Constantine was nonetheless a prominent member of the court: he fought for Diocletian and Galerius in Asia and served in a variety of tribunates; he campaigned against barbarians on the Danube in AD 296 and fought the Persians under Diocletian in Syria (AD 297), as well as under Galerius in Mesopotamia (AD 298–299).[49] By late AD 305, he had become a tribune of the first order, a tribunus ordinis primi.[50]
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Constantine had returned to Nicomedia from the eastern front by the spring of AD 303, in time to witness the beginnings of Diocletian's "Great Persecution", the most severe persecution of Christians in Roman history.[51] In late 302, Diocletian and Galerius sent a messenger to the oracle of Apollo at Didyma with an inquiry about Christians.[52] Constantine could recall his presence at the palace when the messenger returned, when Diocletian accepted his court's demands for universal persecution.[53] On 23 February AD 303, Diocletian ordered the destruction of Nicomedia's new church, condemned its scriptures to the flames, and had its treasures seized. In the months that followed, churches and scriptures were destroyed, Christians were deprived of official ranks, and priests were imprisoned.[54]
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It is unlikely that Constantine played any role in the persecution.[55] In his later writings, he would attempt to present himself as an opponent of Diocletian's "sanguinary edicts" against the "Worshippers of God",[56] but nothing indicates that he opposed it effectively at the time.[57] Although no contemporary Christian challenged Constantine for his inaction during the persecutions, it remained a political liability throughout his life.[58]
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On 1 May AD 305, Diocletian, as a result of a debilitating sickness taken in the winter of AD 304–305, announced his resignation. In a parallel ceremony in Milan, Maximian did the same.[59] Lactantius states that Galerius manipulated the weakened Diocletian into resigning, and forced him to accept Galerius' allies in the imperial succession. According to Lactantius, the crowd listening to Diocletian's resignation speech believed, until the very last moment, that Diocletian would choose Constantine and Maxentius (Maximian's son) as his successors.[60] It was not to be: Constantius and Galerius were promoted to augusti, while Severus and Maximinus Daia, Galerius' nephew, were appointed their caesars respectively. Constantine and Maxentius were ignored.[61]
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Some of the ancient sources detail plots that Galerius made on Constantine's life in the months following Diocletian's abdication. They assert that Galerius assigned Constantine to lead an advance unit in a cavalry charge through a swamp on the middle Danube, made him enter into single combat with a lion, and attempted to kill him in hunts and wars. Constantine always emerged victorious: the lion emerged from the contest in a poorer condition than Constantine; Constantine returned to Nicomedia from the Danube with a Sarmatian captive to drop at Galerius' feet.[62] It is uncertain how much these tales can be trusted.[63]
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Constantine recognized the implicit danger in remaining at Galerius' court, where he was held as a virtual hostage. His career depended on being rescued by his father in the west. Constantius was quick to intervene.[64] In the late spring or early summer of AD 305, Constantius requested leave for his son to help him campaign in Britain. After a long evening of drinking, Galerius granted the request. Constantine's later propaganda describes how he fled the court in the night, before Galerius could change his mind. He rode from post-house to post-house at high speed, hamstringing every horse in his wake.[65] By the time Galerius awoke the following morning, Constantine had fled too far to be caught.[66] Constantine joined his father in Gaul, at Bononia (Boulogne) before the summer of AD 305.[67]
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From Bononia, they crossed the Channel to Britain and made their way to Eboracum (York), capital of the province of Britannia Secunda and home to a large military base. Constantine was able to spend a year in northern Britain at his father's side, campaigning against the Picts beyond Hadrian's Wall in the summer and autumn.[68] Constantius' campaign, like that of Septimius Severus before it, probably advanced far into the north without achieving great success.[69] Constantius had become severely sick over the course of his reign, and died on 25 July 306 in Eboracum. Before dying, he declared his support for raising Constantine to the rank of full augustus. The Alamannic king Chrocus, a barbarian taken into service under Constantius, then proclaimed Constantine as augustus. The troops loyal to Constantius' memory followed him in acclamation. Gaul and Britain quickly accepted his rule;[70] Hispania, which had been in his father's domain for less than a year, rejected it.[71]
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Constantine sent Galerius an official notice of Constantius' death and his own acclamation. Along with the notice, he included a portrait of himself in the robes of an augustus.[72] The portrait was wreathed in bay.[73] He requested recognition as heir to his father's throne, and passed off responsibility for his unlawful ascension on his army, claiming they had "forced it upon him".[74] Galerius was put into a fury by the message; he almost set the portrait and messenger on fire.[75] His advisers calmed him, and argued that outright denial of Constantine's claims would mean certain war.[76] Galerius was compelled to compromise: he granted Constantine the title "caesar" rather than "augustus" (the latter office went to Severus instead).[77] Wishing to make it clear that he alone gave Constantine legitimacy, Galerius personally sent Constantine the emperor's traditional purple robes.[78] Constantine accepted the decision,[77] knowing that it would remove doubts as to his legitimacy.[79]
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Constantine's share of the Empire consisted of Britain, Gaul, and Spain, and he commanded one of the largest Roman armies which was stationed along the important Rhine frontier.[80] He remained in Britain after his promotion to emperor, driving back the tribes of the Picts and securing his control in the northwestern dioceses. He completed the reconstruction of military bases begun under his father's rule, and he ordered the repair of the region's roadways.[81] He then left for Augusta Treverorum (Trier) in Gaul, the Tetrarchic capital of the northwestern Roman Empire.[82] The Franks learned of Constantine's acclamation and invaded Gaul across the lower Rhine over the winter of 306–307 AD.[83] He drove them back beyond the Rhine and captured Kings Ascaric and Merogais; the kings and their soldiers were fed to the beasts of Trier's amphitheatre in the adventus (arrival) celebrations which followed.[84]
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Constantine began a major expansion of Trier. He strengthened the circuit wall around the city with military towers and fortified gates, and he began building a palace complex in the northeastern part of the city. To the south of his palace, he ordered the construction of a large formal audience hall and a massive imperial bathhouse. He sponsored many building projects throughout Gaul during his tenure as emperor of the West, especially in Augustodunum (Autun) and Arelate (Arles).[86] According to Lactantius, Constantine followed a tolerant policy towards Christianity, although he was not yet a Christian himself. He probably judged it a more sensible policy than open persecution[87] and a way to distinguish himself from the "great persecutor" Galerius.[88] He decreed a formal end to persecution and returned to Christians all that they had lost during them.[89]
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Constantine was largely untried and had a hint of illegitimacy about him; he relied on his father's reputation in his early propaganda, which gave as much coverage to his father's deeds as to his.[90] His military skill and building projects, however, soon gave the panegyrist the opportunity to comment favourably on the similarities between father and son, and Eusebius remarked that Constantine was a "renewal, as it were, in his own person, of his father's life and reign".[91] Constantinian coinage, sculpture, and oratory also show a new tendency for disdain towards the "barbarians" beyond the frontiers. He minted a coin issue after his victory over the Alemanni which depicts weeping and begging Alemannic tribesmen, "the Alemanni conquered" beneath the phrase "Romans' rejoicing".[92] There was little sympathy for these enemies; as his panegyrist declared, "It is a stupid clemency that spares the conquered foe."[93]
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Following Galerius' recognition of Constantine as caesar, Constantine's portrait was brought to Rome, as was customary. Maxentius mocked the portrait's subject as the son of a harlot and lamented his own powerlessness.[94] Maxentius, envious of Constantine's authority,[95] seized the title of emperor on 28 October 306 AD. Galerius refused to recognize him but failed to unseat him. Galerius sent Severus against Maxentius, but during the campaign, Severus' armies, previously under command of Maxentius' father Maximian, defected, and Severus was seized and imprisoned.[96] Maximian, brought out of retirement by his son's rebellion, left for Gaul to confer with Constantine in late 307 AD. He offered to marry his daughter Fausta to Constantine and elevate him to augustan rank. In return, Constantine would reaffirm the old family alliance between Maximian and Constantius and offer support to Maxentius' cause in Italy. Constantine accepted and married Fausta in Trier in late summer 307 AD. Constantine now gave Maxentius his meagre support, offering Maxentius political recognition.[97]
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Constantine remained aloof from the Italian conflict, however. Over the spring and summer of 307 AD, he had left Gaul for Britain to avoid any involvement in the Italian turmoil;[98] now, instead of giving Maxentius military aid, he sent his troops against Germanic tribes along the Rhine. In 308 AD, he raided the territory of the Bructeri, and made a bridge across the Rhine at Colonia Agrippinensium (Cologne). In 310 AD, he marched to the northern Rhine and fought the Franks. When not campaigning, he toured his lands advertising his benevolence and supporting the economy and the arts. His refusal to participate in the war increased his popularity among his people and strengthened his power base in the West.[99] Maximian returned to Rome in the winter of 307–308 AD, but soon fell out with his son. In early 308 AD, after a failed attempt to usurp Maxentius' title, Maximian returned to Constantine's court.[100]
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On 11 November 308 AD, Galerius called a general council at the military city of Carnuntum (Petronell-Carnuntum, Austria) to resolve the instability in the western provinces. In attendance were Diocletian, briefly returned from retirement, Galerius, and Maximian. Maximian was forced to abdicate again and Constantine was again demoted to caesar. Licinius, one of Galerius' old military companions, was appointed augustus in the western regions. The new system did not last long: Constantine refused to accept the demotion, and continued to style himself as augustus on his coinage, even as other members of the Tetrarchy referred to him as a caesar on theirs. Maximinus Daia was frustrated that he had been passed over for promotion while the newcomer Licinius had been raised to the office of augustus and demanded that Galerius promote him. Galerius offered to call both Maximinus and Constantine "sons of the augusti",[101] but neither accepted the new title. By the spring of 310 AD, Galerius was referring to both men as augusti.[102]
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In 310 AD, a dispossessed Maximian rebelled against Constantine while Constantine was away campaigning against the Franks. Maximian had been sent south to Arles with a contingent of Constantine's army, in preparation for any attacks by Maxentius in southern Gaul. He announced that Constantine was dead, and took up the imperial purple. In spite of a large donative pledge to any who would support him as emperor, most of Constantine's army remained loyal to their emperor, and Maximian was soon compelled to leave. Constantine soon heard of the rebellion, abandoned his campaign against the Franks, and marched his army up the Rhine.[104] At Cabillunum (Chalon-sur-Saône), he moved his troops onto waiting boats to row down the slow waters of the Saône to the quicker waters of the Rhone. He disembarked at Lugdunum (Lyon).[105] Maximian fled to Massilia (Marseille), a town better able to withstand a long siege than Arles. It made little difference, however, as loyal citizens opened the rear gates to Constantine. Maximian was captured and reproved for his crimes. Constantine granted some clemency, but strongly encouraged his suicide. In July 310 AD, Maximian hanged himself.[104]
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In spite of the earlier rupture in their relations, Maxentius was eager to present himself as his father's devoted son after his death.[106] He began minting coins with his father's deified image, proclaiming his desire to avenge Maximian's death.[107] Constantine initially presented the suicide as an unfortunate family tragedy. By 311 AD, however, he was spreading another version. According to this, after Constantine had pardoned him, Maximian planned to murder Constantine in his sleep. Fausta learned of the plot and warned Constantine, who put a eunuch in his own place in bed. Maximian was apprehended when he killed the eunuch and was offered suicide, which he accepted.[108] Along with using propaganda, Constantine instituted a damnatio memoriae on Maximian, destroying all inscriptions referring to him and eliminating any public work bearing his image.[109]
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The death of Maximian required a shift in Constantine's public image. He could no longer rely on his connection to the elder Emperor Maximian, and needed a new source of legitimacy.[110] In a speech delivered in Gaul on 25 July 310 AD, the anonymous orator reveals a previously unknown dynastic connection to Claudius II, a 3rd-century emperor famed for defeating the Goths and restoring order to the empire. Breaking away from tetrarchic models, the speech emphasizes Constantine's ancestral prerogative to rule, rather than principles of imperial equality. The new ideology expressed in the speech made Galerius and Maximian irrelevant to Constantine's right to rule.[111] Indeed, the orator emphasizes ancestry to the exclusion of all other factors: "No chance agreement of men, nor some unexpected consequence of favor, made you emperor," the orator declares to Constantine.[112]
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The oration also moves away from the religious ideology of the Tetrarchy, with its focus on twin dynasties of Jupiter and Hercules. Instead, the orator proclaims that Constantine experienced a divine vision of Apollo and Victory granting him laurel wreaths of health and a long reign. In the likeness of Apollo, Constantine recognized himself as the saving figure to whom would be granted "rule of the whole world",[113] as the poet Virgil had once foretold.[114] The oration's religious shift is paralleled by a similar shift in Constantine's coinage. In his early reign, the coinage of Constantine advertised Mars as his patron. From 310 AD on, Mars was replaced by Sol Invictus, a god conventionally identified with Apollo.[115] There is little reason to believe that either the dynastic connection or the divine vision are anything other than fiction, but their proclamation strengthened Constantine's claims to legitimacy and increased his popularity among the citizens of Gaul.[116]
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By the middle of 310 AD, Galerius had become too ill to involve himself in imperial politics.[117] His final act survives: a letter to provincials posted in Nicomedia on 30 April 311 AD, proclaiming an end to the persecutions, and the resumption of religious toleration.[118] He died soon after the edict's proclamation,[119] destroying what little remained of the tetrarchy.[120] Maximinus mobilized against Licinius, and seized Asia Minor. A hasty peace was signed on a boat in the middle of the Bosphorus.[121] While Constantine toured Britain and Gaul, Maxentius prepared for war.[122] He fortified northern Italy, and strengthened his support in the Christian community by allowing it to elect a new Bishop of Rome, Eusebius.[123]
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Maxentius' rule was nevertheless insecure. His early support dissolved in the wake of heightened tax rates and depressed trade; riots broke out in Rome and Carthage;[124] and Domitius Alexander was able to briefly usurp his authority in Africa.[125] By 312 AD, he was a man barely tolerated, not one actively supported,[126] even among Christian Italians.[127] In the summer of 311 AD, Maxentius mobilized against Constantine while Licinius was occupied with affairs in the East. He declared war on Constantine, vowing to avenge his father's "murder".[128] To prevent Maxentius from forming an alliance against him with Licinius,[129] Constantine forged his own alliance with Licinius over the winter of 311–312 AD, and offered him his sister Constantia in marriage. Maximinus considered Constantine's arrangement with Licinius an affront to his authority. In response, he sent ambassadors to Rome, offering political recognition to Maxentius in exchange for a military support. Maxentius accepted.[130] According to Eusebius, inter-regional travel became impossible, and there was military buildup everywhere. There was "not a place where people were not expecting the onset of hostilities every day".[131]
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Constantine's advisers and generals cautioned against preemptive attack on Maxentius;[132] even his soothsayers recommended against it, stating that the sacrifices had produced unfavourable omens.[133] Constantine, with a spirit that left a deep impression on his followers, inspiring some to believe that he had some form of supernatural guidance,[134] ignored all these cautions.[135] Early in the spring of 312 AD,[136] Constantine crossed the Cottian Alps with a quarter of his army, a force numbering about 40,000.[137] The first town his army encountered was Segusium (Susa, Italy), a heavily fortified town that shut its gates to him. Constantine ordered his men to set fire to its gates and scale its walls. He took the town quickly. Constantine ordered his troops not to loot the town, and advanced with them into northern Italy.[136]
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At the approach to the west of the important city of Augusta Taurinorum (Turin, Italy), Constantine met a large force of heavily armed Maxentian cavalry.[138] In the ensuing battle Constantine's army encircled Maxentius' cavalry, flanked them with his own cavalry, and dismounted them with blows from his soldiers' iron-tipped clubs. Constantine's armies emerged victorious.[139] Turin refused to give refuge to Maxentius' retreating forces, opening its gates to Constantine instead.[140] Other cities of the north Italian plain sent Constantine embassies of congratulation for his victory. He moved on to Milan, where he was met with open gates and jubilant rejoicing. Constantine rested his army in Milan until mid-summer 312 AD, when he moved on to Brixia (Brescia).[141]
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Brescia's army was easily dispersed,[142] and Constantine quickly advanced to Verona, where a large Maxentian force was camped.[143] Ruricius Pompeianus, general of the Veronese forces and Maxentius' praetorian prefect,[144] was in a strong defensive position, since the town was surrounded on three sides by the Adige. Constantine sent a small force north of the town in an attempt to cross the river unnoticed. Ruricius sent a large detachment to counter Constantine's expeditionary force, but was defeated. Constantine's forces successfully surrounded the town and laid siege.[145] Ruricius gave Constantine the slip and returned with a larger force to oppose Constantine. Constantine refused to let up on the siege, and sent only a small force to oppose him. In the desperately fought encounter that followed, Ruricius was killed and his army destroyed.[146] Verona surrendered soon afterwards, followed by Aquileia,[147] Mutina (Modena),[148] and Ravenna.[149] The road to Rome was now wide open to Constantine.[150]
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Maxentius prepared for the same type of war he had waged against Severus and Galerius: he sat in Rome and prepared for a siege.[151] He still controlled Rome's praetorian guards, was well-stocked with African grain, and was surrounded on all sides by the seemingly impregnable Aurelian Walls. He ordered all bridges across the Tiber cut, reportedly on the counsel of the gods,[152] and left the rest of central Italy undefended; Constantine secured that region's support without challenge.[153] Constantine progressed slowly[154] along the Via Flaminia,[155] allowing the weakness of Maxentius to draw his regime further into turmoil.[154] Maxentius' support continued to weaken: at chariot races on 27 October, the crowd openly taunted Maxentius, shouting that Constantine was invincible.[156] Maxentius, no longer certain that he would emerge from a siege victorious, built a temporary boat bridge across the Tiber in preparation for a field battle against Constantine.[157] On 28 October 312 AD, the sixth anniversary of his reign, he approached the keepers of the Sibylline Books for guidance. The keepers prophesied that, on that very day, "the enemy of the Romans" would die. Maxentius advanced north to meet Constantine in battle.[158]
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Maxentius' forces were still twice the size of Constantine's, and he organized them in long lines facing the battle plain with their backs to the river.[159] Constantine's army arrived on the field bearing unfamiliar symbols on their standards and their shields.[160] According to Lactantius "Constantine was directed in a dream to cause the heavenly sign to be delineated on the shields of his soldiers, and so to proceed to battle. He did as he had been commanded, and he marked on their shields the letter Χ, with a perpendicular line drawn through it and turned round thus at the top, being the cipher of Christ. Having this sign (☧), his troops stood to arms."[161] Eusebius describes a vision that Constantine had while marching at midday in which "he saw with his own eyes the trophy of a cross of light in the heavens, above the sun, and bearing the inscription, In Hoc Signo Vinces" ("In this sign thou shalt conquer").[162] In Eusebius's account, Constantine had a dream the following night in which Christ appeared with the same heavenly sign and told him to make an army standard in the form of the labarum.[163] Eusebius is vague about when and where these events took place,[164] but it enters his narrative before the war begins against Maxentius.[165] He describes the sign as Chi (Χ) traversed by Rho (Ρ) to form ☧, representing the first two letters of the Greek word ΧΡΙΣΤΟΣ (Christos).[166][167] A medallion was issued at Ticinum in 315 AD which shows Constantine wearing a helmet emblazoned with the Chi Rho,[168] and coins issued at Siscia in 317/318 AD repeat the image.[169] The figure was otherwise rare and is uncommon in imperial iconography and propaganda before the 320s.[170] It wasn't completely unknown, however, being an abbreviation of the Greek word chrēston (good), having previously appeared on the coins of Ptolemy III, Euergetes I (247-222 BCE).
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Constantine deployed his own forces along the whole length of Maxentius' line. He ordered his cavalry to charge, and they broke Maxentius' cavalry. He then sent his infantry against Maxentius' infantry, pushing many into the Tiber where they were slaughtered and drowned.[159] The battle was brief,[171] and Maxentius' troops were broken before the first charge.[172] His horse guards and praetorians initially held their position, but they broke under the force of a Constantinian cavalry charge; they also broke ranks and fled to the river. Maxentius rode with them and attempted to cross the bridge of boats (Ponte Milvio), but he was pushed into the Tiber and drowned by the mass of his fleeing soldiers.[173]
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Constantine entered Rome on 29 October 312 AD,[175][176] and staged a grand adventus in the city which was met with jubilation.[177] Maxentius' body was fished out of the Tiber and decapitated, and his head was paraded through the streets for all to see.[178] After the ceremonies, the disembodied head was sent to Carthage, and Carthage offered no further resistance.[179] Unlike his predecessors, Constantine neglected to make the trip to the Capitoline Hill and perform customary sacrifices at the Temple of Jupiter.[180] However, he did visit the Senatorial Curia Julia,[181] and he promised to restore its ancestral privileges and give it a secure role in his reformed government; there would be no revenge against Maxentius' supporters.[182] In response, the Senate decreed him "title of the first name", which meant that his name would be listed first in all official documents,[183] and they acclaimed him as "the greatest Augustus".[184] He issued decrees returning property that was lost under Maxentius, recalling political exiles, and releasing Maxentius' imprisoned opponents.[185]
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An extensive propaganda campaign followed, during which Maxentius' image was purged from all public places. He was written up as a "tyrant" and set against an idealized image of Constantine the "liberator". Eusebius is the best representative of this strand of Constantinian propaganda.[186] Maxentius' rescripts were declared invalid, and the honours that he had granted to leaders of the Senate were also invalidated.[187] Constantine also attempted to remove Maxentius' influence on Rome's urban landscape. All structures built by him were rededicated to Constantine, including the Temple of Romulus and the Basilica of Maxentius.[188] At the focal point of the basilica, a stone statue was erected of Constantine holding the Christian labarum in its hand. Its inscription bore the message which the statue illustrated: By this sign, Constantine had freed Rome from the yoke of the tyrant.[189]
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Constantine also sought to upstage Maxentius' achievements. For example, the Circus Maximus was redeveloped so that its seating capacity was 25 times larger than that of Maxentius' racing complex on the Via Appia.[190] Maxentius' strongest military supporters were neutralized when he disbanded the Praetorian Guard and Imperial Horse Guard.[191] The tombstones of the Imperial Horse Guard were ground up and used in a basilica on the Via Labicana,[192] and their former base was redeveloped into the Lateran Basilica on 9 November 312 AD—barely two weeks after Constantine captured the city.[193] The Legio II Parthica was removed from Albano Laziale,[187] and the remainder of Maxentius' armies were sent to do frontier duty on the Rhine.[194]
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In the following years, Constantine gradually consolidated his military superiority over his rivals in the crumbling Tetrarchy. In 313, he met Licinius in Milan to secure their alliance by the marriage of Licinius and Constantine's half-sister Constantia. During this meeting, the emperors agreed on the so-called Edict of Milan,[195]
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officially granting full tolerance to Christianity and all religions in the Empire.[196]
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The document had special benefits for Christians, legalizing their religion and granting them restoration for all property seized during Diocletian's persecution. It repudiates past methods of religious coercion and used only general terms to refer to the divine sphere—"Divinity" and "Supreme Divinity", summa divinitas.[197]
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The conference was cut short, however, when news reached Licinius that his rival Maximinus had crossed the Bosporus and invaded European territory. Licinius departed and eventually defeated Maximinus, gaining control over the entire eastern half of the Roman Empire. Relations between the two remaining emperors deteriorated, as Constantine suffered an assassination attempt at the hands of a character that Licinius wanted elevated to the rank of Caesar;[198] Licinius, for his part, had Constantine's statues in Emona destroyed.[199] In either 314 or 316 AD, the two Augusti fought against one another at the Battle of Cibalae, with Constantine being victorious. They clashed again at the Battle of Mardia in 317, and agreed to a settlement in which Constantine's sons Crispus and Constantine II, and Licinius' son Licinianus were made caesars.[200] After this arrangement, Constantine ruled the dioceses of Pannonia and Macedonia and took residence at Sirmium, whence he could wage war on the Goths and Sarmatians in 322, and on the Goths in 323, defeating and killing their leader Rausimod.[198]
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In the year 320, Licinius allegedly reneged on the religious freedom promised by the Edict of Milan in 313 and began to oppress Christians anew,[201]
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generally without bloodshed, but resorting to confiscations and sacking of Christian office-holders.[202] Although this characterization of Licinius as anti-Christian is somewhat doubtful, the fact is that he seems to have been far less open in his support of Christianity than Constantine. Therefore, Licinius was prone to see the Church as a force more loyal to Constantine than to the Imperial system in general,[203] as the explanation offered by the Church historian Sozomen.[204]
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This dubious arrangement eventually became a challenge to Constantine in the West, climaxing in the great civil war of 324. Licinius, aided by Gothic mercenaries, represented the past and the ancient pagan faiths. Constantine and his Franks marched under the standard of the labarum, and both sides saw the battle in religious terms. Outnumbered, but fired by their zeal, Constantine's army emerged victorious in the Battle of Adrianople. Licinius fled across the Bosphorus and appointed Martinian, his magister officiorum, as nominal Augustus in the West, but Constantine next won the Battle of the Hellespont, and finally the Battle of Chrysopolis on 18 September 324.[205] Licinius and Martinian surrendered to Constantine at Nicomedia on the promise their lives would be spared: they were sent to live as private citizens in Thessalonica and Cappadocia respectively, but in 325 Constantine accused Licinius of plotting against him and had them both arrested and hanged; Licinius' son (the son of Constantine's half-sister) was killed in 326.[206] Thus Constantine became the sole emperor of the Roman Empire.[207]
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Licinius' defeat came to represent the defeat of a rival centre of pagan and Greek-speaking political activity in the East, as opposed to the Christian and Latin-speaking Rome, and it was proposed that a new Eastern capital should represent the integration of the East into the Roman Empire as a whole, as a center of learning, prosperity, and cultural preservation for the whole of the Eastern Roman Empire.[208] Among the various locations proposed for this alternative capital, Constantine appears to have toyed earlier with Serdica (present-day Sofia), as he was reported saying that "Serdica is my Rome".[209] Sirmium and Thessalonica were also considered.[210] Eventually, however, Constantine decided to work on the Greek city of Byzantium, which offered the advantage of having already been extensively rebuilt on Roman patterns of urbanism, during the preceding century, by Septimius Severus and Caracalla, who had already acknowledged its strategic importance.[211] The city was thus founded in 324,[212] dedicated on 11 May 330[212] and renamed Constantinopolis ("Constantine's City" or Constantinople in English). Special commemorative coins were issued in 330 to honor the event. The new city was protected by the relics of the True Cross, the Rod of Moses and other holy relics, though a cameo now at the Hermitage Museum also represented Constantine crowned by the tyche of the new city.[213] The figures of old gods were either replaced or assimilated into a framework of Christian symbolism. Constantine built the new Church of the Holy Apostles on the site of a temple to Aphrodite. Generations later there was the story that a divine vision led Constantine to this spot, and an angel no one else could see led him on a circuit of the new walls.[214] The capital would often be compared to the 'old' Rome as Nova Roma Constantinopolitana, the "New Rome of Constantinople".[207][215]
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Constantine was the first emperor to stop the persecution of Christians and to legalize Christianity, along with all other religions/cults in the Roman Empire. In February 313, he met with Licinius in Milan and developed the Edict of Milan, which stated that Christians should be allowed to follow their faith without oppression.[216][page needed] This removed penalties for professing Christianity, under which many had been martyred previously, and it returned confiscated Church property. The edict protected all religions from persecution, not only Christianity, allowing anyone to worship any deity that they chose. A similar edict had been issued in 311 by Galerius, senior emperor of the Tetrarchy, which granted Christians the right to practise their religion but did not restore any property to them.[217] The Edict of Milan included several clauses which stated that all confiscated churches would be returned, as well as other provisions for previously persecuted Christians. Scholars debate whether Constantine adopted his mother Helena's Christianity in his youth, or whether he adopted it gradually over the course of his life.[218]
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Constantine possibly retained the title of pontifex maximus which emperors bore as heads of the ancient Roman religion until Gratian renounced the title.[219][220] According to Christian writers, Constantine was over 40 when he finally declared himself a Christian, making it clear that he owed his successes to the protection of the Christian High God alone.[221] Despite these declarations of being a Christian, he waited to be baptized on his deathbed, believing that the baptism would release him of any sins he committed in the course of carrying out his policies while emperor.[222] He supported the Church financially, built basilicas, granted privileges to clergy (such as exemption from certain taxes), promoted Christians to high office, and returned property confiscated during the long period of persecution.[223] His most famous building projects include the Church of the Holy Sepulchre and Old Saint Peter's Basilica. In constructing the Old Saint Peter's Basilica, Constantine went to great lengths to erect the basilica on top of St. Peter's resting place, so much so that it even affected the design of the basilica, including the challenge of erecting it on the hill where St. Peter rested, making its complete construction time over 30 years from the date Constantine ordered it to be built.
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Constantine might not have patronized Christianity alone. He built a triumphal arch in 315 to celebrate his victory in the Battle of the Milvian Bridge (312) which was decorated with images of the goddess Victoria, and sacrifices were made to pagan gods at its dedication, including Apollo, Diana, and Hercules. Absent from the Arch are any depictions of Christian symbolism. However, the Arch was commissioned by the Senate, so the absence of Christian symbols may reflect the role of the Curia at the time as a pagan redoubt.[224]
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In 321, he legislated that the venerable Sunday should be a day of rest for all citizens.[225] In 323, he issued a decree banning Christians from participating in state sacrifices.[226] After the pagan gods had disappeared from his coinage, Christian symbols appeared as Constantine's attributes, the chi rho between his hands or on his labarum,[227] as well on the coin itself.[228]
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The reign of Constantine established a precedent for the emperor to have great influence and authority in the early Christian councils, most notably the dispute over Arianism. Constantine disliked the risks to societal stability that religious disputes and controversies brought with them, preferring to establish an orthodoxy.[229] His influence over the Church councils was to enforce doctrine, root out heresy, and uphold ecclesiastical unity; the Church's role was to determine proper worship, doctrines, and dogma.[230]
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North African bishops struggled with Christian bishops who had been ordained by Donatus in opposition to Caecilian from 313 to 316. The African bishops could not come to terms, and the Donatists asked Constantine to act as a judge in the dispute. Three regional Church councils and another trial before Constantine all ruled against Donatus and the Donatism movement in North Africa. In 317, Constantine issued an edict to confiscate Donatist church property and to send Donatist clergy into exile.[231] More significantly, in 325 he summoned the First Council of Nicaea, most known for its dealing with Arianism and for instituting the Nicene Creed. He enforced the council's prohibition against celebrating the Lord's Supper on the day before the Jewish Passover, which marked a definite break of Christianity from the Judaic tradition. From then on, the solar Julian Calendar was given precedence over the lunisolar Hebrew Calendar among the Christian churches of the Roman Empire.[232]
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Constantine made some new laws regarding the Jews; some of them were unfavorable towards Jews, although they were not harsher than those of his predecessors.[233] It was made illegal for Jews to seek converts or to attack other Jews who had converted to Christianity.[233] They were forbidden to own Christian slaves or to circumcise their slaves.[234][235] On the other hand, Jewish clergy were given the same exemptions as Christian clergy.[233][236]
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Beginning in the mid-3rd century, the emperors began to favor members of the equestrian order over senators, who had a monopoly on the most important offices of state. Senators were stripped of the command of legions and most provincial governorships, as it was felt that they lacked the specialized military upbringing needed in an age of acute defense needs;[237] such posts were given to equestrians by Diocletian and his colleagues, following a practice enforced piecemeal by their predecessors. The emperors, however, still needed the talents and the help of the very rich, who were relied on to maintain social order and cohesion by means of a web of powerful influence and contacts at all levels. Exclusion of the old senatorial aristocracy threatened this arrangement.
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In 326, Constantine reversed this pro-equestrian trend, raising many administrative positions to senatorial rank and thus opening these offices to the old aristocracy; at the same time, he elevated the rank of existing equestrian office-holders to senator, degrading the equestrian order in the process (at least as a bureaucratic rank).[238] The title of perfectissimus was granted only to mid- or low-level officials by the end of the 4th century.
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By the new Constantinian arrangement, one could become a senator by being elected praetor or by fulfilling a function of senatorial rank.[239] From then on, holding actual power and social status were melded together into a joint imperial hierarchy. Constantine gained the support of the old nobility with this,[240] as the Senate was allowed itself to elect praetors and quaestors, in place of the usual practice of the emperors directly creating new magistrates (adlectio). An inscription in honor of city prefect (336–337) Ceionius Rufus Albinus states that Constantine had restored the Senate "the auctoritas it had lost at Caesar's time".[241]
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The Senate as a body remained devoid of any significant power; nevertheless, the senators had been marginalized as potential holders of imperial functions during the 3rd century but could now dispute such positions alongside more upstart bureaucrats.[242] Some modern historians see in those administrative reforms an attempt by Constantine at reintegrating the senatorial order into the imperial administrative elite to counter the possibility of alienating pagan senators from a Christianized imperial rule;[243] however, such an interpretation remains conjectural, given the fact that we do not have the precise numbers about pre-Constantine conversions to Christianity in the old senatorial milieu. Some historians suggest that early conversions among the old aristocracy were more numerous than previously supposed.[244]
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Constantine's reforms had to do only with the civilian administration. The military chiefs had risen from the ranks since the Crisis of the Third Century[245] but remained outside the senate, in which they were included only by Constantine's children.[246]
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The third century saw runaway inflation associated with the production of fiat money to pay for public expenses, and Diocletian tried unsuccessfully to re-establish trustworthy minting of silver and billon coins. The failure resided in the fact that the silver currency was overvalued in terms of its actual metal content, and therefore could only circulate at much discounted rates. Constantine stopped minting the Diocletianic "pure" silver argenteus soon after 305, while the billon currency continued to be used until the 360s. From the early 300s on, Constantine forsook any attempts at restoring the silver currency, preferring instead to concentrate on minting large quantities of the gold solidus, 72 of which made a pound of gold. New and highly debased silver pieces continued to be issued during his later reign and after his death, in a continuous process of retariffing, until this bullion minting ceased in 367, and the silver piece was continued by various denominations of bronze coins, the most important being the centenionalis.[247] These bronze pieces continued to be devalued, assuring the possibility of keeping fiduciary minting alongside a gold standard. The author of De Rebus Bellicis held that the rift widened between classes because of this monetary policy; the rich benefited from the stability in purchasing power of the gold piece, while the poor had to cope with ever-degrading bronze pieces.[248] Later emperors such as Julian the Apostate insisted on trustworthy mintings of the bronze currency.[249]
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Constantine's monetary policies were closely associated with his religious policies; increased minting was associated with the confiscation of all gold, silver, and bronze statues from pagan temples between 331 and 336 which were declared to be imperial property. Two imperial commissioners for each province had the task of getting the statues and melting them for immediate minting, with the exception of a number of bronze statues that were used as public monuments in Constantinople.[250]
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Constantine had his eldest son Crispus seized and put to death by "cold poison" at Pola (Pula, Croatia) sometime between 15 May and 17 June 326.[251] In July, he had his wife Empress Fausta (stepmother of Crispus) killed in an overheated bath.[252] Their names were wiped from the face of many inscriptions, references to their lives were eradicated from the literary record, and the memory of both was condemned. Eusebius, for example, edited out any praise of Crispus from later copies of Historia Ecclesiastica, and his Vita Constantini contains no mention of Fausta or Crispus at all.[253] Few ancient sources are willing to discuss possible motives for the events, and the few that do are of later provenance and are generally unreliable.[254] At the time of the executions, it was commonly believed that Empress Fausta was either in an illicit relationship with Crispus or was spreading rumors to that effect. A popular myth arose, modified to allude to the Hippolytus–Phaedra legend, with the suggestion that Constantine killed Crispus and Fausta for their immoralities;[255] the largely fictional Passion of Artemius explicitly makes this connection.[256] The myth rests on slim evidence as an interpretation of the executions; only late and unreliable sources allude to the relationship between Crispus and Fausta, and there is no evidence for the modern suggestion that Constantine's "godly" edicts of 326 and the irregularities of Crispus are somehow connected.[255]
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Although Constantine created his apparent heirs "Caesars", following a pattern established by Diocletian, he gave his creations a hereditary character, alien to the tetrarchic system: Constantine's Caesars were to be kept in the hope of ascending to Empire, and entirely subordinated to their Augustus, as long as he was alive.[257] Therefore, an alternative explanation for the execution of Crispus was, perhaps, Constantine's desire to keep a firm grip on his prospective heirs, this—and Fausta's desire for having her sons inheriting instead of their half-brother—being reason enough for killing Crispus; the subsequent execution of Fausta, however, was probably meant as a reminder to her children that Constantine would not hesitate in "killing his own relatives when he felt this was necessary".[258]
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Constantine considered Constantinople his capital and permanent residence. He lived there for a good portion of his later life. In 328 construction was completed on Constantine's Bridge at Sucidava, (today Celei in Romania)[259] in hopes of reconquering Dacia, a province that had been abandoned under Aurelian. In the late winter of 332, Constantine campaigned with the Sarmatians against the Goths. The weather and lack of food cost the Goths dearly: reportedly, nearly one hundred thousand died before they submitted to Rome. In 334, after Sarmatian commoners had overthrown their leaders, Constantine led a campaign against the tribe. He won a victory in the war and extended his control over the region, as remains of camps and fortifications in the region indicate.[260] Constantine resettled some Sarmatian exiles as farmers in Illyrian and Roman districts, and conscripted the rest into the army. The new frontier in Dacia was along the Brazda lui Novac line supported by new castra.[261] Constantine took the title Dacicus maximus in 336.[262]
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In the last years of his life, Constantine made plans for a campaign against Persia. In a letter written to the king of Persia, Shapur, Constantine had asserted his patronage over Persia's Christian subjects and urged Shapur to treat them well.[263] The letter is undatable. In response to border raids, Constantine sent Constantius to guard the eastern frontier in 335. In 336, Prince Narseh invaded Armenia (a Christian kingdom since 301) and installed a Persian client on the throne. Constantine then resolved to campaign against Persia himself. He treated the war as a Christian crusade, calling for bishops to accompany the army and commissioning a tent in the shape of a church to follow him everywhere. Constantine planned to be baptized in the Jordan River before crossing into Persia. Persian diplomats came to Constantinople over the winter of 336–337, seeking peace, but Constantine turned them away. The campaign was called off, however, when Constantine became sick in the spring of 337.[264]
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Constantine knew death would soon come. Within the Church of the Holy Apostles, Constantine had secretly prepared a final resting-place for himself.[265] It came sooner than he had expected. Soon after the Feast of Easter 337, Constantine fell seriously ill.[266] He left Constantinople for the hot baths near his mother's city of Helenopolis (Altinova), on the southern shores of the Gulf of Nicomedia (present-day Gulf of İzmit). There, in a church his mother built in honor of Lucian the Apostle, he prayed, and there he realized that he was dying. Seeking purification, he became a catechumen, and attempted a return to Constantinople, making it only as far as a suburb of Nicomedia.[267] He summoned the bishops, and told them of his hope to be baptized in the River Jordan, where Christ was written to have been baptized. He requested the baptism right away, promising to live a more Christian life should he live through his illness. The bishops, Eusebius records, "performed the sacred ceremonies according to custom".[268] He chose the Arianizing bishop Eusebius of Nicomedia, bishop of the city where he lay dying, as his baptizer.[269] In postponing his baptism, he followed one custom at the time which postponed baptism until after infancy.[270] It has been thought that Constantine put off baptism as long as he did so as to be absolved from as much of his sin as possible.[271] Constantine died soon after at a suburban villa called Achyron, on the last day of the fifty-day festival of Pentecost directly following Pascha (or Easter), on 22 May 337.[272]
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Although Constantine's death follows the conclusion of the Persian campaign in Eusebius's account, most other sources report his death as occurring in its middle. Emperor Julian the Apostate (a nephew of Constantine), writing in the mid-350s, observes that the Sassanians escaped punishment for their ill-deeds, because Constantine died "in the middle of his preparations for war".[273] Similar accounts are given in the Origo Constantini, an anonymous document composed while Constantine was still living, and which has Constantine dying in Nicomedia;[274] the Historiae abbreviatae of Sextus Aurelius Victor, written in 361, which has Constantine dying at an estate near Nicomedia called Achyrona while marching against the Persians;[275] and the Breviarium of Eutropius, a handbook compiled in 369 for the Emperor Valens, which has Constantine dying in a nameless state villa in Nicomedia.[276] From these and other accounts, some have concluded that Eusebius's Vita was edited to defend Constantine's reputation against what Eusebius saw as a less congenial version of the campaign.[277]
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Following his death, his body was transferred to Constantinople and buried in the Church of the Holy Apostles,[278] in a porphyry sarcophagus that was described in the 10th century by Constantine VII Porphyrogenitus in the De Ceremoniis.[279] His body survived the plundering of the city during the Fourth Crusade in 1204, but was destroyed at some point afterwards.[280] Constantine was succeeded by his three sons born of Fausta, Constantine II, Constantius II and Constans. A number of relatives were killed by followers of Constantius, notably Constantine's nephews Dalmatius (who held the rank of Caesar) and Hannibalianus, presumably to eliminate possible contenders to an already complicated succession. He also had two daughters, Constantina and Helena, wife of Emperor Julian.[281]
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Constantine gained his honorific of "the Great" from Christian historians long after he had died, but he could have claimed the title on his military achievements and victories alone. He reunited the Empire under one emperor, and he won major victories over the Franks and Alamanni in 306–308, the Franks again in 313–314, the Goths in 332, and the Sarmatians in 334. By 336, he had reoccupied most of the long-lost province of Dacia which Aurelian had been forced to abandon in 271. At the time of his death, he was planning a great expedition to end raids on the eastern provinces from the Persian Empire.[283] He served for almost 31 years (combining his years as co-ruler and sole ruler), the second longest-serving emperor behind Augustus.
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In the cultural sphere, Constantine revived the clean-shaven face fashion of the Roman emperors from Augustus to Trajan, which was originally introduced among the Romans by Scipio Africanus. This new Roman imperial fashion lasted until the reign of Phocas.[284][285]
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The Holy Roman Empire reckoned Constantine among the venerable figures of its tradition. In the later Byzantine state, it became a great honor for an emperor to be hailed as a "new Constantine"; ten emperors carried the name, including the last emperor of the Eastern Roman Empire.[286] Charlemagne used monumental Constantinian forms in his court to suggest that he was Constantine's successor and equal. Constantine acquired a mythic role as a warrior against heathens. The motif of the Romanesque equestrian, the mounted figure in the posture of a triumphant Roman emperor, became a visual metaphor in statuary in praise of local benefactors. The name "Constantine" itself enjoyed renewed popularity in western France in the eleventh and twelfth centuries.[287] The Orthodox Church considers Constantine a saint (Άγιος Κωνσταντίνος, Saint Constantine), having a feast day on 21 May,[288] and calls him isapostolos (ισαπόστολος Κωνσταντίνος)—an equal of the Apostles.[289] Although not as celebrated as in Eastern Christianity, he is regarded as a saint by the Roman Catholic Church, with the same feast day.[290]
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The Niš Constantine the Great Airport is named in honor of him. A large Cross was planned to be built on a hill overlooking Niš, but the project was cancelled.[291] In 2012, a memorial was erected in Niš in his honor. The Commemoration of the Edict of Milan was held in Niš in 2013.[292]
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Constantine was presented as a paragon of virtue during his lifetime. Pagans showered him with praise, such as Praxagoras of Athens, and Libanius. His nephew and son-in-law Julian the Apostate, however, wrote the satire Symposium, or the Saturnalia in 361, after the last of his sons died; it denigrated Constantine, calling him inferior to the great pagan emperors, and given over to luxury and greed.[293] Following Julian, Eunapius began—and Zosimus continued—a historiographic tradition that blamed Constantine for weakening the Empire through his indulgence to the Christians.[294]
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Constantine was presented as an ideal ruler during the Middle Ages, the standard against which any king or emperor could be measured.[294] The Renaissance rediscovery of anti-Constantinian sources prompted a re-evaluation of his career. German humanist Johannes Leunclavius discovered Zosimus' writings and published a Latin translation in 1576. In its preface, he argued that Zosimus' picture of Constantine offered a more balanced view than that of Eusebius and the Church historians.[295] Cardinal Caesar Baronius criticized Zosimus, favoring Eusebius' account of the Constantinian era. Baronius' Life of Constantine (1588) presents Constantine as the model of a Christian prince.[296] Edward Gibbon aimed to unite the two extremes of Constantinian scholarship in his work The History of the Decline and Fall of the Roman Empire (1776–89) by contrasting the portraits presented by Eusebius and Zosimus.[297] He presents a noble war hero who transforms into an Oriental despot in his old age, "degenerating into a cruel and dissolute monarch".[298]
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Modern interpretations of Constantine's rule begin with Jacob Burckhardt's The Age of Constantine the Great (1853, rev. 1880). Burckhardt's Constantine is a scheming secularist, a politician who manipulates all parties in a quest to secure his own power.[299] Henri Grégoire followed Burckhardt's evaluation of Constantine in the 1930s, suggesting that Constantine developed an interest in Christianity only after witnessing its political usefulness. Grégoire was skeptical of the authenticity of Eusebius' Vita, and postulated a pseudo-Eusebius to assume responsibility for the vision and conversion narratives of that work.[300] Otto Seeck's Geschichte des Untergangs der antiken Welt (1920–23) and André Piganiol's L'empereur Constantin (1932) go against this historiographic tradition. Seeck presents Constantine as a sincere war hero whose ambiguities were the product of his own naïve inconsistency.[301] Piganiol's Constantine is a philosophical monotheist, a child of his era's religious syncretism.[302] Related histories by Arnold Hugh Martin Jones (Constantine and the Conversion of Europe, 1949) and Ramsay MacMullen (Constantine, 1969) give portraits of a less visionary and more impulsive Constantine.[303]
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These later accounts were more willing to present Constantine as a genuine convert to Christianity. Norman H. Baynes began a historiographic tradition with Constantine the Great and the Christian Church (1929) which presents Constantine as a committed Christian, reinforced by Andreas Alföldi's The Conversion of Constantine and Pagan Rome (1948), and Timothy Barnes's Constantine and Eusebius (1981) is the culmination of this trend. Barnes' Constantine experienced a radical conversion which drove him on a personal crusade to convert his empire.[304] Charles Matson Odahl's Constantine and the Christian Empire (2004) takes much the same tack.[305] In spite of Barnes' work, arguments continue over the strength and depth of Constantine's religious conversion.[306] Certain themes in this school reached new extremes in T.G. Elliott's The Christianity of Constantine the Great (1996), which presented Constantine as a committed Christian from early childhood.[307] Paul Veyne's 2007 work Quand notre monde est devenu chrétien holds a similar view which does not speculate on the origin of Constantine's Christian motivation, but presents him as a religious revolutionary who fervently believed that he was meant "to play a providential role in the millenary economy of the salvation of humanity".[308]
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Latin Rite Catholics considered it inappropriate that Constantine was baptized only on his death bed by an unorthodox bishop, as it undermined the authority of the Papacy, and a legend emerged by the early fourth century that Pope Sylvester I (314–335) had cured the pagan emperor from leprosy. According to this legend, Constantine was soon baptized and began the construction of a church in the Lateran Palace.[309] The Donation of Constantine appeared in the eighth century, most likely during the pontificate of Pope Stephen II (752–757), in which the freshly converted Constantine gives "the city of Rome and all the provinces, districts, and cities of Italy and the Western regions" to Sylvester and his successors.[310] In the High Middle Ages, this document was used and accepted as the basis for the Pope's temporal power, though it was denounced as a forgery by Emperor Otto III[311] and lamented as the root of papal worldliness by Dante Alighieri.[312] Philologist and Catholic priest Lorenzo Valla proved that the document was indeed a forgery.[313]
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During the medieval period, Britons regarded Constantine as a king of their own people, particularly associating him with Caernarfon in Gwynedd. While some of this is owed to his fame and his proclamation as Emperor in Britain, there was also confusion of his family with Magnus Maximus's supposed wife Saint Elen and her son, another Constantine (Welsh: Custennin). In the 12th century Henry of Huntingdon included a passage in his Historia Anglorum that the Emperor Constantine's mother was a Briton, making her the daughter of King Cole of Colchester.[314] Geoffrey of Monmouth expanded this story in his highly fictionalized Historia Regum Britanniae, an account of the supposed Kings of Britain from their Trojan origins to the Anglo-Saxon invasion.[315] According to Geoffrey, Cole was King of the Britons when Constantius, here a senator, came to Britain. Afraid of the Romans, Cole submitted to Roman law so long as he retained his kingship. However, he died only a month later, and Constantius took the throne himself, marrying Cole's daughter Helena. They had their son Constantine, who succeeded his father as King of Britain before becoming Roman Emperor.
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Historically, this series of events is extremely improbable. Constantius had already left Helena by the time he left for Britain.[42] Additionally, no earlier source mentions that Helena was born in Britain, let alone that she was a princess. Henry's source for the story is unknown, though it may have been a lost hagiography of Helena.[315]
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Constantine the Great (Latin: Flavius Valerius Constantinus; Ancient Greek: Κωνσταντῖνος, romanized: Kōnstantînos; 27 February c. 272 – 22 May 337), also known as Constantine I, was a Roman emperor from AD 306 to 337. Born in Dacia Ripensis (now Serbia), he was the son of Flavius Constantius, an Illyrian army officer who became one of the four emperors of the Tetrarchy. His mother, Helena, was Greek and of low birth. Constantine served with distinction under emperors Diocletian and Galerius campaigning in the eastern provinces against barbarians and the Persians, before being recalled west in 305 to fight under his father in Britain. After his father's death in 306, Constantine was acclaimed as emperor by the army at Eboracum (York). He emerged victorious in the civil wars against emperors Maxentius and Licinius to become sole ruler of the Roman Empire by 324.
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As emperor, Constantine enacted administrative, financial, social and military reforms to strengthen the empire. He restructured the government, separating civil and military authorities. To combat inflation he introduced the solidus, a new gold coin that became the standard for Byzantine and European currencies for more than a thousand years. The Roman army was reorganised to consist of mobile units (comitatenses), and garrison troops (limitanei) capable of countering internal threats and barbarian invasions. Constantine pursued successful campaigns against the tribes on the Roman frontiers—the Franks, the Alamanni, the Goths and the Sarmatians—even resettling territories abandoned by his predecessors during the Crisis of the Third Century.
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Constantine was the first Roman emperor to convert to Christianity.[notes 1] Although he lived much of his life as a pagan, and later as a catechumen, he joined the Christian religion on his deathbed, being baptised by Eusebius of Nicomedia. He played an influential role in the proclamation of the Edict of Milan in 313, which declared tolerance for Christianity in the Roman Empire. He convoked the First Council of Nicaea in 325, which produced the statement of Christian belief known as the Nicene Creed.[3] The Church of the Holy Sepulchre was built on his orders at the purported site of Jesus' tomb in Jerusalem and became the holiest place in Christendom. The Papal claim to temporal power in the High Middle Ages was based on the fabricated Donation of Constantine. He has historically been referred to as the "First Christian Emperor" and he did favour the Christian Church. While some modern scholars debate his beliefs and even his comprehension of Christianity,[notes 2] he is venerated as a saint in Roman Catholicism and Eastern Orthodoxy.
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The age of Constantine marked a distinct epoch in the history of the Roman Empire.[6] He built a new imperial residence at Byzantium and renamed the city Constantinople (now Istanbul) after himself (the laudatory epithet of "New Rome" emerged in his time, and was never an official title). It subsequently became the capital of the Empire for more than a thousand years, the later Eastern Roman Empire being referred to as the Byzantine Empire by modern historians. His more immediate political legacy was that he replaced Diocletian's Tetrarchy with the de facto principle of dynastic succession, by leaving the empire to his sons and other members of the Constantinian dynasty. His reputation flourished during the lifetime of his children and for centuries after his reign. The medieval church held him up as a paragon of virtue, while secular rulers invoked him as a prototype, a point of reference and the symbol of imperial legitimacy and identity.[7] Beginning with the Renaissance, there were more critical appraisals of his reign, due to the rediscovery of anti-Constantinian sources. Trends in modern and recent scholarship have attempted to balance the extremes of previous scholarship.
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Constantine was a ruler of major importance, and he has always been a controversial figure.[8] The fluctuations in his reputation reflect the nature of the ancient sources for his reign. These are abundant and detailed,[9] but they have been strongly influenced by the official propaganda of the period[10] and are often one-sided;[11] no contemporaneous histories or biographies dealing with his life and rule have survived.[12] The nearest replacement is Eusebius's Vita Constantini—a mixture of eulogy and hagiography[13] written between AD 335 and circa AD 339[14]—that extols Constantine's moral and religious virtues.[15] The Vita creates a contentiously positive image of Constantine,[16] and modern historians have frequently challenged its reliability.[17] The fullest secular life of Constantine is the anonymous Origo Constantini,[18] a work of uncertain date,[19] which focuses on military and political events to the neglect of cultural and religious matters.[20]
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Lactantius' De Mortibus Persecutorum, a political Christian pamphlet on the reigns of Diocletian and the Tetrarchy, provides valuable but tendentious detail on Constantine's predecessors and early life.[21] The ecclesiastical histories of Socrates, Sozomen, and Theodoret describe the ecclesiastic disputes of Constantine's later reign.[22] Written during the reign of Theodosius II (AD 408–450), a century after Constantine's reign, these ecclesiastical historians obscure the events and theologies of the Constantinian period through misdirection, misrepresentation, and deliberate obscurity.[23] The contemporary writings of the orthodox Christian Athanasius, and the ecclesiastical history of the Arian Philostorgius also survive, though their biases are no less firm.[24]
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The epitomes of Aurelius Victor (De Caesaribus), Eutropius (Breviarium), Festus (Breviarium), and the anonymous author of the Epitome de Caesaribus offer compressed secular political and military histories of the period. Although not Christian, the epitomes paint a favourable image of Constantine but omit reference to Constantine's religious policies.[25] The Panegyrici Latini, a collection of panegyrics from the late third and early fourth centuries, provide valuable information on the politics and ideology of the tetrarchic period and the early life of Constantine.[26] Contemporary architecture, such as the Arch of Constantine in Rome and palaces in Gamzigrad and Córdoba,[27] epigraphic remains, and the coinage of the era complement the literary sources.[28]
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Flavius Valerius Constantinus, as he was originally named, was born in the city of Naissus, (today Niš, Serbia) part of the Dardania province of Moesia on 27 February,[29] probably c. AD 272.[30] His father was Flavius Constantius, an Illyrian,[31][32] and a native of Dardania province of Moesia (later Dacia Ripensis).[33] Constantine probably spent little time with his father[34] who was an officer in the Roman army, part of the Emperor Aurelian's imperial bodyguard. Being described as a tolerant and politically skilled man,[35] Constantius advanced through the ranks, earning the governorship of Dalmatia from Emperor Diocletian, another of Aurelian's companions from Illyricum, in 284 or 285.[33] Constantine's mother was Helena, a Greek woman of low social standing from Helenopolis of Bithynia.[36] It is uncertain whether she was legally married to Constantius or merely his concubine.[37] His main language was Latin, and during his public speeches he needed Greek translators.[38]
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In July AD 285, Diocletian declared Maximian, another colleague from Illyricum, his co-emperor. Each emperor would have his own court, his own military and administrative faculties, and each would rule with a separate praetorian prefect as chief lieutenant.[39] Maximian ruled in the West, from his capitals at Mediolanum (Milan, Italy) or Augusta Treverorum (Trier, Germany), while Diocletian ruled in the East, from Nicomedia (İzmit, Turkey). The division was merely pragmatic: the empire was called "indivisible" in official panegyric,[40] and both emperors could move freely throughout the empire.[41] In 288, Maximian appointed Constantius to serve as his praetorian prefect in Gaul. Constantius left Helena to marry Maximian's stepdaughter Theodora in 288 or 289.[42]
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Diocletian divided the Empire again in AD 293, appointing two caesars (junior emperors) to rule over further subdivisions of East and West. Each would be subordinate to their respective augustus (senior emperor) but would act with supreme authority in his assigned lands. This system would later be called the Tetrarchy. Diocletian's first appointee for the office of caesar was Constantius; his second was Galerius, a native of Felix Romuliana. According to Lactantius, Galerius was a brutal, animalistic man. Although he shared the paganism of Rome's aristocracy, he seemed to them an alien figure, a semi-barbarian.[43] On 1 March, Constantius was promoted to the office of caesar, and dispatched to Gaul to fight the rebels Carausius and Allectus.[44] In spite of meritocratic overtones, the Tetrarchy retained vestiges of hereditary privilege,[45] and Constantine became the prime candidate for future appointment as caesar as soon as his father took the position. Constantine went to the court of Diocletian, where he lived as his father's heir presumptive.[46]
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Constantine's parents and siblings, the dates in square brackets indicate the possession of minor titles
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Constantine received a formal education at Diocletian's court, where he learned Latin literature, Greek, and philosophy.[47] The cultural environment in Nicomedia was open, fluid, and socially mobile; in it, Constantine could mix with intellectuals both pagan and Christian. He may have attended the lectures of Lactantius, a Christian scholar of Latin in the city.[48] Because Diocletian did not completely trust Constantius—none of the Tetrarchs fully trusted their colleagues—Constantine was held as something of a hostage, a tool to ensure Constantius' best behavior. Constantine was nonetheless a prominent member of the court: he fought for Diocletian and Galerius in Asia and served in a variety of tribunates; he campaigned against barbarians on the Danube in AD 296 and fought the Persians under Diocletian in Syria (AD 297), as well as under Galerius in Mesopotamia (AD 298–299).[49] By late AD 305, he had become a tribune of the first order, a tribunus ordinis primi.[50]
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Constantine had returned to Nicomedia from the eastern front by the spring of AD 303, in time to witness the beginnings of Diocletian's "Great Persecution", the most severe persecution of Christians in Roman history.[51] In late 302, Diocletian and Galerius sent a messenger to the oracle of Apollo at Didyma with an inquiry about Christians.[52] Constantine could recall his presence at the palace when the messenger returned, when Diocletian accepted his court's demands for universal persecution.[53] On 23 February AD 303, Diocletian ordered the destruction of Nicomedia's new church, condemned its scriptures to the flames, and had its treasures seized. In the months that followed, churches and scriptures were destroyed, Christians were deprived of official ranks, and priests were imprisoned.[54]
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It is unlikely that Constantine played any role in the persecution.[55] In his later writings, he would attempt to present himself as an opponent of Diocletian's "sanguinary edicts" against the "Worshippers of God",[56] but nothing indicates that he opposed it effectively at the time.[57] Although no contemporary Christian challenged Constantine for his inaction during the persecutions, it remained a political liability throughout his life.[58]
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On 1 May AD 305, Diocletian, as a result of a debilitating sickness taken in the winter of AD 304–305, announced his resignation. In a parallel ceremony in Milan, Maximian did the same.[59] Lactantius states that Galerius manipulated the weakened Diocletian into resigning, and forced him to accept Galerius' allies in the imperial succession. According to Lactantius, the crowd listening to Diocletian's resignation speech believed, until the very last moment, that Diocletian would choose Constantine and Maxentius (Maximian's son) as his successors.[60] It was not to be: Constantius and Galerius were promoted to augusti, while Severus and Maximinus Daia, Galerius' nephew, were appointed their caesars respectively. Constantine and Maxentius were ignored.[61]
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Some of the ancient sources detail plots that Galerius made on Constantine's life in the months following Diocletian's abdication. They assert that Galerius assigned Constantine to lead an advance unit in a cavalry charge through a swamp on the middle Danube, made him enter into single combat with a lion, and attempted to kill him in hunts and wars. Constantine always emerged victorious: the lion emerged from the contest in a poorer condition than Constantine; Constantine returned to Nicomedia from the Danube with a Sarmatian captive to drop at Galerius' feet.[62] It is uncertain how much these tales can be trusted.[63]
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Constantine recognized the implicit danger in remaining at Galerius' court, where he was held as a virtual hostage. His career depended on being rescued by his father in the west. Constantius was quick to intervene.[64] In the late spring or early summer of AD 305, Constantius requested leave for his son to help him campaign in Britain. After a long evening of drinking, Galerius granted the request. Constantine's later propaganda describes how he fled the court in the night, before Galerius could change his mind. He rode from post-house to post-house at high speed, hamstringing every horse in his wake.[65] By the time Galerius awoke the following morning, Constantine had fled too far to be caught.[66] Constantine joined his father in Gaul, at Bononia (Boulogne) before the summer of AD 305.[67]
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From Bononia, they crossed the Channel to Britain and made their way to Eboracum (York), capital of the province of Britannia Secunda and home to a large military base. Constantine was able to spend a year in northern Britain at his father's side, campaigning against the Picts beyond Hadrian's Wall in the summer and autumn.[68] Constantius' campaign, like that of Septimius Severus before it, probably advanced far into the north without achieving great success.[69] Constantius had become severely sick over the course of his reign, and died on 25 July 306 in Eboracum. Before dying, he declared his support for raising Constantine to the rank of full augustus. The Alamannic king Chrocus, a barbarian taken into service under Constantius, then proclaimed Constantine as augustus. The troops loyal to Constantius' memory followed him in acclamation. Gaul and Britain quickly accepted his rule;[70] Hispania, which had been in his father's domain for less than a year, rejected it.[71]
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Constantine sent Galerius an official notice of Constantius' death and his own acclamation. Along with the notice, he included a portrait of himself in the robes of an augustus.[72] The portrait was wreathed in bay.[73] He requested recognition as heir to his father's throne, and passed off responsibility for his unlawful ascension on his army, claiming they had "forced it upon him".[74] Galerius was put into a fury by the message; he almost set the portrait and messenger on fire.[75] His advisers calmed him, and argued that outright denial of Constantine's claims would mean certain war.[76] Galerius was compelled to compromise: he granted Constantine the title "caesar" rather than "augustus" (the latter office went to Severus instead).[77] Wishing to make it clear that he alone gave Constantine legitimacy, Galerius personally sent Constantine the emperor's traditional purple robes.[78] Constantine accepted the decision,[77] knowing that it would remove doubts as to his legitimacy.[79]
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Constantine's share of the Empire consisted of Britain, Gaul, and Spain, and he commanded one of the largest Roman armies which was stationed along the important Rhine frontier.[80] He remained in Britain after his promotion to emperor, driving back the tribes of the Picts and securing his control in the northwestern dioceses. He completed the reconstruction of military bases begun under his father's rule, and he ordered the repair of the region's roadways.[81] He then left for Augusta Treverorum (Trier) in Gaul, the Tetrarchic capital of the northwestern Roman Empire.[82] The Franks learned of Constantine's acclamation and invaded Gaul across the lower Rhine over the winter of 306–307 AD.[83] He drove them back beyond the Rhine and captured Kings Ascaric and Merogais; the kings and their soldiers were fed to the beasts of Trier's amphitheatre in the adventus (arrival) celebrations which followed.[84]
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Constantine began a major expansion of Trier. He strengthened the circuit wall around the city with military towers and fortified gates, and he began building a palace complex in the northeastern part of the city. To the south of his palace, he ordered the construction of a large formal audience hall and a massive imperial bathhouse. He sponsored many building projects throughout Gaul during his tenure as emperor of the West, especially in Augustodunum (Autun) and Arelate (Arles).[86] According to Lactantius, Constantine followed a tolerant policy towards Christianity, although he was not yet a Christian himself. He probably judged it a more sensible policy than open persecution[87] and a way to distinguish himself from the "great persecutor" Galerius.[88] He decreed a formal end to persecution and returned to Christians all that they had lost during them.[89]
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Constantine was largely untried and had a hint of illegitimacy about him; he relied on his father's reputation in his early propaganda, which gave as much coverage to his father's deeds as to his.[90] His military skill and building projects, however, soon gave the panegyrist the opportunity to comment favourably on the similarities between father and son, and Eusebius remarked that Constantine was a "renewal, as it were, in his own person, of his father's life and reign".[91] Constantinian coinage, sculpture, and oratory also show a new tendency for disdain towards the "barbarians" beyond the frontiers. He minted a coin issue after his victory over the Alemanni which depicts weeping and begging Alemannic tribesmen, "the Alemanni conquered" beneath the phrase "Romans' rejoicing".[92] There was little sympathy for these enemies; as his panegyrist declared, "It is a stupid clemency that spares the conquered foe."[93]
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Following Galerius' recognition of Constantine as caesar, Constantine's portrait was brought to Rome, as was customary. Maxentius mocked the portrait's subject as the son of a harlot and lamented his own powerlessness.[94] Maxentius, envious of Constantine's authority,[95] seized the title of emperor on 28 October 306 AD. Galerius refused to recognize him but failed to unseat him. Galerius sent Severus against Maxentius, but during the campaign, Severus' armies, previously under command of Maxentius' father Maximian, defected, and Severus was seized and imprisoned.[96] Maximian, brought out of retirement by his son's rebellion, left for Gaul to confer with Constantine in late 307 AD. He offered to marry his daughter Fausta to Constantine and elevate him to augustan rank. In return, Constantine would reaffirm the old family alliance between Maximian and Constantius and offer support to Maxentius' cause in Italy. Constantine accepted and married Fausta in Trier in late summer 307 AD. Constantine now gave Maxentius his meagre support, offering Maxentius political recognition.[97]
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Constantine remained aloof from the Italian conflict, however. Over the spring and summer of 307 AD, he had left Gaul for Britain to avoid any involvement in the Italian turmoil;[98] now, instead of giving Maxentius military aid, he sent his troops against Germanic tribes along the Rhine. In 308 AD, he raided the territory of the Bructeri, and made a bridge across the Rhine at Colonia Agrippinensium (Cologne). In 310 AD, he marched to the northern Rhine and fought the Franks. When not campaigning, he toured his lands advertising his benevolence and supporting the economy and the arts. His refusal to participate in the war increased his popularity among his people and strengthened his power base in the West.[99] Maximian returned to Rome in the winter of 307–308 AD, but soon fell out with his son. In early 308 AD, after a failed attempt to usurp Maxentius' title, Maximian returned to Constantine's court.[100]
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On 11 November 308 AD, Galerius called a general council at the military city of Carnuntum (Petronell-Carnuntum, Austria) to resolve the instability in the western provinces. In attendance were Diocletian, briefly returned from retirement, Galerius, and Maximian. Maximian was forced to abdicate again and Constantine was again demoted to caesar. Licinius, one of Galerius' old military companions, was appointed augustus in the western regions. The new system did not last long: Constantine refused to accept the demotion, and continued to style himself as augustus on his coinage, even as other members of the Tetrarchy referred to him as a caesar on theirs. Maximinus Daia was frustrated that he had been passed over for promotion while the newcomer Licinius had been raised to the office of augustus and demanded that Galerius promote him. Galerius offered to call both Maximinus and Constantine "sons of the augusti",[101] but neither accepted the new title. By the spring of 310 AD, Galerius was referring to both men as augusti.[102]
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In 310 AD, a dispossessed Maximian rebelled against Constantine while Constantine was away campaigning against the Franks. Maximian had been sent south to Arles with a contingent of Constantine's army, in preparation for any attacks by Maxentius in southern Gaul. He announced that Constantine was dead, and took up the imperial purple. In spite of a large donative pledge to any who would support him as emperor, most of Constantine's army remained loyal to their emperor, and Maximian was soon compelled to leave. Constantine soon heard of the rebellion, abandoned his campaign against the Franks, and marched his army up the Rhine.[104] At Cabillunum (Chalon-sur-Saône), he moved his troops onto waiting boats to row down the slow waters of the Saône to the quicker waters of the Rhone. He disembarked at Lugdunum (Lyon).[105] Maximian fled to Massilia (Marseille), a town better able to withstand a long siege than Arles. It made little difference, however, as loyal citizens opened the rear gates to Constantine. Maximian was captured and reproved for his crimes. Constantine granted some clemency, but strongly encouraged his suicide. In July 310 AD, Maximian hanged himself.[104]
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In spite of the earlier rupture in their relations, Maxentius was eager to present himself as his father's devoted son after his death.[106] He began minting coins with his father's deified image, proclaiming his desire to avenge Maximian's death.[107] Constantine initially presented the suicide as an unfortunate family tragedy. By 311 AD, however, he was spreading another version. According to this, after Constantine had pardoned him, Maximian planned to murder Constantine in his sleep. Fausta learned of the plot and warned Constantine, who put a eunuch in his own place in bed. Maximian was apprehended when he killed the eunuch and was offered suicide, which he accepted.[108] Along with using propaganda, Constantine instituted a damnatio memoriae on Maximian, destroying all inscriptions referring to him and eliminating any public work bearing his image.[109]
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The death of Maximian required a shift in Constantine's public image. He could no longer rely on his connection to the elder Emperor Maximian, and needed a new source of legitimacy.[110] In a speech delivered in Gaul on 25 July 310 AD, the anonymous orator reveals a previously unknown dynastic connection to Claudius II, a 3rd-century emperor famed for defeating the Goths and restoring order to the empire. Breaking away from tetrarchic models, the speech emphasizes Constantine's ancestral prerogative to rule, rather than principles of imperial equality. The new ideology expressed in the speech made Galerius and Maximian irrelevant to Constantine's right to rule.[111] Indeed, the orator emphasizes ancestry to the exclusion of all other factors: "No chance agreement of men, nor some unexpected consequence of favor, made you emperor," the orator declares to Constantine.[112]
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The oration also moves away from the religious ideology of the Tetrarchy, with its focus on twin dynasties of Jupiter and Hercules. Instead, the orator proclaims that Constantine experienced a divine vision of Apollo and Victory granting him laurel wreaths of health and a long reign. In the likeness of Apollo, Constantine recognized himself as the saving figure to whom would be granted "rule of the whole world",[113] as the poet Virgil had once foretold.[114] The oration's religious shift is paralleled by a similar shift in Constantine's coinage. In his early reign, the coinage of Constantine advertised Mars as his patron. From 310 AD on, Mars was replaced by Sol Invictus, a god conventionally identified with Apollo.[115] There is little reason to believe that either the dynastic connection or the divine vision are anything other than fiction, but their proclamation strengthened Constantine's claims to legitimacy and increased his popularity among the citizens of Gaul.[116]
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By the middle of 310 AD, Galerius had become too ill to involve himself in imperial politics.[117] His final act survives: a letter to provincials posted in Nicomedia on 30 April 311 AD, proclaiming an end to the persecutions, and the resumption of religious toleration.[118] He died soon after the edict's proclamation,[119] destroying what little remained of the tetrarchy.[120] Maximinus mobilized against Licinius, and seized Asia Minor. A hasty peace was signed on a boat in the middle of the Bosphorus.[121] While Constantine toured Britain and Gaul, Maxentius prepared for war.[122] He fortified northern Italy, and strengthened his support in the Christian community by allowing it to elect a new Bishop of Rome, Eusebius.[123]
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Maxentius' rule was nevertheless insecure. His early support dissolved in the wake of heightened tax rates and depressed trade; riots broke out in Rome and Carthage;[124] and Domitius Alexander was able to briefly usurp his authority in Africa.[125] By 312 AD, he was a man barely tolerated, not one actively supported,[126] even among Christian Italians.[127] In the summer of 311 AD, Maxentius mobilized against Constantine while Licinius was occupied with affairs in the East. He declared war on Constantine, vowing to avenge his father's "murder".[128] To prevent Maxentius from forming an alliance against him with Licinius,[129] Constantine forged his own alliance with Licinius over the winter of 311–312 AD, and offered him his sister Constantia in marriage. Maximinus considered Constantine's arrangement with Licinius an affront to his authority. In response, he sent ambassadors to Rome, offering political recognition to Maxentius in exchange for a military support. Maxentius accepted.[130] According to Eusebius, inter-regional travel became impossible, and there was military buildup everywhere. There was "not a place where people were not expecting the onset of hostilities every day".[131]
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Constantine's advisers and generals cautioned against preemptive attack on Maxentius;[132] even his soothsayers recommended against it, stating that the sacrifices had produced unfavourable omens.[133] Constantine, with a spirit that left a deep impression on his followers, inspiring some to believe that he had some form of supernatural guidance,[134] ignored all these cautions.[135] Early in the spring of 312 AD,[136] Constantine crossed the Cottian Alps with a quarter of his army, a force numbering about 40,000.[137] The first town his army encountered was Segusium (Susa, Italy), a heavily fortified town that shut its gates to him. Constantine ordered his men to set fire to its gates and scale its walls. He took the town quickly. Constantine ordered his troops not to loot the town, and advanced with them into northern Italy.[136]
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At the approach to the west of the important city of Augusta Taurinorum (Turin, Italy), Constantine met a large force of heavily armed Maxentian cavalry.[138] In the ensuing battle Constantine's army encircled Maxentius' cavalry, flanked them with his own cavalry, and dismounted them with blows from his soldiers' iron-tipped clubs. Constantine's armies emerged victorious.[139] Turin refused to give refuge to Maxentius' retreating forces, opening its gates to Constantine instead.[140] Other cities of the north Italian plain sent Constantine embassies of congratulation for his victory. He moved on to Milan, where he was met with open gates and jubilant rejoicing. Constantine rested his army in Milan until mid-summer 312 AD, when he moved on to Brixia (Brescia).[141]
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Brescia's army was easily dispersed,[142] and Constantine quickly advanced to Verona, where a large Maxentian force was camped.[143] Ruricius Pompeianus, general of the Veronese forces and Maxentius' praetorian prefect,[144] was in a strong defensive position, since the town was surrounded on three sides by the Adige. Constantine sent a small force north of the town in an attempt to cross the river unnoticed. Ruricius sent a large detachment to counter Constantine's expeditionary force, but was defeated. Constantine's forces successfully surrounded the town and laid siege.[145] Ruricius gave Constantine the slip and returned with a larger force to oppose Constantine. Constantine refused to let up on the siege, and sent only a small force to oppose him. In the desperately fought encounter that followed, Ruricius was killed and his army destroyed.[146] Verona surrendered soon afterwards, followed by Aquileia,[147] Mutina (Modena),[148] and Ravenna.[149] The road to Rome was now wide open to Constantine.[150]
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Maxentius prepared for the same type of war he had waged against Severus and Galerius: he sat in Rome and prepared for a siege.[151] He still controlled Rome's praetorian guards, was well-stocked with African grain, and was surrounded on all sides by the seemingly impregnable Aurelian Walls. He ordered all bridges across the Tiber cut, reportedly on the counsel of the gods,[152] and left the rest of central Italy undefended; Constantine secured that region's support without challenge.[153] Constantine progressed slowly[154] along the Via Flaminia,[155] allowing the weakness of Maxentius to draw his regime further into turmoil.[154] Maxentius' support continued to weaken: at chariot races on 27 October, the crowd openly taunted Maxentius, shouting that Constantine was invincible.[156] Maxentius, no longer certain that he would emerge from a siege victorious, built a temporary boat bridge across the Tiber in preparation for a field battle against Constantine.[157] On 28 October 312 AD, the sixth anniversary of his reign, he approached the keepers of the Sibylline Books for guidance. The keepers prophesied that, on that very day, "the enemy of the Romans" would die. Maxentius advanced north to meet Constantine in battle.[158]
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Maxentius' forces were still twice the size of Constantine's, and he organized them in long lines facing the battle plain with their backs to the river.[159] Constantine's army arrived on the field bearing unfamiliar symbols on their standards and their shields.[160] According to Lactantius "Constantine was directed in a dream to cause the heavenly sign to be delineated on the shields of his soldiers, and so to proceed to battle. He did as he had been commanded, and he marked on their shields the letter Χ, with a perpendicular line drawn through it and turned round thus at the top, being the cipher of Christ. Having this sign (☧), his troops stood to arms."[161] Eusebius describes a vision that Constantine had while marching at midday in which "he saw with his own eyes the trophy of a cross of light in the heavens, above the sun, and bearing the inscription, In Hoc Signo Vinces" ("In this sign thou shalt conquer").[162] In Eusebius's account, Constantine had a dream the following night in which Christ appeared with the same heavenly sign and told him to make an army standard in the form of the labarum.[163] Eusebius is vague about when and where these events took place,[164] but it enters his narrative before the war begins against Maxentius.[165] He describes the sign as Chi (Χ) traversed by Rho (Ρ) to form ☧, representing the first two letters of the Greek word ΧΡΙΣΤΟΣ (Christos).[166][167] A medallion was issued at Ticinum in 315 AD which shows Constantine wearing a helmet emblazoned with the Chi Rho,[168] and coins issued at Siscia in 317/318 AD repeat the image.[169] The figure was otherwise rare and is uncommon in imperial iconography and propaganda before the 320s.[170] It wasn't completely unknown, however, being an abbreviation of the Greek word chrēston (good), having previously appeared on the coins of Ptolemy III, Euergetes I (247-222 BCE).
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Constantine deployed his own forces along the whole length of Maxentius' line. He ordered his cavalry to charge, and they broke Maxentius' cavalry. He then sent his infantry against Maxentius' infantry, pushing many into the Tiber where they were slaughtered and drowned.[159] The battle was brief,[171] and Maxentius' troops were broken before the first charge.[172] His horse guards and praetorians initially held their position, but they broke under the force of a Constantinian cavalry charge; they also broke ranks and fled to the river. Maxentius rode with them and attempted to cross the bridge of boats (Ponte Milvio), but he was pushed into the Tiber and drowned by the mass of his fleeing soldiers.[173]
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Constantine entered Rome on 29 October 312 AD,[175][176] and staged a grand adventus in the city which was met with jubilation.[177] Maxentius' body was fished out of the Tiber and decapitated, and his head was paraded through the streets for all to see.[178] After the ceremonies, the disembodied head was sent to Carthage, and Carthage offered no further resistance.[179] Unlike his predecessors, Constantine neglected to make the trip to the Capitoline Hill and perform customary sacrifices at the Temple of Jupiter.[180] However, he did visit the Senatorial Curia Julia,[181] and he promised to restore its ancestral privileges and give it a secure role in his reformed government; there would be no revenge against Maxentius' supporters.[182] In response, the Senate decreed him "title of the first name", which meant that his name would be listed first in all official documents,[183] and they acclaimed him as "the greatest Augustus".[184] He issued decrees returning property that was lost under Maxentius, recalling political exiles, and releasing Maxentius' imprisoned opponents.[185]
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An extensive propaganda campaign followed, during which Maxentius' image was purged from all public places. He was written up as a "tyrant" and set against an idealized image of Constantine the "liberator". Eusebius is the best representative of this strand of Constantinian propaganda.[186] Maxentius' rescripts were declared invalid, and the honours that he had granted to leaders of the Senate were also invalidated.[187] Constantine also attempted to remove Maxentius' influence on Rome's urban landscape. All structures built by him were rededicated to Constantine, including the Temple of Romulus and the Basilica of Maxentius.[188] At the focal point of the basilica, a stone statue was erected of Constantine holding the Christian labarum in its hand. Its inscription bore the message which the statue illustrated: By this sign, Constantine had freed Rome from the yoke of the tyrant.[189]
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Constantine also sought to upstage Maxentius' achievements. For example, the Circus Maximus was redeveloped so that its seating capacity was 25 times larger than that of Maxentius' racing complex on the Via Appia.[190] Maxentius' strongest military supporters were neutralized when he disbanded the Praetorian Guard and Imperial Horse Guard.[191] The tombstones of the Imperial Horse Guard were ground up and used in a basilica on the Via Labicana,[192] and their former base was redeveloped into the Lateran Basilica on 9 November 312 AD—barely two weeks after Constantine captured the city.[193] The Legio II Parthica was removed from Albano Laziale,[187] and the remainder of Maxentius' armies were sent to do frontier duty on the Rhine.[194]
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In the following years, Constantine gradually consolidated his military superiority over his rivals in the crumbling Tetrarchy. In 313, he met Licinius in Milan to secure their alliance by the marriage of Licinius and Constantine's half-sister Constantia. During this meeting, the emperors agreed on the so-called Edict of Milan,[195]
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officially granting full tolerance to Christianity and all religions in the Empire.[196]
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The document had special benefits for Christians, legalizing their religion and granting them restoration for all property seized during Diocletian's persecution. It repudiates past methods of religious coercion and used only general terms to refer to the divine sphere—"Divinity" and "Supreme Divinity", summa divinitas.[197]
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The conference was cut short, however, when news reached Licinius that his rival Maximinus had crossed the Bosporus and invaded European territory. Licinius departed and eventually defeated Maximinus, gaining control over the entire eastern half of the Roman Empire. Relations between the two remaining emperors deteriorated, as Constantine suffered an assassination attempt at the hands of a character that Licinius wanted elevated to the rank of Caesar;[198] Licinius, for his part, had Constantine's statues in Emona destroyed.[199] In either 314 or 316 AD, the two Augusti fought against one another at the Battle of Cibalae, with Constantine being victorious. They clashed again at the Battle of Mardia in 317, and agreed to a settlement in which Constantine's sons Crispus and Constantine II, and Licinius' son Licinianus were made caesars.[200] After this arrangement, Constantine ruled the dioceses of Pannonia and Macedonia and took residence at Sirmium, whence he could wage war on the Goths and Sarmatians in 322, and on the Goths in 323, defeating and killing their leader Rausimod.[198]
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In the year 320, Licinius allegedly reneged on the religious freedom promised by the Edict of Milan in 313 and began to oppress Christians anew,[201]
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generally without bloodshed, but resorting to confiscations and sacking of Christian office-holders.[202] Although this characterization of Licinius as anti-Christian is somewhat doubtful, the fact is that he seems to have been far less open in his support of Christianity than Constantine. Therefore, Licinius was prone to see the Church as a force more loyal to Constantine than to the Imperial system in general,[203] as the explanation offered by the Church historian Sozomen.[204]
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This dubious arrangement eventually became a challenge to Constantine in the West, climaxing in the great civil war of 324. Licinius, aided by Gothic mercenaries, represented the past and the ancient pagan faiths. Constantine and his Franks marched under the standard of the labarum, and both sides saw the battle in religious terms. Outnumbered, but fired by their zeal, Constantine's army emerged victorious in the Battle of Adrianople. Licinius fled across the Bosphorus and appointed Martinian, his magister officiorum, as nominal Augustus in the West, but Constantine next won the Battle of the Hellespont, and finally the Battle of Chrysopolis on 18 September 324.[205] Licinius and Martinian surrendered to Constantine at Nicomedia on the promise their lives would be spared: they were sent to live as private citizens in Thessalonica and Cappadocia respectively, but in 325 Constantine accused Licinius of plotting against him and had them both arrested and hanged; Licinius' son (the son of Constantine's half-sister) was killed in 326.[206] Thus Constantine became the sole emperor of the Roman Empire.[207]
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Licinius' defeat came to represent the defeat of a rival centre of pagan and Greek-speaking political activity in the East, as opposed to the Christian and Latin-speaking Rome, and it was proposed that a new Eastern capital should represent the integration of the East into the Roman Empire as a whole, as a center of learning, prosperity, and cultural preservation for the whole of the Eastern Roman Empire.[208] Among the various locations proposed for this alternative capital, Constantine appears to have toyed earlier with Serdica (present-day Sofia), as he was reported saying that "Serdica is my Rome".[209] Sirmium and Thessalonica were also considered.[210] Eventually, however, Constantine decided to work on the Greek city of Byzantium, which offered the advantage of having already been extensively rebuilt on Roman patterns of urbanism, during the preceding century, by Septimius Severus and Caracalla, who had already acknowledged its strategic importance.[211] The city was thus founded in 324,[212] dedicated on 11 May 330[212] and renamed Constantinopolis ("Constantine's City" or Constantinople in English). Special commemorative coins were issued in 330 to honor the event. The new city was protected by the relics of the True Cross, the Rod of Moses and other holy relics, though a cameo now at the Hermitage Museum also represented Constantine crowned by the tyche of the new city.[213] The figures of old gods were either replaced or assimilated into a framework of Christian symbolism. Constantine built the new Church of the Holy Apostles on the site of a temple to Aphrodite. Generations later there was the story that a divine vision led Constantine to this spot, and an angel no one else could see led him on a circuit of the new walls.[214] The capital would often be compared to the 'old' Rome as Nova Roma Constantinopolitana, the "New Rome of Constantinople".[207][215]
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Constantine was the first emperor to stop the persecution of Christians and to legalize Christianity, along with all other religions/cults in the Roman Empire. In February 313, he met with Licinius in Milan and developed the Edict of Milan, which stated that Christians should be allowed to follow their faith without oppression.[216][page needed] This removed penalties for professing Christianity, under which many had been martyred previously, and it returned confiscated Church property. The edict protected all religions from persecution, not only Christianity, allowing anyone to worship any deity that they chose. A similar edict had been issued in 311 by Galerius, senior emperor of the Tetrarchy, which granted Christians the right to practise their religion but did not restore any property to them.[217] The Edict of Milan included several clauses which stated that all confiscated churches would be returned, as well as other provisions for previously persecuted Christians. Scholars debate whether Constantine adopted his mother Helena's Christianity in his youth, or whether he adopted it gradually over the course of his life.[218]
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Constantine possibly retained the title of pontifex maximus which emperors bore as heads of the ancient Roman religion until Gratian renounced the title.[219][220] According to Christian writers, Constantine was over 40 when he finally declared himself a Christian, making it clear that he owed his successes to the protection of the Christian High God alone.[221] Despite these declarations of being a Christian, he waited to be baptized on his deathbed, believing that the baptism would release him of any sins he committed in the course of carrying out his policies while emperor.[222] He supported the Church financially, built basilicas, granted privileges to clergy (such as exemption from certain taxes), promoted Christians to high office, and returned property confiscated during the long period of persecution.[223] His most famous building projects include the Church of the Holy Sepulchre and Old Saint Peter's Basilica. In constructing the Old Saint Peter's Basilica, Constantine went to great lengths to erect the basilica on top of St. Peter's resting place, so much so that it even affected the design of the basilica, including the challenge of erecting it on the hill where St. Peter rested, making its complete construction time over 30 years from the date Constantine ordered it to be built.
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Constantine might not have patronized Christianity alone. He built a triumphal arch in 315 to celebrate his victory in the Battle of the Milvian Bridge (312) which was decorated with images of the goddess Victoria, and sacrifices were made to pagan gods at its dedication, including Apollo, Diana, and Hercules. Absent from the Arch are any depictions of Christian symbolism. However, the Arch was commissioned by the Senate, so the absence of Christian symbols may reflect the role of the Curia at the time as a pagan redoubt.[224]
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In 321, he legislated that the venerable Sunday should be a day of rest for all citizens.[225] In 323, he issued a decree banning Christians from participating in state sacrifices.[226] After the pagan gods had disappeared from his coinage, Christian symbols appeared as Constantine's attributes, the chi rho between his hands or on his labarum,[227] as well on the coin itself.[228]
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The reign of Constantine established a precedent for the emperor to have great influence and authority in the early Christian councils, most notably the dispute over Arianism. Constantine disliked the risks to societal stability that religious disputes and controversies brought with them, preferring to establish an orthodoxy.[229] His influence over the Church councils was to enforce doctrine, root out heresy, and uphold ecclesiastical unity; the Church's role was to determine proper worship, doctrines, and dogma.[230]
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North African bishops struggled with Christian bishops who had been ordained by Donatus in opposition to Caecilian from 313 to 316. The African bishops could not come to terms, and the Donatists asked Constantine to act as a judge in the dispute. Three regional Church councils and another trial before Constantine all ruled against Donatus and the Donatism movement in North Africa. In 317, Constantine issued an edict to confiscate Donatist church property and to send Donatist clergy into exile.[231] More significantly, in 325 he summoned the First Council of Nicaea, most known for its dealing with Arianism and for instituting the Nicene Creed. He enforced the council's prohibition against celebrating the Lord's Supper on the day before the Jewish Passover, which marked a definite break of Christianity from the Judaic tradition. From then on, the solar Julian Calendar was given precedence over the lunisolar Hebrew Calendar among the Christian churches of the Roman Empire.[232]
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Constantine made some new laws regarding the Jews; some of them were unfavorable towards Jews, although they were not harsher than those of his predecessors.[233] It was made illegal for Jews to seek converts or to attack other Jews who had converted to Christianity.[233] They were forbidden to own Christian slaves or to circumcise their slaves.[234][235] On the other hand, Jewish clergy were given the same exemptions as Christian clergy.[233][236]
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Beginning in the mid-3rd century, the emperors began to favor members of the equestrian order over senators, who had a monopoly on the most important offices of state. Senators were stripped of the command of legions and most provincial governorships, as it was felt that they lacked the specialized military upbringing needed in an age of acute defense needs;[237] such posts were given to equestrians by Diocletian and his colleagues, following a practice enforced piecemeal by their predecessors. The emperors, however, still needed the talents and the help of the very rich, who were relied on to maintain social order and cohesion by means of a web of powerful influence and contacts at all levels. Exclusion of the old senatorial aristocracy threatened this arrangement.
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In 326, Constantine reversed this pro-equestrian trend, raising many administrative positions to senatorial rank and thus opening these offices to the old aristocracy; at the same time, he elevated the rank of existing equestrian office-holders to senator, degrading the equestrian order in the process (at least as a bureaucratic rank).[238] The title of perfectissimus was granted only to mid- or low-level officials by the end of the 4th century.
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By the new Constantinian arrangement, one could become a senator by being elected praetor or by fulfilling a function of senatorial rank.[239] From then on, holding actual power and social status were melded together into a joint imperial hierarchy. Constantine gained the support of the old nobility with this,[240] as the Senate was allowed itself to elect praetors and quaestors, in place of the usual practice of the emperors directly creating new magistrates (adlectio). An inscription in honor of city prefect (336–337) Ceionius Rufus Albinus states that Constantine had restored the Senate "the auctoritas it had lost at Caesar's time".[241]
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The Senate as a body remained devoid of any significant power; nevertheless, the senators had been marginalized as potential holders of imperial functions during the 3rd century but could now dispute such positions alongside more upstart bureaucrats.[242] Some modern historians see in those administrative reforms an attempt by Constantine at reintegrating the senatorial order into the imperial administrative elite to counter the possibility of alienating pagan senators from a Christianized imperial rule;[243] however, such an interpretation remains conjectural, given the fact that we do not have the precise numbers about pre-Constantine conversions to Christianity in the old senatorial milieu. Some historians suggest that early conversions among the old aristocracy were more numerous than previously supposed.[244]
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Constantine's reforms had to do only with the civilian administration. The military chiefs had risen from the ranks since the Crisis of the Third Century[245] but remained outside the senate, in which they were included only by Constantine's children.[246]
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The third century saw runaway inflation associated with the production of fiat money to pay for public expenses, and Diocletian tried unsuccessfully to re-establish trustworthy minting of silver and billon coins. The failure resided in the fact that the silver currency was overvalued in terms of its actual metal content, and therefore could only circulate at much discounted rates. Constantine stopped minting the Diocletianic "pure" silver argenteus soon after 305, while the billon currency continued to be used until the 360s. From the early 300s on, Constantine forsook any attempts at restoring the silver currency, preferring instead to concentrate on minting large quantities of the gold solidus, 72 of which made a pound of gold. New and highly debased silver pieces continued to be issued during his later reign and after his death, in a continuous process of retariffing, until this bullion minting ceased in 367, and the silver piece was continued by various denominations of bronze coins, the most important being the centenionalis.[247] These bronze pieces continued to be devalued, assuring the possibility of keeping fiduciary minting alongside a gold standard. The author of De Rebus Bellicis held that the rift widened between classes because of this monetary policy; the rich benefited from the stability in purchasing power of the gold piece, while the poor had to cope with ever-degrading bronze pieces.[248] Later emperors such as Julian the Apostate insisted on trustworthy mintings of the bronze currency.[249]
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Constantine's monetary policies were closely associated with his religious policies; increased minting was associated with the confiscation of all gold, silver, and bronze statues from pagan temples between 331 and 336 which were declared to be imperial property. Two imperial commissioners for each province had the task of getting the statues and melting them for immediate minting, with the exception of a number of bronze statues that were used as public monuments in Constantinople.[250]
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Constantine had his eldest son Crispus seized and put to death by "cold poison" at Pola (Pula, Croatia) sometime between 15 May and 17 June 326.[251] In July, he had his wife Empress Fausta (stepmother of Crispus) killed in an overheated bath.[252] Their names were wiped from the face of many inscriptions, references to their lives were eradicated from the literary record, and the memory of both was condemned. Eusebius, for example, edited out any praise of Crispus from later copies of Historia Ecclesiastica, and his Vita Constantini contains no mention of Fausta or Crispus at all.[253] Few ancient sources are willing to discuss possible motives for the events, and the few that do are of later provenance and are generally unreliable.[254] At the time of the executions, it was commonly believed that Empress Fausta was either in an illicit relationship with Crispus or was spreading rumors to that effect. A popular myth arose, modified to allude to the Hippolytus–Phaedra legend, with the suggestion that Constantine killed Crispus and Fausta for their immoralities;[255] the largely fictional Passion of Artemius explicitly makes this connection.[256] The myth rests on slim evidence as an interpretation of the executions; only late and unreliable sources allude to the relationship between Crispus and Fausta, and there is no evidence for the modern suggestion that Constantine's "godly" edicts of 326 and the irregularities of Crispus are somehow connected.[255]
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Although Constantine created his apparent heirs "Caesars", following a pattern established by Diocletian, he gave his creations a hereditary character, alien to the tetrarchic system: Constantine's Caesars were to be kept in the hope of ascending to Empire, and entirely subordinated to their Augustus, as long as he was alive.[257] Therefore, an alternative explanation for the execution of Crispus was, perhaps, Constantine's desire to keep a firm grip on his prospective heirs, this—and Fausta's desire for having her sons inheriting instead of their half-brother—being reason enough for killing Crispus; the subsequent execution of Fausta, however, was probably meant as a reminder to her children that Constantine would not hesitate in "killing his own relatives when he felt this was necessary".[258]
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Constantine considered Constantinople his capital and permanent residence. He lived there for a good portion of his later life. In 328 construction was completed on Constantine's Bridge at Sucidava, (today Celei in Romania)[259] in hopes of reconquering Dacia, a province that had been abandoned under Aurelian. In the late winter of 332, Constantine campaigned with the Sarmatians against the Goths. The weather and lack of food cost the Goths dearly: reportedly, nearly one hundred thousand died before they submitted to Rome. In 334, after Sarmatian commoners had overthrown their leaders, Constantine led a campaign against the tribe. He won a victory in the war and extended his control over the region, as remains of camps and fortifications in the region indicate.[260] Constantine resettled some Sarmatian exiles as farmers in Illyrian and Roman districts, and conscripted the rest into the army. The new frontier in Dacia was along the Brazda lui Novac line supported by new castra.[261] Constantine took the title Dacicus maximus in 336.[262]
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In the last years of his life, Constantine made plans for a campaign against Persia. In a letter written to the king of Persia, Shapur, Constantine had asserted his patronage over Persia's Christian subjects and urged Shapur to treat them well.[263] The letter is undatable. In response to border raids, Constantine sent Constantius to guard the eastern frontier in 335. In 336, Prince Narseh invaded Armenia (a Christian kingdom since 301) and installed a Persian client on the throne. Constantine then resolved to campaign against Persia himself. He treated the war as a Christian crusade, calling for bishops to accompany the army and commissioning a tent in the shape of a church to follow him everywhere. Constantine planned to be baptized in the Jordan River before crossing into Persia. Persian diplomats came to Constantinople over the winter of 336–337, seeking peace, but Constantine turned them away. The campaign was called off, however, when Constantine became sick in the spring of 337.[264]
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Constantine knew death would soon come. Within the Church of the Holy Apostles, Constantine had secretly prepared a final resting-place for himself.[265] It came sooner than he had expected. Soon after the Feast of Easter 337, Constantine fell seriously ill.[266] He left Constantinople for the hot baths near his mother's city of Helenopolis (Altinova), on the southern shores of the Gulf of Nicomedia (present-day Gulf of İzmit). There, in a church his mother built in honor of Lucian the Apostle, he prayed, and there he realized that he was dying. Seeking purification, he became a catechumen, and attempted a return to Constantinople, making it only as far as a suburb of Nicomedia.[267] He summoned the bishops, and told them of his hope to be baptized in the River Jordan, where Christ was written to have been baptized. He requested the baptism right away, promising to live a more Christian life should he live through his illness. The bishops, Eusebius records, "performed the sacred ceremonies according to custom".[268] He chose the Arianizing bishop Eusebius of Nicomedia, bishop of the city where he lay dying, as his baptizer.[269] In postponing his baptism, he followed one custom at the time which postponed baptism until after infancy.[270] It has been thought that Constantine put off baptism as long as he did so as to be absolved from as much of his sin as possible.[271] Constantine died soon after at a suburban villa called Achyron, on the last day of the fifty-day festival of Pentecost directly following Pascha (or Easter), on 22 May 337.[272]
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Although Constantine's death follows the conclusion of the Persian campaign in Eusebius's account, most other sources report his death as occurring in its middle. Emperor Julian the Apostate (a nephew of Constantine), writing in the mid-350s, observes that the Sassanians escaped punishment for their ill-deeds, because Constantine died "in the middle of his preparations for war".[273] Similar accounts are given in the Origo Constantini, an anonymous document composed while Constantine was still living, and which has Constantine dying in Nicomedia;[274] the Historiae abbreviatae of Sextus Aurelius Victor, written in 361, which has Constantine dying at an estate near Nicomedia called Achyrona while marching against the Persians;[275] and the Breviarium of Eutropius, a handbook compiled in 369 for the Emperor Valens, which has Constantine dying in a nameless state villa in Nicomedia.[276] From these and other accounts, some have concluded that Eusebius's Vita was edited to defend Constantine's reputation against what Eusebius saw as a less congenial version of the campaign.[277]
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Following his death, his body was transferred to Constantinople and buried in the Church of the Holy Apostles,[278] in a porphyry sarcophagus that was described in the 10th century by Constantine VII Porphyrogenitus in the De Ceremoniis.[279] His body survived the plundering of the city during the Fourth Crusade in 1204, but was destroyed at some point afterwards.[280] Constantine was succeeded by his three sons born of Fausta, Constantine II, Constantius II and Constans. A number of relatives were killed by followers of Constantius, notably Constantine's nephews Dalmatius (who held the rank of Caesar) and Hannibalianus, presumably to eliminate possible contenders to an already complicated succession. He also had two daughters, Constantina and Helena, wife of Emperor Julian.[281]
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Constantine gained his honorific of "the Great" from Christian historians long after he had died, but he could have claimed the title on his military achievements and victories alone. He reunited the Empire under one emperor, and he won major victories over the Franks and Alamanni in 306–308, the Franks again in 313–314, the Goths in 332, and the Sarmatians in 334. By 336, he had reoccupied most of the long-lost province of Dacia which Aurelian had been forced to abandon in 271. At the time of his death, he was planning a great expedition to end raids on the eastern provinces from the Persian Empire.[283] He served for almost 31 years (combining his years as co-ruler and sole ruler), the second longest-serving emperor behind Augustus.
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In the cultural sphere, Constantine revived the clean-shaven face fashion of the Roman emperors from Augustus to Trajan, which was originally introduced among the Romans by Scipio Africanus. This new Roman imperial fashion lasted until the reign of Phocas.[284][285]
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The Holy Roman Empire reckoned Constantine among the venerable figures of its tradition. In the later Byzantine state, it became a great honor for an emperor to be hailed as a "new Constantine"; ten emperors carried the name, including the last emperor of the Eastern Roman Empire.[286] Charlemagne used monumental Constantinian forms in his court to suggest that he was Constantine's successor and equal. Constantine acquired a mythic role as a warrior against heathens. The motif of the Romanesque equestrian, the mounted figure in the posture of a triumphant Roman emperor, became a visual metaphor in statuary in praise of local benefactors. The name "Constantine" itself enjoyed renewed popularity in western France in the eleventh and twelfth centuries.[287] The Orthodox Church considers Constantine a saint (Άγιος Κωνσταντίνος, Saint Constantine), having a feast day on 21 May,[288] and calls him isapostolos (ισαπόστολος Κωνσταντίνος)—an equal of the Apostles.[289] Although not as celebrated as in Eastern Christianity, he is regarded as a saint by the Roman Catholic Church, with the same feast day.[290]
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The Niš Constantine the Great Airport is named in honor of him. A large Cross was planned to be built on a hill overlooking Niš, but the project was cancelled.[291] In 2012, a memorial was erected in Niš in his honor. The Commemoration of the Edict of Milan was held in Niš in 2013.[292]
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Constantine was presented as a paragon of virtue during his lifetime. Pagans showered him with praise, such as Praxagoras of Athens, and Libanius. His nephew and son-in-law Julian the Apostate, however, wrote the satire Symposium, or the Saturnalia in 361, after the last of his sons died; it denigrated Constantine, calling him inferior to the great pagan emperors, and given over to luxury and greed.[293] Following Julian, Eunapius began—and Zosimus continued—a historiographic tradition that blamed Constantine for weakening the Empire through his indulgence to the Christians.[294]
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Constantine was presented as an ideal ruler during the Middle Ages, the standard against which any king or emperor could be measured.[294] The Renaissance rediscovery of anti-Constantinian sources prompted a re-evaluation of his career. German humanist Johannes Leunclavius discovered Zosimus' writings and published a Latin translation in 1576. In its preface, he argued that Zosimus' picture of Constantine offered a more balanced view than that of Eusebius and the Church historians.[295] Cardinal Caesar Baronius criticized Zosimus, favoring Eusebius' account of the Constantinian era. Baronius' Life of Constantine (1588) presents Constantine as the model of a Christian prince.[296] Edward Gibbon aimed to unite the two extremes of Constantinian scholarship in his work The History of the Decline and Fall of the Roman Empire (1776–89) by contrasting the portraits presented by Eusebius and Zosimus.[297] He presents a noble war hero who transforms into an Oriental despot in his old age, "degenerating into a cruel and dissolute monarch".[298]
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Modern interpretations of Constantine's rule begin with Jacob Burckhardt's The Age of Constantine the Great (1853, rev. 1880). Burckhardt's Constantine is a scheming secularist, a politician who manipulates all parties in a quest to secure his own power.[299] Henri Grégoire followed Burckhardt's evaluation of Constantine in the 1930s, suggesting that Constantine developed an interest in Christianity only after witnessing its political usefulness. Grégoire was skeptical of the authenticity of Eusebius' Vita, and postulated a pseudo-Eusebius to assume responsibility for the vision and conversion narratives of that work.[300] Otto Seeck's Geschichte des Untergangs der antiken Welt (1920–23) and André Piganiol's L'empereur Constantin (1932) go against this historiographic tradition. Seeck presents Constantine as a sincere war hero whose ambiguities were the product of his own naïve inconsistency.[301] Piganiol's Constantine is a philosophical monotheist, a child of his era's religious syncretism.[302] Related histories by Arnold Hugh Martin Jones (Constantine and the Conversion of Europe, 1949) and Ramsay MacMullen (Constantine, 1969) give portraits of a less visionary and more impulsive Constantine.[303]
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These later accounts were more willing to present Constantine as a genuine convert to Christianity. Norman H. Baynes began a historiographic tradition with Constantine the Great and the Christian Church (1929) which presents Constantine as a committed Christian, reinforced by Andreas Alföldi's The Conversion of Constantine and Pagan Rome (1948), and Timothy Barnes's Constantine and Eusebius (1981) is the culmination of this trend. Barnes' Constantine experienced a radical conversion which drove him on a personal crusade to convert his empire.[304] Charles Matson Odahl's Constantine and the Christian Empire (2004) takes much the same tack.[305] In spite of Barnes' work, arguments continue over the strength and depth of Constantine's religious conversion.[306] Certain themes in this school reached new extremes in T.G. Elliott's The Christianity of Constantine the Great (1996), which presented Constantine as a committed Christian from early childhood.[307] Paul Veyne's 2007 work Quand notre monde est devenu chrétien holds a similar view which does not speculate on the origin of Constantine's Christian motivation, but presents him as a religious revolutionary who fervently believed that he was meant "to play a providential role in the millenary economy of the salvation of humanity".[308]
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Latin Rite Catholics considered it inappropriate that Constantine was baptized only on his death bed by an unorthodox bishop, as it undermined the authority of the Papacy, and a legend emerged by the early fourth century that Pope Sylvester I (314–335) had cured the pagan emperor from leprosy. According to this legend, Constantine was soon baptized and began the construction of a church in the Lateran Palace.[309] The Donation of Constantine appeared in the eighth century, most likely during the pontificate of Pope Stephen II (752–757), in which the freshly converted Constantine gives "the city of Rome and all the provinces, districts, and cities of Italy and the Western regions" to Sylvester and his successors.[310] In the High Middle Ages, this document was used and accepted as the basis for the Pope's temporal power, though it was denounced as a forgery by Emperor Otto III[311] and lamented as the root of papal worldliness by Dante Alighieri.[312] Philologist and Catholic priest Lorenzo Valla proved that the document was indeed a forgery.[313]
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During the medieval period, Britons regarded Constantine as a king of their own people, particularly associating him with Caernarfon in Gwynedd. While some of this is owed to his fame and his proclamation as Emperor in Britain, there was also confusion of his family with Magnus Maximus's supposed wife Saint Elen and her son, another Constantine (Welsh: Custennin). In the 12th century Henry of Huntingdon included a passage in his Historia Anglorum that the Emperor Constantine's mother was a Briton, making her the daughter of King Cole of Colchester.[314] Geoffrey of Monmouth expanded this story in his highly fictionalized Historia Regum Britanniae, an account of the supposed Kings of Britain from their Trojan origins to the Anglo-Saxon invasion.[315] According to Geoffrey, Cole was King of the Britons when Constantius, here a senator, came to Britain. Afraid of the Romans, Cole submitted to Roman law so long as he retained his kingship. However, he died only a month later, and Constantius took the throne himself, marrying Cole's daughter Helena. They had their son Constantine, who succeeded his father as King of Britain before becoming Roman Emperor.
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Historically, this series of events is extremely improbable. Constantius had already left Helena by the time he left for Britain.[42] Additionally, no earlier source mentions that Helena was born in Britain, let alone that she was a princess. Henry's source for the story is unknown, though it may have been a lost hagiography of Helena.[315]
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Alexander III of Macedon (Greek: Αλέξανδρος Γʹ ὁ Μακεδών, Aléxandros III ho Makedȏn; 20/21 July 356 BC – 10/11 June 323 BC), commonly known as Alexander the Great (Greek: Ἀλέξανδρος ὁ Μέγας, Aléxandros ho Mégas), was a king (basileus) of the ancient Greek kingdom of Macedon[a] and a member of the Argead dynasty. He was born in Pella in 356 BC and succeeded his father Philip II to the throne at the age of 20. He spent most of his ruling years on an unprecedented military campaign through western Asia and northeast Africa, and by the age of thirty, he had created one of the largest empires of the ancient world, stretching from Greece to northwestern India.[1][2] He was undefeated in battle and is widely considered one of history's most successful military commanders.[3]
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During his youth, Alexander was tutored by Aristotle until age 16. After Philip's assassination in 336 BC, he succeeded his father to the throne and inherited a strong kingdom and an experienced army. Alexander was awarded the generalship of Greece and used this authority to launch his father's pan-Hellenic project to lead the Greeks in the conquest of Persia.[4][5] In 334 BC, he invaded the Achaemenid Empire (Persian Empire) and began a series of campaigns that lasted 10 years. Following the conquest of Anatolia, Alexander broke the power of Persia in a series of decisive battles, most notably the battles of Issus and Gaugamela. He subsequently overthrew Persian King Darius III and conquered the Achaemenid Empire in its entirety.[b] At that point, his empire stretched from the Adriatic Sea to the Beas River.
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Alexander endeavoured to reach the "ends of the world and the Great Outer Sea" and invaded India in 326 BC, winning an important victory over the Pauravas at the Battle of the Hydaspes. He eventually turned back at the demand of his homesick troops, dying in Babylon in 323 BC, the city that he planned to establish as his capital, without executing a series of planned campaigns that would have begun with an invasion of Arabia. In the years following his death, a series of civil wars tore his empire apart, resulting in the establishment of several states ruled by the Diadochi, Alexander's surviving generals and heirs.
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Alexander's legacy includes the cultural diffusion and syncretism which his conquests engendered, such as Greco-Buddhism. He founded some twenty cities that bore his name, most notably Alexandria in Egypt. Alexander's settlement of Greek colonists and the resulting spread of Greek culture in the east resulted in a new Hellenistic civilization, aspects of which were still evident in the traditions of the Byzantine Empire in the mid-15th century AD and the presence of Greek speakers in central and far eastern Anatolia until the Greek genocide by the Turks in the 1920s. Alexander became legendary as a classical hero in the mould of Achilles, and he features prominently in the history and mythic traditions of both Greek and non-Greek cultures. He was undefeated in battle and became the measure against which military leaders compared themselves. Military academies throughout the world still teach his tactics.[6][c] He is often ranked among the most influential people in history.[7]
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Alexander was born in Pella, the capital of the Kingdom of Macedon,[8] on the sixth day of the ancient Greek month of Hekatombaion, which probably corresponds to 20 July 356 BC, although the exact date is uncertain.[9] He was the son of the king of Macedon, Philip II, and his fourth wife, Olympias, the daughter of Neoptolemus I, king of Epirus.[10] Although Philip had seven or eight wives, Olympias was his principal wife for some time, likely because she gave birth to Alexander.[11]
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Several legends surround Alexander's birth and childhood.[12] According to the ancient Greek biographer Plutarch, on the eve of the consummation of her marriage to Philip, Olympias dreamed that her womb was struck by a thunderbolt that caused a flame to spread "far and wide" before dying away. Sometime after the wedding, Philip is said to have seen himself, in a dream, securing his wife's womb with a seal engraved with a lion's image.[13] Plutarch offered a variety of interpretations of these dreams: that Olympias was pregnant before her marriage, indicated by the sealing of her womb; or that Alexander's father was Zeus. Ancient commentators were divided about whether the ambitious Olympias promulgated the story of Alexander's divine parentage, variously claiming that she had told Alexander, or that she dismissed the suggestion as impious.[13]
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On the day Alexander was born, Philip was preparing a siege on the city of Potidea on the peninsula of Chalcidice. That same day, Philip received news that his general Parmenion had defeated the combined Illyrian and Paeonian armies and that his horses had won at the Olympic Games. It was also said that on this day, the Temple of Artemis in Ephesus, one of the Seven Wonders of the World, burnt down. This led Hegesias of Magnesia to say that it had burnt down because Artemis was away, attending the birth of Alexander.[14] Such legends may have emerged when Alexander was king, and possibly at his instigation, to show that he was superhuman and destined for greatness from conception.[12]
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In his early years, Alexander was raised by a nurse, Lanike, sister of Alexander's future general Cleitus the Black. Later in his childhood, Alexander was tutored by the strict Leonidas, a relative of his mother, and by Lysimachus of Acarnania.[15] Alexander was raised in the manner of noble Macedonian youths, learning to read, play the lyre, ride, fight, and hunt.[16]
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When Alexander was ten years old, a trader from Thessaly brought Philip a horse, which he offered to sell for thirteen talents. The horse refused to be mounted, and Philip ordered it away. Alexander, however, detecting the horse's fear of its own shadow, asked to tame the horse, which he eventually managed.[12] Plutarch stated that Philip, overjoyed at this display of courage and ambition, kissed his son tearfully, declaring: "My boy, you must find a kingdom big enough for your ambitions. Macedon is too small for you", and bought the horse for him.[17] Alexander named it Bucephalas, meaning "ox-head". Bucephalas carried Alexander as far as India. When the animal died (because of old age, according to Plutarch, at age thirty), Alexander named a city after him, Bucephala.[18]
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When Alexander was 13, Philip began to search for a tutor, and considered such academics as Isocrates and Speusippus, the latter offering to resign from his stewardship of the Academy to take up the post. In the end, Philip chose Aristotle and provided the Temple of the Nymphs at Mieza as a classroom. In return for teaching Alexander, Philip agreed to rebuild Aristotle's hometown of Stageira, which Philip had razed, and to repopulate it by buying and freeing the ex-citizens who were slaves, or pardoning those who were in exile.[19]
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Mieza was like a boarding school for Alexander and the children of Macedonian nobles, such as Ptolemy, Hephaistion, and Cassander. Many of these students would become his friends and future generals, and are often known as the 'Companions'. Aristotle taught Alexander and his companions about medicine, philosophy, morals, religion, logic, and art. Under Aristotle's tutelage, Alexander developed a passion for the works of Homer, and in particular the Iliad; Aristotle gave him an annotated copy, which Alexander later carried on his campaigns.[20]
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During his youth, Alexander was also acquainted with Persian exiles at the Macedonian court, who received the protection of Philip II for several years as they opposed Artaxerxes III.[21][22][23] Among them were Artabazos II and his daughter Barsine, future mistress of Alexander, who resided at the Macedonian court from 352 to 342 BC, as well as Amminapes, future satrap of Alexander, or a Persian nobleman named Sisines.[21][24][25][26] This gave the Macedonian court a good knowledge of Persian issues, and may even have influenced some of the innovations in the management of the Macedonian state.[24]
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Suda writes that, also, Anaximenes of Lampsacus was one of his teachers. Anaximenes, also accompanied him on his campaigns.[27]
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At age 16, Alexander's education under Aristotle ended. Philip waged war against Byzantion, leaving Alexander in charge as regent and heir apparent.[12] During Philip's absence, the Thracian Maedi revolted against Macedonia. Alexander responded quickly, driving them from their territory. He colonized it with Greeks, and founded a city named Alexandropolis.[28]
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Upon Philip's return, he dispatched Alexander with a small force to subdue revolts in southern Thrace. Campaigning against the Greek city of Perinthus, Alexander is reported to have saved his father's life. Meanwhile, the city of Amphissa began to work lands that were sacred to Apollo near Delphi, a sacrilege that gave Philip the opportunity to further intervene in Greek affairs. Still occupied in Thrace, he ordered Alexander to muster an army for a campaign in southern Greece. Concerned that other Greek states might intervene, Alexander made it look as though he was preparing to attack Illyria instead. During this turmoil, the Illyrians invaded Macedonia, only to be repelled by Alexander.[29]
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Philip and his army joined his son in 338 BC, and they marched south through Thermopylae, taking it after stubborn resistance from its Theban garrison. They went on to occupy the city of Elatea, only a few days' march from both Athens and Thebes. The Athenians, led by Demosthenes, voted to seek alliance with Thebes against Macedonia. Both Athens and Philip sent embassies to win Thebes' favour, but Athens won the contest.[30] Philip marched on Amphissa (ostensibly acting on the request of the Amphictyonic League), capturing the mercenaries sent there by Demosthenes and accepting the city's surrender. Philip then returned to Elatea, sending a final offer of peace to Athens and Thebes, who both rejected it.[31]
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As Philip marched south, his opponents blocked him near Chaeronea, Boeotia. During the ensuing Battle of Chaeronea, Philip commanded the right wing and Alexander the left, accompanied by a group of Philip's trusted generals. According to the ancient sources, the two sides fought bitterly for some time. Philip deliberately commanded his troops to retreat, counting on the untested Athenian hoplites to follow, thus breaking their line. Alexander was the first to break the Theban lines, followed by Philip's generals. Having damaged the enemy's cohesion, Philip ordered his troops to press forward and quickly routed them. With the Athenians lost, the Thebans were surrounded. Left to fight alone, they were defeated.[32]
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After the victory at Chaeronea, Philip and Alexander marched unopposed into the Peloponnese, welcomed by all cities; however, when they reached Sparta, they were refused, but did not resort to war.[33] At Corinth, Philip established a "Hellenic Alliance" (modelled on the old anti-Persian alliance of the Greco-Persian Wars), which included most Greek city-states except Sparta. Philip was then named Hegemon (often translated as "Supreme Commander") of this league (known by modern scholars as the League of Corinth), and announced his plans to attack the Persian Empire.[34][35]
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When Philip returned to Pella, he fell in love with and married Cleopatra Eurydice in 338 BC,[36] the niece of his general Attalus.[37] The marriage made Alexander's position as heir less secure, since any son of Cleopatra Eurydice would be a fully Macedonian heir, while Alexander was only half-Macedonian.[38] During the wedding banquet, a drunken Attalus publicly prayed to the gods that the union would produce a legitimate heir.[37]
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At the wedding of Cleopatra, whom Philip fell in love with and married, she being much too young for him, her uncle Attalus in his drink desired the Macedonians would implore the gods to give them a lawful successor to the kingdom by his niece. This so irritated Alexander, that throwing one of the cups at his head, "You villain," said he, "what, am I then a bastard?" Then Philip, taking Attalus's part, rose up and would have run his son through; but by good fortune for them both, either his over-hasty rage, or the wine he had drunk, made his foot slip, so that he fell down on the floor. At which Alexander reproachfully insulted over him: "See there," said he, "the man who makes preparations to pass out of Europe into Asia, overturned in passing from one seat to another."
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In 337 BC, Alexander fled Macedon with his mother, dropping her off with her brother, King Alexander I of Epirus in Dodona, capital of the Molossians.[40] He continued to Illyria,[40] where he sought refuge with one or more Illyrian kings, perhaps with Glaukias, and was treated as a guest, despite having defeated them in battle a few years before.[41] However, it appears Philip never intended to disown his politically and militarily trained son.[40] Accordingly, Alexander returned to Macedon after six months due to the efforts of a family friend, Demaratus, who mediated between the two parties.[42]
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In the following year, the Persian satrap (governor) of Caria, Pixodarus, offered his eldest daughter to Alexander's half-brother, Philip Arrhidaeus.[40] Olympias and several of Alexander's friends suggested this showed Philip intended to make Arrhidaeus his heir.[40] Alexander reacted by sending an actor, Thessalus of Corinth, to tell Pixodarus that he should not offer his daughter's hand to an illegitimate son, but instead to Alexander. When Philip heard of this, he stopped the negotiations and scolded Alexander for wishing to marry the daughter of a Carian, explaining that he wanted a better bride for him.[40] Philip exiled four of Alexander's friends, Harpalus, Nearchus, Ptolemy and Erigyius, and had the Corinthians bring Thessalus to him in chains.[43]
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In summer 336 BC, while at Aegae attending the wedding of his daughter Cleopatra to Olympias's brother, Alexander I of Epirus, Philip was assassinated by the captain of his bodyguards, Pausanias.[e] As Pausanias tried to escape, he tripped over a vine and was killed by his pursuers, including two of Alexander's companions, Perdiccas and Leonnatus. Alexander was proclaimed king on the spot by the nobles and army at the age of 20.[45][46][47]
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Alexander began his reign by eliminating potential rivals to the throne. He had his cousin, the former Amyntas IV, executed.[48] He also had two Macedonian princes from the region of Lyncestis killed, but spared a third, Alexander Lyncestes. Olympias had Cleopatra Eurydice and Europa, her daughter by Philip, burned alive. When Alexander learned about this, he was furious. Alexander also ordered the murder of Attalus,[48] who was in command of the advance guard of the army in Asia Minor and Cleopatra's uncle.[49]
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Attalus was at that time corresponding with Demosthenes, regarding the possibility of defecting to Athens. Attalus also had severely insulted Alexander, and following Cleopatra's murder, Alexander may have considered him too dangerous to leave alive.[49] Alexander spared Arrhidaeus, who was by all accounts mentally disabled, possibly as a result of poisoning by Olympias.[45][47][50]
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News of Philip's death roused many states into revolt, including Thebes, Athens, Thessaly, and the Thracian tribes north of Macedon. When news of the revolts reached Alexander, he responded quickly. Though advised to use diplomacy, Alexander mustered 3,000 Macedonian cavalry and rode south towards Thessaly. He found the Thessalian army occupying the pass between Mount Olympus and Mount Ossa, and ordered his men to ride over Mount Ossa. When the Thessalians awoke the next day, they found Alexander in their rear and promptly surrendered, adding their cavalry to Alexander's force. He then continued south towards the Peloponnese.[51]
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Alexander stopped at Thermopylae, where he was recognized as the leader of the Amphictyonic League before heading south to Corinth. Athens sued for peace and Alexander pardoned the rebels. The famous encounter between Alexander and Diogenes the Cynic occurred during Alexander's stay in Corinth. When Alexander asked Diogenes what he could do for him, the philosopher disdainfully asked Alexander to stand a little to the side, as he was blocking the sunlight.[52] This reply apparently delighted Alexander, who is reported to have said "But verily, if I were not Alexander, I would like to be Diogenes."[53] At Corinth, Alexander took the title of Hegemon ("leader") and, like Philip, was appointed commander for the coming war against Persia. He also received news of a Thracian uprising.[54]
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Before crossing to Asia, Alexander wanted to safeguard his northern borders. In the spring of 335 BC, he advanced to suppress several revolts. Starting from Amphipolis, he travelled east into the country of the "Independent Thracians"; and at Mount Haemus, the Macedonian army attacked and defeated the Thracian forces manning the heights.[55] The Macedonians marched into the country of the Triballi, and defeated their army near the Lyginus river[56] (a tributary of the Danube). Alexander then marched for three days to the Danube, encountering the Getae tribe on the opposite shore. Crossing the river at night, he surprised them and forced their army to retreat after the first cavalry skirmish.[57]
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News then reached Alexander that Cleitus, King of Illyria, and King Glaukias of the Taulantii were in open revolt against his authority. Marching west into Illyria, Alexander defeated each in turn, forcing the two rulers to flee with their troops. With these victories, he secured his northern frontier.[58]
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While Alexander campaigned north, the Thebans and Athenians rebelled once again. Alexander immediately headed south.[59] While the other cities again hesitated, Thebes decided to fight. The Theban resistance was ineffective, and Alexander razed the city and divided its territory between the other Boeotian cities. The end of Thebes cowed Athens, leaving all of Greece temporarily at peace.[59] Alexander then set out on his Asian campaign, leaving Antipater as regent.[60]
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According to ancient writers Demosthenes called Alexander "Margites" (Greek: Μαργίτης)[61][62][63] and a boy.[63] Greeks used the word Margites to describe fool and useless people, on account of the Margites.[62][64]
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Ionia 336 BC
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Media and Egypt 333 BC
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Persia 331 BC
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India 326 BC
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In 336 BC Philip II had already sent Parmenion, with Amyntas, Andromenes and Attalus, and an army of 10,000 men into Anatolia to make preparations for an invasion to free the Greeks living on the western coast and islands from Achaemenid rule.[65][66] At first, all went well. The Greek cities on the western coast of Anatolia revolted until the news arrived that Philip had been murdered and had been succeeded by his young son Alexander. The Macedonians were demoralized by Philip's death and were subsequently defeated near Magnesia by the Achaemenids under the command of the mercenary Memnon of Rhodes.[65][66]
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Taking over the invasion project of Philip II, Alexander's army crossed the Hellespont in 334 BC with approximately 48,100 soldiers, 6,100 cavalry and a fleet of 120 ships with crews numbering 38,000,[59] drawn from Macedon and various Greek city-states, mercenaries, and feudally raised soldiers from Thrace, Paionia, and Illyria.[67][f] He showed his intent to conquer the entirety of the Persian Empire by throwing a spear into Asian soil and saying he accepted Asia as a gift from the gods. This also showed Alexander's eagerness to fight, in contrast to his father's preference for diplomacy.[59]
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After an initial victory against Persian forces at the Battle of the Granicus, Alexander accepted the surrender of the Persian provincial capital and treasury of Sardis; he then proceeded along the Ionian coast, granting autonomy and democracy to the cities. Miletus, held by Achaemenid forces, required a delicate siege operation, with Persian naval forces nearby. Further south, at Halicarnassus, in Caria, Alexander successfully waged his first large-scale siege, eventually forcing his opponents, the mercenary captain Memnon of Rhodes and the Persian satrap of Caria, Orontobates, to withdraw by sea.[68] Alexander left the government of Caria to a member of the Hecatomnid dynasty, Ada, who adopted Alexander.[69]
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From Halicarnassus, Alexander proceeded into mountainous Lycia and the Pamphylian plain, asserting control over all coastal cities to deny the Persians naval bases. From Pamphylia onwards the coast held no major ports and Alexander moved inland. At Termessos, Alexander humbled but did not storm the Pisidian city.[70] At the ancient Phrygian capital of Gordium, Alexander "undid" the hitherto unsolvable Gordian Knot, a feat said to await the future "king of Asia".[71] According to the story, Alexander proclaimed that it did not matter how the knot was undone and hacked it apart with his sword.[72]
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In spring 333 BC, Alexander crossed the Taurus into Cilicia. After a long pause due to an illness, he marched on towards Syria. Though outmanoeuvered by Darius' significantly larger army, he marched back to Cilicia, where he defeated Darius at Issus. Darius fled the battle, causing his army to collapse, and left behind his wife, his two daughters, his mother Sisygambis, and a fabulous treasure.[73] He offered a peace treaty that included the lands he had already lost, and a ransom of 10,000 talents for his family. Alexander replied that since he was now king of Asia, it was he alone who decided territorial divisions.[74]
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Alexander proceeded to take possession of Syria, and most of the coast of the Levant.[69] In the following year, 332 BC, he was forced to attack Tyre, which he captured after a long and difficult siege.[75][76] The men of military age were massacred and the women and children sold into slavery.[77]
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When Alexander destroyed Tyre, most of the towns on the route to Egypt quickly capitulated. However, Alexander met with resistance at Gaza. The stronghold was heavily fortified and built on a hill, requiring a siege. When "his engineers pointed out to him that because of the height of the mound it would be impossible... this encouraged Alexander all the more to make the
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attempt".[78] After three unsuccessful assaults, the stronghold fell, but not before Alexander had received a serious shoulder wound. As in Tyre, men of military age were put to the sword and the women and children were sold into slavery.[79]
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Alexander advanced on Egypt in later 332 BC, where he was regarded as a liberator.[80] He was pronounced son of the deity Amun at the Oracle of Siwa Oasis in the Libyan desert.[81] Henceforth, Alexander often referred to Zeus-Ammon as his true father, and after his death, currency depicted him adorned with the Horns of Ammon as a symbol of his divinity.[82] During his stay in Egypt, he founded Alexandria-by-Egypt, which would become the prosperous capital of the Ptolemaic Kingdom after his death.[83]
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Leaving Egypt in 331 BCE, Alexander marched eastward into Achaemenid Assyria in Upper Mesopotamia (now northern Iraq) and defeated Darius again at the Battle of Gaugamela.[84] Darius once more fled the field, and Alexander chased him as far as Arbela. Gaugamela would be the final and decisive encounter between the two. Darius fled over the mountains to Ecbatana (modern Hamadan) while Alexander captured Babylon.[85]
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From Babylon, Alexander went to Susa, one of the Achaemenid capitals, and captured its treasury.[85] He sent the bulk of his army to the Persian ceremonial capital of Persepolis via the Persian Royal Road. Alexander himself took selected troops on the direct route to the city. He then stormed the pass of the Persian Gates (in the modern Zagros Mountains) which had been blocked by a Persian army under Ariobarzanes and then hurried to Persepolis before its garrison could loot the treasury.[86]
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On entering Persepolis, Alexander allowed his troops to loot the city for several days.[87] Alexander stayed in Persepolis for five months.[88] During his stay a fire broke out in the eastern palace of Xerxes I and spread to the rest of the city. Possible causes include a drunken accident or deliberate revenge for the burning of the Acropolis of Athens during the Second Persian War by Xerxes;[89] Plutarch and Diodorus allege that Alexander's companion, the hetaera Thaïs, instigated and started the fire. Even as he watched the city burn, Alexander immediately began to regret his decision.[90][91][92] Plutarch claims that he ordered his men to put out the fires,[90] but that the flames had already spread to most of the city.[90] Curtius claims that Alexander did not regret his decision until the next morning.[90] Plutarch recounts an anecdote in which Alexander pauses and talks to a fallen statue of Xerxes as if it were a live person:
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Shall I pass by and leave you lying there because of the expeditions you led against Greece, or shall I set you up again because of your magnanimity and your virtues in other respects?[93]
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Alexander then chased Darius, first into Media, and then Parthia.[95] The Persian king no longer controlled his own destiny, and was taken prisoner by Bessus, his Bactrian satrap and kinsman.[96] As Alexander approached, Bessus had his men fatally stab the Great King and then declared himself Darius' successor as Artaxerxes V, before retreating into Central Asia to launch a guerrilla campaign against Alexander.[97] Alexander buried Darius' remains next to his Achaemenid predecessors in a regal funeral.[98] He claimed that, while dying, Darius had named him as his successor to the Achaemenid throne.[99] The Achaemenid Empire is normally considered to have fallen with Darius.[100]
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Alexander viewed Bessus as a usurper and set out to defeat him. This campaign, initially against Bessus, turned into a grand tour of central Asia. Alexander founded a series of new cities, all called Alexandria, including modern Kandahar in Afghanistan, and Alexandria Eschate ("The Furthest") in modern Tajikistan. The campaign took Alexander through Media, Parthia, Aria (West Afghanistan), Drangiana, Arachosia (South and Central Afghanistan), Bactria (North and Central Afghanistan), and Scythia.[101]
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In 329 BC, Spitamenes, who held an undefined position in the satrapy of Sogdiana, betrayed Bessus to Ptolemy, one of Alexander's trusted companions, and Bessus was executed.[102] However, when, at some point later, Alexander was on the Jaxartes dealing with an incursion by a horse nomad army, Spitamenes raised Sogdiana in revolt. Alexander personally defeated the Scythians at the Battle of Jaxartes and immediately launched a campaign against Spitamenes, defeating him in the Battle of Gabai. After the defeat, Spitamenes was killed by his own men, who then sued for peace.[103]
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During this time, Alexander adopted some elements of Persian dress and customs at his court, notably the custom of proskynesis, either a symbolic kissing of the hand, or prostration on the ground, that Persians showed to their social superiors.[104] The Greeks regarded the gesture as the province of deities and believed that Alexander meant to deify himself by requiring it. This cost him the sympathies of many of his countrymen, and he eventually abandoned it.[105]
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A plot against his life was revealed, and one of his officers, Philotas, was executed for failing to alert Alexander. The death of the son necessitated the death of the father, and thus Parmenion, who had been charged with guarding the treasury at Ecbatana, was assassinated at Alexander's command, to prevent attempts at vengeance. Most infamously, Alexander personally killed the man who had saved his life at Granicus, Cleitus the Black, during a violent drunken altercation at Maracanda (modern day Samarkand in Uzbekistan), in which Cleitus accused Alexander of several judgmental mistakes and most especially, of having forgotten the Macedonian ways in favour of a corrupt oriental lifestyle.[106]
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Later, in the Central Asian campaign, a second plot against his life was revealed, this one instigated by his own royal pages. His official historian, Callisthenes of Olynthus, was implicated in the plot, and in the Anabasis of Alexander, Arrian states that Callisthenes and the pages were then tortured on the rack as punishment, and likely died soon after.[107] It remains unclear if Callisthenes was actually involved in the plot, for prior to his accusation he had fallen out of favour by leading the opposition to the attempt to introduce proskynesis.[108]
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When Alexander set out for Asia, he left his general Antipater, an experienced military and political leader and part of Philip II's "Old Guard", in charge of Macedon.[60] Alexander's sacking of Thebes ensured that Greece remained quiet during his absence.[60] The one exception was a call to arms by Spartan king Agis III in 331 BC, whom Antipater defeated and killed in the battle of Megalopolis.[60] Antipater referred the Spartans' punishment to the League of Corinth, which then deferred to Alexander, who chose to pardon them.[109] There was also considerable friction between Antipater and Olympias, and each complained to Alexander about the other.[110]
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In general, Greece enjoyed a period of peace and prosperity during Alexander's campaign in Asia.[111] Alexander sent back vast sums from his conquest, which stimulated the economy and increased trade across his empire.[112] However, Alexander's constant demands for troops and the migration of Macedonians throughout his empire depleted Macedon's strength, greatly weakening it in the years after Alexander, and ultimately led to its subjugation by Rome after the Third Macedonian War (171–168 BC).[16]
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After the death of Spitamenes and his marriage to Roxana (Raoxshna in Old Iranian) to cement relations with his new satrapies, Alexander turned to the Indian subcontinent. He invited the chieftains of the former satrapy of Gandhara (a region presently straddling eastern Afghanistan and northern Pakistan), to come to him and submit to his authority. Omphis (Indian name Ambhi), the ruler of Taxila, whose kingdom extended from the Indus to the Hydaspes (Jhelum), complied, but the chieftains of some hill clans, including the Aspasioi and Assakenoi sections of the Kambojas (known in Indian texts also as Ashvayanas and Ashvakayanas), refused to submit.[113] Ambhi hastened to relieve Alexander of his apprehension and met him with valuable presents, placing himself and all his forces at his disposal. Alexander not only returned Ambhi his title and the gifts but he also presented him with a wardrobe of "Persian robes, gold and silver ornaments, 30 horses and 1,000 talents in gold". Alexander was emboldened to divide his forces, and Ambhi assisted Hephaestion and Perdiccas in constructing a bridge over the Indus where it bends at Hund,[114] supplied their troops with provisions, and received Alexander himself, and his whole army, in his capital city of Taxila, with every demonstration of friendship and the most liberal hospitality.
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On the subsequent advance of the Macedonian king, Taxiles accompanied him with a force of 5,000 men and took part in the battle of the Hydaspes River. After that victory he was sent by Alexander in pursuit of Porus (Indian name Puru), to whom he was charged to offer favourable terms, but narrowly escaped losing his life at the hands of his old enemy. Subsequently, however, the two rivals were reconciled by the personal mediation of Alexander; and Taxiles, after having contributed zealously to the equipment of the fleet on the Hydaspes, was entrusted by the king with the government of the whole territory between that river and the Indus. A considerable accession of power was granted him after the death of Philip, son of Machatas; and he was allowed to retain his authority at the death of Alexander himself (323 BC), as well as in the subsequent partition of the provinces at Triparadisus, 321 BC.
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In the winter of 327/326 BC, Alexander personally led a campaign against the Aspasioi of Kunar valleys, the Guraeans of the Guraeus valley, and the Assakenoi of the Swat and Buner valleys.[115] A fierce contest ensued with the Aspasioi in which Alexander was wounded in the shoulder by a dart, but eventually the Aspasioi lost. Alexander then faced the Assakenoi, who fought against him from the strongholds of Massaga, Ora and Aornos.[113]
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The fort of Massaga was reduced only after days of bloody fighting, in which Alexander was wounded seriously in the ankle. According to Curtius, "Not only did Alexander slaughter the entire population of Massaga, but also did he reduce its buildings to rubble."[116] A similar slaughter followed at Ora. In the aftermath of Massaga and Ora, numerous Assakenians fled to the fortress of Aornos. Alexander followed close behind and captured the strategic hill-fort after four bloody days.[113]
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After Aornos, Alexander crossed the Indus and fought and won an epic battle against King Porus, who ruled a region lying between the Hydaspes and the Acesines (Chenab), in what is now the Punjab, in the Battle of the Hydaspes in 326 BC.[117] Alexander was impressed by Porus' bravery, and made him an ally. He appointed Porus as satrap, and added to Porus' territory land that he did not previously own, towards the south-east, up to the Hyphasis (Beas).[118][119] Choosing a local helped him control these lands so distant from Greece.[120] Alexander founded two cities on opposite sides of the Hydaspes river, naming one Bucephala, in honour of his horse, who died around this time.[121] The other was Nicaea (Victory), thought to be located at the site of modern-day Mong, Punjab.[122] Philostratus the Elder in the Life of Apollonius of Tyana writes that in the army of Porus there was an elephant who fought brave against Alexander's army and Alexander dedicated it to the Helios (Sun) and named it Ajax, because he thought that a so great animal deserved a great name. The elephant had gold rings around its tusks and an inscription was on them written in Greek: "Alexander the son of Zeus dedicates Ajax to the Helios" (ΑΛΕΞΑΝΔΡΟΣ Ο ΔΙΟΣ ΤΟΝ ΑΙΑΝΤΑ ΤΩΙ ΗΛΙΩΙ).[123]
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East of Porus' kingdom, near the Ganges River, was the Nanda Empire of Magadha, and further east, the Gangaridai Empire of Bengal region of the Indian subcontinent. Fearing the prospect of facing other large armies and exhausted by years of campaigning, Alexander's army mutinied at the Hyphasis River (Beas), refusing to march farther east.[124] This river thus marks the easternmost extent of Alexander's conquests.[125]
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As for the Macedonians, however, their struggle with Porus blunted their courage and stayed their further advance into India. For having had all they could do to repulse an enemy who mustered only twenty thousand infantry and two thousand horse, they violently opposed Alexander when he insisted on crossing the river Ganges also, the width of which, as they learned, was thirty-two furlongs, its depth a hundred fathoms, while its banks on the further side were covered with multitudes of men-at-arms and horsemen and elephants. For they were told that the kings of the Ganderites and Praesii were awaiting them with eighty thousand horsemen, two hundred thousand footmen, eight thousand chariots, and six thousand war elephants.[126]
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Alexander tried to persuade his soldiers to march farther, but his general Coenus pleaded with him to change his opinion and return; the men, he said, "longed to again see their parents, their wives and children, their homeland". Alexander eventually agreed and turned south, marching along the Indus. Along the way his army conquered the Malhi (in modern-day Multan) and other Indian tribes and Alexander sustained an injury during the siege.[127]
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Alexander sent much of his army to Carmania (modern southern Iran) with general Craterus, and commissioned a fleet to explore the Persian Gulf shore under his admiral Nearchus, while he led the rest back to Persia through the more difficult southern route along the Gedrosian Desert and Makran.[128] Alexander reached Susa in 324 BC, but not before losing many men to the harsh desert.[129]
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Discovering that many of his satraps and military governors had misbehaved in his absence, Alexander executed several of them as examples on his way to Susa.[131][132] As a gesture of thanks, he paid off the debts of his soldiers, and announced that he would send over-aged and disabled veterans back to Macedon, led by Craterus. His troops misunderstood his intention and mutinied at the town of Opis. They refused to be sent away and criticized his adoption of Persian customs and dress and the introduction of Persian officers and soldiers into Macedonian units.[133]
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After three days, unable to persuade his men to back down, Alexander gave Persians command posts in the army and conferred Macedonian military titles upon Persian units. The Macedonians quickly begged forgiveness, which Alexander accepted, and held a great banquet for several thousand of his men at which he and they ate together.[134] In an attempt to craft a lasting harmony between his Macedonian and Persian subjects, Alexander held a mass marriage of his senior officers to Persian and other noblewomen at Susa, but few of those marriages seem to have lasted much beyond a year.[132] Meanwhile, upon his return to Persia, Alexander learned that guards of the tomb of Cyrus the Great in Pasargadae had desecrated it, and swiftly executed them.[135] Alexander admired Cyrus the Great, from an early age reading Xenophon's Cyropaedia, which described Cyrus's heroism in battle and governance as a king and legislator.[136] During his visit to Pasargadae Alexander ordered his architect Aristobulus to decorate the interior of the sepulchral chamber of Cyrus' tomb.[136]
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Afterwards, Alexander travelled to Ecbatana to retrieve the bulk of the Persian treasure. There, his closest friend and possible lover, Hephaestion, died of illness or poisoning.[137][138] Hephaestion's death devastated Alexander, and he ordered the preparation of an expensive funeral pyre in Babylon, as well as a decree for public mourning.[137] Back in Babylon, Alexander planned a series of new campaigns, beginning with an invasion of Arabia, but he would not have a chance to realize them, as he died shortly after Hephaestion.[139]
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On either 10 or 11 June 323 BC, Alexander died in the palace of Nebuchadnezzar II, in Babylon, at age 32.[140] There are two different versions of Alexander's death and details of the death differ slightly in each. Plutarch's account is that roughly 14 days before his death, Alexander entertained admiral Nearchus, and spent the night and next day drinking with Medius of Larissa.[141] He developed a fever, which worsened until he was unable to speak. The common soldiers, anxious about his health, were granted the right to file past him as he silently waved at them.[142] In the second account, Diodorus recounts that Alexander was struck with pain after downing a large bowl of unmixed wine in honour of Heracles, followed by 11 days of weakness; he did not develop a fever and died after some agony.[143] Arrian also mentioned this as an alternative, but Plutarch specifically denied this claim.[141]
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Given the propensity of the Macedonian aristocracy to assassination,[144] foul play featured in multiple accounts of his death. Diodorus, Plutarch, Arrian and Justin all mentioned the theory that Alexander was poisoned. Justin stated that Alexander was the victim of a poisoning conspiracy, Plutarch dismissed it as a fabrication,[145] while both Diodorus and Arrian noted that they mentioned it only for the sake of completeness.[143][146] The accounts were nevertheless fairly consistent in designating Antipater, recently removed as Macedonian viceroy, and at odds with Olympias, as the head of the alleged plot. Perhaps taking his summons to Babylon as a death sentence,[147] and having seen the fate of Parmenion and Philotas,[148] Antipater purportedly arranged for Alexander to be poisoned by his son Iollas, who was Alexander's wine-pourer.[146][148] There was even a suggestion that Aristotle may have participated.[146]
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The strongest argument against the poison theory is the fact that twelve days passed between the start of his illness and his death; such long-acting poisons were probably not available.[149] However, in a 2003 BBC documentary investigating the death of Alexander, Leo Schep from the New Zealand National Poisons Centre proposed that the plant white hellebore (Veratrum album), which was known in antiquity, may have been used to poison Alexander.[150][151][152] In a 2014 manuscript in the journal Clinical Toxicology, Schep suggested Alexander's wine was spiked with Veratrum album, and that this would produce poisoning symptoms that match the course of events described in the Alexander Romance.[153] Veratrum album poisoning can have a prolonged course and it was suggested that if Alexander was poisoned, Veratrum album offers the most plausible cause.[153][154] Another poisoning explanation put forward in 2010 proposed that the circumstances of his death were compatible with poisoning by water of the river Styx (modern-day Mavroneri in Arcadia, Greece) that contained calicheamicin, a dangerous compound produced by bacteria.[155]
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Several natural causes (diseases) have been suggested, including malaria and typhoid fever. A 1998 article in the New England Journal of Medicine attributed his death to typhoid fever complicated by bowel perforation and ascending paralysis.[156] Another recent analysis suggested pyogenic (infectious) spondylitis or meningitis.[157] Other illnesses fit the symptoms, including acute pancreatitis and West Nile virus.[158][159] Natural-cause theories also tend to emphasize that Alexander's health may have been in general decline after years of heavy drinking and severe wounds. The anguish that Alexander felt after Hephaestion's death may also have contributed to his declining health.[156]
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Alexander's body was laid in a gold anthropoid sarcophagus that was filled with honey, which was in turn placed in a gold casket.[160][161] According to Aelian, a seer called Aristander foretold that the land where Alexander was laid to rest "would be happy and unvanquishable forever".[162] Perhaps more likely, the successors may have seen possession of the body as a symbol of legitimacy, since burying the prior king was a royal prerogative.[163]
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While Alexander's funeral cortege was on its way to Macedon, Ptolemy seized it and took it temporarily to Memphis.[160][162] His successor, Ptolemy II Philadelphus, transferred the sarcophagus to Alexandria, where it remained until at least late Antiquity. Ptolemy IX Lathyros, one of Ptolemy's final successors, replaced Alexander's sarcophagus with a glass one so he could convert the original to coinage.[164] The recent discovery of an enormous tomb in northern Greece, at Amphipolis, dating from the time of Alexander the Great[165] has given rise to speculation that its original intent was to be the burial place of Alexander. This would fit with the intended destination of Alexander's funeral cortege. However, the memorial was found to be dedicated to the dearest friend of Alexander the Great, Hephaestion.[166][167]
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Pompey, Julius Caesar and Augustus all visited the tomb in Alexandria, where Augustus, allegedly, accidentally knocked the nose off. Caligula was said to have taken Alexander's breastplate from the tomb for his own use. Around AD 200, Emperor Septimius Severus closed Alexander's tomb to the public. His son and successor, Caracalla, a great admirer, visited the tomb during his own reign. After this, details on the fate of the tomb are hazy.[164]
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The so-called "Alexander Sarcophagus", discovered near Sidon and now in the Istanbul Archaeology Museum, is so named not because it was thought to have contained Alexander's remains, but because its bas-reliefs depict Alexander and his companions fighting the Persians and hunting. It was originally thought to have been the sarcophagus of Abdalonymus (died 311 BC), the king of Sidon appointed by Alexander immediately following the battle of Issus in 331.[168][169] However, more recently, it has been suggested that it may date from earlier than Abdalonymus' death.
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Demades likened the Macedonian army, after the death of Alexander, to the blinded Cyclop, due to the many random and disorderly movements that it made.[170][171][172] In addition, Leosthenes, also, likened the anarchy between the generals, after Alexander's death, to the blinded Cyclop "who after he had lost his eye went feeling and groping about with his hands before him, not knowing where to lay them".[173]
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Alexander's death was so sudden that when reports of his death reached Greece, they were not immediately believed.[60] Alexander had no obvious or legitimate heir, his son Alexander IV by Roxane being born after Alexander's death.[174] According to Diodorus, Alexander's companions asked him on his deathbed to whom he bequeathed his kingdom; his laconic reply was "tôi kratistôi"—"to the strongest".[143] Another theory is that his successors willfully or erroneously misheard "tôi Kraterôi"—"to Craterus", the general leading his Macedonian troops home and newly entrusted with the regency of Macedonia.[175]
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Arrian and Plutarch claimed that Alexander was speechless by this point, implying that this was an apocryphal story.[176] Diodorus, Curtius and Justin offered the more plausible story that Alexander passed his signet ring to Perdiccas, a bodyguard and leader of the companion cavalry, in front of witnesses, thereby nominating him.[143][174]
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Perdiccas initially did not claim power, instead suggesting that Roxane's baby would be king, if male; with himself, Craterus, Leonnatus, and Antipater as guardians. However, the infantry, under the command of Meleager, rejected this arrangement since they had been excluded from the discussion. Instead, they supported Alexander's half-brother Philip Arrhidaeus. Eventually, the two sides reconciled, and after the birth of Alexander IV, he and Philip III were appointed joint kings, albeit in name only.[177]
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Dissension and rivalry soon afflicted the Macedonians, however. The satrapies handed out by Perdiccas at the Partition of Babylon became power bases each general used to bid for power. After the assassination of Perdiccas in 321 BC, Macedonian unity collapsed, and 40 years of war between "The Successors" (Diadochi) ensued before the Hellenistic world settled into four stable power blocs: Ptolemaic Egypt, Seleucid Mesopotamia and Central Asia, Attalid Anatolia, and Antigonid Macedon. In the process, both Alexander IV and Philip III were murdered.[178]
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Diodorus stated that Alexander had given detailed written instructions to Craterus some time before his death.[179] Craterus started to carry out Alexander's commands, but the successors chose not to further implement them, on the grounds they were impractical and extravagant.[179] Nevertheless, Perdiccas read Alexander's will to his troops.[60]
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Alexander's will called for military expansion into the southern and western Mediterranean, monumental constructions, and the intermixing of Eastern and Western populations. It included:
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Alexander earned the epithet "the Great" due to his unparalleled success as a military commander. He never lost a battle, despite typically being outnumbered.[59] This was due to use of terrain, phalanx and cavalry tactics, bold strategy, and the fierce loyalty of his troops.[181] The Macedonian phalanx, armed with the sarissa, a spear 6 metres (20 ft) long, had been developed and perfected by Philip II through rigorous training, and Alexander used its speed and maneuverability to great effect against larger but more disparate[clarification needed] Persian forces.[182] Alexander also recognized the potential for disunity among his diverse army, which employed various languages and weapons. He overcame this by being personally involved in battle,[88] in the manner of a Macedonian king.[181]
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In his first battle in Asia, at Granicus, Alexander used only a small part of his forces, perhaps 13,000 infantry with 5,000 cavalry, against a much larger Persian force of 40,000.[183] Alexander placed the phalanx at the center and cavalry and archers on the wings, so that his line matched the length of the Persian cavalry line, about 3 km (1.86 mi). By contrast, the Persian infantry was stationed behind its cavalry. This ensured that Alexander would not be outflanked, while his phalanx, armed with long pikes, had a considerable advantage over the Persians' scimitars and javelins. Macedonian losses were negligible compared to those of the Persians.[184]
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At Issus in 333 BC, his first confrontation with Darius, he used the same deployment, and again the central phalanx pushed through.[184] Alexander personally led the charge in the center, routing the opposing army.[185] At the decisive encounter with Darius at Gaugamela, Darius equipped his chariots with scythes on the wheels to break up the phalanx and equipped his cavalry with pikes. Alexander arranged a double phalanx, with the center advancing at an angle, parting when the chariots bore down and then reforming. The advance was successful and broke Darius' center, causing the latter to flee once again.[184]
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When faced with opponents who used unfamiliar fighting techniques, such as in Central Asia and India, Alexander adapted his forces to his opponents' style. Thus, in Bactria and Sogdiana, Alexander successfully used his javelin throwers and archers to prevent outflanking movements, while massing his cavalry at the center.[185] In India, confronted by Porus' elephant corps, the Macedonians opened their ranks to envelop the elephants and used their sarissas to strike upwards and dislodge the elephants' handlers.[134]
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Greek biographer Plutarch (c. 45 – c. 120 AD) describes Alexander's appearance as:
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The outward appearance of Alexander is best represented by the statues of him which Lysippus made, and it was by this artist alone that Alexander himself thought it fit that he should be modelled. For those peculiarities which many of his successors and friends afterwards tried to imitate, namely, the poise of the neck, which was bent slightly to the left, and the melting glance of his eyes, this artist has accurately observed. Apelles, however, in painting him as wielder of the thunder-bolt, did not reproduce his complexion, but made it too dark and swarthy. Whereas he was of a fair colour, as they say, and his fairness passed into ruddiness on his breast particularly, and in his face. Moreover, that a very pleasant odour exhaled from his skin and that there was a fragrance about his mouth and all his flesh, so that his garments were filled with it, this we have read in the Memoirs of Aristoxenus.[186]
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The semi-legendary Alexander Romance also suggests that Alexander exhibited heterochromia iridum: that one eye was dark and the other light.[187]
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British historian Peter Green provided a description of Alexander's appearance, based on his review of statues and some ancient documents:
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Physically, Alexander was not prepossessing. Even by Macedonian standards he was very short, though stocky and tough. His beard was scanty, and he stood out against his hirsute Macedonian barons by going clean-shaven. His neck was in some way twisted, so that he appeared to be gazing upward at an angle. His eyes (one blue, one brown) revealed a dewy, feminine quality. He had a high complexion and a harsh voice.[188]
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Historian and Egyptologist Joann Fletcher has said that the Macedonian ruler Alexander the Great had blond hair.[189]
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Ancient authors recorded that Alexander was so pleased with portraits of himself created by Lysippos that he forbade other sculptors from crafting his image.[190] Lysippos had often used the contrapposto sculptural scheme to portray Alexander and other characters such as Apoxyomenos, Hermes and Eros.[191] Lysippos' sculpture, famous for its naturalism, as opposed to a stiffer, more static pose, is thought to be the most faithful depiction.[192]
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Some of Alexander's strongest personality traits formed in response to his parents. His mother had huge ambitions, and encouraged him to believe it was his destiny to conquer the Persian Empire.[188] Olympias' influence instilled a sense of destiny in him,[194] and Plutarch tells how his ambition "kept his spirit serious and lofty in advance of his years".[195] However, his father Philip was Alexander's most immediate and influential role model, as the young Alexander watched him campaign practically every year, winning victory after victory while ignoring severe wounds.[48] Alexander's relationship with his father forged the competitive side of his personality; he had a need to outdo his father, illustrated by his reckless behaviour in battle.[188] While Alexander worried that his father would leave him "no great or brilliant achievement to be displayed to the world",[196] he also downplayed his father's achievements to his companions.[188]
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According to Plutarch, among Alexander's traits were a violent temper and rash, impulsive nature,[197] which undoubtedly contributed to some of his decisions.[188] Although Alexander was stubborn and did not respond well to orders from his father, he was open to reasoned debate.[198] He had a calmer side—perceptive, logical, and calculating. He had a great desire for knowledge, a love for philosophy, and was an avid reader.[199] This was no doubt in part due to Aristotle's tutelage; Alexander was intelligent and quick to learn.[188] His intelligent and rational side was amply demonstrated by his ability and success as a general.[197] He had great self-restraint in "pleasures of the body", in contrast with his lack of self-control with alcohol.[200]
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Alexander was erudite and patronized both arts and sciences.[195][199] However, he had little interest in sports or the Olympic games (unlike his father), seeking only the Homeric ideals of honour (timê) and glory (kudos).[201] He had great charisma and force of personality, characteristics which made him a great leader.[174][197] His unique abilities were further demonstrated by the inability of any of his generals to unite Macedonia and retain the Empire after his death—only Alexander had the ability to do so.[174]
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During his final years, and especially after the death of Hephaestion, Alexander began to exhibit signs of megalomania and paranoia.[147] His extraordinary achievements, coupled with his own ineffable sense of destiny and the flattery of his companions, may have combined to produce this effect.[202] His delusions of grandeur are readily visible in his will and in his desire to conquer the world,[147] in as much as he is by various sources described as having boundless ambition,[203][204] an epithet, the meaning of which has descended into an historical cliché.[205][206]
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He appears to have believed himself a deity, or at least sought to deify himself.[147] Olympias always insisted to him that he was the son of Zeus,[207] a theory apparently confirmed to him by the oracle of Amun at Siwa.[208] He began to identify himself as the son of Zeus-Ammon.[208] Alexander adopted elements of Persian dress and customs at court, notably proskynesis, a practice of which Macedonians disapproved, and were loath to perform.[104] This behaviour cost him the sympathies of many of his countrymen.[209] However, Alexander also was a pragmatic ruler who understood the difficulties of ruling culturally disparate peoples, many of whom lived in kingdoms where the king was divine.[210] Thus, rather than megalomania, his behaviour may simply have been a practical attempt at strengthening his rule and keeping his empire together.[211]
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Alexander married three times: Roxana, daughter of the Sogdian nobleman Oxyartes of Bactria,[212][213][214] out of love;[215] and the Persian princesses Stateira II and Parysatis II, the former a daughter of Darius III and latter a daughter of Artaxerxes III, for political reasons.[216][217] He apparently had two sons, Alexander IV of Macedon by Roxana and, possibly, Heracles of Macedon from his mistress Barsine. He lost another child when Roxana miscarried at Babylon.[218][219]
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Alexander also had a close relationship with his friend, general, and bodyguard Hephaestion, the son of a Macedonian noble.[137][188][220] Hephaestion's death devastated Alexander.[137][221] This event may have contributed to Alexander's failing health and detached mental state during his final months.[147][156]
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Alexander's sexuality has been the subject of speculation and controversy in modern times.[222] The Roman era writer Athenaeus says, based on the scholar Dicaearchus, who was Alexander's contemporary, that the king "was quite excessively keen on boys", and that Alexander sexually embraced his eunuch Bagoas in public.[223] This episode is also told by Plutarch, probably based on the same source. None of Alexander's contemporaries, however, are known to have explicitly described Alexander's relationship with Hephaestion as sexual, though the pair was often compared to Achilles and Patroclus, whom classical Greek culture painted as a couple. Aelian writes of Alexander's visit to Troy where "Alexander garlanded the tomb of Achilles, and Hephaestion that of Patroclus, the latter hinting that he was a beloved of Alexander, in just the same way as Patroclus was of Achilles."[224] Some modern historians (e.g., Robin Lane Fox) believe not only that Alexander's youthful relationship with Hephaestion was sexual, but that their sexual contacts may have continued into adulthood, which went against the social norms of at least some Greek cities, such as Athens,[225][226] though some modern researchers have tentatively proposed that Macedonia (or at least the Macedonian court) may have been more tolerant of homosexuality between adults.[227]
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Green argues that there is little evidence in ancient sources that Alexander had much carnal interest in women; he did not produce an heir until the very end of his life.[188] However, Ogden calculates that Alexander, who impregnated his partners thrice in eight years, had a higher matrimonial record than his father at the same age.[228] Two of these pregnancies — Stateira's and Barsine's — are of dubious legitimacy.[229]
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According to Diodorus Siculus, Alexander accumulated a harem in the style of Persian kings, but he used it rather sparingly,[230] showing great self-control in "pleasures of the body".[200] Nevertheless, Plutarch described how Alexander was infatuated by Roxana while complimenting him on not forcing himself on her.[231] Green suggested that, in the context of the period, Alexander formed quite strong friendships with women, including Ada of Caria, who adopted him, and even Darius' mother Sisygambis, who supposedly died from grief upon hearing of Alexander's death.[188]
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Alexander's legacy extended beyond his military conquests. His campaigns greatly increased contacts and trade between East and West, and vast areas to the east were significantly exposed to Greek civilization and influence.[16] Some of the cities he founded became major cultural centers, many surviving into the 21st century. His chroniclers recorded valuable information about the areas through which he marched, while the Greeks themselves got a sense of belonging to a world beyond the Mediterranean.[16]
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Alexander's most immediate legacy was the introduction of Macedonian rule to huge new swathes of Asia. At the time of his death, Alexander's empire covered some 5,200,000 km2 (2,000,000 sq mi),[233] and was the largest state of its time. Many of these areas remained in Macedonian hands or under Greek influence for the next 200–300 years. The successor states that emerged were, at least initially, dominant forces, and these 300 years are often referred to as the Hellenistic period.[234]
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The eastern borders of Alexander's empire began to collapse even during his lifetime.[174] However, the power vacuum he left in the northwest of the Indian subcontinent directly gave rise to one of the most powerful Indian dynasties in history, the Maurya Empire. Taking advantage of this power vacuum, Chandragupta Maurya (referred to in Greek sources as "Sandrokottos"), of relatively humble origin, took control of the Punjab, and with that power base proceeded to conquer the Nanda Empire.[235]
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Over the course of his conquests, Alexander founded some twenty cities that bore his name, most of them east of the Tigris.[105][236] The first, and greatest, was Alexandria in Egypt, which would become one of the leading Mediterranean cities.[105] The cities' locations reflected trade routes as well as defensive positions. At first, the cities must have been inhospitable, little more than defensive garrisons.[105] Following Alexander's death, many Greeks who had settled there tried to return to Greece.[105][236] However, a century or so after Alexander's death, many of the Alexandrias were thriving, with elaborate public buildings and substantial populations that included both Greek and local peoples.[105]
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In 334 BC, Alexander the Great donated funds for the completion of the new temple of Athena Polias in Priene, in modern-day western Turkey.[238][239] An inscription from the temple, now housed in the British Museum, declares: "King Alexander dedicated [this temple] to Athena Polias."[237] This inscription is one of the few independent archaeological discoveries confirming an episode from Alexander's life.[237] The temple was designed by Pytheos, one of the architects of the Mausoleum at Halicarnassus.[237][238][239][240]
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Libanius wrote that Alexander founded the temple of Zeus Bottiaios (Ancient Greek: Βοττιαίου Δῖός), in the place where later the city of Antioch was built.[241][242]
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Hellenization was coined by the German historian Johann Gustav Droysen to denote the spread of Greek language, culture, and population into the former Persian empire after Alexander's conquest.[234] That this export took place is undoubted, and can be seen in the great Hellenistic cities of, for instance, Alexandria, Antioch[243] and Seleucia (south of modern Baghdad).[244] Alexander sought to insert Greek elements into Persian culture and attempted to hybridize Greek and Persian culture. This culminated in his aspiration to homogenize the populations of Asia and Europe. However, his successors explicitly rejected such policies. Nevertheless, Hellenization occurred throughout the region, accompanied by a distinct and opposite 'Orientalization' of the successor states.[245]
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The core of the Hellenistic culture promulgated by the conquests was essentially Athenian.[246] The close association of men from across Greece in Alexander's army directly led to the emergence of the largely Attic-based "koine", or "common" Greek dialect.[247] Koine spread throughout the Hellenistic world, becoming the lingua franca of Hellenistic lands and eventually the ancestor of modern Greek.[247] Furthermore, town planning, education, local government, and art current in the Hellenistic period were all based on Classical Greek ideals, evolving into distinct new forms commonly grouped as Hellenistic.[243] Aspects of Hellenistic culture were still evident in the traditions of the Byzantine Empire in the mid-15th century.[248]
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Some of the most pronounced effects of Hellenization can be seen in Afghanistan and India, in the region of the relatively late-rising Greco-Bactrian Kingdom (250–125 BC) (in modern Afghanistan, Pakistan, and Tajikistan) and the Indo-Greek Kingdom (180 BC – 10 AD) in modern Afghanistan and India.[249] On the Silk Road trade routes, Hellenistic culture hybridized with Iranian and Buddhist cultures. The cosmopolitan art and mythology of Gandhara (a region spanning the upper confluence of the Indus, Swat and Kabul rivers in modern Pakistan) of the ~3rd century BC to the ~5th century AD are most evident of the direct contact between Hellenistic civilization and South Asia, as are the Edicts of Ashoka, which directly mention the Greeks within Ashoka's dominion as converting to Buddhism and the reception of Buddhist emissaries by Ashoka's contemporaries in the Hellenistic world.[250] The resulting syncretism known as Greco-Buddhism influenced the development of Buddhism[citation needed] and created a culture of Greco-Buddhist art. These Greco-Buddhist kingdoms sent some of the first Buddhist missionaries to China, Sri Lanka and Hellenistic Asia and Europe (Greco-Buddhist monasticism).
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Some of the first and most influential figurative portrayals of the Buddha appeared at this time, perhaps modeled on Greek statues of Apollo in the Greco-Buddhist style.[249] Several Buddhist traditions may have been influenced by the ancient Greek religion: the concept of Boddhisatvas is reminiscent of Greek divine heroes,[251] and some Mahayana ceremonial practices (burning incense, gifts of flowers, and food placed on altars) are similar to those practiced by the ancient Greeks; however, similar practices were also observed amongst the native Indic culture. One Greek king, Menander I, probably became Buddhist, and was immortalized in Buddhist literature as 'Milinda'.[249] The process of Hellenization also spurred trade between the east and west.[252] For example, Greek astronomical instruments dating to the 3rd century BC were found in the Greco-Bactrian city of Ai Khanoum in modern-day Afghanistan,[253] while the Greek concept of a spherical earth surrounded by the spheres of planets eventually supplanted the long-standing Indian cosmological belief of a disc consisting of four continents grouped around a central mountain (Mount Meru) like the petals of a flower.[252][254][255] The Yavanajataka (lit. Greek astronomical treatise) and Paulisa Siddhanta texts depict the influence of Greek astronomical ideas on Indian astronomy.
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Following the conquests of Alexander the Great in the east, Hellenistic influence on Indian art was far-ranging. In the area of architecture, a few examples of the Ionic order can be found as far as Pakistan with the Jandial temple near Taxila. Several examples of capitals displaying Ionic influences can be seen as far as Patna, especially with the Pataliputra capital, dated to the 3rd century BC.[256] The Corinthian order is also heavily represented in the art of Gandhara, especially through Indo-Corinthian capitals.
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Alexander and his exploits were admired by many Romans, especially generals, who wanted to associate themselves with his achievements.[257] Polybius began his Histories by reminding Romans of Alexander's achievements, and thereafter Roman leaders saw him as a role model. Pompey the Great adopted the epithet "Magnus" and even Alexander's anastole-type haircut, and searched the conquered lands of the east for Alexander's 260-year-old cloak, which he then wore as a sign of greatness.[257] Julius Caesar dedicated a Lysippean equestrian bronze statue but replaced Alexander's head with his own, while Octavian visited Alexander's tomb in Alexandria and temporarily changed his seal from a sphinx to Alexander's profile.[257] The emperor Trajan also admired Alexander, as did Nero and Caracalla.[257] The Macriani, a Roman family that in the person of Macrinus briefly ascended to the imperial throne, kept images of Alexander on their persons, either on jewelry, or embroidered into their clothes.[258]
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On the other hand, some Roman writers, particularly Republican figures, used Alexander as a cautionary tale of how autocratic tendencies can be kept in check by republican values.[259] Alexander was used by these writers as an example of ruler values such as amicita (friendship) and clementia (clemency), but also iracundia (anger) and cupiditas gloriae (over-desire for glory).[259]
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Emperor Julian in his satire called "The Caesars", describes a contest between the previous Roman emperors, with Alexander the Great called in as an extra contestant, in the presence of the assembled gods.[260]
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Pausanias writes that Alexander wanted to dig the Mimas mountain (today at the Karaburun area), but he didn't succeed. He also mentions that this was the only unsuccessful project of Alexander.[261] In addition, Pliny the Elder writes about this unsuccessful plan adding that the distance was 12 kilometres (7 1⁄2 mi), and the purpose was to cut a canal through the isthmus, so as to connect the Caystrian and Hermaean bays.[262][263]
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Arrian wrote that Aristobulus said that the Icarus island (modern Failaka Island) in the Persian Gulf had this name because Alexander ordered the island to be named like this, after the Icarus island in the Aegean Sea.[264][265]
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Legendary accounts surround the life of Alexander the Great, many deriving from his own lifetime, probably encouraged by Alexander himself.[266] His court historian Callisthenes portrayed the sea in Cilicia as drawing back from him in proskynesis. Writing shortly after Alexander's death, another participant, Onesicritus, invented a tryst between Alexander and Thalestris, queen of the mythical Amazons. When Onesicritus read this passage to his patron, Alexander's general and later King Lysimachus reportedly quipped, "I wonder where I was at the time."[267]
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In the first centuries after Alexander's death, probably in Alexandria, a quantity of the legendary material coalesced into a text known as the Alexander Romance, later falsely ascribed to Callisthenes and therefore known as Pseudo-Callisthenes. This text underwent numerous expansions and revisions throughout Antiquity and the Middle Ages,[268] containing many dubious stories,[266] and was translated into numerous languages.[269]
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Alexander the Great's accomplishments and legacy have been depicted in many cultures. Alexander has figured in both high and popular culture beginning in his own era to the present day. The Alexander Romance, in particular, has had a significant impact on portrayals of Alexander in later cultures, from Persian to medieval European to modern Greek.[269]
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Alexander features prominently in modern Greek folklore, more so than any other ancient figure.[270] The colloquial form of his name in modern Greek ("O Megalexandros") is a household name, and he is the only ancient hero to appear in the Karagiozis shadow play.[270] One well-known fable among Greek seamen involves a solitary mermaid who would grasp a ship's prow during a storm and ask the captain "Is King Alexander alive?" The correct answer is "He is alive and well and rules the world!" causing the mermaid to vanish and the sea to calm. Any other answer would cause the mermaid to turn into a raging Gorgon who would drag the ship to the bottom of the sea, all hands aboard.[270]
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In pre-Islamic Middle Persian (Zoroastrian) literature, Alexander is referred to by the epithet gujastak, meaning "accursed", and is accused of destroying temples and burning the sacred texts of Zoroastrianism.[271] In Sunni Islamic Persia, under the influence of the Alexander Romance (in Persian: اسکندرنامه Iskandarnamah), a more positive portrayal of Alexander emerges.[272] Firdausi's Shahnameh ("The Book of Kings") includes Alexander in a line of legitimate Persian shahs, a mythical figure who explored the far reaches of the world in search of the Fountain of Youth.[273] Later Persian writers associate him with philosophy, portraying him at a symposium with figures such as Socrates, Plato and Aristotle, in search of immortality.[272]
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The figure of Dhul-Qarnayn (literally "the Two-Horned One") mentioned in the Quran is believed by scholars to be based on later legends of Alexander.[272] In this tradition, he was a heroic figure who built a wall to defend against the nations of Gog and Magog.[274] He then travelled the known world in search of the Water of Life and Immortality, eventually becoming a prophet.[274]
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The Syriac version of the Alexander Romance portrays him as an ideal Christian world conqueror who prayed to "the one true God".[272] In Egypt, Alexander was portrayed as the son of Nectanebo II, the last pharaoh before the Persian conquest.[274] His defeat of Darius was depicted as Egypt's salvation, "proving" Egypt was still ruled by an Egyptian.[272]
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According to Josephus, Alexander was shown the Book of Daniel when he entered Jerusalem, which described a mighty Greek king who would conquer the Persian Empire. This is cited as a reason for sparing Jerusalem.[275]
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In Hindi and Urdu, the name "Sikandar", derived from the Persian name for Alexander, denotes a rising young talent, and the Delhi Sultanate ruler Aladdin Khajli stylized himself as "Sikandar-i-Sani" (the Second Alexander the Great).[276] In medieval India, Turkic and Afghan sovereigns from the Iranian-cultured region of Central Asia brought positive cultural connotations of Alexander to the Indian subcontinent, resulting in the efflorescence of Sikandernameh (Alexander Romances) written by Indo-Persian poets such as Amir Khusrow and the prominence of Alexander the Great as a popular subject in Mughal-era Persian miniatures.[277] In medieval Europe, Alexander the Great was revered as a member of the Nine Worthies, a group of heroes whose lives were believed to encapsulate all the ideal qualities of chivalry.[278]
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In Greek Anthology there are poems referring to Alexander.[279][280]
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Irish playwright Aubrey Thomas de Vere wrote Alexander the Great, a Dramatic Poem.
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In popular culture, the British heavy metal band Iron Maiden included a song titled "Alexander the Great" on their 1986 album Somewhere in Time. Written by bass player Steve Harris, the song retells Alexander's life.
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Apart from a few inscriptions and fragments, texts written by people who actually knew Alexander or who gathered information from men who served with Alexander were all lost.[16] Contemporaries who wrote accounts of his life included Alexander's campaign historian Callisthenes; Alexander's generals Ptolemy and Nearchus; Aristobulus, a junior officer on the campaigns; and Onesicritus, Alexander's chief helmsman. Their works are lost, but later works based on these original sources have survived. The earliest of these is Diodorus Siculus (1st century BC), followed by Quintus Curtius Rufus (mid-to-late 1st century AD), Arrian (1st to 2nd century AD), the biographer Plutarch (1st to 2nd century AD), and finally Justin, whose work dated as late as the 4th century.[16] Of these, Arrian is generally considered the most reliable, given that he used Ptolemy and Aristobulus as his sources, closely followed by Diodorus.[16]
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Coordinates: 05h 30m 00s, +00° 00′ 00″
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Orion is a prominent constellation located on the celestial equator and visible throughout the world. It is one of the most conspicuous[1] and recognizable constellations in the night sky.[2] It is named after Orion, a hunter in Greek mythology. Its brightest stars are blue-white Rigel (Beta Orionis) and red Betelgeuse (Alpha Orionis).
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The earliest known depiction linked to the constellation of Orion is a prehistoric (Aurignacian) mammoth ivory carving found in a cave in the Ach valley in West Germany in 1979. Archaeologists estimate that it is 32,000 to 38,000 years old.[3][4][5] The distinctive pattern of Orion is recognized in numerous cultures around the world, and many myths are associated with it. Orion is used as a symbol in the modern world.
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The Babylonian star catalogues of the Late Bronze Age name Orion MULSIPA.ZI.AN.NA,[note 1] "The Heavenly Shepherd" or "True Shepherd of Anu" – Anu being the chief god of the heavenly realms.[6] The Babylonian constellation is sacred to Papshukal and Ninshubur, both minor gods fulfilling the role of 'messenger to the gods'. Papshukal is closely associated with the figure of a walking bird on Babylonian boundary stones, and on the star map the figure of the Rooster is located below and behind the figure of the True Shepherd—both constellations represent the herald of the gods, in his bird and human forms respectively.[7]
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In ancient Egypt, the stars of Orion were regarded as a god, called Sah. Because Orion rises before Sirius, the star whose heliacal rising was the basis for the Solar Egyptian calendar, Sah was closely linked with Sopdet, the goddess who personified Sirius. The god Sopdu is said to be the son of Sah and Sopdet. Sah is syncretized with Osiris, while Sopdet is syncretized with Osiris' mythological wife, Isis. In the Pyramid Texts, from the 24th and 23rd centuries BC, Sah is one of many gods whose form the dead pharaoh is said to take in the afterlife.[8]
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The Armenians identified their legendary patriarch and founder Hayk with Orion. Hayk is also the name of the Orion constellation in the Armenian translation of the Bible.[9]
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The Bible mentions Orion three times, naming it "Kesil" (כסיל, literally – fool). Though, this name perhaps is etymologically connected with "Kislev", the name for the ninth month of the Hebrew calendar (i.e. November–December), which, in turn, may derive from the Hebrew root K-S-L as in the words "kesel, kisla" (כֵּסֶל, כִּסְלָה, hope, positiveness), i.e. hope for winter rains.: Job 9:9 ("He is the maker of the Bear and Orion"), Job 38:31 ("Can you loosen Orion's belt?"), and Amos 5:8 ("He who made the Pleiades and Orion").
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In ancient Aram, the constellation was known as Nephîlā′, the Nephilim are said to be Orion's descendants.[10]
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In Greek mythology, Orion was a gigantic, supernaturally strong hunter,[11] born to Euryale, a Gorgon, and Poseidon (Neptune), god of the sea. One myth recounts Gaia's rage at Orion, who dared to say that he would kill every animal on Earth. The angry goddess tried to dispatch Orion with a scorpion. This is given as the reason that the constellations of Scorpius and Orion are never in the sky at the same time. However, Ophiuchus, the Serpent Bearer, revived Orion with an antidote. This is said to be the reason that the constellation of Ophiuchus stands midway between the Scorpion and the Hunter in the sky.[12]
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The constellation is mentioned in Horace's Odes (Ode 3.27.18), Homer's Odyssey (Book 5, line 283) and Iliad, and Virgil's Aeneid (Book 1, line 535)
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In medieval Muslim astronomy, Orion was known as al-jabbar, "the giant".[13] Orion's sixth brightest star, Saiph, is named from the Arabic, saif al-jabbar, meaning "sword of the giant".[14]
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In China, Orion was one of the 28 lunar mansions Sieu (Xiu) (宿). It is known as Shen (參), literally meaning "three", for the stars of Orion's Belt. (See Chinese constellations)
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The Chinese character 參 (pinyin shēn) originally meant the constellation Orion (Chinese: 參宿; pinyin: shēnxiù); its Shang dynasty version, over three millennia old, contains at the top a representation of the three stars of Orion's belt atop a man's head (the bottom portion representing the sound of the word was added later).[15]
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The Rig Veda refers to the Orion Constellation as Mriga (The Deer).[16]
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It is said that two bright stars in the front and two bright stars in the rear are The hunting dogs, the one comparatively less bright star in the middle and ahead of two front dogs is The hunter and three aligned bright stars are in the middle of all four hunting dogs is The Deer (The Mriga) and three little aligned but less brighter stars is The Baby Deer. The Mriga means Deer, locally known as Harnu in folk parlance. There are many folk songs narrating the Harnu. The Malay called Orion's Belt Bintang Tiga Beradik (the "Three Brother Star").[citation needed]
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In India, Nataraja 'the cosmic dancer' (an avatar of Shiva) is seen in the constellation called Orion.[17]
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The Jain Symbol carved in Udayagiri and Khandagiri Caves, India in 1st century BCE[18] has striking resemblance with Orion.
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Bugis sailors identified the three stars in Orion's Belt as tanra tellué, meaning "sign of three".[19]
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In old Hungarian tradition, "Orion" is known as (magic) Archer (Íjász), or Reaper (Kaszás). In recently rediscovered myths, he is called Nimrod (Hungarian "Nimród"), the greatest hunter, father of the twins "Hunor" and "Magor". The "π" and "o" stars (on upper right) form together the reflex bow or the lifted scythe. In other Hungarian traditions, "Orion's belt" is known as "Judge's stick" (Bírópálca).[20]
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In Scandinavian tradition, "Orion's belt" was known as Frigg's Distaff (friggerock) or Freyja's distaff.[21]
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The Finns call Orion's belt and the stars below it Väinämöisen viikate (Väinämöinen's scythe).[22] Another name for the asterism of Alnilam, Alnitak and Mintaka is Väinämöisen vyö (Väinämöinen's Belt) and the stars "hanging" from the belt as Kalevanmiekka (Kaleva's sword).
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In Siberia, the Chukchi people see Orion as a hunter; an arrow he has shot is represented by Aldebaran (Alpha Tauri), with the same figure as other Western depictions.[23]
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The Seri people of northwestern Mexico call the three stars in the belt of Orion Hapj (a name denoting a hunter) which consists of three stars: Hap (mule deer), Haamoja (pronghorn), and Mojet (bighorn sheep). Hap is in the middle and has been shot by the hunter; its blood has dripped onto Tiburón Island.[24]
|
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The same three stars are known in Spain and most of Latin America as "Las tres Marías" (Spanish for "The Three Marys").
|
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In Puerto Rico, the three stars are known as the "Los Tres Reyes Magos" (Spanish for The three Wise Men).[25]
|
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The Ojibwa (Chippewa) Native Americans call this constellation Kabibona'kan, the Winter Maker, as its presence in the night sky heralds winter.[citation needed]
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To the Lakota Native Americans, Tayamnicankhu (Orion's Belt) is the spine of a bison. The great rectangle of Orion are the bison's ribs; the Pleiades star cluster in nearby Taurus is the bison's head; and Sirius in Canis Major, known as Tayamnisinte, is its tail. Another Lakota myth mentions that the bottom half of Orion, the Constellation of the Hand, represented the arm of a chief that was ripped off by the Thunder People as a punishment from the gods for his selfishness. His daughter offered to marry the person who can retrieve his arm from the sky, so the young warrior Fallen Star (whose father was a star and whose mother was human) returned his arm and married his daughter, symbolizing harmony between the gods and humanity with the help of the younger generation. The index finger is represented by Rigel; the Orion Nebula is the thumb; the Belt of Orion is the wrist; and the star Beta Eridani is the pinky finger.[26]
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The seven primary stars of Orion make up the Polynesian constellation Heiheionakeiki which represents a child's string figure similar to a cat's cradle.
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The imagery of the belt and sword has found its way into popular western culture, for example in the form of the shoulder insignia of the 27th Infantry Division of the United States Army during both World Wars, probably owing to a pun on the name of the division's first commander, Major General John F. O'Ryan.[citation needed]
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The film distribution company Orion Pictures used the constellation as its logo.[27]
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In J. R. R. Tolkien's mythology surrounding Middle-earth, Orion is known as Menelvagor, which is Sindarin for "The Swordsman of the Sky".[28]
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In the movie Blade Runner, the dying replicant Roy Batty introspectively delivers his "Tears in Rain" soliloquy: "I've seen things you people wouldn't believe. Attack ships on fire off the shoulder of Orion. I watched C-beams glitter in the dark near the Tannhäuser Gate. All those moments will be lost in time, like tears in rain. Time to die."
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In the sci-fi television series Haven, the Orionid meteor shower is known as the Hunter Meteor Shower. It comes to Haven once every twenty-seven years when the Barn, a space between two worlds, comes to take the mysterious woman away. When the Barn leaves, the Hunter passes safely overhead and The Troubles end, making the town of Haven a haven for the Troubled again.
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In artistic renderings, the surrounding constellations are sometimes related to Orion: he is depicted standing next to the river Eridanus with his two hunting dogs Canis Major and Canis Minor, fighting Taurus. He is sometimes depicted hunting Lepus the hare. He sometimes is depicted to have a lion's hide in his hand.
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There are alternative ways to visualise Orion. From the Southern Hemisphere, Orion is oriented south-upward, and the belt and sword are sometimes called the saucepan or pot in Australia and New Zealand. Orion's Belt is called Drie Konings (Three Kings) or the Drie Susters (Three Sisters) by Afrikaans speakers in South Africa[29] and are referred to as les Trois Rois (the Three Kings) in Daudet's Lettres de Mon Moulin (1866). The appellation Driekoningen (the Three Kings) is also often found in 17th- and 18th-century Dutch star charts and seaman's guides. The same three stars are known in Spain, Latin America, and the Philippines as "Las Tres Marías" (The Three Marys), and as "Los Tres Reyes Magos" (The three Wise Men) in Puerto Rico.[25]
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Even traditional depictions of Orion have varied greatly. Cicero drew Orion in a similar fashion to the modern depiction. The Hunter held an unidentified animal skin aloft in his right hand; his hand was represented by Omicron2 Orionis and the skin was represented by the 5 stars designated Pi Orionis. Kappa and Beta Orionis represented his left and right knees, while Eta and Lambda Leporis were his left and right feet, respectively. As in the modern depiction, Delta, Epsilon, and Zeta represented his belt. His left shoulder was represented by Alpha Orionis, and Mu Orionis made up his left arm. Lambda Orionis was his head and Gamma, his right shoulder. The depiction of Hyginus was similar to that of Cicero, though the two differed in a few important areas. Cicero's animal skin became Hyginus's shield (Omicron and Pi Orionis), and instead of an arm marked out by Mu Orionis, he holds a club (Chi Orionis). His right leg is represented by Theta Orionis and his left leg is represented by Lambda, Mu, and Epsilon Leporis. Further Western European and Arabic depictions have followed these two models.[23]
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Orion is bordered by Taurus to the northwest, Eridanus to the southwest, Lepus to the south, Monoceros to the east, and Gemini to the northeast. Covering 594 square degrees, Orion ranks twenty-sixth of the 88 constellations in size. The constellation boundaries, as set by Eugène Delporte in 1930, are defined by a polygon of 26 sides. In the equatorial coordinate system, the right ascension coordinates of these borders lie between 04h 43.3m and 06h 25.5m, while the declination coordinates are between 22.87° and −10.97°.[30] The constellation's three-letter abbreviation, as adopted by the International Astronomical Union in 1922, is "Ori".[31]
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Orion is most visible in the evening sky from January to March,[32] winter in the Northern Hemisphere, and summer in the Southern Hemisphere. In the tropics (less than about 8° from the equator), the constellation transits at the zenith.
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In the period May–July (summer in the Northern Hemisphere, winter in the Southern Hemisphere), Orion is in the daytime sky and thus not visible at most latitudes. However, for much of Antarctica in the Southern Hemisphere's winter months, the Sun is below the horizon even at midday. Stars (and thus Orion) are then visible at twilight for a few hours around local noon, low in the North. At the same time of day at the South Pole itself (Amundsen–Scott South Pole Station), Rigel is only 8° above the horizon, and the Belt sweeps just along it. In the Southern Hemisphere's summer months, when Orion is normally visible in the night sky, the constellation is actually not visible in Antarctica because the sun does not set at that time of year south of the Antarctic Circle.[33][34]
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In countries close to the equator (e.g. Kenya, Indonesia, Colombia, Ecuador), Orion appears overhead in December around midnight and in the February evening sky.
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Orion is very useful as an aid to locating other stars. By extending the line of the Belt southeastward, Sirius (α CMa) can be found; northwestward, Aldebaran (α Tau). A line eastward across the two shoulders indicates the direction of Procyon (α CMi). A line from Rigel through Betelgeuse points to Castor and Pollux (α Gem and β Gem). Additionally, Rigel is part of the Winter Circle asterism. Sirius and Procyon, which may be located from Orion by following imaginary lines (see map), also are points in both the Winter Triangle and the Circle.[35]
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Orion's seven brightest stars form a distinctive hourglass-shaped asterism, or pattern, in the night sky. Four stars—Rigel, Betelgeuse, Bellatrix and Saiph—form a large roughly rectangular shape, in the centre of which lie the three stars of Orion's Belt—Alnitak, Alnilam and Mintaka. Descending from the 'belt' is a smaller line of three stars, Orion's Sword (the middle of which is in fact not a star but the Orion Nebula), also known as the hunter's sword.
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Many of the stars are luminous hot blue supergiants, with the stars of the belt and sword forming the Orion OB1 Association. Standing out by its red hue, Betelgeuse may nevertheless be a runaway member of the same group.
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Orion's Belt or The Belt of Orion is an asterism within the constellation. It consists of the three bright stars Zeta (Alnitak), Epsilon (Alnilam), and Delta (Mintaka). Alnitak is around 800 light years away from earth and is 100,000 times more luminous than the Sun; much of its radiation is in the ultraviolet range, which the human eye cannot see.[43] Alnilam is approximately 1340 light years away from Earth, shines with magnitude 1.70, and with ultraviolet light is 375,000 times more luminous than the Sun.[44] Mintaka is 915 light years away and shines with magnitude 2.21. It is 90,000 times more luminous than the Sun and is a double star: the two orbit each other every 5.73 days.[45] In the Northern Hemisphere, Orion's Belt is best visible in the night sky during the month of January around 9:00 pm, when it is approximately around the local meridian.[2]
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Just southwest of Alnitak lies Sigma Orionis, a multiple star system composed of five stars that have a combined apparent magnitude of 3.7 and lying 1150 light years distant. Southwest of Mintaka lies the quadruple star Eta Orionis.
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Orion's Sword contains the Orion Nebula, the Messier 43 nebula, the Running Man Nebula, and the stars Theta Orionis, Iota Orionis, and 42 Orionis.
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Three stars comprise a small triangle that marks the head. The apex is marked by Meissa (Lambda Orionis), a hot blue giant of spectral type O8 III and apparent magnitude 3.54, which lies some 1100 light years distant. Phi-1 and Phi-2 Orionis make up the base. Also nearby is the very young star FU Orionis.
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Stretching north from Betelgeuse are the stars that make up Orion's club. Mu Orionis marks the elbow, Nu and Xi mark the handle of the club, and Chi1 and Chi2 mark the end of the club. Just east of Chi1 is the Mira-type variable red giant U Orionis.
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West from Bellatrix lie six stars all designated Pi Orionis (π1 Ori, π2 Ori, π3 Ori, π4 Ori, π5 Ori and π6 Ori) which make up Orion's shield.
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Around 20 October each year the Orionid meteor shower (Orionids) reaches its peak. Coming from the border with the constellation Gemini as many as 20 meteors per hour can be seen. The shower's parent body is Halley's Comet.[46]
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Hanging from Orion's belt is his sword, consisting of the multiple stars θ1 and θ2 Orionis, called the Trapezium and the Orion Nebula (M42). This is a spectacular object that can be clearly identified with the naked eye as something other than a star. Using binoculars, its clouds of nascent stars, luminous gas, and dust can be observed. The Trapezium cluster has many newborn stars, including several brown dwarfs, all of which are at an approximate distance of 1,500 light-years. Named for the four bright stars that form a trapezoid, it is largely illuminated by the brightest stars, which are only a few hundred thousand years old. Observations by the Chandra X-ray Observatory show both the extreme temperatures of the main stars—up to 60,000 kelvins—and the star forming regions still extant in the surrounding nebula.[47]
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M78 (NGC 2068) is a nebula in Orion. With an overall magnitude of 8.0, it is significantly dimmer than the Great Orion Nebula that lies to its south; however, it is at approximately the same distance, at 1600 light-years from Earth. It can easily be mistaken for a comet in the eyepiece of a telescope. M78 is associated with the variable star V351 Orionis, whose magnitude changes are visible in very short periods of time.[48] Another fairly bright nebula in Orion is NGC 1999, also close to the Great Orion Nebula. It has an integrated magnitude of 10.5 and is 1500 light-years from Earth. The variable star V380 Orionis is embedded in NGC 1999.[49]
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Another famous nebula is IC 434, the Horsehead Nebula, near ζ Orionis. It contains a dark dust cloud whose shape gives the nebula its name.
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NGC 2174 is an emission nebula located 6400 light-years from Earth.
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Besides these nebulae, surveying Orion with a small telescope will reveal a wealth of interesting deep-sky objects, including M43, M78, as well as multiple stars including Iota Orionis and Sigma Orionis. A larger telescope may reveal objects such as Barnard's Loop and the Flame Nebula (NGC 2024), as well as fainter and tighter multiple stars and nebulae.
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All of these nebulae are part of the larger Orion Molecular Cloud Complex, which is located approximately 1,500 light-years away and is hundreds of light-years across. It is one of the most intense regions of stellar formation visible within our galaxy.
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Orion is located on the celestial equator, but it will not always be so located due to the effects of precession of the Earth's axis. Orion lies well south of the ecliptic, and it only happens to lie on the celestial equator because the point on the ecliptic that corresponds to the June solstice is close to the border of Gemini and Taurus, to the north of Orion. Precession will eventually carry Orion further south, and by AD 14000 Orion will be far enough south that it will become invisible from the latitude of Great Britain.[50]
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Further in the future, Orion's stars will gradually move away from the constellation due to proper motion. However, Orion's brightest stars all lie at a large distance from the Earth on an astronomical scale—much farther away than Sirius, for example. Orion will still be recognizable long after most of the other constellations—composed of relatively nearby stars—have distorted into new configurations, with the exception of a few of its stars eventually exploding as supernovae, for example Betelgeuse, which is predicted to explode sometime in the next million years.[51]
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A constellation is an area on the celestial sphere in which a group of visible stars forms a perceived outline or pattern, typically representing an animal, mythological person or creature, or an inanimate object.[1]
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The origins of the earliest constellations likely go back to prehistory. People used them to relate stories of their beliefs, experiences, creation, or mythology. Different cultures and countries adopted their own constellations, some of which lasted into the early 20th century before today's constellations were internationally recognized. The recognition of constellations has changed significantly over time. Many have changed in size or shape. Some became popular, only to drop into obscurity. Others were limited to a single culture or nation.
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The 48 traditional Western constellations are Greek. They are given in Aratus' work Phenomena and Ptolemy's Almagest, though their origin probably predates these works by several centuries. Constellations in the far southern sky were added from the 15th century until the mid-18th century when European explorers began traveling to the Southern Hemisphere. Twelve ancient constellations belong to the zodiac (straddling the ecliptic, which the Sun, Moon, and planets all traverse). The origins of the zodiac remain historically uncertain; its astrological divisions became prominent c. 400 BC in Babylonian or Chaldean astronomy.[2]
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In 1922, the International Astronomical Union (IAU) formally accepted the modern list of 88 constellations, and in 1928 adopted official constellation boundaries that together cover the entire celestial sphere.[3][4] Any given point in a celestial coordinate system lies in one of the modern constellations. Some astronomical naming systems include the constellation where a given celestial object is found to convey its approximate location in the sky. The Flamsteed designation of a star, for example, consists of a number and the genitive form of the constellation name.
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If observed through the year, the constellations shift gradually to the west. This is caused by Earth’s orbit around our Sun. In the summer, viewers are looking in a different direction in space at night than they are during the winter.
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Other star patterns or groups called asterisms are not constellations per se, but are used by observers to navigate the night sky. Asterisms may be several stars within a constellation, or they may share stars with more than one constellation. Examples of asterisms include the Pleiades and Hyades within the constellation Taurus and the False Cross split between the southern constellations Carina and Vela, or Venus' Mirror in the constellation of Orion.[5][6]
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The word "constellation" comes from the Late Latin term cōnstellātiō, which can be translated as "set of stars"; it came into use in English during the 14th century.[7] The Ancient Greek word for constellation is ἄστρον. These terms generally referred to a recognisable pattern of stars whose appearance is associated with mythological characters or creatures, earthbound animals, or objects.[1] A more modern astronomical sense of the term "constellation" denotes one of the 88 IAU designated constellations recognized today.[8]
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Colloquial usage does not draw a sharp distinction between "constellations" and smaller "asterisms" (pattern of stars), yet the modern accepted astronomical constellations employ such a distinction. E.g., the Pleiades and the Hyades are both asterisms, and each lies within the boundaries of the constellation of Taurus. Another example is the northern asterism popularly known as the Big Dipper (US) or the Plough (UK), composed of the seven brightest stars within the area of the IAU-defined constellation of Ursa Major. The southern False Cross asterism includes portions of the constellations Carina and Vela and the Summer Triangle is composed of the brightest stars in the constellations Lyra, Aquila and Cygnus.
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A constellation (or star), viewed from a particular latitude on Earth, that never sets below the horizon is termed circumpolar. From the North Pole or South Pole, all constellations south or north of the celestial equator are circumpolar. Depending on the definition, equatorial constellations may include those that lie between declinations 45° north and 45° south,[9] or those that pass through the declination range of the ecliptic or zodiac ranging between 23½° north, the celestial equator, and 23½° south.[10][11]
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Stars in constellations can appear near each other in the sky, but they usually lie at a variety of distances away from the Earth. Since each star has its own independent motion, all constellations will change slowly over time. After tens to hundreds of thousands of years, familiar outlines will become unrecognizable.[12] Astronomers can predict the past or future constellation outlines by measuring individual stars' common proper motions or cpm[13] by accurate astrometry[14][15] and their radial velocities by astronomical spectroscopy.[16]
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Both the 88 IAU recognized constellations and those that cultures have recognized throughout history are essentially imagined figures and shapes with only a certain basis in the actually observable sky.[17] Many officially recognized constellations are based in the imaginations of ancient, Near Eastern and Mediterranean mythologies, but the physical reality of the Earth's position in the Milky Way still produces shapes that are connected by the human mind.[18] For instance, Orion's Belt forms a more or less visually perfect line. H.A. Rey, who wrote popular books on astronomy, pointed out the imaginative nature of the constellations and their mythological, artistic basis, and the practical use of identifying them through definite images, according to the classical names they were given.[19]
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It has been suggested that the 17,000-year-old cave paintings in Lascaux Southern France depict star constellations such as Taurus, Orion's Belt and the Pleiades. However, this view is not yet generally accepted among scientists.[20][21]
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Inscribed stones and clay writing tablets from Mesopotamia (in modern Iraq) dating to 3000 BC provide the earliest generally accepted evidence for humankind's identification of constellations.[22] It seems that the bulk of the Mesopotamian constellations were created within a relatively short interval from around 1300 to 1000 BC. Mesopotamian constellations appeared later in many of the classical Greek constellations.[23]
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The oldest Babylonian catalogues of stars and constellations date back to the beginning of the Middle Bronze Age, most notably the Three Stars Each texts and the MUL.APIN, an expanded and revised version based on more accurate observation from around 1000 BC. However, the numerous Sumerian names in these catalogues suggest that they built on older, but otherwise unattested, Sumerian traditions of the Early Bronze Age.[24]
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The classical Zodiac is a revision of Neo-Babylonian constellations from the 6th century BC. The Greeks adopted the Babylonian constellations in the 4th century BC. Twenty Ptolemaic constellations are from the Ancient Near East. Another ten have the same stars but different names.[23]
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Biblical scholar E. W. Bullinger interpreted some of the creatures mentioned in the books of Ezekiel and Revelation as the middle signs of the four quarters of the Zodiac,[25][26] with the Lion as Leo, the Bull as Taurus, the Man representing Aquarius, and the Eagle standing in for Scorpio.[27] The biblical Book of Job also makes reference to a number of constellations, including עיש ‘Ayish "bier", כסיל chesil "fool" and כימה chimah "heap" (Job 9:9, 38:31–32), rendered as "Arcturus, Orion and Pleiades" by the KJV, but ‘Ayish "the bier" actually corresponding to Ursa Major.[28] The term Mazzaroth מַזָּרוֹת, translated as a garland of crowns, is a hapax legomenon in Job 38:32, and it might refer to the zodiacal constellations.
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There is only limited information on ancient Greek constellations, with some fragmentary evidence being found in the Works and Days of the Greek poet Hesiod, who mentioned the "heavenly bodies".[29] Greek astronomy essentially adopted the older Babylonian system in the Hellenistic era[citation needed], first introduced to Greece by Eudoxus of Cnidus in the 4th century BC. The original work of Eudoxus is lost, but it survives as a versification by Aratus, dating to the 3rd century BC. The most complete existing works dealing with the mythical origins of the constellations are by the Hellenistic writer termed pseudo-Eratosthenes and an early Roman writer styled pseudo-Hyginus. The basis of Western astronomy as taught during Late Antiquity and until the Early Modern period is the Almagest by Ptolemy, written in the 2nd century.
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In the Ptolemaic Kingdom, native Egyptian tradition of anthropomorphic figures represented the planets, stars, and various constellations.[30] Some of these were combined with Greek and Babylonian astronomical systems culminating in the Zodiac of Dendera; it remains unclear when this occurred, but most were placed during the Roman period between 2nd to 4th centuries AD. The oldest known depiction of the zodiac showing all the now familiar constellations, along with some original Egyptian constellations, decans, and planets.[22][31] Ptolemy's Almagest remained the standard definition of constellations in the medieval period both in Europe and in Islamic astronomy.
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Ancient China had a long tradition of observing celestial phenomena.[32] Nonspecific Chinese star names, later categorized in the twenty-eight mansions, have been found on oracle bones from Anyang, dating back to the middle Shang dynasty. These constellations are some of the most important observations of Chinese sky, attested from the 5th century BC. Parallels to the earliest Babylonian (Sumerian) star catalogues suggest that the ancient Chinese system did not arise independently.[33]
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Three schools of classical Chinese astronomy in the Han period are attributed to astronomers of the earlier Warring States period. The constellations of the three schools were conflated into a single system by Chen Zhuo, an astronomer of the 3rd century (Three Kingdoms period). Chen Zhuo's work has been lost, but information on his system of constellations survives in Tang period records, notably by Qutan Xida. The oldest extant Chinese star chart dates to that period and was preserved as part of the Dunhuang Manuscripts. Native Chinese astronomy flourished during the Song dynasty, and during the Yuan dynasty became increasingly influenced by medieval Islamic astronomy (see Treatise on Astrology of the Kaiyuan Era).[33] As maps were prepared during this period on more scientific lines, they were considered as more reliable.[34]
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A well known map from the Song period is the Suzhou Astronomical Chart, which was prepared with carvings of stars on the planisphere of the Chinese sky on a stone plate; it is done accurately based on observations, and it shows the supernova of the year of 1054 in Taurus.[34]
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Influenced by European astronomy during the late Ming dynasty, charts depicted more stars but retained the traditional constellations. Newly observed stars were incorporated as supplementary to old constellations in the southern sky, which did not depict the traditional stars recorded by ancient Chinese astronomers. Further improvements were made during the later part of the Ming dynasty by Xu Guangqi and Johann Adam Schall von Bell, the German Jesuit and was recorded in Chongzhen Lishu (Calendrical Treatise of Chongzhen period, 1628).[clarification needed] Traditional Chinese star maps incorporated 23 new constellations with 125 stars of the southern hemisphere of the sky based on the knowledge of Western star charts; with this improvement, the Chinese Sky was integrated with the World astronomy.[34][35]
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Historically, the origins of the constellations of the northern and southern skies are distinctly different. Most northern constellations date to antiquity, with names based mostly on Classical Greek legends.[10] Evidence of these constellations has survived in the form of star charts, whose oldest representation appears on the statue known as the Farnese Atlas, based perhaps on the star catalogue of the Greek astronomer Hipparchus.[36] Southern constellations are more modern inventions, sometimes as substitutes for ancient constellations (e.g. Argo Navis). Some southern constellations had long names that were shortened to more usable forms; e.g. Musca Australis became simply Musca.[10]
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Some of the early constellations were never universally adopted. Stars were often grouped into constellations differently by different observers, and the arbitrary constellation boundaries often led to confusion as to which constellation a celestial object belonged. Before astronomers delineated precise boundaries (starting in the 19th century), constellations generally appeared as ill-defined regions of the sky.[37] Today they now follow officially accepted designated lines of Right Ascension and Declination based on those defined by Benjamin Gould in epoch 1875.0 in his star catalogue Uranometria Argentina.[38]
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The 1603 star atlas "Uranometria" of Johann Bayer assigned stars to individual constellations and formalized the division by assigning a series of Greek and Latin letters to the stars within each constellation. These are known today as Bayer designations.[39] Subsequent star atlases led to the development of today's accepted modern constellations.
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The southern sky, below about −65° declination, was only partially catalogued by ancient Babylonians, Egyptian, Greeks, Chinese, and Persian astronomers of the north. Knowledge that northern and southern star patterns differed goes back to Classical writers, who describe, for example, the African circumnavigation expedition commissioned by Egyptian Pharaoh Necho II in c. 600 BC and those of Hanno the Navigator in c. 500 BC. However, much of this history was lost with the Destruction of the Library of Alexandria.[citation needed]
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The history of southern constellations is not straightforward. Different groupings and different names were proposed by various observers, some reflecting national traditions or designed to promote various sponsors. Southern constellations were important from the 14th to 16th centuries, when sailors used the stars for celestial navigation. Italian explorers who recorded new southern constellations include Andrea Corsali, Antonio Pigafetta, and Amerigo Vespucci.[27]
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Many of the 88 IAU-recognized constellations in this region first appeared on celestial globes developed in the late 16th century by Petrus Plancius, based mainly on observations of the Dutch navigators Pieter Dirkszoon Keyser[40] and Frederick de Houtman.[41][42][43][44] These became widely known through Johann Bayer's star atlas Uranometria of 1603.[45] Seventeen more were created in 1763 by the French astronomer Nicolas Louis de Lacaille appearing in his star catalogue, published in 1756.[46]
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Several modern proposals have not survived. The French astronomers Pierre Lemonnier and Joseph Lalande, for example, proposed constellations that were once popular but have since been dropped. The northern constellation Quadrans Muralis survived into the 19th century (when its name was attached to the Quadrantid meteor shower), but is now divided between Boötes and Draco.
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A general list of 88 constellations was produced for the International Astronomical Union in 1922.[4] It is roughly based on the traditional Greek constellations listed by Ptolemy in his Almagest in the 2nd century and Aratus' work Phenomena, with early modern modifications and additions (most importantly introducing constellations covering the parts of the southern sky unknown to Ptolemy) by Petrus Plancius (1592, 1597/98 and 1613), Johannes Hevelius (1690) and Nicolas Louis de Lacaille (1763),[47][48][49] who named fourteen constellations and renamed a fifteenth one.[50] De Lacaille studied the stars of the southern hemisphere from 1750 until 1754 from Cape of Good Hope, when he was said to have observed more than 10,000 stars using a 0.5 inches (13 mm) refracting telescope.[50]
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In 1922, Henry Norris Russell produced a general list of 88 constellations and some useful abbreviations for them.[51] However, these constellations did not have clear borders between them. In 1928, the International Astronomical Union (IAU) formally accepted 88 modern constellations, with contiguous boundaries[52] along vertical and horizontal lines of right ascension and declination developed by Eugene Delporte that, together, cover the entire celestial sphere;[4][53] this list was finally published in 1930.[3] Where possible, these modern constellations usually share the names of their Graeco-Roman predecessors, such as Orion, Leo or Scorpius. The aim of this system is area-mapping, i.e. the division of the celestial sphere into contiguous fields.[47] Out of the 88 modern constellations, 36 lie predominantly in the northern sky, and the other 52 predominantly in the southern.
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Equirectangular plot of declination vs right ascension of stars brighter than apparent magnitude 5 on the Hipparcos Catalogue, coded by spectral type and apparent magnitude, relative to the modern constellations and the ecliptic.
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The boundaries developed by Delporte used data that originated back to epoch B1875.0, which was when Benjamin A. Gould first made his proposal to designate boundaries for the celestial sphere, a suggestion on which Delporte based his work. The consequence of this early date is that because of the precession of the equinoxes, the borders on a modern star map, such as epoch J2000, are already somewhat skewed and no longer perfectly vertical or horizontal.[54] This effect will increase over the years and centuries to come.
|
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|
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+
The Great Rift, a series of dark patches in the Milky Way, is more visible and striking in the southern hemisphere than in the northern. It vividly stands out when conditions are otherwise so dark that the Milky Way's central region casts shadows on the ground.[55] Some cultures have discerned shapes in these patches and have given names to these "dark cloud constellations". Members of the Inca civilization identified various dark areas or dark nebulae in the Milky Way as animals and associated their appearance with the seasonal rains.[56][57][58] Australian Aboriginal astronomy also describes dark cloud constellations, the most famous being the "emu in the sky" whose head is formed by the Coalsack, a dark nebula, instead of the stars.[59]
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+
The Emu in the sky – a constellation defined by dark clouds rather than by stars. The head of the emu is the Coalsack with the Southern Cross directly above. Scorpius is to the left.
|
72 |
+
|
73 |
+
Inca dark cloud constellations in the Mayu (Celestial River), also known as the Milky Way. The Southern Cross is above Yutu, while the eyes of the Llama are Alpha Centauri and Beta Centauri.
|
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|
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+
General & Nonspecialized – Entire Celestial Heavens:
|
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Northern Celestial Hemisphere & North Circumpolar Region:
|
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+
Equatorial, Ecliptic, & Zodiacal Celestial Sky:
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Southern Celestial Hemisphere & South Circumpolar Region:
|
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A constellation is an area on the celestial sphere in which a group of visible stars forms a perceived outline or pattern, typically representing an animal, mythological person or creature, or an inanimate object.[1]
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The origins of the earliest constellations likely go back to prehistory. People used them to relate stories of their beliefs, experiences, creation, or mythology. Different cultures and countries adopted their own constellations, some of which lasted into the early 20th century before today's constellations were internationally recognized. The recognition of constellations has changed significantly over time. Many have changed in size or shape. Some became popular, only to drop into obscurity. Others were limited to a single culture or nation.
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The 48 traditional Western constellations are Greek. They are given in Aratus' work Phenomena and Ptolemy's Almagest, though their origin probably predates these works by several centuries. Constellations in the far southern sky were added from the 15th century until the mid-18th century when European explorers began traveling to the Southern Hemisphere. Twelve ancient constellations belong to the zodiac (straddling the ecliptic, which the Sun, Moon, and planets all traverse). The origins of the zodiac remain historically uncertain; its astrological divisions became prominent c. 400 BC in Babylonian or Chaldean astronomy.[2]
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In 1922, the International Astronomical Union (IAU) formally accepted the modern list of 88 constellations, and in 1928 adopted official constellation boundaries that together cover the entire celestial sphere.[3][4] Any given point in a celestial coordinate system lies in one of the modern constellations. Some astronomical naming systems include the constellation where a given celestial object is found to convey its approximate location in the sky. The Flamsteed designation of a star, for example, consists of a number and the genitive form of the constellation name.
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If observed through the year, the constellations shift gradually to the west. This is caused by Earth’s orbit around our Sun. In the summer, viewers are looking in a different direction in space at night than they are during the winter.
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|
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Other star patterns or groups called asterisms are not constellations per se, but are used by observers to navigate the night sky. Asterisms may be several stars within a constellation, or they may share stars with more than one constellation. Examples of asterisms include the Pleiades and Hyades within the constellation Taurus and the False Cross split between the southern constellations Carina and Vela, or Venus' Mirror in the constellation of Orion.[5][6]
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The word "constellation" comes from the Late Latin term cōnstellātiō, which can be translated as "set of stars"; it came into use in English during the 14th century.[7] The Ancient Greek word for constellation is ἄστρον. These terms generally referred to a recognisable pattern of stars whose appearance is associated with mythological characters or creatures, earthbound animals, or objects.[1] A more modern astronomical sense of the term "constellation" denotes one of the 88 IAU designated constellations recognized today.[8]
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Colloquial usage does not draw a sharp distinction between "constellations" and smaller "asterisms" (pattern of stars), yet the modern accepted astronomical constellations employ such a distinction. E.g., the Pleiades and the Hyades are both asterisms, and each lies within the boundaries of the constellation of Taurus. Another example is the northern asterism popularly known as the Big Dipper (US) or the Plough (UK), composed of the seven brightest stars within the area of the IAU-defined constellation of Ursa Major. The southern False Cross asterism includes portions of the constellations Carina and Vela and the Summer Triangle is composed of the brightest stars in the constellations Lyra, Aquila and Cygnus.
|
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|
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A constellation (or star), viewed from a particular latitude on Earth, that never sets below the horizon is termed circumpolar. From the North Pole or South Pole, all constellations south or north of the celestial equator are circumpolar. Depending on the definition, equatorial constellations may include those that lie between declinations 45° north and 45° south,[9] or those that pass through the declination range of the ecliptic or zodiac ranging between 23½° north, the celestial equator, and 23½° south.[10][11]
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Stars in constellations can appear near each other in the sky, but they usually lie at a variety of distances away from the Earth. Since each star has its own independent motion, all constellations will change slowly over time. After tens to hundreds of thousands of years, familiar outlines will become unrecognizable.[12] Astronomers can predict the past or future constellation outlines by measuring individual stars' common proper motions or cpm[13] by accurate astrometry[14][15] and their radial velocities by astronomical spectroscopy.[16]
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Both the 88 IAU recognized constellations and those that cultures have recognized throughout history are essentially imagined figures and shapes with only a certain basis in the actually observable sky.[17] Many officially recognized constellations are based in the imaginations of ancient, Near Eastern and Mediterranean mythologies, but the physical reality of the Earth's position in the Milky Way still produces shapes that are connected by the human mind.[18] For instance, Orion's Belt forms a more or less visually perfect line. H.A. Rey, who wrote popular books on astronomy, pointed out the imaginative nature of the constellations and their mythological, artistic basis, and the practical use of identifying them through definite images, according to the classical names they were given.[19]
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It has been suggested that the 17,000-year-old cave paintings in Lascaux Southern France depict star constellations such as Taurus, Orion's Belt and the Pleiades. However, this view is not yet generally accepted among scientists.[20][21]
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Inscribed stones and clay writing tablets from Mesopotamia (in modern Iraq) dating to 3000 BC provide the earliest generally accepted evidence for humankind's identification of constellations.[22] It seems that the bulk of the Mesopotamian constellations were created within a relatively short interval from around 1300 to 1000 BC. Mesopotamian constellations appeared later in many of the classical Greek constellations.[23]
|
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The oldest Babylonian catalogues of stars and constellations date back to the beginning of the Middle Bronze Age, most notably the Three Stars Each texts and the MUL.APIN, an expanded and revised version based on more accurate observation from around 1000 BC. However, the numerous Sumerian names in these catalogues suggest that they built on older, but otherwise unattested, Sumerian traditions of the Early Bronze Age.[24]
|
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The classical Zodiac is a revision of Neo-Babylonian constellations from the 6th century BC. The Greeks adopted the Babylonian constellations in the 4th century BC. Twenty Ptolemaic constellations are from the Ancient Near East. Another ten have the same stars but different names.[23]
|
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Biblical scholar E. W. Bullinger interpreted some of the creatures mentioned in the books of Ezekiel and Revelation as the middle signs of the four quarters of the Zodiac,[25][26] with the Lion as Leo, the Bull as Taurus, the Man representing Aquarius, and the Eagle standing in for Scorpio.[27] The biblical Book of Job also makes reference to a number of constellations, including עיש ‘Ayish "bier", כסיל chesil "fool" and כימה chimah "heap" (Job 9:9, 38:31–32), rendered as "Arcturus, Orion and Pleiades" by the KJV, but ‘Ayish "the bier" actually corresponding to Ursa Major.[28] The term Mazzaroth מַזָּרוֹת, translated as a garland of crowns, is a hapax legomenon in Job 38:32, and it might refer to the zodiacal constellations.
|
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+
There is only limited information on ancient Greek constellations, with some fragmentary evidence being found in the Works and Days of the Greek poet Hesiod, who mentioned the "heavenly bodies".[29] Greek astronomy essentially adopted the older Babylonian system in the Hellenistic era[citation needed], first introduced to Greece by Eudoxus of Cnidus in the 4th century BC. The original work of Eudoxus is lost, but it survives as a versification by Aratus, dating to the 3rd century BC. The most complete existing works dealing with the mythical origins of the constellations are by the Hellenistic writer termed pseudo-Eratosthenes and an early Roman writer styled pseudo-Hyginus. The basis of Western astronomy as taught during Late Antiquity and until the Early Modern period is the Almagest by Ptolemy, written in the 2nd century.
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In the Ptolemaic Kingdom, native Egyptian tradition of anthropomorphic figures represented the planets, stars, and various constellations.[30] Some of these were combined with Greek and Babylonian astronomical systems culminating in the Zodiac of Dendera; it remains unclear when this occurred, but most were placed during the Roman period between 2nd to 4th centuries AD. The oldest known depiction of the zodiac showing all the now familiar constellations, along with some original Egyptian constellations, decans, and planets.[22][31] Ptolemy's Almagest remained the standard definition of constellations in the medieval period both in Europe and in Islamic astronomy.
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Ancient China had a long tradition of observing celestial phenomena.[32] Nonspecific Chinese star names, later categorized in the twenty-eight mansions, have been found on oracle bones from Anyang, dating back to the middle Shang dynasty. These constellations are some of the most important observations of Chinese sky, attested from the 5th century BC. Parallels to the earliest Babylonian (Sumerian) star catalogues suggest that the ancient Chinese system did not arise independently.[33]
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Three schools of classical Chinese astronomy in the Han period are attributed to astronomers of the earlier Warring States period. The constellations of the three schools were conflated into a single system by Chen Zhuo, an astronomer of the 3rd century (Three Kingdoms period). Chen Zhuo's work has been lost, but information on his system of constellations survives in Tang period records, notably by Qutan Xida. The oldest extant Chinese star chart dates to that period and was preserved as part of the Dunhuang Manuscripts. Native Chinese astronomy flourished during the Song dynasty, and during the Yuan dynasty became increasingly influenced by medieval Islamic astronomy (see Treatise on Astrology of the Kaiyuan Era).[33] As maps were prepared during this period on more scientific lines, they were considered as more reliable.[34]
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A well known map from the Song period is the Suzhou Astronomical Chart, which was prepared with carvings of stars on the planisphere of the Chinese sky on a stone plate; it is done accurately based on observations, and it shows the supernova of the year of 1054 in Taurus.[34]
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Influenced by European astronomy during the late Ming dynasty, charts depicted more stars but retained the traditional constellations. Newly observed stars were incorporated as supplementary to old constellations in the southern sky, which did not depict the traditional stars recorded by ancient Chinese astronomers. Further improvements were made during the later part of the Ming dynasty by Xu Guangqi and Johann Adam Schall von Bell, the German Jesuit and was recorded in Chongzhen Lishu (Calendrical Treatise of Chongzhen period, 1628).[clarification needed] Traditional Chinese star maps incorporated 23 new constellations with 125 stars of the southern hemisphere of the sky based on the knowledge of Western star charts; with this improvement, the Chinese Sky was integrated with the World astronomy.[34][35]
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Historically, the origins of the constellations of the northern and southern skies are distinctly different. Most northern constellations date to antiquity, with names based mostly on Classical Greek legends.[10] Evidence of these constellations has survived in the form of star charts, whose oldest representation appears on the statue known as the Farnese Atlas, based perhaps on the star catalogue of the Greek astronomer Hipparchus.[36] Southern constellations are more modern inventions, sometimes as substitutes for ancient constellations (e.g. Argo Navis). Some southern constellations had long names that were shortened to more usable forms; e.g. Musca Australis became simply Musca.[10]
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Some of the early constellations were never universally adopted. Stars were often grouped into constellations differently by different observers, and the arbitrary constellation boundaries often led to confusion as to which constellation a celestial object belonged. Before astronomers delineated precise boundaries (starting in the 19th century), constellations generally appeared as ill-defined regions of the sky.[37] Today they now follow officially accepted designated lines of Right Ascension and Declination based on those defined by Benjamin Gould in epoch 1875.0 in his star catalogue Uranometria Argentina.[38]
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The 1603 star atlas "Uranometria" of Johann Bayer assigned stars to individual constellations and formalized the division by assigning a series of Greek and Latin letters to the stars within each constellation. These are known today as Bayer designations.[39] Subsequent star atlases led to the development of today's accepted modern constellations.
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The southern sky, below about −65° declination, was only partially catalogued by ancient Babylonians, Egyptian, Greeks, Chinese, and Persian astronomers of the north. Knowledge that northern and southern star patterns differed goes back to Classical writers, who describe, for example, the African circumnavigation expedition commissioned by Egyptian Pharaoh Necho II in c. 600 BC and those of Hanno the Navigator in c. 500 BC. However, much of this history was lost with the Destruction of the Library of Alexandria.[citation needed]
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The history of southern constellations is not straightforward. Different groupings and different names were proposed by various observers, some reflecting national traditions or designed to promote various sponsors. Southern constellations were important from the 14th to 16th centuries, when sailors used the stars for celestial navigation. Italian explorers who recorded new southern constellations include Andrea Corsali, Antonio Pigafetta, and Amerigo Vespucci.[27]
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Many of the 88 IAU-recognized constellations in this region first appeared on celestial globes developed in the late 16th century by Petrus Plancius, based mainly on observations of the Dutch navigators Pieter Dirkszoon Keyser[40] and Frederick de Houtman.[41][42][43][44] These became widely known through Johann Bayer's star atlas Uranometria of 1603.[45] Seventeen more were created in 1763 by the French astronomer Nicolas Louis de Lacaille appearing in his star catalogue, published in 1756.[46]
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Several modern proposals have not survived. The French astronomers Pierre Lemonnier and Joseph Lalande, for example, proposed constellations that were once popular but have since been dropped. The northern constellation Quadrans Muralis survived into the 19th century (when its name was attached to the Quadrantid meteor shower), but is now divided between Boötes and Draco.
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A general list of 88 constellations was produced for the International Astronomical Union in 1922.[4] It is roughly based on the traditional Greek constellations listed by Ptolemy in his Almagest in the 2nd century and Aratus' work Phenomena, with early modern modifications and additions (most importantly introducing constellations covering the parts of the southern sky unknown to Ptolemy) by Petrus Plancius (1592, 1597/98 and 1613), Johannes Hevelius (1690) and Nicolas Louis de Lacaille (1763),[47][48][49] who named fourteen constellations and renamed a fifteenth one.[50] De Lacaille studied the stars of the southern hemisphere from 1750 until 1754 from Cape of Good Hope, when he was said to have observed more than 10,000 stars using a 0.5 inches (13 mm) refracting telescope.[50]
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In 1922, Henry Norris Russell produced a general list of 88 constellations and some useful abbreviations for them.[51] However, these constellations did not have clear borders between them. In 1928, the International Astronomical Union (IAU) formally accepted 88 modern constellations, with contiguous boundaries[52] along vertical and horizontal lines of right ascension and declination developed by Eugene Delporte that, together, cover the entire celestial sphere;[4][53] this list was finally published in 1930.[3] Where possible, these modern constellations usually share the names of their Graeco-Roman predecessors, such as Orion, Leo or Scorpius. The aim of this system is area-mapping, i.e. the division of the celestial sphere into contiguous fields.[47] Out of the 88 modern constellations, 36 lie predominantly in the northern sky, and the other 52 predominantly in the southern.
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Equirectangular plot of declination vs right ascension of stars brighter than apparent magnitude 5 on the Hipparcos Catalogue, coded by spectral type and apparent magnitude, relative to the modern constellations and the ecliptic.
|
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The boundaries developed by Delporte used data that originated back to epoch B1875.0, which was when Benjamin A. Gould first made his proposal to designate boundaries for the celestial sphere, a suggestion on which Delporte based his work. The consequence of this early date is that because of the precession of the equinoxes, the borders on a modern star map, such as epoch J2000, are already somewhat skewed and no longer perfectly vertical or horizontal.[54] This effect will increase over the years and centuries to come.
|
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|
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+
The Great Rift, a series of dark patches in the Milky Way, is more visible and striking in the southern hemisphere than in the northern. It vividly stands out when conditions are otherwise so dark that the Milky Way's central region casts shadows on the ground.[55] Some cultures have discerned shapes in these patches and have given names to these "dark cloud constellations". Members of the Inca civilization identified various dark areas or dark nebulae in the Milky Way as animals and associated their appearance with the seasonal rains.[56][57][58] Australian Aboriginal astronomy also describes dark cloud constellations, the most famous being the "emu in the sky" whose head is formed by the Coalsack, a dark nebula, instead of the stars.[59]
|
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|
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The Emu in the sky – a constellation defined by dark clouds rather than by stars. The head of the emu is the Coalsack with the Southern Cross directly above. Scorpius is to the left.
|
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Inca dark cloud constellations in the Mayu (Celestial River), also known as the Milky Way. The Southern Cross is above Yutu, while the eyes of the Llama are Alpha Centauri and Beta Centauri.
|
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|
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General & Nonspecialized – Entire Celestial Heavens:
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Northern Celestial Hemisphere & North Circumpolar Region:
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Equatorial, Ecliptic, & Zodiacal Celestial Sky:
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Southern Celestial Hemisphere & South Circumpolar Region:
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A constitution is an aggregate of fundamental principles or established precedents that constitute the legal basis of a polity, organisation or other type of entity, and commonly determine how that entity is to be governed.[1]
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When these principles are written down into a single document or set of legal documents, those documents may be said to embody a written constitution; if they are written down in a single comprehensive document, it is said to embody a codified constitution. Some constitutions (such as that of the United Kingdom) are uncodified, but written in numerous fundamental Acts of a legislature, court cases or treaties.[2]
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Constitutions concern different levels of organizations, from sovereign countries to companies and unincorporated associations. A treaty which establishes an international organization is also its constitution, in that it would define how that organization is constituted. Within states, a constitution defines the principles upon which the state is based, the procedure in which laws are made and by whom. Some constitutions, especially codified constitutions, also act as limiters of state power, by establishing lines which a state's rulers cannot cross, such as fundamental rights.
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The Constitution of India is the longest written constitution of any country in the world,[3] containing 444 articles in 22 parts,[4][5] 12 schedules and 124[6] amendments, with 146,385 words[7] in its English-language version.[8] The Constitution of Monaco is the shortest written constitution, containing 10 chapters with 97 articles, and a total of 3,814 words.[9][7] The Constitution of the United States is the world's oldest continuously-active codified constitution, having been in force since 1789. Only half of all constitutions function continuously for more than 19 years.[10]
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The term constitution comes through French from the Latin word constitutio, used for regulations and orders, such as the imperial enactments (constitutiones principis: edicta, mandata, decreta, rescripta).[11] Later, the term was widely used in canon law for an important determination, especially a decree issued by the Pope, now referred to as an apostolic constitution.
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Generally, every modern written constitution confers specific powers on an organization or institutional entity, established upon the primary condition that it abides by the constitution's limitations. According to Scott Gordon, a political organization is constitutional to the extent that it "contain[s] institutionalized mechanisms of power control for the protection of the interests and liberties of the citizenry, including those that may be in the minority".[12]
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Activities of officials within an organization or polity that fall within the constitutional or statutory authority of those officials are termed "within power" (or, in Latin, intra vires); if they do not, they are termed "beyond power" (or, in Latin, ultra vires). For example, a students' union may be prohibited as an organization from engaging in activities not concerning students; if the union becomes involved in non-student activities, these activities are considered to be ultra vires of the union's charter, and nobody would be compelled by the charter to follow them. An example from the constitutional law of sovereign states would be a provincial parliament in a federal state trying to legislate in an area that the constitution allocates exclusively to the federal parliament, such as ratifying a treaty. Action that appears to be beyond power may be judicially reviewed and, if found to be beyond power, must cease. Legislation that is found to be beyond power will be "invalid" and of no force; this applies to primary legislation, requiring constitutional authorization, and secondary legislation, ordinarily requiring statutory authorization. In this context, "within power", intra vires, "authorized" and "valid" have the same meaning; as do "beyond power", ultra vires, "not authorized" and "invalid".
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In most but not all modern states the constitution has supremacy over ordinary statutory law (see Uncodified constitution below); in such states when an official act is unconstitutional, i.e. it is not a power granted to the government by the constitution, that act is null and void, and the nullification is ab initio, that is, from inception, not from the date of the finding. It was never "law", even though, if it had been a statute or statutory provision, it might have been adopted according to the procedures for adopting legislation. Sometimes the problem is not that a statute is unconstitutional, but that the application of it is, on a particular occasion, and a court may decide that while there are ways it could be applied that are constitutional, that instance was not allowed or legitimate. In such a case, only that application may be ruled unconstitutional. Historically, the remedies for such violations have been petitions for common law writs, such as quo warranto.
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Since 1789, along with the Constitution of the United States of America (hereinafter U.S. Constitution), which is the oldest and shortest written constitution still in force,[13] around 220 other similar constitutions were adopted around the world by independent states.[14]
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In the late 18th century, Thomas Jefferson predicted that a period of 20 years will be the optimal time for any Constitution to still be in force since "the earth belongs to the living, and not to the dead." [15] Indeed, according to recent studies [16][17] the average life expectancy of any new written constitution is around 19 years. However, a great number of constitutions do not exceed more than 10 years and around 10% do not last more than 1 year, as it was the case of the French Constitution of 1791[18][19].
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The most common reasons for these continuous changes are the political desire of an immediate outcome and the scarcity of time devoted to the constitutional drafting process.[20] A study from 2009 showed that the average time allocated for the drafting part of the process is around 16 months [21] however there were also some extreme cases registered. For example, the Myanmar 2008 Constitution was secretly drafted for more than 17 years,[22] whereas on the other extreme, like the case of the Japan's 1946 Constitution, the bureaucrats drafted everything in no more than a week. Nevertheless, the record for the shortest overall process of drafting, adoption and ratification of a national Constitution belongs to the Romania's 1938 Constitution which installed a royal dictatorship in less than a month.[23] Studies on the matter showed as a general conclusion that usually non-democracies where the registered extreme cases where the constitution-making process either takes too long or is incredibly short.[24] Important not to forget or make any confusions about it is that constitutional rights are not a specific characteristic of democratic countries, but also non-democratic countries have Constitutions, such as North Korea for example, which officially grants every citizen, among other rights, the freedom of expression.[25]
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Excavations in modern-day Iraq by Ernest de Sarzec in 1877 found evidence of the earliest known code of justice, issued by the Sumerian king Urukagina of Lagash ca 2300 BC. Perhaps the earliest prototype for a law of government, this document itself has not yet been discovered; however it is known that it allowed some rights to his citizens. For example, it is known that it relieved tax for widows and orphans, and protected the poor from the usury of the rich.
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After that, many governments ruled by special codes of written laws. The oldest such document still known to exist seems to be the Code of Ur-Nammu of Ur (ca 2050 BC). Some of the better-known ancient law codes include the code of Lipit-Ishtar of Isin, the code of Hammurabi of Babylonia, the Hittite code, the Assyrian code and Mosaic law.
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+
In 621 BC, a scribe named Draco codified the cruel oral laws of the city-state of Athens; this code prescribed the death penalty for many offences (nowadays very severe rules are often called "Draconian"). In 594 BC, Solon, the ruler of Athens, created the new Solonian Constitution. It eased the burden of the workers, and determined that membership of the ruling class was to be based on wealth (plutocracy), rather than on birth (aristocracy). Cleisthenes again reformed the Athenian constitution and set it on a democratic footing in 508 BC.
|
32 |
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33 |
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Aristotle (ca 350 BC) was the first to make a formal distinction between ordinary law and constitutional law, establishing ideas of constitution and constitutionalism, and attempting to classify different forms of constitutional government. The most basic definition he used to describe a constitution in general terms was "the arrangement of the offices in a state". In his works Constitution of Athens, Politics, and Nicomachean Ethics he explores different constitutions of his day, including those of Athens, Sparta, and Carthage. He classified both what he regarded as good and what he regarded as bad constitutions, and came to the conclusion that the best constitution was a mixed system, including monarchic, aristocratic, and democratic elements. He also distinguished between citizens, who had the right to participate in the state, and non-citizens and slaves, who did not.
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35 |
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The Romans first codified their constitution in 450 BC as the Twelve Tables. They operated under a series of laws that were added from time to time, but Roman law was not reorganised into a single code until the Codex Theodosianus (AD 438); later, in the Eastern Empire, the Codex repetitæ prælectionis (534) was highly influential throughout Europe. This was followed in the east by the Ecloga of Leo III the Isaurian (740) and the Basilica of Basil I (878).
|
36 |
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37 |
+
The Edicts of Ashoka established constitutional principles for the 3rd century BC Maurya king's rule in Ancient India. For constitutional principles almost lost to antiquity, see the code of Manu.
|
38 |
+
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39 |
+
Many of the Germanic peoples that filled the power vacuum left by the Western Roman Empire in the Early Middle Ages codified their laws. One of the first of these Germanic law codes to be written was the Visigothic Code of Euric (471). This was followed by the Lex Burgundionum, applying separate codes for Germans and for Romans; the Pactus Alamannorum; and the Salic Law of the Franks, all written soon after 500. In 506, the Breviarum or "Lex Romana" of Alaric II, king of the Visigoths, adopted and consolidated the Codex Theodosianus together with assorted earlier Roman laws. Systems that appeared somewhat later include the Edictum Rothari of the Lombards (643), the Lex Visigothorum (654), the Lex Alamannorum (730) and the Lex Frisionum (ca 785). These continental codes were all composed in Latin, while Anglo-Saxon was used for those of England, beginning with the Code of Æthelberht of Kent (602). In ca. 893, Alfred the Great combined this and two other earlier Saxon codes, with various Mosaic and Christian precepts, to produce the Doom book code of laws for England.
|
40 |
+
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41 |
+
Japan's Seventeen-article constitution written in 604, reportedly by Prince Shōtoku, is an early example of a constitution in Asian political history. Influenced by Buddhist teachings, the document focuses more on social morality than on institutions of government per se, and remains a notable early attempt at a government constitution.
|
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+
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43 |
+
The Constitution of Medina (Arabic: صحیفة المدینه, Ṣaḥīfat al-Madīna), also known as the Charter of Medina, was drafted by the Islamic prophet Muhammad after his flight (hijra) to Yathrib where he became political leader. It constituted a formal agreement between Muhammad and all of the significant tribes and families of Yathrib (later known as Medina), including Muslims, Jews, and pagans.[26][27] The document was drawn up with the explicit concern of bringing to an end the bitter intertribal fighting between the clans of the Aws (Aus) and Khazraj within Medina. To this effect it instituted a number of rights and responsibilities for the Muslim, Jewish, and pagan communities of Medina bringing them within the fold of one community – the Ummah.[28]
|
44 |
+
The precise dating of the Constitution of Medina remains debated but generally scholars agree it was written shortly after the Hijra (622).[29]
|
45 |
+
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46 |
+
In Wales, the Cyfraith Hywel was codified by Hywel Dda ca. 942–950.
|
47 |
+
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48 |
+
The Pravda Yaroslava, originally combined by Yaroslav the Wise the Grand Prince of Kyiv, was granted to Great Novgorod around 1017, and in 1054 was incorporated into the Ruska Pravda, that became the law for all of Kievan Rus. It survived only in later editions of the 15th century.
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49 |
+
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50 |
+
In England, Henry I's proclamation of the Charter of Liberties in 1100 bound the king for the first time in his treatment of the clergy and the nobility. This idea was extended and refined by the English barony when they forced King John to sign Magna Carta in 1215. The most important single article of the Magna Carta, related to "habeas corpus", provided that the king was not permitted to imprison, outlaw, exile or kill anyone at a whim – there must be due process of law first. This article, Article 39, of the Magna Carta read:
|
51 |
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52 |
+
No free man shall be arrested, or imprisoned, or deprived of his property, or outlawed, or exiled, or in any way destroyed, nor shall we go against him or send against him, unless by legal judgement of his peers, or by the law of the land.
|
53 |
+
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54 |
+
This provision became the cornerstone of English liberty after that point. The social contract in the original case was between the king and the nobility, but was gradually extended to all of the people. It led to the system of Constitutional Monarchy, with further reforms shifting the balance of power from the monarchy and nobility to the House of Commons.
|
55 |
+
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56 |
+
The Nomocanon of Saint Sava (Serbian: Законоправило/Zakonopravilo)[30][31][32] was the first Serbian constitution from 1219. This legal act was well developed. St. Sava's Nomocanon was the compilation of Civil law, based on Roman Law and Canon law, based on Ecumenical Councils and its basic purpose was to organize functioning of the young Serbian kingdom and the Serbian church. Saint Sava began the work on the Serbian Nomocanon in 1208 while being at Mount Athos, using The Nomocanon in Fourteen Titles, Synopsis of Stefan the Efesian, Nomocanon of John Scholasticus, Ecumenical Councils' documents, which he modified with the canonical commentaries of Aristinos and Joannes Zonaras, local church meetings, rules of the Holy Fathers, the law of Moses, translation of Prohiron and the Byzantine emperors' Novellae (most were taken from Justinian's Novellae). The Nomocanon was completely new compilation of civil and canonical regulations, taken from the Byzantine sources, but completed and reformed by St. Sava to function properly in Serbia. Beside decrees that organized the life of church, there are various norms regarding civil life, most of them were taken from Prohiron. Legal transplants of Roman-Byzantine law became the basis of the Serbian medieval law. The essence of Zakonopravilo was based on Corpus Iuris Civilis.
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+
Stefan Dušan, Emperor of Serbs and Greeks, enacted Dušan's Code (Serbian: Душанов Законик/Dušanov Zakonik)[33] in Serbia, in two state congresses: in 1349 in Skopje and in 1354 in Serres. It regulated all social spheres, so it was the second Serbian constitution, after St. Sava's Nomocanon (Zakonopravilo). The Code was based on Roman-Byzantine law. The legal transplanting is notable with the articles 171 and 172 of Dušan's Code, which regulated the juridical independence. They were taken from the Byzantine code Basilika (book VII, 1, 16–17).
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59 |
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60 |
+
In 1222, Hungarian King Andrew II issued the Golden Bull of 1222.
|
61 |
+
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62 |
+
Between 1220 and 1230, a Saxon administrator, Eike von Repgow, composed the Sachsenspiegel, which became the supreme law used in parts of Germany as late as 1900.
|
63 |
+
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64 |
+
In 1998, S. Kouyaté reconstructed from oral tradition what he claims is a 14th-century charter of the Mali Empire, called the Kouroukan Fouga.[34]
|
65 |
+
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66 |
+
Around 1240, the Coptic Egyptian Christian writer, 'Abul Fada'il Ibn al-'Assal, wrote the Fetha Negest in Arabic. 'Ibn al-Assal took his laws partly from apostolic writings and Mosaic law, and partly from the former Byzantine codes. There are a few historical records claiming that this law code was translated into Ge'ez and entered Ethiopia around 1450 in the reign of Zara Yaqob. Even so, its first recorded use in the function of a constitution (supreme law of the land) is with Sarsa Dengel beginning in 1563. The Fetha Negest remained the supreme law in Ethiopia until 1931, when a modern-style Constitution was first granted by Emperor Haile Selassie I.
|
67 |
+
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68 |
+
In the Principality of Catalonia, the Catalan constitutions were promulgated by the Court from 1283 (or even two centuries before, if we consider the Usatges of Barcelona as part of the compilation of Constitutions) until 1716, when Philip V of Spain gave the Nueva Planta decrees, finishing with the historical laws of Catalonia. These Constitutions were usually made formally as a royal initiative, but required for its approval or repeal the favorable vote of the Catalan Courts, the medieval antecedent of the modern Parliaments. These laws had, as the other modern constitutions, preeminence over other laws, and they could not be contradicted by mere decrees or edicts of the king.
|
69 |
+
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70 |
+
The Golden Bull of 1356 was a decree issued by a Reichstag in Nuremberg headed by Emperor Charles IV that fixed, for a period of more than four hundred years, an important aspect of the constitutional structure of the Holy Roman Empire.
|
71 |
+
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72 |
+
In China, the Hongwu Emperor created and refined a document he called Ancestral Injunctions (first published in 1375, revised twice more before his death in 1398). These rules served in a very real sense as a constitution for the Ming Dynasty for the next 250 years.
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73 |
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74 |
+
The oldest written document still governing a sovereign nation today[35] is that of San Marino. The Leges Statutae Republicae Sancti Marini was written in Latin and consists of six books. The first book, with 62 articles, establishes councils, courts, various executive officers and the powers assigned to them. The remaining books cover criminal and civil law, judicial procedures and remedies. Written in 1600, the document was based upon the Statuti Comunali (Town Statute) of 1300, itself influenced by the Codex Justinianus, and it remains in force today.
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75 |
+
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76 |
+
In 1392 the Carta de Logu was legal code of the Giudicato of Arborea promulgated by the giudicessa Eleanor. It was in force in Sardinia until it was superseded by the code of Charles Felix in April 1827. The Carta was a work of great importance in Sardinian history. It was an organic, coherent, and systematic work of legislation encompassing the civil and penal law.
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77 |
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78 |
+
The Gayanashagowa, the oral constitution of the Iroquois nation also known as the Great Law of Peace, established a system of governance in which sachems (tribal chiefs) of the members of the Iroquois League made decisions on the basis of universal consensus of all chiefs following discussions that were initiated by a single tribe. The position of sachem descended through families, and were allocated by senior female relatives.[36]
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+
Historians including Donald Grinde,[37] Bruce Johansen[38] and others[39] believe that the Iroquois constitution provided inspiration for the United States Constitution and in 1988 was recognised by a resolution in Congress.[40] The thesis is not considered credible by some scholars.[36][41] Stanford University historian Jack N. Rakove stated that "The voluminous records we have for the constitutional debates of the late 1780s contain no significant references to the Iroquois" and stated that there are ample European precedents to the democratic institutions of the United States.[42] Francis Jennings noted that the statement made by Benjamin Franklin frequently quoted by proponents of the thesis does not support this idea as it is advocating for a union against these "ignorant savages" and called the idea "absurd".[43] Bruce Johansen contends Jennings, Tooker etc. have "humorlessly missed the ironic nature of Franklin's statement"[44] and persist in "ignoring the relevant sources".[45] Anthropologist Dean Snow stated that though Franklin's Albany Plan may have drawn some inspiration from the Iroquois League, there is little evidence that either the Plan or the Constitution drew substantially from this source and argues that "...such claims muddle and denigrate the subtle and remarkable features of Iroquois government. The two forms of government are distinctive and individually remarkable in conception."[46]
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+
In 1639, the Colony of Connecticut adopted the Fundamental Orders, which was the first North American constitution, and is the basis for every new Connecticut constitution since, and is also the reason for Connecticut's nickname, "the Constitution State".
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83 |
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+
The English Protectorate that was set up by Oliver Cromwell after the English Civil War promulgated the first detailed written constitution adopted by a modern state;[47] it was called the Instrument of Government. This formed the basis of government for the short-lived republic from 1653 to 1657 by providing a legal rationale for the increasing power of Cromwell after Parliament consistently failed to govern effectively. Most of the concepts and ideas embedded into modern constitutional theory, especially bicameralism, separation of powers, the written constitution, and judicial review, can be traced back to the experiments of that period.[48]
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Drafted by Major-General John Lambert in 1653, the Instrument of Government included elements incorporated from an earlier document "Heads of Proposals",[49][50] which had been agreed to by the Army Council in 1647, as a set of propositions intended to be a basis for a constitutional settlement after King Charles I was defeated in the First English Civil War. Charles had rejected the propositions, but before the start of the Second Civil War, the Grandees of the New Model Army had presented the Heads of Proposals as their alternative to the more radical Agreement of the People presented by the Agitators and their civilian supporters at the Putney Debates.
|
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|
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On January 4, 1649 the Rump Parliament declared "that the people are, under God, the original of all just power; that the Commons of England, being chosen by and representing the people, have the supreme power in this nation".[51]
|
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The Instrument of Government was adopted by Parliament on December 15, 1653 and Oliver Cromwell was installed as Lord Protector on the following day. The constitution set up a state council consisting of 21 members while executive authority was vested in the office of "Lord Protector of the Commonwealth"; this position was designated as a non-hereditary life appointment. It also required the calling of triennial Parliaments, with each sitting for at least five months.
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The Instrument of Government was replaced in May 1657 by England's second, and last, codified constitution, the Humble Petition and Advice, proposed by Sir Christopher Packe.[52] The Petition offered hereditary monarchy to Oliver Cromwell, asserted Parliament's control over issuing new taxation, provided an independent council to advise the king and safeguarded "Triennial" meetings of Parliament. A modified version of the Humble Petition with the clause on kingship removed was ratified on 25 May. This finally met its demise in conjunction with the death of Cromwell and the Restoration of the monarchy.
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Other examples of European constitutions of this era were the Corsican Constitution of 1755 and the Swedish Constitution of 1772.
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All of the British colonies in North America that were to become the 13 original United States, adopted their own constitutions in 1776 and 1777, during the American Revolution (and before the later Articles of Confederation and United States Constitution), with the exceptions of Massachusetts, Connecticut and Rhode Island. The Commonwealth of Massachusetts adopted its Constitution in 1780, the oldest still-functioning constitution of any U.S. state; while Connecticut and Rhode Island officially continued to operate under their old colonial charters, until they adopted their first state constitutions in 1818 and 1843, respectively.
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What is sometimes called the "enlightened constitution" model was developed by philosophers of the Age of Enlightenment such as Thomas Hobbes, Jean-Jacques Rousseau, and John Locke. The model proposed that constitutional governments should be stable, adaptable, accountable, open and should represent the people (i.e., support democracy).[53]
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Agreements and Constitutions of Laws and Freedoms of the Zaporizian Host was written in 1710 by Pylyp Orlyk, hetman of the Zaporozhian Host. It was written to establish a free Zaporozhian-Ukrainian Republic, with the support of Charles XII of Sweden. It is notable in that it established a democratic standard for the separation of powers in government between the legislative, executive, and judiciary branches, well before the publication of Montesquieu's Spirit of the Laws. This Constitution also limited the executive authority of the hetman, and established a democratically elected Cossack parliament called the General Council. However, Orlyk's project for an independent Ukrainian State never materialized, and his constitution, written in exile, never went into effect.
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Corsican Constitutions of 1755 and 1794 were inspired by Jean-Jacques Rousseau. The latter introduced universal suffrage for property owners.
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The United States Constitution, ratified June 21, 1788, was influenced by the writings of Polybius, Locke, Montesquieu, and others. The document became a benchmark for republicanism and codified constitutions written thereafter.[54]
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The Polish–Lithuanian Commonwealth Constitution was passed on May 3, 1791.[55][56][57] Its draft was developed by the leading minds of the Enlightenment in Poland such as King Stanislaw August Poniatowski, Stanisław Staszic, Scipione Piattoli, Julian Ursyn Niemcewicz, Ignacy Potocki and Hugo Kołłątaj.[58] It was adopted by the Great Sejm and is considered the first constitution of its kind in Europe and the world's second oldest one after the American Constitution.[59]
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|
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+
Another landmark document was the French Constitution, ratified on September 3, 1791.
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The 1811 Constitution of Venezuela was the first Constitution of Venezuela and Latin America, promulgated and drafted by Cristóbal Mendoza[60] and Juan Germán Roscio and in Caracas. It established a federal government but was repealed one year later.[61]
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On March 19, the Spanish Constitution of 1812 was ratified by a parliament gathered in Cadiz, the only Spanish continental city which was safe from French occupation. The Spanish Constitution served as a model for other liberal constitutions of several South European and Latin American nations like, for example, Portuguese Constitution of 1822, constitutions of various Italian states during Carbonari revolts (i.e., in the Kingdom of the Two Sicilies), the Norwegian constitution of 1814, or the Mexican Constitution of 1824.[62]
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In Brazil, the Constitution of 1824 expressed the option for the monarchy as political system after Brazilian Independence. The leader of the national emancipation process was the Portuguese prince Pedro I, elder son of the king of Portugal. Pedro was crowned in 1822 as first emperor of Brazil. The country was ruled by Constitutional monarchy until 1889, when finally adopted the Republican model.
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In Denmark, as a result of the Napoleonic Wars, the absolute monarchy lost its personal possession of Norway to another absolute monarchy, Sweden. However the Norwegians managed to infuse a radically democratic and liberal constitution in 1814, adopting many facets from the American constitution and the revolutionary French ones; but maintaining a hereditary monarch limited by the constitution, like the Spanish one.
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The first Swiss Federal Constitution was put in force in September 1848 (with official revisions in 1878, 1891, 1949, 1971, 1982 and 1999).
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The Serbian revolution initially led to a proclamation of a proto-constitution in 1811; the full-fledged Constitution of Serbia followed few decades later, in 1835. The first Serbian constitution (Sretenjski ustav) was adopted at the national assembly in Kragujevac on February 15, 1835.
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The Constitution of Canada came into force on July 1, 1867 as the British North America Act, an act of the British Parliament. Over a century later, the BNA Act was patriated to the Canadian Parliament and augmented with the Canadian Charter of Rights and Freedoms.[63] Apart from the Constitution Acts, 1867 to 1982, Canada's constitution also has unwritten elements based in common law and convention.[64][65]
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After tribal people first began to live in cities and establish nations, many of these functioned according to unwritten customs, while some developed autocratic, even tyrannical monarchs, who ruled by decree, or mere personal whim. Such rule led some thinkers to take the position that what mattered was not the design of governmental institutions and operations, as much as the character of the rulers. This view can be seen in Plato, who called for rule by "philosopher-kings."[66] Later writers, such as Aristotle, Cicero and Plutarch, would examine designs for government from a legal and historical standpoint.
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The Renaissance brought a series of political philosophers who wrote implied criticisms of the practices of monarchs and sought to identify principles of constitutional design that would be likely to yield more effective and just governance from their viewpoints. This began with revival of the Roman law of nations concept[67] and its application to the relations among nations, and they sought to establish customary "laws of war and peace"[68] to ameliorate wars and make them less likely. This led to considerations of what authority monarchs or other officials have and don't have, from where that authority derives, and the remedies for the abuse of such authority.[69]
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A seminal juncture in this line of discourse arose in England from the Civil War, the Cromwellian Protectorate, the writings of Thomas Hobbes, Samuel Rutherford, the Levellers, John Milton, and James Harrington, leading to the debate between Robert Filmer, arguing for the divine right of monarchs, on the one side, and on the other, Henry Neville, James Tyrrell, Algernon Sidney, and John Locke. What arose from the latter was a concept of government being erected on the foundations of first, a state of nature governed by natural laws, then a state of society, established by a social contract or compact, which bring underlying natural or social laws, before governments are formally established on them as foundations.
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Along the way several writers examined how the design of government was important, even if the government were headed by a monarch. They also classified various historical examples of governmental designs, typically into democracies, aristocracies, or monarchies, and considered how just and effective each tended to be and why, and how the advantages of each might be obtained by combining elements of each into a more complex design that balanced competing tendencies. Some, such as Montesquieu, also examined how the functions of government, such as legislative, executive, and judicial, might appropriately be separated into branches. The prevailing theme among these writers was that the design of constitutions is not completely arbitrary or a matter of taste. They generally held that there are underlying principles of design that constrain all constitutions for every polity or organization. Each built on the ideas of those before concerning what those principles might be.
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The later writings of Orestes Brownson[70] would try to explain what constitutional designers were trying to do. According to Brownson there are, in a sense, three "constitutions" involved: The first the constitution of nature that includes all of what was called "natural law." The second is the constitution of society, an unwritten and commonly understood set of rules for the society formed by a social contract before it establishes a government, by which it establishes the third, a constitution of government. The second would include such elements as the making of decisions by public conventions called by public notice and conducted by established rules of procedure. Each constitution must be consistent with, and derive its authority from, the ones before it, as well as from a historical act of society formation or constitutional ratification. Brownson argued that a state is a society with effective dominion over a well-defined territory, that consent to a well-designed constitution of government arises from presence on that territory, and that it is possible for provisions of a written constitution of government to be "unconstitutional" if they are inconsistent with the constitutions of nature or society. Brownson argued that it is not ratification alone that makes a written constitution of government legitimate, but that it must also be competently designed and applied.
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Other writers[71] have argued that such considerations apply not only to all national constitutions of government, but also to the constitutions of private organizations, that it is not an accident that the constitutions that tend to satisfy their members contain certain elements, as a minimum, or that their provisions tend to become very similar as they are amended after experience with their use. Provisions that give rise to certain kinds of questions are seen to need additional provisions for how to resolve those questions, and provisions that offer no course of action may best be omitted and left to policy decisions. Provisions that conflict with what Brownson and others can discern are the underlying "constitutions" of nature and society tend to be difficult or impossible to execute, or to lead to unresolvable disputes.
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Constitutional design has been treated as a kind of metagame in which play consists of finding the best design and provisions for a written constitution that will be the rules for the game of government, and that will be most likely to optimize a balance of the utilities of justice, liberty, and security. An example is the metagame Nomic.[72]
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Political economy theory regards constitutions as coordination devices that help citizens to prevent rulers from abusing power. If the citizenry can coordinate a response to police government officials in the face of a constitutional fault, then the government have the incentives to honor the rights that the constitution guarantees.[73] An alternative view considers that constitutions are not enforced by the citizens at-large, but rather by the administrative powers of the state. Because rulers cannot themselves implement their policies, they need to rely on a set of organizations (armies, courts, police agencies, tax collectors) to implement it. In this position, they can directly sanction the government by refusing to cooperate, disabling the authority of the rulers. Therefore, constitutions could be characterized by a self-enforcing equilibria between the rulers and powerful administrators.[74]
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Most commonly, the term constitution refers to a set of rules and principles that define the nature and extent of government. Most constitutions seek to regulate the relationship between institutions of the state, in a basic sense the relationship between the executive, legislature and the judiciary, but also the relationship of institutions within those branches. For example, executive branches can be divided into a head of government, government departments/ministries, executive agencies and a civil service/administration. Most constitutions also attempt to define the relationship between individuals and the state, and to establish the broad rights of individual citizens. It is thus the most basic law of a territory from which all the other laws and rules are hierarchically derived; in some territories it is in fact called "Basic Law".
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A fundamental classification is codification or lack of codification. A codified constitution is one that is contained in a single document, which is the single source of constitutional law in a state. An uncodified constitution is one that is not contained in a single document, consisting of several different sources, which may be written or unwritten; see constitutional convention.
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Most states in the world have codified constitutions.
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Codified constitutions are often the product of some dramatic political change, such as a revolution. The process by which a country adopts a constitution is closely tied to the historical and political context driving this fundamental change. The legitimacy (and often the longevity) of codified constitutions has often been tied to the process by which they are initially adopted and some scholars have pointed out that high constitutional turnover within a given country may itself be detrimental to separation of powers and the rule of law.
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States that have codified constitutions normally give the constitution supremacy over ordinary statute law. That is, if there is any conflict between a legal statute and the codified constitution, all or part of the statute can be declared ultra vires by a court, and struck down as unconstitutional. In addition, exceptional procedures are often required to amend a constitution. These procedures may include: convocation of a special constituent assembly or constitutional convention, requiring a supermajority of legislators' votes, approval in two terms of parliament, the consent of regional legislatures, a referendum process, and/or other procedures that make amending a constitution more difficult than passing a simple law.
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Constitutions may also provide that their most basic principles can never be abolished, even by amendment. In case a formally valid amendment of a constitution infringes these principles protected against any amendment, it may constitute a so-called unconstitutional constitutional law.
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Codified constitutions normally consist of a ceremonial preamble, which sets forth the goals of the state and the motivation for the constitution, and several articles containing the substantive provisions. The preamble, which is omitted in some constitutions, may contain a reference to God and/or to fundamental values of the state such as liberty, democracy or human rights. In ethnic nation-states such as Estonia, the mission of the state can be defined as preserving a specific nation, language and culture.
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As of 2017[update] only two sovereign states, New Zealand and the United Kingdom, have wholly uncodified constitutions. The Basic Laws of Israel have since 1950 been intended to be the basis for a constitution, but as of 2017 it had not been drafted. The various Laws are considered to have precedence over other laws, and give the procedure by which they can be amended, typically by a simple majority of members of the Knesset (parliament).[75]
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Uncodified constitutions are the product of an "evolution" of laws and conventions over centuries (such as in the Westminster System that developed in Britain). By contrast to codified constitutions, uncodified constitutions include both written sources – e.g. constitutional statutes enacted by the Parliament – and unwritten sources – constitutional conventions, observation of precedents, royal prerogatives, customs and traditions, such as holding general elections on Thursdays; together these constitute British constitutional law.
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Some constitutions are largely, but not wholly, codified. For example, in the Constitution of Australia, most of its fundamental political principles and regulations concerning the relationship between branches of government, and concerning the government and the individual are codified in a single document, the Constitution of the Commonwealth of Australia. However, the presence of statutes with constitutional significance, namely the Statute of Westminster, as adopted by the Commonwealth in the Statute of Westminster Adoption Act 1942, and the Australia Act 1986 means that Australia's constitution is not contained in a single constitutional document.[citation needed] It means the Constitution of Australia is uncodified,[dubious – discuss] it also contains constitutional conventions, thus is partially unwritten.
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The Constitution of Canada, which evolved from the British North America Acts until severed from nominal British control by the Canada Act 1982 (analogous to the Australia Act 1986), is a similar example. Canada's constitution consists of around 30 different statutes.
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The terms written constitution and codified constitution are often used interchangeably, as are unwritten constitution and uncodified constitution, although this usage is technically inaccurate. A codified constitution is a single document; states that do not have such a document have uncodified, but not entirely unwritten, constitutions, since much of an uncodified constitution is usually written in laws such as the Basic Laws of Israel and the Parliament Acts of the United Kingdom. Uncodified constitutions largely lack protection against amendment by the government of the time. For example, the U.K. Fixed-term Parliaments Act 2011 legislated by simple majority for strictly fixed-term parliaments; until then the ruling party could call a general election at any convenient time up to the maximum term of five years. This change would require a constitutional amendment in most nations.
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A constitutional amendment is a modification of the constitution of a polity, organization or other type of entity. Amendments are often interwoven into the relevant sections of an existing constitution, directly altering the text. Conversely, they can be appended to the constitution as supplemental additions (codicils), thus changing the frame of government without altering the existing text of the document.
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Most constitutions require that amendments cannot be enacted unless they have passed a special procedure that is more stringent than that required of ordinary legislation.
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Some countries are listed under more than one method because alternative procedures may be used.
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An entrenched clause or entrenchment clause of a basic law or constitution is a provision that makes certain amendments either more difficult or impossible to pass, making such amendments inadmissible. Overriding an entrenched clause may require a supermajority, a referendum, or the consent of the minority party. The term eternity clause is used in a similar manner in the constitutions of the Czech Republic,[76] Germany, Turkey, Greece,[77] Italy,[78] Morocco,[79] the Islamic Republic of Iran, Brazil and Norway.[78] The Constitution of India and the Constitution of Colombia contain similar provisions aimed at making it difficult, but not impossible, to change their basic structure.[78]
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Constitutions include various rights and duties. These include the following:
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Constitutions usually explicitly divide power between various branches of government. The standard model, described by the Baron de Montesquieu, involves three branches of government: executive, legislative and judicial. Some constitutions include additional branches, such as an auditory branch. Constitutions vary extensively as to the degree of separation of powers between these branches.
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In presidential and semi-presidential systems of government, department secretaries/ministers are accountable to the president, who has patronage powers to appoint and dismiss ministers. The president is accountable to the people in an election.
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In parliamentary systems, Cabinet Ministers are accountable to Parliament, but it is the prime minister who appoints and dismisses them. In the case of the United Kingdom and other countries with a monarchy, it is the monarch who appoints and dismisses ministers, on the advice of the prime minister. In turn the prime minister will resign if the government loses the confidence of the parliament (or a part of it). Confidence can be lost if the government loses a vote of no confidence or, depending on the country,[107] loses a particularly important vote in parliament, such as vote on the budget. When a government loses confidence, it stays in office until a new government is formed; something which normally but not necessarily required the holding of a general election.
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Other independent institutions which some constitutions have set out include a central bank,[108] an anti-corruption commission,[109] an electoral commission,[110] a judicial oversight body,[111] a human rights commission,[112] a media commission,[113] an ombudsman,[114] and a truth and reconciliation commission.[115]
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Constitutions also establish where sovereignty is located in the state. There are three basic types of distribution of sovereignty according to the degree of centralisation of power: unitary, federal, and confederal. The distinction is not absolute.
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In a unitary state, sovereignty resides in the state itself, and the constitution determines this. The territory of the state may be divided into regions, but they are not sovereign and are subordinate to the state. In the UK, the constitutional doctrine of Parliamentary sovereignty dictates that sovereignty is ultimately contained at the centre. Some powers have been devolved to Northern Ireland, Scotland, and Wales (but not England). Some unitary states (Spain is an example) devolve more and more power to sub-national governments until the state functions in practice much like a federal state.
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A federal state has a central structure with at most a small amount of territory mainly containing the institutions of the federal government, and several regions (called states, provinces, etc.) which compose the territory of the whole state. Sovereignty is divided between the centre and the constituent regions. The constitutions of Canada and the United States establish federal states, with power divided between the federal government and the provinces or states. Each of the regions may in turn have its own constitution (of unitary nature).
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A confederal state comprises again several regions, but the central structure has only limited coordinating power, and sovereignty is located in the regions. Confederal constitutions are rare, and there is often dispute to whether so-called "confederal" states are actually federal.
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To some extent a group of states which do not constitute a federation as such may by treaties and accords give up parts of their sovereignty to a supranational entity. For example, the countries constituting the European Union have agreed to abide by some Union-wide measures which restrict their absolute sovereignty in some ways, e.g., the use of the metric system of measurement instead of national units previously used.
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Many constitutions allow the declaration under exceptional circumstances of some form of state of emergency during which some rights and guarantees are suspended. This provision can be and has been abused to allow a government to suppress dissent without regard for human rights – see the article on state of emergency.
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Italian political theorist Giovanni Sartori noted the existence of national constitutions which are a facade for authoritarian sources of power. While such documents may express respect for human rights or establish an independent judiciary, they may be ignored when the government feels threatened, or never put into practice. An extreme example was the Constitution of the Soviet Union that on paper supported freedom of assembly and freedom of speech; however, citizens who transgressed unwritten limits were summarily imprisoned. The example demonstrates that the protections and benefits of a constitution are ultimately provided not through its written terms but through deference by government and society to its principles. A constitution may change from being real to a facade and back again as democratic and autocratic governments succeed each other.
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Constitutions are often, but by no means always, protected by a legal body whose job it is to interpret those constitutions and, where applicable, declare void executive and legislative acts which infringe the constitution. In some countries, such as Germany, this function is carried out by a dedicated constitutional court which performs this (and only this) function. In other countries, such as Ireland, the ordinary courts may perform this function in addition to their other responsibilities. While elsewhere, like in the United Kingdom, the concept of declaring an act to be unconstitutional does not exist.
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A constitutional violation is an action or legislative act that is judged by a constitutional court to be contrary to the constitution, that is, unconstitutional. An example of constitutional violation by the executive could be a public office holder who acts outside the powers granted to that office by a constitution. An example of constitutional violation by the legislature is an attempt to pass a law that would contradict the constitution, without first going through the proper constitutional amendment process.
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Some countries, mainly those with uncodified constitutions, have no such courts at all. For example, the United Kingdom has traditionally operated under the principle of parliamentary sovereignty under which the laws passed by United Kingdom Parliament could not be questioned by the courts.
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Judicial philosophies of constitutional interpretation (note: generally specific to United States constitutional law)
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A fairy tale, fairytale, wonder tale, magic tale, or Märchen is an instance of a folklore genre that takes the form of a short story. Such stories typically feature entities such as dwarfs, dragons, elves, fairies, giants, gnomes, goblins, griffins, mermaids, talking animals, trolls, unicorns, or witches, and usually magic or enchantments. In most cultures, there is no clear line separating myth from folk or fairy tale; all these together form the literature of preliterate societies.[1] Fairy tales may be distinguished from other folk narratives such as legends (which generally involve belief in the veracity of the events described)[2] and explicit moral tales, including beast fables.
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In less technical contexts, the term is also used to describe something blessed with unusual happiness, as in "fairy-tale ending" (a happy ending)[3] or "fairy-tale romance". Colloquially, the term "fairy tale" or "fairy story" can also mean any far-fetched story or tall tale; it is used especially of any story that not only is not true, but could not possibly be true. Legends are perceived[by whom?] as real; fairy tales may merge into legends, where the narrative is perceived both by teller and hearers as being grounded in historical truth. However, unlike legends and epics, fairy tales usually do not contain more than superficial references to religion and to actual places, people, and events; they take place "once upon a time" rather than in actual times.[4]
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Fairy tales occur both in oral and in literary form; the name "fairy tale" ("conte de fées" in French) was first ascribed to them by Madame d'Aulnoy in the late 17th century. Many of today's fairy tales have evolved from centuries-old stories that have appeared, with variations, in multiple cultures around the world.[5] The history of the fairy tale is particularly difficult to trace because only the literary forms can survive. Still, according to researchers at universities in Durham and Lisbon, such stories may date back thousands of years, some to the Bronze Age more than 6,500 years ago.[6][7] Fairy tales, and works derived from fairy tales, are still written today.
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Folklorists have classified fairy tales in various ways. The Aarne-Thompson classification system and the morphological analysis of Vladimir Propp are among the most notable. Other folklorists have interpreted the tales' significance, but no school has been definitively established for the meaning of the tales.
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Some folklorists prefer to use the German term Märchen or "wonder tale"[8] to refer to the genre rather than fairy tale, a practice given weight by the definition of Thompson in his 1977 [1946] edition of The Folktale: "a tale of some length involving a succession of motifs or episodes. It moves in an unreal world without definite locality or definite creatures and is filled with the marvellous. In this never-never land, humble heroes kill adversaries, succeed to kingdoms and marry princesses."[9] The characters and motifs of fairy tales are simple and archetypal: princesses and goose-girls; youngest sons and gallant princes; ogres, giants, dragons, and trolls; wicked stepmothers and false heroes; fairy godmothers and other magical helpers, often talking horses, or foxes, or birds; glass mountains; and prohibitions and breaking of prohibitions.[10]
|
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Although the fairy tale is a distinct genre within the larger category of folktale, the definition that marks a work as a fairy tale is a source of considerable dispute.[11] The term itself comes from the translation of Madame D'Aulnoy's Conte de fées, first used in her collection in 1697.[12] Common parlance conflates fairy tales with beast fables and other folktales, and scholars differ on the degree to which the presence of fairies and/or similarly mythical beings (e.g., elves, goblins, trolls, giants, huge monsters, or mermaids) should be taken as a differentiator. Vladimir Propp, in his Morphology of the Folktale, criticized the common distinction between "fairy tales" and "animal tales" on the grounds that many tales contained both fantastic elements and animals.[13] Nevertheless, to select works for his analysis, Propp used all Russian folktales classified as a folklore Aarne-Thompson 300-749 – in a cataloguing system that made such a distinction – to gain a clear set of tales.[14] His own analysis identified fairy tales by their plot elements, but that in itself has been criticized, as the analysis does not lend itself easily to tales that do not involve a quest, and furthermore, the same plot elements are found in non-fairy tale works.[15]
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Were I asked, what is a fairytale? I should reply, Read Undine: that is a fairytale ... of all fairytales I know, I think Undine the most beautiful.
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As Stith Thompson points out, talking animals and the presence of magic seem to be more common to the fairy tale than fairies themselves.[16] However, the mere presence of animals that talk does not make a tale a fairy tale, especially when the animal is clearly a mask on a human face, as in fables.[17]
|
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In his essay "On Fairy-Stories", J. R. R. Tolkien agreed with the exclusion of "fairies" from the definition, defining fairy tales as stories about the adventures of men in Faërie, the land of fairies, fairytale princes and princesses, dwarves, elves, and not only other magical species but many other marvels.[18] However, the same essay excludes tales that are often considered fairy tales, citing as an example The Monkey's Heart, which Andrew Lang included in The Lilac Fairy Book.[17]
|
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Steven Swann Jones identified the presence of magic as the feature by which fairy tales can be distinguished from other sorts of folktales.[19] Davidson and Chaudri identify "transformation" as the key feature of the genre.[8] From a psychological point of view, Jean Chiriac argued for the necessity of the fantastic in these narratives.[20]
|
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In terms of aesthetic values, Italo Calvino cited the fairy tale as a prime example of "quickness" in literature, because of the economy and concision of the tales.[21]
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|
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Originally, stories that would contemporarily be considered fairy tales were not marked out as a separate genre. The German term "Märchen" stems from the old German word "Mär", which means story or tale. The word "Märchen" is the diminutive of the word "Mär", therefore it means a "little story". Together with the common beginning "once upon a time" it means a fairy tale or a märchen was originally a little story from a long time ago when the world was still magic. (Indeed, one less regular German opening is "In the old times when wishing was still effective".)
|
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|
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+
The English term "fairy tale" stems from the fact that the French contes often included fairies.
|
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|
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+
Roots of the genre come from different oral stories passed down in European cultures. The genre was first marked out by writers of the Renaissance, such as Giovanni Francesco Straparola and Giambattista Basile, and stabilized through the works of later collectors such as Charles Perrault and the Brothers Grimm.[22] In this evolution, the name was coined when the précieuses took up writing literary stories; Madame d'Aulnoy invented the term Conte de fée, or fairy tale, in the late 17th century.[23]
|
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Before the definition of the genre of fantasy, many works that would now be classified as fantasy were termed "fairy tales", including Tolkien's The Hobbit, George Orwell's Animal Farm, and L. Frank Baum's The Wonderful Wizard of Oz.[24] Indeed, Tolkien's "On Fairy-Stories" includes discussions of world-building and is considered a vital part of fantasy criticism. Although fantasy, particularly the subgenre of fairytale fantasy, draws heavily on fairy tale motifs,[25] the genres are now regarded as distinct.
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The fairy tale, told orally, is a sub-class of the folktale. Many writers have written in the form of the fairy tale. These are the literary fairy tales, or Kunstmärchen.[12] The oldest forms, from Panchatantra to the Pentamerone, show considerable reworking from the oral form.[26] The Grimm brothers were among the first to try to preserve the features of oral tales. Yet the stories printed under the Grimm name have been considerably reworked to fit the written form.[27]
|
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Literary fairy tales and oral fairy tales freely exchanged plots, motifs, and elements with one another and with the tales of foreign lands.[28] The literary fairy tale came into fashion during the 17th century, developed by aristocratic women as a parlour game. This, in turn, helped to maintain the oral tradition. According to Jack Zipes, "The subject matter of the conversations consisted of literature, mores, taste, and etiquette, whereby the speakers all endeavoured to portray ideal situations in the most effective oratorical style that would gradually have a major effect on literary forms." [29] Many 18th-century folklorists attempted to recover the "pure" folktale, uncontaminated by literary versions. Yet while oral fairy tales likely existed for thousands of years before the literary forms, there is no pure folktale, and each literary fairy tale draws on folk traditions, if only in parody.[30] This makes it impossible to trace forms of transmission of a fairy tale. Oral story-tellers have been known to read literary fairy tales to increase their own stock of stories and treatments.[31]
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The oral tradition of the fairy tale came long before the written page. Tales were told or enacted dramatically, rather than written down, and handed down from generation to generation. Because of this, the history of their development is necessarily obscure and blurred. Fairy tales appear, now and again, in written literature throughout literate cultures, as in The Golden Ass, which includes Cupid and Psyche (Roman, 100–200 AD),[32] or the Panchatantra (India 3rd century BC),[32] but it is unknown to what extent these reflect the actual folk tales even of their own time. The stylistic evidence indicates that these, and many later collections, reworked folk tales into literary forms.[26] What they do show is that the fairy tale has ancient roots, older than the Arabian Nights collection of magical tales (compiled circa 1500 AD),[32] such as Vikram and the Vampire, and Bel and the Dragon. Besides such collections and individual tales, in China, Taoist philosophers such as Liezi and Zhuangzi recounted fairy tales in their philosophical works.[33] In the broader definition of the genre, the first famous Western fairy tales are those of Aesop (6th century BC) in ancient Greece.
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Scholarship point that Medieval literature contains early versions or predecessor of later known tales and motifs, such as the grateful dead, the bird lover or quest for the lost wife.[34]
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Jack Zipes writes in When Dreams Came True, "There are fairy tale elements in Chaucer's The Canterbury Tales, Edmund Spenser's The Faerie Queene, and ... in many of William Shakespeare plays."[35] King Lear can be considered a literary variant of fairy tales such as Water and Salt and Cap O' Rushes.[36] The tale itself resurfaced in Western literature in the 16th and 17th centuries, with The Facetious Nights of Straparola by Giovanni Francesco Straparola (Italy, 1550 and 1553),[32] which contains many fairy tales in its inset tales, and the Neapolitan tales of Giambattista Basile (Naples, 1634–36),[32] which are all fairy tales.[37] Carlo Gozzi made use of many fairy tale motifs among his Commedia dell'Arte scenarios,[38] including among them one based on The Love For Three Oranges (1761).[39] Simultaneously, Pu Songling, in China, included many fairy tales in his collection, Strange Stories from a Chinese Studio (published posthumously, 1766).[33] The fairy tale itself became popular among the précieuses of upper-class France (1690–1710),[32] and among the tales told in that time were the ones of La Fontaine and the Contes of Charles Perrault (1697), who fixed the forms of Sleeping Beauty and Cinderella.[40] Although Straparola's, Basile's and Perrault's collections contain the oldest known forms of various fairy tales, on the stylistic evidence, all the writers rewrote the tales for literary effect.[41]
|
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In the mid-17th century, a vogue for magical tales emerged among the intellectuals who frequented the salons of Paris. These salons were regular gatherings hosted by prominent aristocratic women, where women and men could gather together to discuss the issues of the day.
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In the 1630s, aristocratic women began to gather in their own living rooms, salons, in order to discuss the topics of their choice: arts and letters, politics, and social matters of immediate concern to the women of their class: marriage, love, financial and physical independence, and access to education. This was a time when women were barred from receiving a formal education. Some of the most gifted women writers of the period came out of these early salons (such as Madeleine de Scudéry and Madame de Lafayette), which encouraged women's independence and pushed against the gender barriers that defined their lives. The salonnières argued particularly for love and intellectual compatibility between the sexes, opposing the system of arranged marriages.
|
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Sometime in the middle of the 17th century, a passion for the conversational parlour game based on the plots of old folk tales swept through the salons. Each salonnière was called upon to retell an old tale or rework an old theme, spinning clever new stories that not only showcased verbal agility and imagination but also slyly commented on the conditions of aristocratic life. Great emphasis was placed on a mode of delivery that seemed natural and spontaneous. The decorative language of the fairy tales served an important function: disguising the rebellious subtext of the stories and sliding them past the court censors. Critiques of court life (and even of the king) were embedded in extravagant tales and in dark, sharply dystopian ones. Not surprisingly, the tales by women often featured young (but clever) aristocratic girls whose lives were controlled by the arbitrary whims of fathers, kings, and elderly wicked fairies, as well as tales in which groups of wise fairies (i.e., intelligent, independent women) stepped in and put all to rights.
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The salon tales as they were originally written and published have been preserved in a monumental work called Le Cabinet des Fées, an enormous collection of stories from the 17th and 18th centuries.[12]
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The first collectors to attempt to preserve not only the plot and characters of the tale, but also the style in which they were told, was the Brothers Grimm, collecting German fairy tales; ironically, this meant although their first edition (1812 & 1815)[32] remains a treasure for folklorists, they rewrote the tales in later editions to make them more acceptable, which ensured their sales and the later popularity of their work.[42]
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Such literary forms did not merely draw from the folktale, but also influenced folktales in turn. The Brothers Grimm rejected several tales for their collection, though told orally to them by Germans, because the tales derived from Perrault, and they concluded they were thereby French and not German tales; an oral version of Bluebeard was thus rejected, and the tale of Little Briar Rose, clearly related to Perrault's The Sleeping Beauty, was included only because Jacob Grimm convinced his brother that the figure of Brynhildr, from much earlier Norse mythology, proved that the sleeping princess was authentically Germanic folklore.[43]
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This consideration of whether to keep Sleeping Beauty reflected a belief common among folklorists of the 19th century: that the folk tradition preserved fairy tales in forms from pre-history except when "contaminated" by such literary forms, leading people to tell inauthentic tales.[44] The rural, illiterate, and uneducated peasants, if suitably isolated, were the folk and would tell pure folk tales.[45] Sometimes they regarded fairy tales as a form of fossil, the remnants of a once-perfect tale.[46] However, further research has concluded that fairy tales never had a fixed form, and regardless of literary influence, the tellers constantly altered them for their own purposes.[47]
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The work of the Brothers Grimm influenced other collectors, both inspiring them to collect tales and leading them to similarly believe, in a spirit of romantic nationalism, that the fairy tales of a country were particularly representative of it, to the neglect of cross-cultural influence. Among those influenced were the Russian Alexander Afanasyev (first published in 1866),[32] the Norwegians Peter Christen Asbjørnsen and Jørgen Moe (first published in 1845),[32] the Romanian Petre Ispirescu (first published in 1874), the English Joseph Jacobs (first published in 1890),[32] and Jeremiah Curtin, an American who collected Irish tales (first published in 1890).[30] Ethnographers collected fairy tales throughout the world, finding similar tales in Africa, the Americas, and Australia; Andrew Lang was able to draw on not only the written tales of Europe and Asia, but those collected by ethnographers, to fill his "coloured" fairy books series.[48] They also encouraged other collectors of fairy tales, as when Yei Theodora Ozaki created a collection, Japanese Fairy Tales (1908), after encouragement from Lang.[49] Simultaneously, writers such as Hans Christian Andersen and George MacDonald continued the tradition of literary fairy tales. Andersen's work sometimes drew on old folktales, but more often deployed fairytale motifs and plots in new tales.[50] MacDonald incorporated fairytale motifs both in new literary fairy tales, such as The Light Princess, and in works of the genre that would become fantasy, as in The Princess and the Goblin or Lilith.[51]
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Two theories of origins, have attempted to explain the common elements in fairy tales found spread over continents. One is that a single point of origin generated any given tale, which then spread over the centuries; the other is that such fairy tales stem from common human experience and therefore can appear separately in many different origins.[52]
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Fairy tales with very similar plots, characters, and motifs are found spread across many different cultures. Many researchers hold this to be caused by the spread of such tales, as people repeat tales they have heard in foreign lands, although the oral nature makes it impossible to trace the route except by inference.[53] Folklorists have attempted to determine the origin by internal evidence, which can not always be clear; Joseph Jacobs, comparing the Scottish tale The Ridere of Riddles with the version collected by the Brothers Grimm, The Riddle, noted that in The Ridere of Riddles one hero ends up polygamously married, which might point to an ancient custom, but in The Riddle, the simpler riddle might argue greater antiquity.[54]
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Folklorists of the "Finnish" (or historical-geographical) school attempted to place fairy tales to their origin, with inconclusive results.[55] Sometimes influence, especially within a limited area and time, is clearer, as when considering the influence of Perrault's tales on those collected by the Brothers Grimm. Little Briar-Rose appears to stem from Perrault's The Sleeping Beauty, as the Grimms' tale appears to be the only independent German variant.[56] Similarly, the close agreement between the opening of the Grimms' version of Little Red Riding Hood and Perrault's tale points to an influence, although the Grimms' version adds a different ending (perhaps derived from The Wolf and the Seven Young Kids).[57]
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Fairy tales tend to take on the color of their location, through the choice of motifs, the style in which they are told, and the depiction of character and local color.[58]
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The Brothers Grimm believed that European fairy tales derived from the cultural history shared by all Indo-European peoples and were therefore ancient, far older than written records. This view is supported by research by the anthropologist Jamie Tehrani and the folklorist Sara Graca Da Silva using phylogenetic analysis, a technique developed by evolutionary biologists to trace the relatedness of living and fossil species. Among the tales analysed were Jack and the Beanstalk, traced to the time of splitting of Eastern and Western Indo-European, over 5000 years ago. Both Beauty and the Beast and Rumpelstiltskin appear to have been created some 4000 years ago. The story of The Smith and the Devil (Deal with the Devil) appears to date from the Bronze Age, some 6000 years ago.[59] However, the choice of the corpus of folktales[60] and the method used by this study[61] both make the results very suspicious. On the other hand, various studies converge to show that some fairy tales, for example the swan maiden,[62] could go back to the Upper Palaeolithic.
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Originally, adults were the audience of a fairy tale just as often as children.[63] Literary fairy tales appeared in works intended for adults, but in the 19th and 20th centuries the fairy tale became associated with children's literature.
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The précieuses, including Madame d'Aulnoy, intended their works for adults, but regarded their source as the tales that servants, or other women of lower class, would tell to children.[64] Indeed, a novel of that time, depicting a countess's suitor offering to tell such a tale, has the countess exclaim that she loves fairy tales as if she were still a child.[65] Among the late précieuses, Jeanne-Marie Le Prince de Beaumont redacted a version of Beauty and the Beast for children, and it is her tale that is best known today.[66] The Brothers Grimm titled their collection Children's and Household Tales and rewrote their tales after complaints that they were not suitable for children.[67]
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In the modern era, fairy tales were altered so that they could be read to children. The Brothers Grimm concentrated mostly on sexual references;[68] Rapunzel, in the first edition, revealed the prince's visits by asking why her clothing had grown tight, thus letting the witch deduce that she was pregnant, but in subsequent editions carelessly revealed that it was easier to pull up the prince than the witch.[69] On the other hand, in many respects, violence—particularly when punishing villains—was increased.[70] Other, later, revisions cut out violence; J. R. R. Tolkien noted that The Juniper Tree often had its cannibalistic stew cut out in a version intended for children.[71] The moralizing strain in the Victorian era altered the classical tales to teach lessons, as when George Cruikshank rewrote Cinderella in 1854 to contain temperance themes. His acquaintance Charles Dickens protested, "In an utilitarian age, of all other times, it is a matter of grave importance that fairy tales should be respected."[72][73]
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Psychoanalysts such as Bruno Bettelheim, who regarded the cruelty of older fairy tales as indicative of psychological conflicts, strongly criticized this expurgation, because it weakened their usefulness to both children and adults as ways of symbolically resolving issues.[74] Fairy tales do teach children how to deal with difficult times. To quote Rebecca Walters (2017, p. 56) “Fairytales and folktales are part of the cultural conserve that can be used to address children’s fears …. and give them some role training in an approach that honors the children’s window of tolerance”. These fairy tales teach children how to deal with certain social situations and helps them to find their place in society.[75] Fairy tales teach children other important lessons too. For example, Tsitsani et al. carried out a study on children to determine the benefits of fairy tales. Parents of the children who took part in the study found that fairy tales, especially the color in them, triggered their child's imagination as the read them.[76]Jungian Analyst and fairy tale scholar, Marie Louise Von Franz interprets fairy tales[77] based on Jung's view of fairy tales as a spontaneous and naive product of soul, which can only express what soul is.[78] That means, she looks at fairy tales as images of different phases of experiencing the reality of the soul. They are the “purest and simplest expression of collective unconscious psychic processes” and “they represent the archetypes in their simplest, barest and most concise form” because they are less overlaid with conscious material than myths and legends. “In this pure form, the archetypal images afford us the best clues to the understanding of the processes going on in the collective psyche”. “The fairy tale itself is its own best explanation; that is, its meaning is contained in the totality of its motifs connected by the thread of the story. [...] Every fairy tale is a relatively closed system compounding one essential psychological meaning which is expressed in a series of symbolical pictures and events and is discoverable in these”. “I have come to the conclusion that all fairy tales endeavour to describe one and the same psychic fact, but a fact so complex and far-reaching and so difficult for us to realize in all its different aspects that hundreds of tales and thousands of repetitions with a musician’s variation are needed until this unknown fact is delivered into consciousness; and even then the theme is not exhausted. This unknown fact is what Jung calls the Self, which is the psychic reality of the collective unconscious. [...] Every archetype is in its essence only one aspect of the collective unconscious as well as always representing also the whole collective unconscious.[79]
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Other famous people commented on the importance of fairy tales, especially for children. For example, Albert Einstein once showed how important he believed fairy tales were for children’s intelligence in the quote “If you want your children to be intelligent, read them fairytales. If you want them to be more intelligent, read them more fairytales."[80]
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The adaptation of fairy tales for children continues. Walt Disney's influential Snow White and the Seven Dwarfs was largely (although certainly not solely) intended for the children's market.[81] The anime Magical Princess Minky Momo draws on the fairy tale Momotarō.[82] Jack Zipes has spent many years working to make the older traditional stories accessible to modern readers and their children.[83]
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Many fairy tales feature an absentee mother, as an example Beauty and the Beast, The Little Mermaid, Little Red Riding Hood and Donkeyskin, where the mother is deceased or absent and unable to help the heroines. Mothers are depicted as absent or wicked in the most popular contemporary versions of tales like Rapunzel, Snow White, Cinderella and Hansel and Gretel, however,
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some lesser known tales or variants such as those found in volumes edited by Angela Carter and Jane Yolen depict mothers in a more positive light.[84]
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Carter's protagonist in The Bloody Chamber is an impoverished piano student married to a Marquis who was much older than herself to "banish the spectre of poverty". The story a variant on Bluebeard, a tale about a wealthy man who murders numerous young women. Carter's protagonist, who is unnamed, describes her mother as "eagle-featured" and "indomitable". Her mother is depicted as a woman who is prepared for violence, instead of hiding from it or sacrificing herself to it. The protagonist recalls how her mother kept an "antique service revolver" and once "shot a man-eating tiger with her own hand."[84]
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In contemporary literature, many authors have used the form of fairy tales for various reasons, such as examining the human condition from the simple framework a fairytale provides.[85] Some authors seek to recreate a sense of the fantastic in a contemporary discourse.[86] Some writers use fairy tale forms for modern issues;[87] this can include using the psychological dramas implicit in the story, as when Robin McKinley retold Donkeyskin as the novel Deerskin, with emphasis on the abusive treatment the father of the tale dealt to his daughter.[88] Sometimes, especially in children's literature, fairy tales are retold with a twist simply for comic effect, such as The Stinky Cheese Man by Jon Scieszka and The ASBO Fairy Tales by Chris Pilbeam. A common comic motif is a world where all the fairy tales take place, and the characters are aware of their role in the story,[89] such as in the film series Shrek.
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Other authors may have specific motives, such as multicultural or feminist reevaluations of predominantly Eurocentric masculine-dominated fairy tales, implying critique of older narratives.[90] The figure of the damsel in distress has been particularly attacked by many feminist critics. Examples of narrative reversal rejecting this figure include The Paperbag Princess by Robert Munsch, a picture book aimed at children in which a princess rescues a prince, and Angela Carter's The Bloody Chamber, which retells a number of fairy tales from a female point of view.[91]
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There are also many contemporary erotic retellings of fairy tales, which explicitly draw upon the original spirit of the tales, and are specifically for adults. Modern retellings focus on exploring the tale through use of the erotic, explicit sexuality, dark and/or comic themes, female empowerment, fetish and BDSM, multicultural, and heterosexual characters. Cleis Press has released several fairy tale themed erotic anthologies, including Fairy Tale Lust, Lustfully Ever After, and A Princess Bound.
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It may be hard to lay down the rule between fairy tales and fantasies that use fairy tale motifs, or even whole plots, but the distinction is commonly made, even within the works of a single author: George MacDonald's Lilith and Phantastes are regarded as fantasies, while his "The Light Princess", "The Golden Key", and "The Wise Woman" are commonly called fairy tales. The most notable distinction is that fairytale fantasies, like other fantasies, make use of novelistic writing conventions of prose, characterization, or setting.[92]
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Fairy tales have been enacted dramatically; records exist of this in commedia dell'arte,[93] and later in pantomime.[94] The advent of cinema has meant that such stories could be presented in a more plausible manner, with the use of special effects and animation. The Walt Disney Company has had a significant impact on the evolution of the fairy tale film. Some of the earliest short silent films from the Disney studio were based on fairy tales, and some fairy tales were adapted into shorts in the musical comedy series "Silly Symphony", such as Three Little Pigs. Walt Disney's first feature-length film Snow White and the Seven Dwarfs, released in 1937, was a ground-breaking film for fairy tales and, indeed, fantasy in general.[81] Disney and his creative successors have returned to traditional and literary fairy tales numerous times with films such as Cinderella (1950), Sleeping Beauty (1959), The Little Mermaid (1989) and Beauty and the Beast (1991). Disney's influence helped establish the fairy tale genre as a genre for children, and has been accused by some of bowdlerizing the gritty naturalism – and sometimes unhappy endings – of many folk fairy tales.[88] However, others note that the softening of fairy tales occurred long before Disney, some of which was even done by the Grimm brothers themselves.[95][96]
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Many filmed fairy tales have been made primarily for children, from Disney's later works to Aleksandr Rou's retelling of Vasilissa the Beautiful, the first Soviet film to use Russian folk tales in a big-budget feature.[97] Others have used the conventions of fairy tales to create new stories with sentiments more relevant to contemporary life, as in Labyrinth,[98] My Neighbor Totoro, Happily N'Ever After, and the films of Michel Ocelot.[99]
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Other works have retold familiar fairy tales in a darker, more horrific or psychological variant aimed primarily at adults. Notable examples are Jean Cocteau's Beauty and the Beast[100] and The Company of Wolves, based on Angela Carter's retelling of Little Red Riding Hood.[101] Likewise, Princess Mononoke,[102] Pan's Labyrinth,[103] Suspiria, and Spike[104] create new stories in this genre from fairy tale and folklore motifs.
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In comics and animated TV series, The Sandman, Revolutionary Girl Utena, Princess Tutu, Fables and MÄR all make use of standard fairy tale elements to various extents but are more accurately categorised as fairytale fantasy due to the definite locations and characters which a longer narrative requires.
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A more modern cinematic fairy tale would be Luchino Visconti's Le Notti Bianche, starring Marcello Mastroianni before he became a superstar. It involves many of the romantic conventions of fairy tales, yet it takes place in post-World War II Italy, and it ends realistically.
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Any comparison of fairy tales quickly discovers that many fairy tales have features in common with each other. Two of the most influential classifications are those of Antti Aarne, as revised by Stith Thompson into the Aarne-Thompson classification system, and Vladimir Propp's Morphology of the Folk Tale.
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This system groups fairy and folk tales according to their overall plot. Common, identifying features are picked out to decide which tales are grouped together. Much therefore depends on what features are regarded as decisive.
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For instance, tales like Cinderella – in which a persecuted heroine, with the help of the fairy godmother or similar magical helper, attends an event (or three) in which she wins the love of a prince and is identified as his true bride—are classified as type 510, the persecuted heroine. Some such tales are The Wonderful Birch; Aschenputtel; Katie Woodencloak; The Story of Tam and Cam; Ye Xian; Cap O' Rushes; Catskin; Fair, Brown and Trembling; Finette Cendron; Allerleirauh.
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Further analysis of the tales shows that in Cinderella, The Wonderful Birch, The Story of Tam and Cam, Ye Xian, and Aschenputtel, the heroine is persecuted by her stepmother and refused permission to go to the ball or other event, and in Fair, Brown and Trembling and Finette Cendron by her sisters and other female figures, and these are grouped as 510A; while in Cap O' Rushes, Catskin, and Allerleirauh, the heroine is driven from home by her father's persecutions, and must take work in a kitchen elsewhere, and these are grouped as 510B. But in Katie Woodencloak, she is driven from home by her stepmother's persecutions and must take service in a kitchen elsewhere, and in Tattercoats, she is refused permission to go to the ball by her grandfather. Given these features common with both types of 510, Katie Woodencloak is classified as 510A because the villain is the stepmother, and Tattercoats as 510B because the grandfather fills the father's role.
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This system has its weaknesses in the difficulty of having no way to classify subportions of a tale as motifs. Rapunzel is type 310 (The Maiden in the Tower), but it opens with a child being demanded in return for stolen food, as does Puddocky; but Puddocky is not a Maiden in the Tower tale, while The Canary Prince, which opens with a jealous stepmother, is.
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It also lends itself to emphasis on the common elements, to the extent that the folklorist describes The Black Bull of Norroway as the same story as Beauty and the Beast. This can be useful as a shorthand but can also erase the coloring and details of a story.[105]
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Vladimir Propp specifically studied a collection of Russian fairy tales, but his analysis has been found useful for the tales of other countries.[106] Having criticized Aarne-Thompson type analysis for ignoring what motifs did in stories, and because the motifs used were not clearly distinct,[107] he analyzed the tales for the function each character and action fulfilled and concluded that a tale was composed of thirty-one elements ('functions') and seven characters or 'spheres of action' ('the princess and her father' are a single sphere). While the elements were not all required for all tales, when they appeared they did so in an invariant order – except that each individual element might be negated twice, so that it would appear three times, as when, in Brother and Sister, the brother resists drinking from enchanted streams twice, so that it is the third that enchants him.[108] Propp's 31 functions also fall within six 'stages' (preparation, complication, transference, struggle, return, recognition), and a stage can also be repeated, which can affect the perceived order of elements.
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One such element is the donor who gives the hero magical assistance, often after testing him.[109] In The Golden Bird, the talking fox tests the hero by warning him against entering an inn and, after he succeeds, helps him find the object of his quest; in The Boy Who Drew Cats, the priest advised the hero to stay in small places at night, which protects him from an evil spirit; in Cinderella, the fairy godmother gives Cinderella the dresses she needs to attend the ball, as their mothers' spirits do in Bawang Putih Bawang Merah and The Wonderful Birch; in The Fox Sister, a Buddhist monk gives the brothers magical bottles to protect against the fox spirit. The roles can be more complicated.[110] In The Red Ettin, the role is split into the mother—who offers the hero the whole of a journey cake with her curse or half with her blessing—and when he takes the half, a fairy who gives him advice; in Mr Simigdáli, the sun, the moon, and the stars all give the heroine a magical gift. Characters who are not always the donor can act like the donor.[111] In Kallo and the Goblins, the villain goblins also give the heroine gifts, because they are tricked; in Schippeitaro, the evil cats betray their secret to the hero, giving him the means to defeat them. Other fairy tales, such as The Story of the Youth Who Went Forth to Learn What Fear Was, do not feature the donor.
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Analogies have been drawn between this and the analysis of myths into the hero's journey.[112]
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Many fairy tales have been interpreted for their (purported) significance. One mythological interpretation saw many fairy tales, including Hansel and Gretel, Sleeping Beauty, and The Frog King, as solar myths; this mode of interpretation subsequently became rather less popular.[113] Freudian, Jungian, and other psychological analyses have also explicated many tales, but no mode of interpretation has established itself definitively.[114]
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Specific analyses have often been criticized[by whom?] for lending great importance to motifs that are not, in fact, integral to the tale; this has often stemmed from treating one instance of a fairy tale as the definitive text, where the tale has been told and retold in many variations.[115] In variants of Bluebeard, the wife's curiosity is betrayed by a blood-stained key, by an egg's breaking, or by the singing of a rose she wore, without affecting the tale, but interpretations of specific variants have claimed that the precise object is integral to the tale.[116]
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Other folklorists have interpreted tales as historical documents. Many[quantify] German folklorists, believing the tales to have preserved details from ancient times, have used the Grimms' tales to explain ancient customs.[117]
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One approach sees the topography of European Märchen as echoing the period immediately following the last Ice Age.[118]
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Other folklorists have explained the figure of the wicked stepmother in a historical/sociological context: many women did die in childbirth, their husbands remarried, and the new stepmothers competed with the children of the first marriage for resources.[119]
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In a 2012 lecture, Jack Zipes reads fairy tales as examples of what he calls "childism". He suggests that there are terrible aspects to the tales, which (among other things) have conditioned children to accept mistreatment and even abuse.[120]
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Fairy tales have inspired music, namely opera, such as the French Opéra féerie and the German Märchenoper. French examples include Gretry's Zémire et Azor, and Auber's Le cheval de bronze, German operas are Mozart's Die Zauberflöte, Humperdinck's Hänsel und Gretel, Siegfried Wagner's An allem ist Hütchen schuld!, which is based on many fairy tales, and Carl Orff's Die Kluge. Even contemporary fairy tales have been written for the purpose of inspiration in the music world. "Raven Girl" by Audrey Niffenegger was written to inspire a new dance for the Royal Ballet in London.
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The song "Singring and the Glass Guitar" by the American band Utopia, recorded for their album "Ra", is called "An Electrified Fairytale". Composed by the four members of the band, Roger Powell, Kasim Sulton, Willie Wilcox and Todd Rundgren, it tells the story of the theft of the Glass Guitar by Evil Forces, which has to be recovered by the four heroes.
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A fairy tale, fairytale, wonder tale, magic tale, or Märchen is an instance of a folklore genre that takes the form of a short story. Such stories typically feature entities such as dwarfs, dragons, elves, fairies, giants, gnomes, goblins, griffins, mermaids, talking animals, trolls, unicorns, or witches, and usually magic or enchantments. In most cultures, there is no clear line separating myth from folk or fairy tale; all these together form the literature of preliterate societies.[1] Fairy tales may be distinguished from other folk narratives such as legends (which generally involve belief in the veracity of the events described)[2] and explicit moral tales, including beast fables.
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In less technical contexts, the term is also used to describe something blessed with unusual happiness, as in "fairy-tale ending" (a happy ending)[3] or "fairy-tale romance". Colloquially, the term "fairy tale" or "fairy story" can also mean any far-fetched story or tall tale; it is used especially of any story that not only is not true, but could not possibly be true. Legends are perceived[by whom?] as real; fairy tales may merge into legends, where the narrative is perceived both by teller and hearers as being grounded in historical truth. However, unlike legends and epics, fairy tales usually do not contain more than superficial references to religion and to actual places, people, and events; they take place "once upon a time" rather than in actual times.[4]
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Fairy tales occur both in oral and in literary form; the name "fairy tale" ("conte de fées" in French) was first ascribed to them by Madame d'Aulnoy in the late 17th century. Many of today's fairy tales have evolved from centuries-old stories that have appeared, with variations, in multiple cultures around the world.[5] The history of the fairy tale is particularly difficult to trace because only the literary forms can survive. Still, according to researchers at universities in Durham and Lisbon, such stories may date back thousands of years, some to the Bronze Age more than 6,500 years ago.[6][7] Fairy tales, and works derived from fairy tales, are still written today.
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Folklorists have classified fairy tales in various ways. The Aarne-Thompson classification system and the morphological analysis of Vladimir Propp are among the most notable. Other folklorists have interpreted the tales' significance, but no school has been definitively established for the meaning of the tales.
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Some folklorists prefer to use the German term Märchen or "wonder tale"[8] to refer to the genre rather than fairy tale, a practice given weight by the definition of Thompson in his 1977 [1946] edition of The Folktale: "a tale of some length involving a succession of motifs or episodes. It moves in an unreal world without definite locality or definite creatures and is filled with the marvellous. In this never-never land, humble heroes kill adversaries, succeed to kingdoms and marry princesses."[9] The characters and motifs of fairy tales are simple and archetypal: princesses and goose-girls; youngest sons and gallant princes; ogres, giants, dragons, and trolls; wicked stepmothers and false heroes; fairy godmothers and other magical helpers, often talking horses, or foxes, or birds; glass mountains; and prohibitions and breaking of prohibitions.[10]
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Although the fairy tale is a distinct genre within the larger category of folktale, the definition that marks a work as a fairy tale is a source of considerable dispute.[11] The term itself comes from the translation of Madame D'Aulnoy's Conte de fées, first used in her collection in 1697.[12] Common parlance conflates fairy tales with beast fables and other folktales, and scholars differ on the degree to which the presence of fairies and/or similarly mythical beings (e.g., elves, goblins, trolls, giants, huge monsters, or mermaids) should be taken as a differentiator. Vladimir Propp, in his Morphology of the Folktale, criticized the common distinction between "fairy tales" and "animal tales" on the grounds that many tales contained both fantastic elements and animals.[13] Nevertheless, to select works for his analysis, Propp used all Russian folktales classified as a folklore Aarne-Thompson 300-749 – in a cataloguing system that made such a distinction – to gain a clear set of tales.[14] His own analysis identified fairy tales by their plot elements, but that in itself has been criticized, as the analysis does not lend itself easily to tales that do not involve a quest, and furthermore, the same plot elements are found in non-fairy tale works.[15]
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Were I asked, what is a fairytale? I should reply, Read Undine: that is a fairytale ... of all fairytales I know, I think Undine the most beautiful.
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As Stith Thompson points out, talking animals and the presence of magic seem to be more common to the fairy tale than fairies themselves.[16] However, the mere presence of animals that talk does not make a tale a fairy tale, especially when the animal is clearly a mask on a human face, as in fables.[17]
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In his essay "On Fairy-Stories", J. R. R. Tolkien agreed with the exclusion of "fairies" from the definition, defining fairy tales as stories about the adventures of men in Faërie, the land of fairies, fairytale princes and princesses, dwarves, elves, and not only other magical species but many other marvels.[18] However, the same essay excludes tales that are often considered fairy tales, citing as an example The Monkey's Heart, which Andrew Lang included in The Lilac Fairy Book.[17]
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Steven Swann Jones identified the presence of magic as the feature by which fairy tales can be distinguished from other sorts of folktales.[19] Davidson and Chaudri identify "transformation" as the key feature of the genre.[8] From a psychological point of view, Jean Chiriac argued for the necessity of the fantastic in these narratives.[20]
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In terms of aesthetic values, Italo Calvino cited the fairy tale as a prime example of "quickness" in literature, because of the economy and concision of the tales.[21]
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Originally, stories that would contemporarily be considered fairy tales were not marked out as a separate genre. The German term "Märchen" stems from the old German word "Mär", which means story or tale. The word "Märchen" is the diminutive of the word "Mär", therefore it means a "little story". Together with the common beginning "once upon a time" it means a fairy tale or a märchen was originally a little story from a long time ago when the world was still magic. (Indeed, one less regular German opening is "In the old times when wishing was still effective".)
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The English term "fairy tale" stems from the fact that the French contes often included fairies.
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Roots of the genre come from different oral stories passed down in European cultures. The genre was first marked out by writers of the Renaissance, such as Giovanni Francesco Straparola and Giambattista Basile, and stabilized through the works of later collectors such as Charles Perrault and the Brothers Grimm.[22] In this evolution, the name was coined when the précieuses took up writing literary stories; Madame d'Aulnoy invented the term Conte de fée, or fairy tale, in the late 17th century.[23]
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Before the definition of the genre of fantasy, many works that would now be classified as fantasy were termed "fairy tales", including Tolkien's The Hobbit, George Orwell's Animal Farm, and L. Frank Baum's The Wonderful Wizard of Oz.[24] Indeed, Tolkien's "On Fairy-Stories" includes discussions of world-building and is considered a vital part of fantasy criticism. Although fantasy, particularly the subgenre of fairytale fantasy, draws heavily on fairy tale motifs,[25] the genres are now regarded as distinct.
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The fairy tale, told orally, is a sub-class of the folktale. Many writers have written in the form of the fairy tale. These are the literary fairy tales, or Kunstmärchen.[12] The oldest forms, from Panchatantra to the Pentamerone, show considerable reworking from the oral form.[26] The Grimm brothers were among the first to try to preserve the features of oral tales. Yet the stories printed under the Grimm name have been considerably reworked to fit the written form.[27]
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Literary fairy tales and oral fairy tales freely exchanged plots, motifs, and elements with one another and with the tales of foreign lands.[28] The literary fairy tale came into fashion during the 17th century, developed by aristocratic women as a parlour game. This, in turn, helped to maintain the oral tradition. According to Jack Zipes, "The subject matter of the conversations consisted of literature, mores, taste, and etiquette, whereby the speakers all endeavoured to portray ideal situations in the most effective oratorical style that would gradually have a major effect on literary forms." [29] Many 18th-century folklorists attempted to recover the "pure" folktale, uncontaminated by literary versions. Yet while oral fairy tales likely existed for thousands of years before the literary forms, there is no pure folktale, and each literary fairy tale draws on folk traditions, if only in parody.[30] This makes it impossible to trace forms of transmission of a fairy tale. Oral story-tellers have been known to read literary fairy tales to increase their own stock of stories and treatments.[31]
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The oral tradition of the fairy tale came long before the written page. Tales were told or enacted dramatically, rather than written down, and handed down from generation to generation. Because of this, the history of their development is necessarily obscure and blurred. Fairy tales appear, now and again, in written literature throughout literate cultures, as in The Golden Ass, which includes Cupid and Psyche (Roman, 100–200 AD),[32] or the Panchatantra (India 3rd century BC),[32] but it is unknown to what extent these reflect the actual folk tales even of their own time. The stylistic evidence indicates that these, and many later collections, reworked folk tales into literary forms.[26] What they do show is that the fairy tale has ancient roots, older than the Arabian Nights collection of magical tales (compiled circa 1500 AD),[32] such as Vikram and the Vampire, and Bel and the Dragon. Besides such collections and individual tales, in China, Taoist philosophers such as Liezi and Zhuangzi recounted fairy tales in their philosophical works.[33] In the broader definition of the genre, the first famous Western fairy tales are those of Aesop (6th century BC) in ancient Greece.
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Scholarship point that Medieval literature contains early versions or predecessor of later known tales and motifs, such as the grateful dead, the bird lover or quest for the lost wife.[34]
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Jack Zipes writes in When Dreams Came True, "There are fairy tale elements in Chaucer's The Canterbury Tales, Edmund Spenser's The Faerie Queene, and ... in many of William Shakespeare plays."[35] King Lear can be considered a literary variant of fairy tales such as Water and Salt and Cap O' Rushes.[36] The tale itself resurfaced in Western literature in the 16th and 17th centuries, with The Facetious Nights of Straparola by Giovanni Francesco Straparola (Italy, 1550 and 1553),[32] which contains many fairy tales in its inset tales, and the Neapolitan tales of Giambattista Basile (Naples, 1634–36),[32] which are all fairy tales.[37] Carlo Gozzi made use of many fairy tale motifs among his Commedia dell'Arte scenarios,[38] including among them one based on The Love For Three Oranges (1761).[39] Simultaneously, Pu Songling, in China, included many fairy tales in his collection, Strange Stories from a Chinese Studio (published posthumously, 1766).[33] The fairy tale itself became popular among the précieuses of upper-class France (1690–1710),[32] and among the tales told in that time were the ones of La Fontaine and the Contes of Charles Perrault (1697), who fixed the forms of Sleeping Beauty and Cinderella.[40] Although Straparola's, Basile's and Perrault's collections contain the oldest known forms of various fairy tales, on the stylistic evidence, all the writers rewrote the tales for literary effect.[41]
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In the mid-17th century, a vogue for magical tales emerged among the intellectuals who frequented the salons of Paris. These salons were regular gatherings hosted by prominent aristocratic women, where women and men could gather together to discuss the issues of the day.
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In the 1630s, aristocratic women began to gather in their own living rooms, salons, in order to discuss the topics of their choice: arts and letters, politics, and social matters of immediate concern to the women of their class: marriage, love, financial and physical independence, and access to education. This was a time when women were barred from receiving a formal education. Some of the most gifted women writers of the period came out of these early salons (such as Madeleine de Scudéry and Madame de Lafayette), which encouraged women's independence and pushed against the gender barriers that defined their lives. The salonnières argued particularly for love and intellectual compatibility between the sexes, opposing the system of arranged marriages.
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Sometime in the middle of the 17th century, a passion for the conversational parlour game based on the plots of old folk tales swept through the salons. Each salonnière was called upon to retell an old tale or rework an old theme, spinning clever new stories that not only showcased verbal agility and imagination but also slyly commented on the conditions of aristocratic life. Great emphasis was placed on a mode of delivery that seemed natural and spontaneous. The decorative language of the fairy tales served an important function: disguising the rebellious subtext of the stories and sliding them past the court censors. Critiques of court life (and even of the king) were embedded in extravagant tales and in dark, sharply dystopian ones. Not surprisingly, the tales by women often featured young (but clever) aristocratic girls whose lives were controlled by the arbitrary whims of fathers, kings, and elderly wicked fairies, as well as tales in which groups of wise fairies (i.e., intelligent, independent women) stepped in and put all to rights.
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The salon tales as they were originally written and published have been preserved in a monumental work called Le Cabinet des Fées, an enormous collection of stories from the 17th and 18th centuries.[12]
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The first collectors to attempt to preserve not only the plot and characters of the tale, but also the style in which they were told, was the Brothers Grimm, collecting German fairy tales; ironically, this meant although their first edition (1812 & 1815)[32] remains a treasure for folklorists, they rewrote the tales in later editions to make them more acceptable, which ensured their sales and the later popularity of their work.[42]
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Such literary forms did not merely draw from the folktale, but also influenced folktales in turn. The Brothers Grimm rejected several tales for their collection, though told orally to them by Germans, because the tales derived from Perrault, and they concluded they were thereby French and not German tales; an oral version of Bluebeard was thus rejected, and the tale of Little Briar Rose, clearly related to Perrault's The Sleeping Beauty, was included only because Jacob Grimm convinced his brother that the figure of Brynhildr, from much earlier Norse mythology, proved that the sleeping princess was authentically Germanic folklore.[43]
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This consideration of whether to keep Sleeping Beauty reflected a belief common among folklorists of the 19th century: that the folk tradition preserved fairy tales in forms from pre-history except when "contaminated" by such literary forms, leading people to tell inauthentic tales.[44] The rural, illiterate, and uneducated peasants, if suitably isolated, were the folk and would tell pure folk tales.[45] Sometimes they regarded fairy tales as a form of fossil, the remnants of a once-perfect tale.[46] However, further research has concluded that fairy tales never had a fixed form, and regardless of literary influence, the tellers constantly altered them for their own purposes.[47]
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The work of the Brothers Grimm influenced other collectors, both inspiring them to collect tales and leading them to similarly believe, in a spirit of romantic nationalism, that the fairy tales of a country were particularly representative of it, to the neglect of cross-cultural influence. Among those influenced were the Russian Alexander Afanasyev (first published in 1866),[32] the Norwegians Peter Christen Asbjørnsen and Jørgen Moe (first published in 1845),[32] the Romanian Petre Ispirescu (first published in 1874), the English Joseph Jacobs (first published in 1890),[32] and Jeremiah Curtin, an American who collected Irish tales (first published in 1890).[30] Ethnographers collected fairy tales throughout the world, finding similar tales in Africa, the Americas, and Australia; Andrew Lang was able to draw on not only the written tales of Europe and Asia, but those collected by ethnographers, to fill his "coloured" fairy books series.[48] They also encouraged other collectors of fairy tales, as when Yei Theodora Ozaki created a collection, Japanese Fairy Tales (1908), after encouragement from Lang.[49] Simultaneously, writers such as Hans Christian Andersen and George MacDonald continued the tradition of literary fairy tales. Andersen's work sometimes drew on old folktales, but more often deployed fairytale motifs and plots in new tales.[50] MacDonald incorporated fairytale motifs both in new literary fairy tales, such as The Light Princess, and in works of the genre that would become fantasy, as in The Princess and the Goblin or Lilith.[51]
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Two theories of origins, have attempted to explain the common elements in fairy tales found spread over continents. One is that a single point of origin generated any given tale, which then spread over the centuries; the other is that such fairy tales stem from common human experience and therefore can appear separately in many different origins.[52]
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Fairy tales with very similar plots, characters, and motifs are found spread across many different cultures. Many researchers hold this to be caused by the spread of such tales, as people repeat tales they have heard in foreign lands, although the oral nature makes it impossible to trace the route except by inference.[53] Folklorists have attempted to determine the origin by internal evidence, which can not always be clear; Joseph Jacobs, comparing the Scottish tale The Ridere of Riddles with the version collected by the Brothers Grimm, The Riddle, noted that in The Ridere of Riddles one hero ends up polygamously married, which might point to an ancient custom, but in The Riddle, the simpler riddle might argue greater antiquity.[54]
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Folklorists of the "Finnish" (or historical-geographical) school attempted to place fairy tales to their origin, with inconclusive results.[55] Sometimes influence, especially within a limited area and time, is clearer, as when considering the influence of Perrault's tales on those collected by the Brothers Grimm. Little Briar-Rose appears to stem from Perrault's The Sleeping Beauty, as the Grimms' tale appears to be the only independent German variant.[56] Similarly, the close agreement between the opening of the Grimms' version of Little Red Riding Hood and Perrault's tale points to an influence, although the Grimms' version adds a different ending (perhaps derived from The Wolf and the Seven Young Kids).[57]
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Fairy tales tend to take on the color of their location, through the choice of motifs, the style in which they are told, and the depiction of character and local color.[58]
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The Brothers Grimm believed that European fairy tales derived from the cultural history shared by all Indo-European peoples and were therefore ancient, far older than written records. This view is supported by research by the anthropologist Jamie Tehrani and the folklorist Sara Graca Da Silva using phylogenetic analysis, a technique developed by evolutionary biologists to trace the relatedness of living and fossil species. Among the tales analysed were Jack and the Beanstalk, traced to the time of splitting of Eastern and Western Indo-European, over 5000 years ago. Both Beauty and the Beast and Rumpelstiltskin appear to have been created some 4000 years ago. The story of The Smith and the Devil (Deal with the Devil) appears to date from the Bronze Age, some 6000 years ago.[59] However, the choice of the corpus of folktales[60] and the method used by this study[61] both make the results very suspicious. On the other hand, various studies converge to show that some fairy tales, for example the swan maiden,[62] could go back to the Upper Palaeolithic.
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Originally, adults were the audience of a fairy tale just as often as children.[63] Literary fairy tales appeared in works intended for adults, but in the 19th and 20th centuries the fairy tale became associated with children's literature.
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The précieuses, including Madame d'Aulnoy, intended their works for adults, but regarded their source as the tales that servants, or other women of lower class, would tell to children.[64] Indeed, a novel of that time, depicting a countess's suitor offering to tell such a tale, has the countess exclaim that she loves fairy tales as if she were still a child.[65] Among the late précieuses, Jeanne-Marie Le Prince de Beaumont redacted a version of Beauty and the Beast for children, and it is her tale that is best known today.[66] The Brothers Grimm titled their collection Children's and Household Tales and rewrote their tales after complaints that they were not suitable for children.[67]
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In the modern era, fairy tales were altered so that they could be read to children. The Brothers Grimm concentrated mostly on sexual references;[68] Rapunzel, in the first edition, revealed the prince's visits by asking why her clothing had grown tight, thus letting the witch deduce that she was pregnant, but in subsequent editions carelessly revealed that it was easier to pull up the prince than the witch.[69] On the other hand, in many respects, violence—particularly when punishing villains—was increased.[70] Other, later, revisions cut out violence; J. R. R. Tolkien noted that The Juniper Tree often had its cannibalistic stew cut out in a version intended for children.[71] The moralizing strain in the Victorian era altered the classical tales to teach lessons, as when George Cruikshank rewrote Cinderella in 1854 to contain temperance themes. His acquaintance Charles Dickens protested, "In an utilitarian age, of all other times, it is a matter of grave importance that fairy tales should be respected."[72][73]
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Psychoanalysts such as Bruno Bettelheim, who regarded the cruelty of older fairy tales as indicative of psychological conflicts, strongly criticized this expurgation, because it weakened their usefulness to both children and adults as ways of symbolically resolving issues.[74] Fairy tales do teach children how to deal with difficult times. To quote Rebecca Walters (2017, p. 56) “Fairytales and folktales are part of the cultural conserve that can be used to address children’s fears …. and give them some role training in an approach that honors the children’s window of tolerance”. These fairy tales teach children how to deal with certain social situations and helps them to find their place in society.[75] Fairy tales teach children other important lessons too. For example, Tsitsani et al. carried out a study on children to determine the benefits of fairy tales. Parents of the children who took part in the study found that fairy tales, especially the color in them, triggered their child's imagination as the read them.[76]Jungian Analyst and fairy tale scholar, Marie Louise Von Franz interprets fairy tales[77] based on Jung's view of fairy tales as a spontaneous and naive product of soul, which can only express what soul is.[78] That means, she looks at fairy tales as images of different phases of experiencing the reality of the soul. They are the “purest and simplest expression of collective unconscious psychic processes” and “they represent the archetypes in their simplest, barest and most concise form” because they are less overlaid with conscious material than myths and legends. “In this pure form, the archetypal images afford us the best clues to the understanding of the processes going on in the collective psyche”. “The fairy tale itself is its own best explanation; that is, its meaning is contained in the totality of its motifs connected by the thread of the story. [...] Every fairy tale is a relatively closed system compounding one essential psychological meaning which is expressed in a series of symbolical pictures and events and is discoverable in these”. “I have come to the conclusion that all fairy tales endeavour to describe one and the same psychic fact, but a fact so complex and far-reaching and so difficult for us to realize in all its different aspects that hundreds of tales and thousands of repetitions with a musician’s variation are needed until this unknown fact is delivered into consciousness; and even then the theme is not exhausted. This unknown fact is what Jung calls the Self, which is the psychic reality of the collective unconscious. [...] Every archetype is in its essence only one aspect of the collective unconscious as well as always representing also the whole collective unconscious.[79]
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Other famous people commented on the importance of fairy tales, especially for children. For example, Albert Einstein once showed how important he believed fairy tales were for children’s intelligence in the quote “If you want your children to be intelligent, read them fairytales. If you want them to be more intelligent, read them more fairytales."[80]
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The adaptation of fairy tales for children continues. Walt Disney's influential Snow White and the Seven Dwarfs was largely (although certainly not solely) intended for the children's market.[81] The anime Magical Princess Minky Momo draws on the fairy tale Momotarō.[82] Jack Zipes has spent many years working to make the older traditional stories accessible to modern readers and their children.[83]
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Many fairy tales feature an absentee mother, as an example Beauty and the Beast, The Little Mermaid, Little Red Riding Hood and Donkeyskin, where the mother is deceased or absent and unable to help the heroines. Mothers are depicted as absent or wicked in the most popular contemporary versions of tales like Rapunzel, Snow White, Cinderella and Hansel and Gretel, however,
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some lesser known tales or variants such as those found in volumes edited by Angela Carter and Jane Yolen depict mothers in a more positive light.[84]
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Carter's protagonist in The Bloody Chamber is an impoverished piano student married to a Marquis who was much older than herself to "banish the spectre of poverty". The story a variant on Bluebeard, a tale about a wealthy man who murders numerous young women. Carter's protagonist, who is unnamed, describes her mother as "eagle-featured" and "indomitable". Her mother is depicted as a woman who is prepared for violence, instead of hiding from it or sacrificing herself to it. The protagonist recalls how her mother kept an "antique service revolver" and once "shot a man-eating tiger with her own hand."[84]
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In contemporary literature, many authors have used the form of fairy tales for various reasons, such as examining the human condition from the simple framework a fairytale provides.[85] Some authors seek to recreate a sense of the fantastic in a contemporary discourse.[86] Some writers use fairy tale forms for modern issues;[87] this can include using the psychological dramas implicit in the story, as when Robin McKinley retold Donkeyskin as the novel Deerskin, with emphasis on the abusive treatment the father of the tale dealt to his daughter.[88] Sometimes, especially in children's literature, fairy tales are retold with a twist simply for comic effect, such as The Stinky Cheese Man by Jon Scieszka and The ASBO Fairy Tales by Chris Pilbeam. A common comic motif is a world where all the fairy tales take place, and the characters are aware of their role in the story,[89] such as in the film series Shrek.
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Other authors may have specific motives, such as multicultural or feminist reevaluations of predominantly Eurocentric masculine-dominated fairy tales, implying critique of older narratives.[90] The figure of the damsel in distress has been particularly attacked by many feminist critics. Examples of narrative reversal rejecting this figure include The Paperbag Princess by Robert Munsch, a picture book aimed at children in which a princess rescues a prince, and Angela Carter's The Bloody Chamber, which retells a number of fairy tales from a female point of view.[91]
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There are also many contemporary erotic retellings of fairy tales, which explicitly draw upon the original spirit of the tales, and are specifically for adults. Modern retellings focus on exploring the tale through use of the erotic, explicit sexuality, dark and/or comic themes, female empowerment, fetish and BDSM, multicultural, and heterosexual characters. Cleis Press has released several fairy tale themed erotic anthologies, including Fairy Tale Lust, Lustfully Ever After, and A Princess Bound.
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It may be hard to lay down the rule between fairy tales and fantasies that use fairy tale motifs, or even whole plots, but the distinction is commonly made, even within the works of a single author: George MacDonald's Lilith and Phantastes are regarded as fantasies, while his "The Light Princess", "The Golden Key", and "The Wise Woman" are commonly called fairy tales. The most notable distinction is that fairytale fantasies, like other fantasies, make use of novelistic writing conventions of prose, characterization, or setting.[92]
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Fairy tales have been enacted dramatically; records exist of this in commedia dell'arte,[93] and later in pantomime.[94] The advent of cinema has meant that such stories could be presented in a more plausible manner, with the use of special effects and animation. The Walt Disney Company has had a significant impact on the evolution of the fairy tale film. Some of the earliest short silent films from the Disney studio were based on fairy tales, and some fairy tales were adapted into shorts in the musical comedy series "Silly Symphony", such as Three Little Pigs. Walt Disney's first feature-length film Snow White and the Seven Dwarfs, released in 1937, was a ground-breaking film for fairy tales and, indeed, fantasy in general.[81] Disney and his creative successors have returned to traditional and literary fairy tales numerous times with films such as Cinderella (1950), Sleeping Beauty (1959), The Little Mermaid (1989) and Beauty and the Beast (1991). Disney's influence helped establish the fairy tale genre as a genre for children, and has been accused by some of bowdlerizing the gritty naturalism – and sometimes unhappy endings – of many folk fairy tales.[88] However, others note that the softening of fairy tales occurred long before Disney, some of which was even done by the Grimm brothers themselves.[95][96]
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Many filmed fairy tales have been made primarily for children, from Disney's later works to Aleksandr Rou's retelling of Vasilissa the Beautiful, the first Soviet film to use Russian folk tales in a big-budget feature.[97] Others have used the conventions of fairy tales to create new stories with sentiments more relevant to contemporary life, as in Labyrinth,[98] My Neighbor Totoro, Happily N'Ever After, and the films of Michel Ocelot.[99]
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Other works have retold familiar fairy tales in a darker, more horrific or psychological variant aimed primarily at adults. Notable examples are Jean Cocteau's Beauty and the Beast[100] and The Company of Wolves, based on Angela Carter's retelling of Little Red Riding Hood.[101] Likewise, Princess Mononoke,[102] Pan's Labyrinth,[103] Suspiria, and Spike[104] create new stories in this genre from fairy tale and folklore motifs.
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In comics and animated TV series, The Sandman, Revolutionary Girl Utena, Princess Tutu, Fables and MÄR all make use of standard fairy tale elements to various extents but are more accurately categorised as fairytale fantasy due to the definite locations and characters which a longer narrative requires.
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A more modern cinematic fairy tale would be Luchino Visconti's Le Notti Bianche, starring Marcello Mastroianni before he became a superstar. It involves many of the romantic conventions of fairy tales, yet it takes place in post-World War II Italy, and it ends realistically.
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Any comparison of fairy tales quickly discovers that many fairy tales have features in common with each other. Two of the most influential classifications are those of Antti Aarne, as revised by Stith Thompson into the Aarne-Thompson classification system, and Vladimir Propp's Morphology of the Folk Tale.
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This system groups fairy and folk tales according to their overall plot. Common, identifying features are picked out to decide which tales are grouped together. Much therefore depends on what features are regarded as decisive.
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For instance, tales like Cinderella – in which a persecuted heroine, with the help of the fairy godmother or similar magical helper, attends an event (or three) in which she wins the love of a prince and is identified as his true bride—are classified as type 510, the persecuted heroine. Some such tales are The Wonderful Birch; Aschenputtel; Katie Woodencloak; The Story of Tam and Cam; Ye Xian; Cap O' Rushes; Catskin; Fair, Brown and Trembling; Finette Cendron; Allerleirauh.
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Further analysis of the tales shows that in Cinderella, The Wonderful Birch, The Story of Tam and Cam, Ye Xian, and Aschenputtel, the heroine is persecuted by her stepmother and refused permission to go to the ball or other event, and in Fair, Brown and Trembling and Finette Cendron by her sisters and other female figures, and these are grouped as 510A; while in Cap O' Rushes, Catskin, and Allerleirauh, the heroine is driven from home by her father's persecutions, and must take work in a kitchen elsewhere, and these are grouped as 510B. But in Katie Woodencloak, she is driven from home by her stepmother's persecutions and must take service in a kitchen elsewhere, and in Tattercoats, she is refused permission to go to the ball by her grandfather. Given these features common with both types of 510, Katie Woodencloak is classified as 510A because the villain is the stepmother, and Tattercoats as 510B because the grandfather fills the father's role.
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This system has its weaknesses in the difficulty of having no way to classify subportions of a tale as motifs. Rapunzel is type 310 (The Maiden in the Tower), but it opens with a child being demanded in return for stolen food, as does Puddocky; but Puddocky is not a Maiden in the Tower tale, while The Canary Prince, which opens with a jealous stepmother, is.
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It also lends itself to emphasis on the common elements, to the extent that the folklorist describes The Black Bull of Norroway as the same story as Beauty and the Beast. This can be useful as a shorthand but can also erase the coloring and details of a story.[105]
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Vladimir Propp specifically studied a collection of Russian fairy tales, but his analysis has been found useful for the tales of other countries.[106] Having criticized Aarne-Thompson type analysis for ignoring what motifs did in stories, and because the motifs used were not clearly distinct,[107] he analyzed the tales for the function each character and action fulfilled and concluded that a tale was composed of thirty-one elements ('functions') and seven characters or 'spheres of action' ('the princess and her father' are a single sphere). While the elements were not all required for all tales, when they appeared they did so in an invariant order – except that each individual element might be negated twice, so that it would appear three times, as when, in Brother and Sister, the brother resists drinking from enchanted streams twice, so that it is the third that enchants him.[108] Propp's 31 functions also fall within six 'stages' (preparation, complication, transference, struggle, return, recognition), and a stage can also be repeated, which can affect the perceived order of elements.
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One such element is the donor who gives the hero magical assistance, often after testing him.[109] In The Golden Bird, the talking fox tests the hero by warning him against entering an inn and, after he succeeds, helps him find the object of his quest; in The Boy Who Drew Cats, the priest advised the hero to stay in small places at night, which protects him from an evil spirit; in Cinderella, the fairy godmother gives Cinderella the dresses she needs to attend the ball, as their mothers' spirits do in Bawang Putih Bawang Merah and The Wonderful Birch; in The Fox Sister, a Buddhist monk gives the brothers magical bottles to protect against the fox spirit. The roles can be more complicated.[110] In The Red Ettin, the role is split into the mother—who offers the hero the whole of a journey cake with her curse or half with her blessing—and when he takes the half, a fairy who gives him advice; in Mr Simigdáli, the sun, the moon, and the stars all give the heroine a magical gift. Characters who are not always the donor can act like the donor.[111] In Kallo and the Goblins, the villain goblins also give the heroine gifts, because they are tricked; in Schippeitaro, the evil cats betray their secret to the hero, giving him the means to defeat them. Other fairy tales, such as The Story of the Youth Who Went Forth to Learn What Fear Was, do not feature the donor.
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Analogies have been drawn between this and the analysis of myths into the hero's journey.[112]
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Many fairy tales have been interpreted for their (purported) significance. One mythological interpretation saw many fairy tales, including Hansel and Gretel, Sleeping Beauty, and The Frog King, as solar myths; this mode of interpretation subsequently became rather less popular.[113] Freudian, Jungian, and other psychological analyses have also explicated many tales, but no mode of interpretation has established itself definitively.[114]
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Specific analyses have often been criticized[by whom?] for lending great importance to motifs that are not, in fact, integral to the tale; this has often stemmed from treating one instance of a fairy tale as the definitive text, where the tale has been told and retold in many variations.[115] In variants of Bluebeard, the wife's curiosity is betrayed by a blood-stained key, by an egg's breaking, or by the singing of a rose she wore, without affecting the tale, but interpretations of specific variants have claimed that the precise object is integral to the tale.[116]
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Other folklorists have interpreted tales as historical documents. Many[quantify] German folklorists, believing the tales to have preserved details from ancient times, have used the Grimms' tales to explain ancient customs.[117]
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One approach sees the topography of European Märchen as echoing the period immediately following the last Ice Age.[118]
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Other folklorists have explained the figure of the wicked stepmother in a historical/sociological context: many women did die in childbirth, their husbands remarried, and the new stepmothers competed with the children of the first marriage for resources.[119]
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In a 2012 lecture, Jack Zipes reads fairy tales as examples of what he calls "childism". He suggests that there are terrible aspects to the tales, which (among other things) have conditioned children to accept mistreatment and even abuse.[120]
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Fairy tales have inspired music, namely opera, such as the French Opéra féerie and the German Märchenoper. French examples include Gretry's Zémire et Azor, and Auber's Le cheval de bronze, German operas are Mozart's Die Zauberflöte, Humperdinck's Hänsel und Gretel, Siegfried Wagner's An allem ist Hütchen schuld!, which is based on many fairy tales, and Carl Orff's Die Kluge. Even contemporary fairy tales have been written for the purpose of inspiration in the music world. "Raven Girl" by Audrey Niffenegger was written to inspire a new dance for the Royal Ballet in London.
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The song "Singring and the Glass Guitar" by the American band Utopia, recorded for their album "Ra", is called "An Electrified Fairytale". Composed by the four members of the band, Roger Powell, Kasim Sulton, Willie Wilcox and Todd Rundgren, it tells the story of the theft of the Glass Guitar by Evil Forces, which has to be recovered by the four heroes.
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1 |
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A fairy tale, fairytale, wonder tale, magic tale, or Märchen is an instance of a folklore genre that takes the form of a short story. Such stories typically feature entities such as dwarfs, dragons, elves, fairies, giants, gnomes, goblins, griffins, mermaids, talking animals, trolls, unicorns, or witches, and usually magic or enchantments. In most cultures, there is no clear line separating myth from folk or fairy tale; all these together form the literature of preliterate societies.[1] Fairy tales may be distinguished from other folk narratives such as legends (which generally involve belief in the veracity of the events described)[2] and explicit moral tales, including beast fables.
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In less technical contexts, the term is also used to describe something blessed with unusual happiness, as in "fairy-tale ending" (a happy ending)[3] or "fairy-tale romance". Colloquially, the term "fairy tale" or "fairy story" can also mean any far-fetched story or tall tale; it is used especially of any story that not only is not true, but could not possibly be true. Legends are perceived[by whom?] as real; fairy tales may merge into legends, where the narrative is perceived both by teller and hearers as being grounded in historical truth. However, unlike legends and epics, fairy tales usually do not contain more than superficial references to religion and to actual places, people, and events; they take place "once upon a time" rather than in actual times.[4]
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Fairy tales occur both in oral and in literary form; the name "fairy tale" ("conte de fées" in French) was first ascribed to them by Madame d'Aulnoy in the late 17th century. Many of today's fairy tales have evolved from centuries-old stories that have appeared, with variations, in multiple cultures around the world.[5] The history of the fairy tale is particularly difficult to trace because only the literary forms can survive. Still, according to researchers at universities in Durham and Lisbon, such stories may date back thousands of years, some to the Bronze Age more than 6,500 years ago.[6][7] Fairy tales, and works derived from fairy tales, are still written today.
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Folklorists have classified fairy tales in various ways. The Aarne-Thompson classification system and the morphological analysis of Vladimir Propp are among the most notable. Other folklorists have interpreted the tales' significance, but no school has been definitively established for the meaning of the tales.
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Some folklorists prefer to use the German term Märchen or "wonder tale"[8] to refer to the genre rather than fairy tale, a practice given weight by the definition of Thompson in his 1977 [1946] edition of The Folktale: "a tale of some length involving a succession of motifs or episodes. It moves in an unreal world without definite locality or definite creatures and is filled with the marvellous. In this never-never land, humble heroes kill adversaries, succeed to kingdoms and marry princesses."[9] The characters and motifs of fairy tales are simple and archetypal: princesses and goose-girls; youngest sons and gallant princes; ogres, giants, dragons, and trolls; wicked stepmothers and false heroes; fairy godmothers and other magical helpers, often talking horses, or foxes, or birds; glass mountains; and prohibitions and breaking of prohibitions.[10]
|
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Although the fairy tale is a distinct genre within the larger category of folktale, the definition that marks a work as a fairy tale is a source of considerable dispute.[11] The term itself comes from the translation of Madame D'Aulnoy's Conte de fées, first used in her collection in 1697.[12] Common parlance conflates fairy tales with beast fables and other folktales, and scholars differ on the degree to which the presence of fairies and/or similarly mythical beings (e.g., elves, goblins, trolls, giants, huge monsters, or mermaids) should be taken as a differentiator. Vladimir Propp, in his Morphology of the Folktale, criticized the common distinction between "fairy tales" and "animal tales" on the grounds that many tales contained both fantastic elements and animals.[13] Nevertheless, to select works for his analysis, Propp used all Russian folktales classified as a folklore Aarne-Thompson 300-749 – in a cataloguing system that made such a distinction – to gain a clear set of tales.[14] His own analysis identified fairy tales by their plot elements, but that in itself has been criticized, as the analysis does not lend itself easily to tales that do not involve a quest, and furthermore, the same plot elements are found in non-fairy tale works.[15]
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Were I asked, what is a fairytale? I should reply, Read Undine: that is a fairytale ... of all fairytales I know, I think Undine the most beautiful.
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As Stith Thompson points out, talking animals and the presence of magic seem to be more common to the fairy tale than fairies themselves.[16] However, the mere presence of animals that talk does not make a tale a fairy tale, especially when the animal is clearly a mask on a human face, as in fables.[17]
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In his essay "On Fairy-Stories", J. R. R. Tolkien agreed with the exclusion of "fairies" from the definition, defining fairy tales as stories about the adventures of men in Faërie, the land of fairies, fairytale princes and princesses, dwarves, elves, and not only other magical species but many other marvels.[18] However, the same essay excludes tales that are often considered fairy tales, citing as an example The Monkey's Heart, which Andrew Lang included in The Lilac Fairy Book.[17]
|
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|
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Steven Swann Jones identified the presence of magic as the feature by which fairy tales can be distinguished from other sorts of folktales.[19] Davidson and Chaudri identify "transformation" as the key feature of the genre.[8] From a psychological point of view, Jean Chiriac argued for the necessity of the fantastic in these narratives.[20]
|
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In terms of aesthetic values, Italo Calvino cited the fairy tale as a prime example of "quickness" in literature, because of the economy and concision of the tales.[21]
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Originally, stories that would contemporarily be considered fairy tales were not marked out as a separate genre. The German term "Märchen" stems from the old German word "Mär", which means story or tale. The word "Märchen" is the diminutive of the word "Mär", therefore it means a "little story". Together with the common beginning "once upon a time" it means a fairy tale or a märchen was originally a little story from a long time ago when the world was still magic. (Indeed, one less regular German opening is "In the old times when wishing was still effective".)
|
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|
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+
The English term "fairy tale" stems from the fact that the French contes often included fairies.
|
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|
27 |
+
Roots of the genre come from different oral stories passed down in European cultures. The genre was first marked out by writers of the Renaissance, such as Giovanni Francesco Straparola and Giambattista Basile, and stabilized through the works of later collectors such as Charles Perrault and the Brothers Grimm.[22] In this evolution, the name was coined when the précieuses took up writing literary stories; Madame d'Aulnoy invented the term Conte de fée, or fairy tale, in the late 17th century.[23]
|
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Before the definition of the genre of fantasy, many works that would now be classified as fantasy were termed "fairy tales", including Tolkien's The Hobbit, George Orwell's Animal Farm, and L. Frank Baum's The Wonderful Wizard of Oz.[24] Indeed, Tolkien's "On Fairy-Stories" includes discussions of world-building and is considered a vital part of fantasy criticism. Although fantasy, particularly the subgenre of fairytale fantasy, draws heavily on fairy tale motifs,[25] the genres are now regarded as distinct.
|
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|
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The fairy tale, told orally, is a sub-class of the folktale. Many writers have written in the form of the fairy tale. These are the literary fairy tales, or Kunstmärchen.[12] The oldest forms, from Panchatantra to the Pentamerone, show considerable reworking from the oral form.[26] The Grimm brothers were among the first to try to preserve the features of oral tales. Yet the stories printed under the Grimm name have been considerably reworked to fit the written form.[27]
|
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Literary fairy tales and oral fairy tales freely exchanged plots, motifs, and elements with one another and with the tales of foreign lands.[28] The literary fairy tale came into fashion during the 17th century, developed by aristocratic women as a parlour game. This, in turn, helped to maintain the oral tradition. According to Jack Zipes, "The subject matter of the conversations consisted of literature, mores, taste, and etiquette, whereby the speakers all endeavoured to portray ideal situations in the most effective oratorical style that would gradually have a major effect on literary forms." [29] Many 18th-century folklorists attempted to recover the "pure" folktale, uncontaminated by literary versions. Yet while oral fairy tales likely existed for thousands of years before the literary forms, there is no pure folktale, and each literary fairy tale draws on folk traditions, if only in parody.[30] This makes it impossible to trace forms of transmission of a fairy tale. Oral story-tellers have been known to read literary fairy tales to increase their own stock of stories and treatments.[31]
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The oral tradition of the fairy tale came long before the written page. Tales were told or enacted dramatically, rather than written down, and handed down from generation to generation. Because of this, the history of their development is necessarily obscure and blurred. Fairy tales appear, now and again, in written literature throughout literate cultures, as in The Golden Ass, which includes Cupid and Psyche (Roman, 100–200 AD),[32] or the Panchatantra (India 3rd century BC),[32] but it is unknown to what extent these reflect the actual folk tales even of their own time. The stylistic evidence indicates that these, and many later collections, reworked folk tales into literary forms.[26] What they do show is that the fairy tale has ancient roots, older than the Arabian Nights collection of magical tales (compiled circa 1500 AD),[32] such as Vikram and the Vampire, and Bel and the Dragon. Besides such collections and individual tales, in China, Taoist philosophers such as Liezi and Zhuangzi recounted fairy tales in their philosophical works.[33] In the broader definition of the genre, the first famous Western fairy tales are those of Aesop (6th century BC) in ancient Greece.
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Scholarship point that Medieval literature contains early versions or predecessor of later known tales and motifs, such as the grateful dead, the bird lover or quest for the lost wife.[34]
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Jack Zipes writes in When Dreams Came True, "There are fairy tale elements in Chaucer's The Canterbury Tales, Edmund Spenser's The Faerie Queene, and ... in many of William Shakespeare plays."[35] King Lear can be considered a literary variant of fairy tales such as Water and Salt and Cap O' Rushes.[36] The tale itself resurfaced in Western literature in the 16th and 17th centuries, with The Facetious Nights of Straparola by Giovanni Francesco Straparola (Italy, 1550 and 1553),[32] which contains many fairy tales in its inset tales, and the Neapolitan tales of Giambattista Basile (Naples, 1634–36),[32] which are all fairy tales.[37] Carlo Gozzi made use of many fairy tale motifs among his Commedia dell'Arte scenarios,[38] including among them one based on The Love For Three Oranges (1761).[39] Simultaneously, Pu Songling, in China, included many fairy tales in his collection, Strange Stories from a Chinese Studio (published posthumously, 1766).[33] The fairy tale itself became popular among the précieuses of upper-class France (1690–1710),[32] and among the tales told in that time were the ones of La Fontaine and the Contes of Charles Perrault (1697), who fixed the forms of Sleeping Beauty and Cinderella.[40] Although Straparola's, Basile's and Perrault's collections contain the oldest known forms of various fairy tales, on the stylistic evidence, all the writers rewrote the tales for literary effect.[41]
|
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In the mid-17th century, a vogue for magical tales emerged among the intellectuals who frequented the salons of Paris. These salons were regular gatherings hosted by prominent aristocratic women, where women and men could gather together to discuss the issues of the day.
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In the 1630s, aristocratic women began to gather in their own living rooms, salons, in order to discuss the topics of their choice: arts and letters, politics, and social matters of immediate concern to the women of their class: marriage, love, financial and physical independence, and access to education. This was a time when women were barred from receiving a formal education. Some of the most gifted women writers of the period came out of these early salons (such as Madeleine de Scudéry and Madame de Lafayette), which encouraged women's independence and pushed against the gender barriers that defined their lives. The salonnières argued particularly for love and intellectual compatibility between the sexes, opposing the system of arranged marriages.
|
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Sometime in the middle of the 17th century, a passion for the conversational parlour game based on the plots of old folk tales swept through the salons. Each salonnière was called upon to retell an old tale or rework an old theme, spinning clever new stories that not only showcased verbal agility and imagination but also slyly commented on the conditions of aristocratic life. Great emphasis was placed on a mode of delivery that seemed natural and spontaneous. The decorative language of the fairy tales served an important function: disguising the rebellious subtext of the stories and sliding them past the court censors. Critiques of court life (and even of the king) were embedded in extravagant tales and in dark, sharply dystopian ones. Not surprisingly, the tales by women often featured young (but clever) aristocratic girls whose lives were controlled by the arbitrary whims of fathers, kings, and elderly wicked fairies, as well as tales in which groups of wise fairies (i.e., intelligent, independent women) stepped in and put all to rights.
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The salon tales as they were originally written and published have been preserved in a monumental work called Le Cabinet des Fées, an enormous collection of stories from the 17th and 18th centuries.[12]
|
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The first collectors to attempt to preserve not only the plot and characters of the tale, but also the style in which they were told, was the Brothers Grimm, collecting German fairy tales; ironically, this meant although their first edition (1812 & 1815)[32] remains a treasure for folklorists, they rewrote the tales in later editions to make them more acceptable, which ensured their sales and the later popularity of their work.[42]
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Such literary forms did not merely draw from the folktale, but also influenced folktales in turn. The Brothers Grimm rejected several tales for their collection, though told orally to them by Germans, because the tales derived from Perrault, and they concluded they were thereby French and not German tales; an oral version of Bluebeard was thus rejected, and the tale of Little Briar Rose, clearly related to Perrault's The Sleeping Beauty, was included only because Jacob Grimm convinced his brother that the figure of Brynhildr, from much earlier Norse mythology, proved that the sleeping princess was authentically Germanic folklore.[43]
|
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This consideration of whether to keep Sleeping Beauty reflected a belief common among folklorists of the 19th century: that the folk tradition preserved fairy tales in forms from pre-history except when "contaminated" by such literary forms, leading people to tell inauthentic tales.[44] The rural, illiterate, and uneducated peasants, if suitably isolated, were the folk and would tell pure folk tales.[45] Sometimes they regarded fairy tales as a form of fossil, the remnants of a once-perfect tale.[46] However, further research has concluded that fairy tales never had a fixed form, and regardless of literary influence, the tellers constantly altered them for their own purposes.[47]
|
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The work of the Brothers Grimm influenced other collectors, both inspiring them to collect tales and leading them to similarly believe, in a spirit of romantic nationalism, that the fairy tales of a country were particularly representative of it, to the neglect of cross-cultural influence. Among those influenced were the Russian Alexander Afanasyev (first published in 1866),[32] the Norwegians Peter Christen Asbjørnsen and Jørgen Moe (first published in 1845),[32] the Romanian Petre Ispirescu (first published in 1874), the English Joseph Jacobs (first published in 1890),[32] and Jeremiah Curtin, an American who collected Irish tales (first published in 1890).[30] Ethnographers collected fairy tales throughout the world, finding similar tales in Africa, the Americas, and Australia; Andrew Lang was able to draw on not only the written tales of Europe and Asia, but those collected by ethnographers, to fill his "coloured" fairy books series.[48] They also encouraged other collectors of fairy tales, as when Yei Theodora Ozaki created a collection, Japanese Fairy Tales (1908), after encouragement from Lang.[49] Simultaneously, writers such as Hans Christian Andersen and George MacDonald continued the tradition of literary fairy tales. Andersen's work sometimes drew on old folktales, but more often deployed fairytale motifs and plots in new tales.[50] MacDonald incorporated fairytale motifs both in new literary fairy tales, such as The Light Princess, and in works of the genre that would become fantasy, as in The Princess and the Goblin or Lilith.[51]
|
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Two theories of origins, have attempted to explain the common elements in fairy tales found spread over continents. One is that a single point of origin generated any given tale, which then spread over the centuries; the other is that such fairy tales stem from common human experience and therefore can appear separately in many different origins.[52]
|
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Fairy tales with very similar plots, characters, and motifs are found spread across many different cultures. Many researchers hold this to be caused by the spread of such tales, as people repeat tales they have heard in foreign lands, although the oral nature makes it impossible to trace the route except by inference.[53] Folklorists have attempted to determine the origin by internal evidence, which can not always be clear; Joseph Jacobs, comparing the Scottish tale The Ridere of Riddles with the version collected by the Brothers Grimm, The Riddle, noted that in The Ridere of Riddles one hero ends up polygamously married, which might point to an ancient custom, but in The Riddle, the simpler riddle might argue greater antiquity.[54]
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Folklorists of the "Finnish" (or historical-geographical) school attempted to place fairy tales to their origin, with inconclusive results.[55] Sometimes influence, especially within a limited area and time, is clearer, as when considering the influence of Perrault's tales on those collected by the Brothers Grimm. Little Briar-Rose appears to stem from Perrault's The Sleeping Beauty, as the Grimms' tale appears to be the only independent German variant.[56] Similarly, the close agreement between the opening of the Grimms' version of Little Red Riding Hood and Perrault's tale points to an influence, although the Grimms' version adds a different ending (perhaps derived from The Wolf and the Seven Young Kids).[57]
|
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Fairy tales tend to take on the color of their location, through the choice of motifs, the style in which they are told, and the depiction of character and local color.[58]
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The Brothers Grimm believed that European fairy tales derived from the cultural history shared by all Indo-European peoples and were therefore ancient, far older than written records. This view is supported by research by the anthropologist Jamie Tehrani and the folklorist Sara Graca Da Silva using phylogenetic analysis, a technique developed by evolutionary biologists to trace the relatedness of living and fossil species. Among the tales analysed were Jack and the Beanstalk, traced to the time of splitting of Eastern and Western Indo-European, over 5000 years ago. Both Beauty and the Beast and Rumpelstiltskin appear to have been created some 4000 years ago. The story of The Smith and the Devil (Deal with the Devil) appears to date from the Bronze Age, some 6000 years ago.[59] However, the choice of the corpus of folktales[60] and the method used by this study[61] both make the results very suspicious. On the other hand, various studies converge to show that some fairy tales, for example the swan maiden,[62] could go back to the Upper Palaeolithic.
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Originally, adults were the audience of a fairy tale just as often as children.[63] Literary fairy tales appeared in works intended for adults, but in the 19th and 20th centuries the fairy tale became associated with children's literature.
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The précieuses, including Madame d'Aulnoy, intended their works for adults, but regarded their source as the tales that servants, or other women of lower class, would tell to children.[64] Indeed, a novel of that time, depicting a countess's suitor offering to tell such a tale, has the countess exclaim that she loves fairy tales as if she were still a child.[65] Among the late précieuses, Jeanne-Marie Le Prince de Beaumont redacted a version of Beauty and the Beast for children, and it is her tale that is best known today.[66] The Brothers Grimm titled their collection Children's and Household Tales and rewrote their tales after complaints that they were not suitable for children.[67]
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In the modern era, fairy tales were altered so that they could be read to children. The Brothers Grimm concentrated mostly on sexual references;[68] Rapunzel, in the first edition, revealed the prince's visits by asking why her clothing had grown tight, thus letting the witch deduce that she was pregnant, but in subsequent editions carelessly revealed that it was easier to pull up the prince than the witch.[69] On the other hand, in many respects, violence—particularly when punishing villains—was increased.[70] Other, later, revisions cut out violence; J. R. R. Tolkien noted that The Juniper Tree often had its cannibalistic stew cut out in a version intended for children.[71] The moralizing strain in the Victorian era altered the classical tales to teach lessons, as when George Cruikshank rewrote Cinderella in 1854 to contain temperance themes. His acquaintance Charles Dickens protested, "In an utilitarian age, of all other times, it is a matter of grave importance that fairy tales should be respected."[72][73]
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Psychoanalysts such as Bruno Bettelheim, who regarded the cruelty of older fairy tales as indicative of psychological conflicts, strongly criticized this expurgation, because it weakened their usefulness to both children and adults as ways of symbolically resolving issues.[74] Fairy tales do teach children how to deal with difficult times. To quote Rebecca Walters (2017, p. 56) “Fairytales and folktales are part of the cultural conserve that can be used to address children’s fears …. and give them some role training in an approach that honors the children’s window of tolerance”. These fairy tales teach children how to deal with certain social situations and helps them to find their place in society.[75] Fairy tales teach children other important lessons too. For example, Tsitsani et al. carried out a study on children to determine the benefits of fairy tales. Parents of the children who took part in the study found that fairy tales, especially the color in them, triggered their child's imagination as the read them.[76]Jungian Analyst and fairy tale scholar, Marie Louise Von Franz interprets fairy tales[77] based on Jung's view of fairy tales as a spontaneous and naive product of soul, which can only express what soul is.[78] That means, she looks at fairy tales as images of different phases of experiencing the reality of the soul. They are the “purest and simplest expression of collective unconscious psychic processes” and “they represent the archetypes in their simplest, barest and most concise form” because they are less overlaid with conscious material than myths and legends. “In this pure form, the archetypal images afford us the best clues to the understanding of the processes going on in the collective psyche”. “The fairy tale itself is its own best explanation; that is, its meaning is contained in the totality of its motifs connected by the thread of the story. [...] Every fairy tale is a relatively closed system compounding one essential psychological meaning which is expressed in a series of symbolical pictures and events and is discoverable in these”. “I have come to the conclusion that all fairy tales endeavour to describe one and the same psychic fact, but a fact so complex and far-reaching and so difficult for us to realize in all its different aspects that hundreds of tales and thousands of repetitions with a musician’s variation are needed until this unknown fact is delivered into consciousness; and even then the theme is not exhausted. This unknown fact is what Jung calls the Self, which is the psychic reality of the collective unconscious. [...] Every archetype is in its essence only one aspect of the collective unconscious as well as always representing also the whole collective unconscious.[79]
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Other famous people commented on the importance of fairy tales, especially for children. For example, Albert Einstein once showed how important he believed fairy tales were for children’s intelligence in the quote “If you want your children to be intelligent, read them fairytales. If you want them to be more intelligent, read them more fairytales."[80]
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The adaptation of fairy tales for children continues. Walt Disney's influential Snow White and the Seven Dwarfs was largely (although certainly not solely) intended for the children's market.[81] The anime Magical Princess Minky Momo draws on the fairy tale Momotarō.[82] Jack Zipes has spent many years working to make the older traditional stories accessible to modern readers and their children.[83]
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Many fairy tales feature an absentee mother, as an example Beauty and the Beast, The Little Mermaid, Little Red Riding Hood and Donkeyskin, where the mother is deceased or absent and unable to help the heroines. Mothers are depicted as absent or wicked in the most popular contemporary versions of tales like Rapunzel, Snow White, Cinderella and Hansel and Gretel, however,
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some lesser known tales or variants such as those found in volumes edited by Angela Carter and Jane Yolen depict mothers in a more positive light.[84]
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Carter's protagonist in The Bloody Chamber is an impoverished piano student married to a Marquis who was much older than herself to "banish the spectre of poverty". The story a variant on Bluebeard, a tale about a wealthy man who murders numerous young women. Carter's protagonist, who is unnamed, describes her mother as "eagle-featured" and "indomitable". Her mother is depicted as a woman who is prepared for violence, instead of hiding from it or sacrificing herself to it. The protagonist recalls how her mother kept an "antique service revolver" and once "shot a man-eating tiger with her own hand."[84]
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In contemporary literature, many authors have used the form of fairy tales for various reasons, such as examining the human condition from the simple framework a fairytale provides.[85] Some authors seek to recreate a sense of the fantastic in a contemporary discourse.[86] Some writers use fairy tale forms for modern issues;[87] this can include using the psychological dramas implicit in the story, as when Robin McKinley retold Donkeyskin as the novel Deerskin, with emphasis on the abusive treatment the father of the tale dealt to his daughter.[88] Sometimes, especially in children's literature, fairy tales are retold with a twist simply for comic effect, such as The Stinky Cheese Man by Jon Scieszka and The ASBO Fairy Tales by Chris Pilbeam. A common comic motif is a world where all the fairy tales take place, and the characters are aware of their role in the story,[89] such as in the film series Shrek.
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Other authors may have specific motives, such as multicultural or feminist reevaluations of predominantly Eurocentric masculine-dominated fairy tales, implying critique of older narratives.[90] The figure of the damsel in distress has been particularly attacked by many feminist critics. Examples of narrative reversal rejecting this figure include The Paperbag Princess by Robert Munsch, a picture book aimed at children in which a princess rescues a prince, and Angela Carter's The Bloody Chamber, which retells a number of fairy tales from a female point of view.[91]
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There are also many contemporary erotic retellings of fairy tales, which explicitly draw upon the original spirit of the tales, and are specifically for adults. Modern retellings focus on exploring the tale through use of the erotic, explicit sexuality, dark and/or comic themes, female empowerment, fetish and BDSM, multicultural, and heterosexual characters. Cleis Press has released several fairy tale themed erotic anthologies, including Fairy Tale Lust, Lustfully Ever After, and A Princess Bound.
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It may be hard to lay down the rule between fairy tales and fantasies that use fairy tale motifs, or even whole plots, but the distinction is commonly made, even within the works of a single author: George MacDonald's Lilith and Phantastes are regarded as fantasies, while his "The Light Princess", "The Golden Key", and "The Wise Woman" are commonly called fairy tales. The most notable distinction is that fairytale fantasies, like other fantasies, make use of novelistic writing conventions of prose, characterization, or setting.[92]
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Fairy tales have been enacted dramatically; records exist of this in commedia dell'arte,[93] and later in pantomime.[94] The advent of cinema has meant that such stories could be presented in a more plausible manner, with the use of special effects and animation. The Walt Disney Company has had a significant impact on the evolution of the fairy tale film. Some of the earliest short silent films from the Disney studio were based on fairy tales, and some fairy tales were adapted into shorts in the musical comedy series "Silly Symphony", such as Three Little Pigs. Walt Disney's first feature-length film Snow White and the Seven Dwarfs, released in 1937, was a ground-breaking film for fairy tales and, indeed, fantasy in general.[81] Disney and his creative successors have returned to traditional and literary fairy tales numerous times with films such as Cinderella (1950), Sleeping Beauty (1959), The Little Mermaid (1989) and Beauty and the Beast (1991). Disney's influence helped establish the fairy tale genre as a genre for children, and has been accused by some of bowdlerizing the gritty naturalism – and sometimes unhappy endings – of many folk fairy tales.[88] However, others note that the softening of fairy tales occurred long before Disney, some of which was even done by the Grimm brothers themselves.[95][96]
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Many filmed fairy tales have been made primarily for children, from Disney's later works to Aleksandr Rou's retelling of Vasilissa the Beautiful, the first Soviet film to use Russian folk tales in a big-budget feature.[97] Others have used the conventions of fairy tales to create new stories with sentiments more relevant to contemporary life, as in Labyrinth,[98] My Neighbor Totoro, Happily N'Ever After, and the films of Michel Ocelot.[99]
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Other works have retold familiar fairy tales in a darker, more horrific or psychological variant aimed primarily at adults. Notable examples are Jean Cocteau's Beauty and the Beast[100] and The Company of Wolves, based on Angela Carter's retelling of Little Red Riding Hood.[101] Likewise, Princess Mononoke,[102] Pan's Labyrinth,[103] Suspiria, and Spike[104] create new stories in this genre from fairy tale and folklore motifs.
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In comics and animated TV series, The Sandman, Revolutionary Girl Utena, Princess Tutu, Fables and MÄR all make use of standard fairy tale elements to various extents but are more accurately categorised as fairytale fantasy due to the definite locations and characters which a longer narrative requires.
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A more modern cinematic fairy tale would be Luchino Visconti's Le Notti Bianche, starring Marcello Mastroianni before he became a superstar. It involves many of the romantic conventions of fairy tales, yet it takes place in post-World War II Italy, and it ends realistically.
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Any comparison of fairy tales quickly discovers that many fairy tales have features in common with each other. Two of the most influential classifications are those of Antti Aarne, as revised by Stith Thompson into the Aarne-Thompson classification system, and Vladimir Propp's Morphology of the Folk Tale.
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This system groups fairy and folk tales according to their overall plot. Common, identifying features are picked out to decide which tales are grouped together. Much therefore depends on what features are regarded as decisive.
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For instance, tales like Cinderella – in which a persecuted heroine, with the help of the fairy godmother or similar magical helper, attends an event (or three) in which she wins the love of a prince and is identified as his true bride—are classified as type 510, the persecuted heroine. Some such tales are The Wonderful Birch; Aschenputtel; Katie Woodencloak; The Story of Tam and Cam; Ye Xian; Cap O' Rushes; Catskin; Fair, Brown and Trembling; Finette Cendron; Allerleirauh.
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Further analysis of the tales shows that in Cinderella, The Wonderful Birch, The Story of Tam and Cam, Ye Xian, and Aschenputtel, the heroine is persecuted by her stepmother and refused permission to go to the ball or other event, and in Fair, Brown and Trembling and Finette Cendron by her sisters and other female figures, and these are grouped as 510A; while in Cap O' Rushes, Catskin, and Allerleirauh, the heroine is driven from home by her father's persecutions, and must take work in a kitchen elsewhere, and these are grouped as 510B. But in Katie Woodencloak, she is driven from home by her stepmother's persecutions and must take service in a kitchen elsewhere, and in Tattercoats, she is refused permission to go to the ball by her grandfather. Given these features common with both types of 510, Katie Woodencloak is classified as 510A because the villain is the stepmother, and Tattercoats as 510B because the grandfather fills the father's role.
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This system has its weaknesses in the difficulty of having no way to classify subportions of a tale as motifs. Rapunzel is type 310 (The Maiden in the Tower), but it opens with a child being demanded in return for stolen food, as does Puddocky; but Puddocky is not a Maiden in the Tower tale, while The Canary Prince, which opens with a jealous stepmother, is.
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It also lends itself to emphasis on the common elements, to the extent that the folklorist describes The Black Bull of Norroway as the same story as Beauty and the Beast. This can be useful as a shorthand but can also erase the coloring and details of a story.[105]
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Vladimir Propp specifically studied a collection of Russian fairy tales, but his analysis has been found useful for the tales of other countries.[106] Having criticized Aarne-Thompson type analysis for ignoring what motifs did in stories, and because the motifs used were not clearly distinct,[107] he analyzed the tales for the function each character and action fulfilled and concluded that a tale was composed of thirty-one elements ('functions') and seven characters or 'spheres of action' ('the princess and her father' are a single sphere). While the elements were not all required for all tales, when they appeared they did so in an invariant order – except that each individual element might be negated twice, so that it would appear three times, as when, in Brother and Sister, the brother resists drinking from enchanted streams twice, so that it is the third that enchants him.[108] Propp's 31 functions also fall within six 'stages' (preparation, complication, transference, struggle, return, recognition), and a stage can also be repeated, which can affect the perceived order of elements.
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One such element is the donor who gives the hero magical assistance, often after testing him.[109] In The Golden Bird, the talking fox tests the hero by warning him against entering an inn and, after he succeeds, helps him find the object of his quest; in The Boy Who Drew Cats, the priest advised the hero to stay in small places at night, which protects him from an evil spirit; in Cinderella, the fairy godmother gives Cinderella the dresses she needs to attend the ball, as their mothers' spirits do in Bawang Putih Bawang Merah and The Wonderful Birch; in The Fox Sister, a Buddhist monk gives the brothers magical bottles to protect against the fox spirit. The roles can be more complicated.[110] In The Red Ettin, the role is split into the mother—who offers the hero the whole of a journey cake with her curse or half with her blessing—and when he takes the half, a fairy who gives him advice; in Mr Simigdáli, the sun, the moon, and the stars all give the heroine a magical gift. Characters who are not always the donor can act like the donor.[111] In Kallo and the Goblins, the villain goblins also give the heroine gifts, because they are tricked; in Schippeitaro, the evil cats betray their secret to the hero, giving him the means to defeat them. Other fairy tales, such as The Story of the Youth Who Went Forth to Learn What Fear Was, do not feature the donor.
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Analogies have been drawn between this and the analysis of myths into the hero's journey.[112]
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Many fairy tales have been interpreted for their (purported) significance. One mythological interpretation saw many fairy tales, including Hansel and Gretel, Sleeping Beauty, and The Frog King, as solar myths; this mode of interpretation subsequently became rather less popular.[113] Freudian, Jungian, and other psychological analyses have also explicated many tales, but no mode of interpretation has established itself definitively.[114]
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Specific analyses have often been criticized[by whom?] for lending great importance to motifs that are not, in fact, integral to the tale; this has often stemmed from treating one instance of a fairy tale as the definitive text, where the tale has been told and retold in many variations.[115] In variants of Bluebeard, the wife's curiosity is betrayed by a blood-stained key, by an egg's breaking, or by the singing of a rose she wore, without affecting the tale, but interpretations of specific variants have claimed that the precise object is integral to the tale.[116]
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Other folklorists have interpreted tales as historical documents. Many[quantify] German folklorists, believing the tales to have preserved details from ancient times, have used the Grimms' tales to explain ancient customs.[117]
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One approach sees the topography of European Märchen as echoing the period immediately following the last Ice Age.[118]
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Other folklorists have explained the figure of the wicked stepmother in a historical/sociological context: many women did die in childbirth, their husbands remarried, and the new stepmothers competed with the children of the first marriage for resources.[119]
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In a 2012 lecture, Jack Zipes reads fairy tales as examples of what he calls "childism". He suggests that there are terrible aspects to the tales, which (among other things) have conditioned children to accept mistreatment and even abuse.[120]
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Fairy tales have inspired music, namely opera, such as the French Opéra féerie and the German Märchenoper. French examples include Gretry's Zémire et Azor, and Auber's Le cheval de bronze, German operas are Mozart's Die Zauberflöte, Humperdinck's Hänsel und Gretel, Siegfried Wagner's An allem ist Hütchen schuld!, which is based on many fairy tales, and Carl Orff's Die Kluge. Even contemporary fairy tales have been written for the purpose of inspiration in the music world. "Raven Girl" by Audrey Niffenegger was written to inspire a new dance for the Royal Ballet in London.
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The song "Singring and the Glass Guitar" by the American band Utopia, recorded for their album "Ra", is called "An Electrified Fairytale". Composed by the four members of the band, Roger Powell, Kasim Sulton, Willie Wilcox and Todd Rundgren, it tells the story of the theft of the Glass Guitar by Evil Forces, which has to be recovered by the four heroes.
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A fairy tale, fairytale, wonder tale, magic tale, or Märchen is an instance of a folklore genre that takes the form of a short story. Such stories typically feature entities such as dwarfs, dragons, elves, fairies, giants, gnomes, goblins, griffins, mermaids, talking animals, trolls, unicorns, or witches, and usually magic or enchantments. In most cultures, there is no clear line separating myth from folk or fairy tale; all these together form the literature of preliterate societies.[1] Fairy tales may be distinguished from other folk narratives such as legends (which generally involve belief in the veracity of the events described)[2] and explicit moral tales, including beast fables.
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In less technical contexts, the term is also used to describe something blessed with unusual happiness, as in "fairy-tale ending" (a happy ending)[3] or "fairy-tale romance". Colloquially, the term "fairy tale" or "fairy story" can also mean any far-fetched story or tall tale; it is used especially of any story that not only is not true, but could not possibly be true. Legends are perceived[by whom?] as real; fairy tales may merge into legends, where the narrative is perceived both by teller and hearers as being grounded in historical truth. However, unlike legends and epics, fairy tales usually do not contain more than superficial references to religion and to actual places, people, and events; they take place "once upon a time" rather than in actual times.[4]
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Fairy tales occur both in oral and in literary form; the name "fairy tale" ("conte de fées" in French) was first ascribed to them by Madame d'Aulnoy in the late 17th century. Many of today's fairy tales have evolved from centuries-old stories that have appeared, with variations, in multiple cultures around the world.[5] The history of the fairy tale is particularly difficult to trace because only the literary forms can survive. Still, according to researchers at universities in Durham and Lisbon, such stories may date back thousands of years, some to the Bronze Age more than 6,500 years ago.[6][7] Fairy tales, and works derived from fairy tales, are still written today.
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Folklorists have classified fairy tales in various ways. The Aarne-Thompson classification system and the morphological analysis of Vladimir Propp are among the most notable. Other folklorists have interpreted the tales' significance, but no school has been definitively established for the meaning of the tales.
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Some folklorists prefer to use the German term Märchen or "wonder tale"[8] to refer to the genre rather than fairy tale, a practice given weight by the definition of Thompson in his 1977 [1946] edition of The Folktale: "a tale of some length involving a succession of motifs or episodes. It moves in an unreal world without definite locality or definite creatures and is filled with the marvellous. In this never-never land, humble heroes kill adversaries, succeed to kingdoms and marry princesses."[9] The characters and motifs of fairy tales are simple and archetypal: princesses and goose-girls; youngest sons and gallant princes; ogres, giants, dragons, and trolls; wicked stepmothers and false heroes; fairy godmothers and other magical helpers, often talking horses, or foxes, or birds; glass mountains; and prohibitions and breaking of prohibitions.[10]
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Although the fairy tale is a distinct genre within the larger category of folktale, the definition that marks a work as a fairy tale is a source of considerable dispute.[11] The term itself comes from the translation of Madame D'Aulnoy's Conte de fées, first used in her collection in 1697.[12] Common parlance conflates fairy tales with beast fables and other folktales, and scholars differ on the degree to which the presence of fairies and/or similarly mythical beings (e.g., elves, goblins, trolls, giants, huge monsters, or mermaids) should be taken as a differentiator. Vladimir Propp, in his Morphology of the Folktale, criticized the common distinction between "fairy tales" and "animal tales" on the grounds that many tales contained both fantastic elements and animals.[13] Nevertheless, to select works for his analysis, Propp used all Russian folktales classified as a folklore Aarne-Thompson 300-749 – in a cataloguing system that made such a distinction – to gain a clear set of tales.[14] His own analysis identified fairy tales by their plot elements, but that in itself has been criticized, as the analysis does not lend itself easily to tales that do not involve a quest, and furthermore, the same plot elements are found in non-fairy tale works.[15]
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Were I asked, what is a fairytale? I should reply, Read Undine: that is a fairytale ... of all fairytales I know, I think Undine the most beautiful.
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As Stith Thompson points out, talking animals and the presence of magic seem to be more common to the fairy tale than fairies themselves.[16] However, the mere presence of animals that talk does not make a tale a fairy tale, especially when the animal is clearly a mask on a human face, as in fables.[17]
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In his essay "On Fairy-Stories", J. R. R. Tolkien agreed with the exclusion of "fairies" from the definition, defining fairy tales as stories about the adventures of men in Faërie, the land of fairies, fairytale princes and princesses, dwarves, elves, and not only other magical species but many other marvels.[18] However, the same essay excludes tales that are often considered fairy tales, citing as an example The Monkey's Heart, which Andrew Lang included in The Lilac Fairy Book.[17]
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Steven Swann Jones identified the presence of magic as the feature by which fairy tales can be distinguished from other sorts of folktales.[19] Davidson and Chaudri identify "transformation" as the key feature of the genre.[8] From a psychological point of view, Jean Chiriac argued for the necessity of the fantastic in these narratives.[20]
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In terms of aesthetic values, Italo Calvino cited the fairy tale as a prime example of "quickness" in literature, because of the economy and concision of the tales.[21]
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Originally, stories that would contemporarily be considered fairy tales were not marked out as a separate genre. The German term "Märchen" stems from the old German word "Mär", which means story or tale. The word "Märchen" is the diminutive of the word "Mär", therefore it means a "little story". Together with the common beginning "once upon a time" it means a fairy tale or a märchen was originally a little story from a long time ago when the world was still magic. (Indeed, one less regular German opening is "In the old times when wishing was still effective".)
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The English term "fairy tale" stems from the fact that the French contes often included fairies.
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Roots of the genre come from different oral stories passed down in European cultures. The genre was first marked out by writers of the Renaissance, such as Giovanni Francesco Straparola and Giambattista Basile, and stabilized through the works of later collectors such as Charles Perrault and the Brothers Grimm.[22] In this evolution, the name was coined when the précieuses took up writing literary stories; Madame d'Aulnoy invented the term Conte de fée, or fairy tale, in the late 17th century.[23]
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Before the definition of the genre of fantasy, many works that would now be classified as fantasy were termed "fairy tales", including Tolkien's The Hobbit, George Orwell's Animal Farm, and L. Frank Baum's The Wonderful Wizard of Oz.[24] Indeed, Tolkien's "On Fairy-Stories" includes discussions of world-building and is considered a vital part of fantasy criticism. Although fantasy, particularly the subgenre of fairytale fantasy, draws heavily on fairy tale motifs,[25] the genres are now regarded as distinct.
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The fairy tale, told orally, is a sub-class of the folktale. Many writers have written in the form of the fairy tale. These are the literary fairy tales, or Kunstmärchen.[12] The oldest forms, from Panchatantra to the Pentamerone, show considerable reworking from the oral form.[26] The Grimm brothers were among the first to try to preserve the features of oral tales. Yet the stories printed under the Grimm name have been considerably reworked to fit the written form.[27]
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Literary fairy tales and oral fairy tales freely exchanged plots, motifs, and elements with one another and with the tales of foreign lands.[28] The literary fairy tale came into fashion during the 17th century, developed by aristocratic women as a parlour game. This, in turn, helped to maintain the oral tradition. According to Jack Zipes, "The subject matter of the conversations consisted of literature, mores, taste, and etiquette, whereby the speakers all endeavoured to portray ideal situations in the most effective oratorical style that would gradually have a major effect on literary forms." [29] Many 18th-century folklorists attempted to recover the "pure" folktale, uncontaminated by literary versions. Yet while oral fairy tales likely existed for thousands of years before the literary forms, there is no pure folktale, and each literary fairy tale draws on folk traditions, if only in parody.[30] This makes it impossible to trace forms of transmission of a fairy tale. Oral story-tellers have been known to read literary fairy tales to increase their own stock of stories and treatments.[31]
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The oral tradition of the fairy tale came long before the written page. Tales were told or enacted dramatically, rather than written down, and handed down from generation to generation. Because of this, the history of their development is necessarily obscure and blurred. Fairy tales appear, now and again, in written literature throughout literate cultures, as in The Golden Ass, which includes Cupid and Psyche (Roman, 100–200 AD),[32] or the Panchatantra (India 3rd century BC),[32] but it is unknown to what extent these reflect the actual folk tales even of their own time. The stylistic evidence indicates that these, and many later collections, reworked folk tales into literary forms.[26] What they do show is that the fairy tale has ancient roots, older than the Arabian Nights collection of magical tales (compiled circa 1500 AD),[32] such as Vikram and the Vampire, and Bel and the Dragon. Besides such collections and individual tales, in China, Taoist philosophers such as Liezi and Zhuangzi recounted fairy tales in their philosophical works.[33] In the broader definition of the genre, the first famous Western fairy tales are those of Aesop (6th century BC) in ancient Greece.
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Scholarship point that Medieval literature contains early versions or predecessor of later known tales and motifs, such as the grateful dead, the bird lover or quest for the lost wife.[34]
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Jack Zipes writes in When Dreams Came True, "There are fairy tale elements in Chaucer's The Canterbury Tales, Edmund Spenser's The Faerie Queene, and ... in many of William Shakespeare plays."[35] King Lear can be considered a literary variant of fairy tales such as Water and Salt and Cap O' Rushes.[36] The tale itself resurfaced in Western literature in the 16th and 17th centuries, with The Facetious Nights of Straparola by Giovanni Francesco Straparola (Italy, 1550 and 1553),[32] which contains many fairy tales in its inset tales, and the Neapolitan tales of Giambattista Basile (Naples, 1634–36),[32] which are all fairy tales.[37] Carlo Gozzi made use of many fairy tale motifs among his Commedia dell'Arte scenarios,[38] including among them one based on The Love For Three Oranges (1761).[39] Simultaneously, Pu Songling, in China, included many fairy tales in his collection, Strange Stories from a Chinese Studio (published posthumously, 1766).[33] The fairy tale itself became popular among the précieuses of upper-class France (1690–1710),[32] and among the tales told in that time were the ones of La Fontaine and the Contes of Charles Perrault (1697), who fixed the forms of Sleeping Beauty and Cinderella.[40] Although Straparola's, Basile's and Perrault's collections contain the oldest known forms of various fairy tales, on the stylistic evidence, all the writers rewrote the tales for literary effect.[41]
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In the mid-17th century, a vogue for magical tales emerged among the intellectuals who frequented the salons of Paris. These salons were regular gatherings hosted by prominent aristocratic women, where women and men could gather together to discuss the issues of the day.
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In the 1630s, aristocratic women began to gather in their own living rooms, salons, in order to discuss the topics of their choice: arts and letters, politics, and social matters of immediate concern to the women of their class: marriage, love, financial and physical independence, and access to education. This was a time when women were barred from receiving a formal education. Some of the most gifted women writers of the period came out of these early salons (such as Madeleine de Scudéry and Madame de Lafayette), which encouraged women's independence and pushed against the gender barriers that defined their lives. The salonnières argued particularly for love and intellectual compatibility between the sexes, opposing the system of arranged marriages.
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Sometime in the middle of the 17th century, a passion for the conversational parlour game based on the plots of old folk tales swept through the salons. Each salonnière was called upon to retell an old tale or rework an old theme, spinning clever new stories that not only showcased verbal agility and imagination but also slyly commented on the conditions of aristocratic life. Great emphasis was placed on a mode of delivery that seemed natural and spontaneous. The decorative language of the fairy tales served an important function: disguising the rebellious subtext of the stories and sliding them past the court censors. Critiques of court life (and even of the king) were embedded in extravagant tales and in dark, sharply dystopian ones. Not surprisingly, the tales by women often featured young (but clever) aristocratic girls whose lives were controlled by the arbitrary whims of fathers, kings, and elderly wicked fairies, as well as tales in which groups of wise fairies (i.e., intelligent, independent women) stepped in and put all to rights.
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The salon tales as they were originally written and published have been preserved in a monumental work called Le Cabinet des Fées, an enormous collection of stories from the 17th and 18th centuries.[12]
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The first collectors to attempt to preserve not only the plot and characters of the tale, but also the style in which they were told, was the Brothers Grimm, collecting German fairy tales; ironically, this meant although their first edition (1812 & 1815)[32] remains a treasure for folklorists, they rewrote the tales in later editions to make them more acceptable, which ensured their sales and the later popularity of their work.[42]
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Such literary forms did not merely draw from the folktale, but also influenced folktales in turn. The Brothers Grimm rejected several tales for their collection, though told orally to them by Germans, because the tales derived from Perrault, and they concluded they were thereby French and not German tales; an oral version of Bluebeard was thus rejected, and the tale of Little Briar Rose, clearly related to Perrault's The Sleeping Beauty, was included only because Jacob Grimm convinced his brother that the figure of Brynhildr, from much earlier Norse mythology, proved that the sleeping princess was authentically Germanic folklore.[43]
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This consideration of whether to keep Sleeping Beauty reflected a belief common among folklorists of the 19th century: that the folk tradition preserved fairy tales in forms from pre-history except when "contaminated" by such literary forms, leading people to tell inauthentic tales.[44] The rural, illiterate, and uneducated peasants, if suitably isolated, were the folk and would tell pure folk tales.[45] Sometimes they regarded fairy tales as a form of fossil, the remnants of a once-perfect tale.[46] However, further research has concluded that fairy tales never had a fixed form, and regardless of literary influence, the tellers constantly altered them for their own purposes.[47]
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The work of the Brothers Grimm influenced other collectors, both inspiring them to collect tales and leading them to similarly believe, in a spirit of romantic nationalism, that the fairy tales of a country were particularly representative of it, to the neglect of cross-cultural influence. Among those influenced were the Russian Alexander Afanasyev (first published in 1866),[32] the Norwegians Peter Christen Asbjørnsen and Jørgen Moe (first published in 1845),[32] the Romanian Petre Ispirescu (first published in 1874), the English Joseph Jacobs (first published in 1890),[32] and Jeremiah Curtin, an American who collected Irish tales (first published in 1890).[30] Ethnographers collected fairy tales throughout the world, finding similar tales in Africa, the Americas, and Australia; Andrew Lang was able to draw on not only the written tales of Europe and Asia, but those collected by ethnographers, to fill his "coloured" fairy books series.[48] They also encouraged other collectors of fairy tales, as when Yei Theodora Ozaki created a collection, Japanese Fairy Tales (1908), after encouragement from Lang.[49] Simultaneously, writers such as Hans Christian Andersen and George MacDonald continued the tradition of literary fairy tales. Andersen's work sometimes drew on old folktales, but more often deployed fairytale motifs and plots in new tales.[50] MacDonald incorporated fairytale motifs both in new literary fairy tales, such as The Light Princess, and in works of the genre that would become fantasy, as in The Princess and the Goblin or Lilith.[51]
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Two theories of origins, have attempted to explain the common elements in fairy tales found spread over continents. One is that a single point of origin generated any given tale, which then spread over the centuries; the other is that such fairy tales stem from common human experience and therefore can appear separately in many different origins.[52]
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Fairy tales with very similar plots, characters, and motifs are found spread across many different cultures. Many researchers hold this to be caused by the spread of such tales, as people repeat tales they have heard in foreign lands, although the oral nature makes it impossible to trace the route except by inference.[53] Folklorists have attempted to determine the origin by internal evidence, which can not always be clear; Joseph Jacobs, comparing the Scottish tale The Ridere of Riddles with the version collected by the Brothers Grimm, The Riddle, noted that in The Ridere of Riddles one hero ends up polygamously married, which might point to an ancient custom, but in The Riddle, the simpler riddle might argue greater antiquity.[54]
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Folklorists of the "Finnish" (or historical-geographical) school attempted to place fairy tales to their origin, with inconclusive results.[55] Sometimes influence, especially within a limited area and time, is clearer, as when considering the influence of Perrault's tales on those collected by the Brothers Grimm. Little Briar-Rose appears to stem from Perrault's The Sleeping Beauty, as the Grimms' tale appears to be the only independent German variant.[56] Similarly, the close agreement between the opening of the Grimms' version of Little Red Riding Hood and Perrault's tale points to an influence, although the Grimms' version adds a different ending (perhaps derived from The Wolf and the Seven Young Kids).[57]
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Fairy tales tend to take on the color of their location, through the choice of motifs, the style in which they are told, and the depiction of character and local color.[58]
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The Brothers Grimm believed that European fairy tales derived from the cultural history shared by all Indo-European peoples and were therefore ancient, far older than written records. This view is supported by research by the anthropologist Jamie Tehrani and the folklorist Sara Graca Da Silva using phylogenetic analysis, a technique developed by evolutionary biologists to trace the relatedness of living and fossil species. Among the tales analysed were Jack and the Beanstalk, traced to the time of splitting of Eastern and Western Indo-European, over 5000 years ago. Both Beauty and the Beast and Rumpelstiltskin appear to have been created some 4000 years ago. The story of The Smith and the Devil (Deal with the Devil) appears to date from the Bronze Age, some 6000 years ago.[59] However, the choice of the corpus of folktales[60] and the method used by this study[61] both make the results very suspicious. On the other hand, various studies converge to show that some fairy tales, for example the swan maiden,[62] could go back to the Upper Palaeolithic.
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Originally, adults were the audience of a fairy tale just as often as children.[63] Literary fairy tales appeared in works intended for adults, but in the 19th and 20th centuries the fairy tale became associated with children's literature.
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The précieuses, including Madame d'Aulnoy, intended their works for adults, but regarded their source as the tales that servants, or other women of lower class, would tell to children.[64] Indeed, a novel of that time, depicting a countess's suitor offering to tell such a tale, has the countess exclaim that she loves fairy tales as if she were still a child.[65] Among the late précieuses, Jeanne-Marie Le Prince de Beaumont redacted a version of Beauty and the Beast for children, and it is her tale that is best known today.[66] The Brothers Grimm titled their collection Children's and Household Tales and rewrote their tales after complaints that they were not suitable for children.[67]
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In the modern era, fairy tales were altered so that they could be read to children. The Brothers Grimm concentrated mostly on sexual references;[68] Rapunzel, in the first edition, revealed the prince's visits by asking why her clothing had grown tight, thus letting the witch deduce that she was pregnant, but in subsequent editions carelessly revealed that it was easier to pull up the prince than the witch.[69] On the other hand, in many respects, violence—particularly when punishing villains—was increased.[70] Other, later, revisions cut out violence; J. R. R. Tolkien noted that The Juniper Tree often had its cannibalistic stew cut out in a version intended for children.[71] The moralizing strain in the Victorian era altered the classical tales to teach lessons, as when George Cruikshank rewrote Cinderella in 1854 to contain temperance themes. His acquaintance Charles Dickens protested, "In an utilitarian age, of all other times, it is a matter of grave importance that fairy tales should be respected."[72][73]
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Psychoanalysts such as Bruno Bettelheim, who regarded the cruelty of older fairy tales as indicative of psychological conflicts, strongly criticized this expurgation, because it weakened their usefulness to both children and adults as ways of symbolically resolving issues.[74] Fairy tales do teach children how to deal with difficult times. To quote Rebecca Walters (2017, p. 56) “Fairytales and folktales are part of the cultural conserve that can be used to address children’s fears …. and give them some role training in an approach that honors the children’s window of tolerance”. These fairy tales teach children how to deal with certain social situations and helps them to find their place in society.[75] Fairy tales teach children other important lessons too. For example, Tsitsani et al. carried out a study on children to determine the benefits of fairy tales. Parents of the children who took part in the study found that fairy tales, especially the color in them, triggered their child's imagination as the read them.[76]Jungian Analyst and fairy tale scholar, Marie Louise Von Franz interprets fairy tales[77] based on Jung's view of fairy tales as a spontaneous and naive product of soul, which can only express what soul is.[78] That means, she looks at fairy tales as images of different phases of experiencing the reality of the soul. They are the “purest and simplest expression of collective unconscious psychic processes” and “they represent the archetypes in their simplest, barest and most concise form” because they are less overlaid with conscious material than myths and legends. “In this pure form, the archetypal images afford us the best clues to the understanding of the processes going on in the collective psyche”. “The fairy tale itself is its own best explanation; that is, its meaning is contained in the totality of its motifs connected by the thread of the story. [...] Every fairy tale is a relatively closed system compounding one essential psychological meaning which is expressed in a series of symbolical pictures and events and is discoverable in these”. “I have come to the conclusion that all fairy tales endeavour to describe one and the same psychic fact, but a fact so complex and far-reaching and so difficult for us to realize in all its different aspects that hundreds of tales and thousands of repetitions with a musician’s variation are needed until this unknown fact is delivered into consciousness; and even then the theme is not exhausted. This unknown fact is what Jung calls the Self, which is the psychic reality of the collective unconscious. [...] Every archetype is in its essence only one aspect of the collective unconscious as well as always representing also the whole collective unconscious.[79]
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Other famous people commented on the importance of fairy tales, especially for children. For example, Albert Einstein once showed how important he believed fairy tales were for children’s intelligence in the quote “If you want your children to be intelligent, read them fairytales. If you want them to be more intelligent, read them more fairytales."[80]
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The adaptation of fairy tales for children continues. Walt Disney's influential Snow White and the Seven Dwarfs was largely (although certainly not solely) intended for the children's market.[81] The anime Magical Princess Minky Momo draws on the fairy tale Momotarō.[82] Jack Zipes has spent many years working to make the older traditional stories accessible to modern readers and their children.[83]
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Many fairy tales feature an absentee mother, as an example Beauty and the Beast, The Little Mermaid, Little Red Riding Hood and Donkeyskin, where the mother is deceased or absent and unable to help the heroines. Mothers are depicted as absent or wicked in the most popular contemporary versions of tales like Rapunzel, Snow White, Cinderella and Hansel and Gretel, however,
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some lesser known tales or variants such as those found in volumes edited by Angela Carter and Jane Yolen depict mothers in a more positive light.[84]
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Carter's protagonist in The Bloody Chamber is an impoverished piano student married to a Marquis who was much older than herself to "banish the spectre of poverty". The story a variant on Bluebeard, a tale about a wealthy man who murders numerous young women. Carter's protagonist, who is unnamed, describes her mother as "eagle-featured" and "indomitable". Her mother is depicted as a woman who is prepared for violence, instead of hiding from it or sacrificing herself to it. The protagonist recalls how her mother kept an "antique service revolver" and once "shot a man-eating tiger with her own hand."[84]
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In contemporary literature, many authors have used the form of fairy tales for various reasons, such as examining the human condition from the simple framework a fairytale provides.[85] Some authors seek to recreate a sense of the fantastic in a contemporary discourse.[86] Some writers use fairy tale forms for modern issues;[87] this can include using the psychological dramas implicit in the story, as when Robin McKinley retold Donkeyskin as the novel Deerskin, with emphasis on the abusive treatment the father of the tale dealt to his daughter.[88] Sometimes, especially in children's literature, fairy tales are retold with a twist simply for comic effect, such as The Stinky Cheese Man by Jon Scieszka and The ASBO Fairy Tales by Chris Pilbeam. A common comic motif is a world where all the fairy tales take place, and the characters are aware of their role in the story,[89] such as in the film series Shrek.
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Other authors may have specific motives, such as multicultural or feminist reevaluations of predominantly Eurocentric masculine-dominated fairy tales, implying critique of older narratives.[90] The figure of the damsel in distress has been particularly attacked by many feminist critics. Examples of narrative reversal rejecting this figure include The Paperbag Princess by Robert Munsch, a picture book aimed at children in which a princess rescues a prince, and Angela Carter's The Bloody Chamber, which retells a number of fairy tales from a female point of view.[91]
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There are also many contemporary erotic retellings of fairy tales, which explicitly draw upon the original spirit of the tales, and are specifically for adults. Modern retellings focus on exploring the tale through use of the erotic, explicit sexuality, dark and/or comic themes, female empowerment, fetish and BDSM, multicultural, and heterosexual characters. Cleis Press has released several fairy tale themed erotic anthologies, including Fairy Tale Lust, Lustfully Ever After, and A Princess Bound.
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It may be hard to lay down the rule between fairy tales and fantasies that use fairy tale motifs, or even whole plots, but the distinction is commonly made, even within the works of a single author: George MacDonald's Lilith and Phantastes are regarded as fantasies, while his "The Light Princess", "The Golden Key", and "The Wise Woman" are commonly called fairy tales. The most notable distinction is that fairytale fantasies, like other fantasies, make use of novelistic writing conventions of prose, characterization, or setting.[92]
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Fairy tales have been enacted dramatically; records exist of this in commedia dell'arte,[93] and later in pantomime.[94] The advent of cinema has meant that such stories could be presented in a more plausible manner, with the use of special effects and animation. The Walt Disney Company has had a significant impact on the evolution of the fairy tale film. Some of the earliest short silent films from the Disney studio were based on fairy tales, and some fairy tales were adapted into shorts in the musical comedy series "Silly Symphony", such as Three Little Pigs. Walt Disney's first feature-length film Snow White and the Seven Dwarfs, released in 1937, was a ground-breaking film for fairy tales and, indeed, fantasy in general.[81] Disney and his creative successors have returned to traditional and literary fairy tales numerous times with films such as Cinderella (1950), Sleeping Beauty (1959), The Little Mermaid (1989) and Beauty and the Beast (1991). Disney's influence helped establish the fairy tale genre as a genre for children, and has been accused by some of bowdlerizing the gritty naturalism – and sometimes unhappy endings – of many folk fairy tales.[88] However, others note that the softening of fairy tales occurred long before Disney, some of which was even done by the Grimm brothers themselves.[95][96]
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Many filmed fairy tales have been made primarily for children, from Disney's later works to Aleksandr Rou's retelling of Vasilissa the Beautiful, the first Soviet film to use Russian folk tales in a big-budget feature.[97] Others have used the conventions of fairy tales to create new stories with sentiments more relevant to contemporary life, as in Labyrinth,[98] My Neighbor Totoro, Happily N'Ever After, and the films of Michel Ocelot.[99]
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Other works have retold familiar fairy tales in a darker, more horrific or psychological variant aimed primarily at adults. Notable examples are Jean Cocteau's Beauty and the Beast[100] and The Company of Wolves, based on Angela Carter's retelling of Little Red Riding Hood.[101] Likewise, Princess Mononoke,[102] Pan's Labyrinth,[103] Suspiria, and Spike[104] create new stories in this genre from fairy tale and folklore motifs.
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In comics and animated TV series, The Sandman, Revolutionary Girl Utena, Princess Tutu, Fables and MÄR all make use of standard fairy tale elements to various extents but are more accurately categorised as fairytale fantasy due to the definite locations and characters which a longer narrative requires.
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A more modern cinematic fairy tale would be Luchino Visconti's Le Notti Bianche, starring Marcello Mastroianni before he became a superstar. It involves many of the romantic conventions of fairy tales, yet it takes place in post-World War II Italy, and it ends realistically.
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Any comparison of fairy tales quickly discovers that many fairy tales have features in common with each other. Two of the most influential classifications are those of Antti Aarne, as revised by Stith Thompson into the Aarne-Thompson classification system, and Vladimir Propp's Morphology of the Folk Tale.
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This system groups fairy and folk tales according to their overall plot. Common, identifying features are picked out to decide which tales are grouped together. Much therefore depends on what features are regarded as decisive.
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For instance, tales like Cinderella – in which a persecuted heroine, with the help of the fairy godmother or similar magical helper, attends an event (or three) in which she wins the love of a prince and is identified as his true bride—are classified as type 510, the persecuted heroine. Some such tales are The Wonderful Birch; Aschenputtel; Katie Woodencloak; The Story of Tam and Cam; Ye Xian; Cap O' Rushes; Catskin; Fair, Brown and Trembling; Finette Cendron; Allerleirauh.
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Further analysis of the tales shows that in Cinderella, The Wonderful Birch, The Story of Tam and Cam, Ye Xian, and Aschenputtel, the heroine is persecuted by her stepmother and refused permission to go to the ball or other event, and in Fair, Brown and Trembling and Finette Cendron by her sisters and other female figures, and these are grouped as 510A; while in Cap O' Rushes, Catskin, and Allerleirauh, the heroine is driven from home by her father's persecutions, and must take work in a kitchen elsewhere, and these are grouped as 510B. But in Katie Woodencloak, she is driven from home by her stepmother's persecutions and must take service in a kitchen elsewhere, and in Tattercoats, she is refused permission to go to the ball by her grandfather. Given these features common with both types of 510, Katie Woodencloak is classified as 510A because the villain is the stepmother, and Tattercoats as 510B because the grandfather fills the father's role.
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This system has its weaknesses in the difficulty of having no way to classify subportions of a tale as motifs. Rapunzel is type 310 (The Maiden in the Tower), but it opens with a child being demanded in return for stolen food, as does Puddocky; but Puddocky is not a Maiden in the Tower tale, while The Canary Prince, which opens with a jealous stepmother, is.
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It also lends itself to emphasis on the common elements, to the extent that the folklorist describes The Black Bull of Norroway as the same story as Beauty and the Beast. This can be useful as a shorthand but can also erase the coloring and details of a story.[105]
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Vladimir Propp specifically studied a collection of Russian fairy tales, but his analysis has been found useful for the tales of other countries.[106] Having criticized Aarne-Thompson type analysis for ignoring what motifs did in stories, and because the motifs used were not clearly distinct,[107] he analyzed the tales for the function each character and action fulfilled and concluded that a tale was composed of thirty-one elements ('functions') and seven characters or 'spheres of action' ('the princess and her father' are a single sphere). While the elements were not all required for all tales, when they appeared they did so in an invariant order – except that each individual element might be negated twice, so that it would appear three times, as when, in Brother and Sister, the brother resists drinking from enchanted streams twice, so that it is the third that enchants him.[108] Propp's 31 functions also fall within six 'stages' (preparation, complication, transference, struggle, return, recognition), and a stage can also be repeated, which can affect the perceived order of elements.
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One such element is the donor who gives the hero magical assistance, often after testing him.[109] In The Golden Bird, the talking fox tests the hero by warning him against entering an inn and, after he succeeds, helps him find the object of his quest; in The Boy Who Drew Cats, the priest advised the hero to stay in small places at night, which protects him from an evil spirit; in Cinderella, the fairy godmother gives Cinderella the dresses she needs to attend the ball, as their mothers' spirits do in Bawang Putih Bawang Merah and The Wonderful Birch; in The Fox Sister, a Buddhist monk gives the brothers magical bottles to protect against the fox spirit. The roles can be more complicated.[110] In The Red Ettin, the role is split into the mother—who offers the hero the whole of a journey cake with her curse or half with her blessing—and when he takes the half, a fairy who gives him advice; in Mr Simigdáli, the sun, the moon, and the stars all give the heroine a magical gift. Characters who are not always the donor can act like the donor.[111] In Kallo and the Goblins, the villain goblins also give the heroine gifts, because they are tricked; in Schippeitaro, the evil cats betray their secret to the hero, giving him the means to defeat them. Other fairy tales, such as The Story of the Youth Who Went Forth to Learn What Fear Was, do not feature the donor.
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Analogies have been drawn between this and the analysis of myths into the hero's journey.[112]
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Many fairy tales have been interpreted for their (purported) significance. One mythological interpretation saw many fairy tales, including Hansel and Gretel, Sleeping Beauty, and The Frog King, as solar myths; this mode of interpretation subsequently became rather less popular.[113] Freudian, Jungian, and other psychological analyses have also explicated many tales, but no mode of interpretation has established itself definitively.[114]
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Specific analyses have often been criticized[by whom?] for lending great importance to motifs that are not, in fact, integral to the tale; this has often stemmed from treating one instance of a fairy tale as the definitive text, where the tale has been told and retold in many variations.[115] In variants of Bluebeard, the wife's curiosity is betrayed by a blood-stained key, by an egg's breaking, or by the singing of a rose she wore, without affecting the tale, but interpretations of specific variants have claimed that the precise object is integral to the tale.[116]
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Other folklorists have interpreted tales as historical documents. Many[quantify] German folklorists, believing the tales to have preserved details from ancient times, have used the Grimms' tales to explain ancient customs.[117]
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One approach sees the topography of European Märchen as echoing the period immediately following the last Ice Age.[118]
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Other folklorists have explained the figure of the wicked stepmother in a historical/sociological context: many women did die in childbirth, their husbands remarried, and the new stepmothers competed with the children of the first marriage for resources.[119]
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In a 2012 lecture, Jack Zipes reads fairy tales as examples of what he calls "childism". He suggests that there are terrible aspects to the tales, which (among other things) have conditioned children to accept mistreatment and even abuse.[120]
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Fairy tales have inspired music, namely opera, such as the French Opéra féerie and the German Märchenoper. French examples include Gretry's Zémire et Azor, and Auber's Le cheval de bronze, German operas are Mozart's Die Zauberflöte, Humperdinck's Hänsel und Gretel, Siegfried Wagner's An allem ist Hütchen schuld!, which is based on many fairy tales, and Carl Orff's Die Kluge. Even contemporary fairy tales have been written for the purpose of inspiration in the music world. "Raven Girl" by Audrey Niffenegger was written to inspire a new dance for the Royal Ballet in London.
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The song "Singring and the Glass Guitar" by the American band Utopia, recorded for their album "Ra", is called "An Electrified Fairytale". Composed by the four members of the band, Roger Powell, Kasim Sulton, Willie Wilcox and Todd Rundgren, it tells the story of the theft of the Glass Guitar by Evil Forces, which has to be recovered by the four heroes.
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A fairy tale, fairytale, wonder tale, magic tale, or Märchen is an instance of a folklore genre that takes the form of a short story. Such stories typically feature entities such as dwarfs, dragons, elves, fairies, giants, gnomes, goblins, griffins, mermaids, talking animals, trolls, unicorns, or witches, and usually magic or enchantments. In most cultures, there is no clear line separating myth from folk or fairy tale; all these together form the literature of preliterate societies.[1] Fairy tales may be distinguished from other folk narratives such as legends (which generally involve belief in the veracity of the events described)[2] and explicit moral tales, including beast fables.
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In less technical contexts, the term is also used to describe something blessed with unusual happiness, as in "fairy-tale ending" (a happy ending)[3] or "fairy-tale romance". Colloquially, the term "fairy tale" or "fairy story" can also mean any far-fetched story or tall tale; it is used especially of any story that not only is not true, but could not possibly be true. Legends are perceived[by whom?] as real; fairy tales may merge into legends, where the narrative is perceived both by teller and hearers as being grounded in historical truth. However, unlike legends and epics, fairy tales usually do not contain more than superficial references to religion and to actual places, people, and events; they take place "once upon a time" rather than in actual times.[4]
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Fairy tales occur both in oral and in literary form; the name "fairy tale" ("conte de fées" in French) was first ascribed to them by Madame d'Aulnoy in the late 17th century. Many of today's fairy tales have evolved from centuries-old stories that have appeared, with variations, in multiple cultures around the world.[5] The history of the fairy tale is particularly difficult to trace because only the literary forms can survive. Still, according to researchers at universities in Durham and Lisbon, such stories may date back thousands of years, some to the Bronze Age more than 6,500 years ago.[6][7] Fairy tales, and works derived from fairy tales, are still written today.
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Folklorists have classified fairy tales in various ways. The Aarne-Thompson classification system and the morphological analysis of Vladimir Propp are among the most notable. Other folklorists have interpreted the tales' significance, but no school has been definitively established for the meaning of the tales.
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Some folklorists prefer to use the German term Märchen or "wonder tale"[8] to refer to the genre rather than fairy tale, a practice given weight by the definition of Thompson in his 1977 [1946] edition of The Folktale: "a tale of some length involving a succession of motifs or episodes. It moves in an unreal world without definite locality or definite creatures and is filled with the marvellous. In this never-never land, humble heroes kill adversaries, succeed to kingdoms and marry princesses."[9] The characters and motifs of fairy tales are simple and archetypal: princesses and goose-girls; youngest sons and gallant princes; ogres, giants, dragons, and trolls; wicked stepmothers and false heroes; fairy godmothers and other magical helpers, often talking horses, or foxes, or birds; glass mountains; and prohibitions and breaking of prohibitions.[10]
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Although the fairy tale is a distinct genre within the larger category of folktale, the definition that marks a work as a fairy tale is a source of considerable dispute.[11] The term itself comes from the translation of Madame D'Aulnoy's Conte de fées, first used in her collection in 1697.[12] Common parlance conflates fairy tales with beast fables and other folktales, and scholars differ on the degree to which the presence of fairies and/or similarly mythical beings (e.g., elves, goblins, trolls, giants, huge monsters, or mermaids) should be taken as a differentiator. Vladimir Propp, in his Morphology of the Folktale, criticized the common distinction between "fairy tales" and "animal tales" on the grounds that many tales contained both fantastic elements and animals.[13] Nevertheless, to select works for his analysis, Propp used all Russian folktales classified as a folklore Aarne-Thompson 300-749 – in a cataloguing system that made such a distinction – to gain a clear set of tales.[14] His own analysis identified fairy tales by their plot elements, but that in itself has been criticized, as the analysis does not lend itself easily to tales that do not involve a quest, and furthermore, the same plot elements are found in non-fairy tale works.[15]
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Were I asked, what is a fairytale? I should reply, Read Undine: that is a fairytale ... of all fairytales I know, I think Undine the most beautiful.
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As Stith Thompson points out, talking animals and the presence of magic seem to be more common to the fairy tale than fairies themselves.[16] However, the mere presence of animals that talk does not make a tale a fairy tale, especially when the animal is clearly a mask on a human face, as in fables.[17]
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In his essay "On Fairy-Stories", J. R. R. Tolkien agreed with the exclusion of "fairies" from the definition, defining fairy tales as stories about the adventures of men in Faërie, the land of fairies, fairytale princes and princesses, dwarves, elves, and not only other magical species but many other marvels.[18] However, the same essay excludes tales that are often considered fairy tales, citing as an example The Monkey's Heart, which Andrew Lang included in The Lilac Fairy Book.[17]
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Steven Swann Jones identified the presence of magic as the feature by which fairy tales can be distinguished from other sorts of folktales.[19] Davidson and Chaudri identify "transformation" as the key feature of the genre.[8] From a psychological point of view, Jean Chiriac argued for the necessity of the fantastic in these narratives.[20]
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In terms of aesthetic values, Italo Calvino cited the fairy tale as a prime example of "quickness" in literature, because of the economy and concision of the tales.[21]
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Originally, stories that would contemporarily be considered fairy tales were not marked out as a separate genre. The German term "Märchen" stems from the old German word "Mär", which means story or tale. The word "Märchen" is the diminutive of the word "Mär", therefore it means a "little story". Together with the common beginning "once upon a time" it means a fairy tale or a märchen was originally a little story from a long time ago when the world was still magic. (Indeed, one less regular German opening is "In the old times when wishing was still effective".)
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The English term "fairy tale" stems from the fact that the French contes often included fairies.
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Roots of the genre come from different oral stories passed down in European cultures. The genre was first marked out by writers of the Renaissance, such as Giovanni Francesco Straparola and Giambattista Basile, and stabilized through the works of later collectors such as Charles Perrault and the Brothers Grimm.[22] In this evolution, the name was coined when the précieuses took up writing literary stories; Madame d'Aulnoy invented the term Conte de fée, or fairy tale, in the late 17th century.[23]
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Before the definition of the genre of fantasy, many works that would now be classified as fantasy were termed "fairy tales", including Tolkien's The Hobbit, George Orwell's Animal Farm, and L. Frank Baum's The Wonderful Wizard of Oz.[24] Indeed, Tolkien's "On Fairy-Stories" includes discussions of world-building and is considered a vital part of fantasy criticism. Although fantasy, particularly the subgenre of fairytale fantasy, draws heavily on fairy tale motifs,[25] the genres are now regarded as distinct.
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The fairy tale, told orally, is a sub-class of the folktale. Many writers have written in the form of the fairy tale. These are the literary fairy tales, or Kunstmärchen.[12] The oldest forms, from Panchatantra to the Pentamerone, show considerable reworking from the oral form.[26] The Grimm brothers were among the first to try to preserve the features of oral tales. Yet the stories printed under the Grimm name have been considerably reworked to fit the written form.[27]
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Literary fairy tales and oral fairy tales freely exchanged plots, motifs, and elements with one another and with the tales of foreign lands.[28] The literary fairy tale came into fashion during the 17th century, developed by aristocratic women as a parlour game. This, in turn, helped to maintain the oral tradition. According to Jack Zipes, "The subject matter of the conversations consisted of literature, mores, taste, and etiquette, whereby the speakers all endeavoured to portray ideal situations in the most effective oratorical style that would gradually have a major effect on literary forms." [29] Many 18th-century folklorists attempted to recover the "pure" folktale, uncontaminated by literary versions. Yet while oral fairy tales likely existed for thousands of years before the literary forms, there is no pure folktale, and each literary fairy tale draws on folk traditions, if only in parody.[30] This makes it impossible to trace forms of transmission of a fairy tale. Oral story-tellers have been known to read literary fairy tales to increase their own stock of stories and treatments.[31]
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The oral tradition of the fairy tale came long before the written page. Tales were told or enacted dramatically, rather than written down, and handed down from generation to generation. Because of this, the history of their development is necessarily obscure and blurred. Fairy tales appear, now and again, in written literature throughout literate cultures, as in The Golden Ass, which includes Cupid and Psyche (Roman, 100–200 AD),[32] or the Panchatantra (India 3rd century BC),[32] but it is unknown to what extent these reflect the actual folk tales even of their own time. The stylistic evidence indicates that these, and many later collections, reworked folk tales into literary forms.[26] What they do show is that the fairy tale has ancient roots, older than the Arabian Nights collection of magical tales (compiled circa 1500 AD),[32] such as Vikram and the Vampire, and Bel and the Dragon. Besides such collections and individual tales, in China, Taoist philosophers such as Liezi and Zhuangzi recounted fairy tales in their philosophical works.[33] In the broader definition of the genre, the first famous Western fairy tales are those of Aesop (6th century BC) in ancient Greece.
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Scholarship point that Medieval literature contains early versions or predecessor of later known tales and motifs, such as the grateful dead, the bird lover or quest for the lost wife.[34]
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Jack Zipes writes in When Dreams Came True, "There are fairy tale elements in Chaucer's The Canterbury Tales, Edmund Spenser's The Faerie Queene, and ... in many of William Shakespeare plays."[35] King Lear can be considered a literary variant of fairy tales such as Water and Salt and Cap O' Rushes.[36] The tale itself resurfaced in Western literature in the 16th and 17th centuries, with The Facetious Nights of Straparola by Giovanni Francesco Straparola (Italy, 1550 and 1553),[32] which contains many fairy tales in its inset tales, and the Neapolitan tales of Giambattista Basile (Naples, 1634–36),[32] which are all fairy tales.[37] Carlo Gozzi made use of many fairy tale motifs among his Commedia dell'Arte scenarios,[38] including among them one based on The Love For Three Oranges (1761).[39] Simultaneously, Pu Songling, in China, included many fairy tales in his collection, Strange Stories from a Chinese Studio (published posthumously, 1766).[33] The fairy tale itself became popular among the précieuses of upper-class France (1690–1710),[32] and among the tales told in that time were the ones of La Fontaine and the Contes of Charles Perrault (1697), who fixed the forms of Sleeping Beauty and Cinderella.[40] Although Straparola's, Basile's and Perrault's collections contain the oldest known forms of various fairy tales, on the stylistic evidence, all the writers rewrote the tales for literary effect.[41]
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In the mid-17th century, a vogue for magical tales emerged among the intellectuals who frequented the salons of Paris. These salons were regular gatherings hosted by prominent aristocratic women, where women and men could gather together to discuss the issues of the day.
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In the 1630s, aristocratic women began to gather in their own living rooms, salons, in order to discuss the topics of their choice: arts and letters, politics, and social matters of immediate concern to the women of their class: marriage, love, financial and physical independence, and access to education. This was a time when women were barred from receiving a formal education. Some of the most gifted women writers of the period came out of these early salons (such as Madeleine de Scudéry and Madame de Lafayette), which encouraged women's independence and pushed against the gender barriers that defined their lives. The salonnières argued particularly for love and intellectual compatibility between the sexes, opposing the system of arranged marriages.
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Sometime in the middle of the 17th century, a passion for the conversational parlour game based on the plots of old folk tales swept through the salons. Each salonnière was called upon to retell an old tale or rework an old theme, spinning clever new stories that not only showcased verbal agility and imagination but also slyly commented on the conditions of aristocratic life. Great emphasis was placed on a mode of delivery that seemed natural and spontaneous. The decorative language of the fairy tales served an important function: disguising the rebellious subtext of the stories and sliding them past the court censors. Critiques of court life (and even of the king) were embedded in extravagant tales and in dark, sharply dystopian ones. Not surprisingly, the tales by women often featured young (but clever) aristocratic girls whose lives were controlled by the arbitrary whims of fathers, kings, and elderly wicked fairies, as well as tales in which groups of wise fairies (i.e., intelligent, independent women) stepped in and put all to rights.
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The salon tales as they were originally written and published have been preserved in a monumental work called Le Cabinet des Fées, an enormous collection of stories from the 17th and 18th centuries.[12]
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The first collectors to attempt to preserve not only the plot and characters of the tale, but also the style in which they were told, was the Brothers Grimm, collecting German fairy tales; ironically, this meant although their first edition (1812 & 1815)[32] remains a treasure for folklorists, they rewrote the tales in later editions to make them more acceptable, which ensured their sales and the later popularity of their work.[42]
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Such literary forms did not merely draw from the folktale, but also influenced folktales in turn. The Brothers Grimm rejected several tales for their collection, though told orally to them by Germans, because the tales derived from Perrault, and they concluded they were thereby French and not German tales; an oral version of Bluebeard was thus rejected, and the tale of Little Briar Rose, clearly related to Perrault's The Sleeping Beauty, was included only because Jacob Grimm convinced his brother that the figure of Brynhildr, from much earlier Norse mythology, proved that the sleeping princess was authentically Germanic folklore.[43]
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This consideration of whether to keep Sleeping Beauty reflected a belief common among folklorists of the 19th century: that the folk tradition preserved fairy tales in forms from pre-history except when "contaminated" by such literary forms, leading people to tell inauthentic tales.[44] The rural, illiterate, and uneducated peasants, if suitably isolated, were the folk and would tell pure folk tales.[45] Sometimes they regarded fairy tales as a form of fossil, the remnants of a once-perfect tale.[46] However, further research has concluded that fairy tales never had a fixed form, and regardless of literary influence, the tellers constantly altered them for their own purposes.[47]
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The work of the Brothers Grimm influenced other collectors, both inspiring them to collect tales and leading them to similarly believe, in a spirit of romantic nationalism, that the fairy tales of a country were particularly representative of it, to the neglect of cross-cultural influence. Among those influenced were the Russian Alexander Afanasyev (first published in 1866),[32] the Norwegians Peter Christen Asbjørnsen and Jørgen Moe (first published in 1845),[32] the Romanian Petre Ispirescu (first published in 1874), the English Joseph Jacobs (first published in 1890),[32] and Jeremiah Curtin, an American who collected Irish tales (first published in 1890).[30] Ethnographers collected fairy tales throughout the world, finding similar tales in Africa, the Americas, and Australia; Andrew Lang was able to draw on not only the written tales of Europe and Asia, but those collected by ethnographers, to fill his "coloured" fairy books series.[48] They also encouraged other collectors of fairy tales, as when Yei Theodora Ozaki created a collection, Japanese Fairy Tales (1908), after encouragement from Lang.[49] Simultaneously, writers such as Hans Christian Andersen and George MacDonald continued the tradition of literary fairy tales. Andersen's work sometimes drew on old folktales, but more often deployed fairytale motifs and plots in new tales.[50] MacDonald incorporated fairytale motifs both in new literary fairy tales, such as The Light Princess, and in works of the genre that would become fantasy, as in The Princess and the Goblin or Lilith.[51]
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Two theories of origins, have attempted to explain the common elements in fairy tales found spread over continents. One is that a single point of origin generated any given tale, which then spread over the centuries; the other is that such fairy tales stem from common human experience and therefore can appear separately in many different origins.[52]
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Fairy tales with very similar plots, characters, and motifs are found spread across many different cultures. Many researchers hold this to be caused by the spread of such tales, as people repeat tales they have heard in foreign lands, although the oral nature makes it impossible to trace the route except by inference.[53] Folklorists have attempted to determine the origin by internal evidence, which can not always be clear; Joseph Jacobs, comparing the Scottish tale The Ridere of Riddles with the version collected by the Brothers Grimm, The Riddle, noted that in The Ridere of Riddles one hero ends up polygamously married, which might point to an ancient custom, but in The Riddle, the simpler riddle might argue greater antiquity.[54]
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Folklorists of the "Finnish" (or historical-geographical) school attempted to place fairy tales to their origin, with inconclusive results.[55] Sometimes influence, especially within a limited area and time, is clearer, as when considering the influence of Perrault's tales on those collected by the Brothers Grimm. Little Briar-Rose appears to stem from Perrault's The Sleeping Beauty, as the Grimms' tale appears to be the only independent German variant.[56] Similarly, the close agreement between the opening of the Grimms' version of Little Red Riding Hood and Perrault's tale points to an influence, although the Grimms' version adds a different ending (perhaps derived from The Wolf and the Seven Young Kids).[57]
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Fairy tales tend to take on the color of their location, through the choice of motifs, the style in which they are told, and the depiction of character and local color.[58]
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The Brothers Grimm believed that European fairy tales derived from the cultural history shared by all Indo-European peoples and were therefore ancient, far older than written records. This view is supported by research by the anthropologist Jamie Tehrani and the folklorist Sara Graca Da Silva using phylogenetic analysis, a technique developed by evolutionary biologists to trace the relatedness of living and fossil species. Among the tales analysed were Jack and the Beanstalk, traced to the time of splitting of Eastern and Western Indo-European, over 5000 years ago. Both Beauty and the Beast and Rumpelstiltskin appear to have been created some 4000 years ago. The story of The Smith and the Devil (Deal with the Devil) appears to date from the Bronze Age, some 6000 years ago.[59] However, the choice of the corpus of folktales[60] and the method used by this study[61] both make the results very suspicious. On the other hand, various studies converge to show that some fairy tales, for example the swan maiden,[62] could go back to the Upper Palaeolithic.
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Originally, adults were the audience of a fairy tale just as often as children.[63] Literary fairy tales appeared in works intended for adults, but in the 19th and 20th centuries the fairy tale became associated with children's literature.
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The précieuses, including Madame d'Aulnoy, intended their works for adults, but regarded their source as the tales that servants, or other women of lower class, would tell to children.[64] Indeed, a novel of that time, depicting a countess's suitor offering to tell such a tale, has the countess exclaim that she loves fairy tales as if she were still a child.[65] Among the late précieuses, Jeanne-Marie Le Prince de Beaumont redacted a version of Beauty and the Beast for children, and it is her tale that is best known today.[66] The Brothers Grimm titled their collection Children's and Household Tales and rewrote their tales after complaints that they were not suitable for children.[67]
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In the modern era, fairy tales were altered so that they could be read to children. The Brothers Grimm concentrated mostly on sexual references;[68] Rapunzel, in the first edition, revealed the prince's visits by asking why her clothing had grown tight, thus letting the witch deduce that she was pregnant, but in subsequent editions carelessly revealed that it was easier to pull up the prince than the witch.[69] On the other hand, in many respects, violence—particularly when punishing villains—was increased.[70] Other, later, revisions cut out violence; J. R. R. Tolkien noted that The Juniper Tree often had its cannibalistic stew cut out in a version intended for children.[71] The moralizing strain in the Victorian era altered the classical tales to teach lessons, as when George Cruikshank rewrote Cinderella in 1854 to contain temperance themes. His acquaintance Charles Dickens protested, "In an utilitarian age, of all other times, it is a matter of grave importance that fairy tales should be respected."[72][73]
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Psychoanalysts such as Bruno Bettelheim, who regarded the cruelty of older fairy tales as indicative of psychological conflicts, strongly criticized this expurgation, because it weakened their usefulness to both children and adults as ways of symbolically resolving issues.[74] Fairy tales do teach children how to deal with difficult times. To quote Rebecca Walters (2017, p. 56) “Fairytales and folktales are part of the cultural conserve that can be used to address children’s fears …. and give them some role training in an approach that honors the children’s window of tolerance”. These fairy tales teach children how to deal with certain social situations and helps them to find their place in society.[75] Fairy tales teach children other important lessons too. For example, Tsitsani et al. carried out a study on children to determine the benefits of fairy tales. Parents of the children who took part in the study found that fairy tales, especially the color in them, triggered their child's imagination as the read them.[76]Jungian Analyst and fairy tale scholar, Marie Louise Von Franz interprets fairy tales[77] based on Jung's view of fairy tales as a spontaneous and naive product of soul, which can only express what soul is.[78] That means, she looks at fairy tales as images of different phases of experiencing the reality of the soul. They are the “purest and simplest expression of collective unconscious psychic processes” and “they represent the archetypes in their simplest, barest and most concise form” because they are less overlaid with conscious material than myths and legends. “In this pure form, the archetypal images afford us the best clues to the understanding of the processes going on in the collective psyche”. “The fairy tale itself is its own best explanation; that is, its meaning is contained in the totality of its motifs connected by the thread of the story. [...] Every fairy tale is a relatively closed system compounding one essential psychological meaning which is expressed in a series of symbolical pictures and events and is discoverable in these”. “I have come to the conclusion that all fairy tales endeavour to describe one and the same psychic fact, but a fact so complex and far-reaching and so difficult for us to realize in all its different aspects that hundreds of tales and thousands of repetitions with a musician’s variation are needed until this unknown fact is delivered into consciousness; and even then the theme is not exhausted. This unknown fact is what Jung calls the Self, which is the psychic reality of the collective unconscious. [...] Every archetype is in its essence only one aspect of the collective unconscious as well as always representing also the whole collective unconscious.[79]
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Other famous people commented on the importance of fairy tales, especially for children. For example, Albert Einstein once showed how important he believed fairy tales were for children’s intelligence in the quote “If you want your children to be intelligent, read them fairytales. If you want them to be more intelligent, read them more fairytales."[80]
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The adaptation of fairy tales for children continues. Walt Disney's influential Snow White and the Seven Dwarfs was largely (although certainly not solely) intended for the children's market.[81] The anime Magical Princess Minky Momo draws on the fairy tale Momotarō.[82] Jack Zipes has spent many years working to make the older traditional stories accessible to modern readers and their children.[83]
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Many fairy tales feature an absentee mother, as an example Beauty and the Beast, The Little Mermaid, Little Red Riding Hood and Donkeyskin, where the mother is deceased or absent and unable to help the heroines. Mothers are depicted as absent or wicked in the most popular contemporary versions of tales like Rapunzel, Snow White, Cinderella and Hansel and Gretel, however,
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some lesser known tales or variants such as those found in volumes edited by Angela Carter and Jane Yolen depict mothers in a more positive light.[84]
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Carter's protagonist in The Bloody Chamber is an impoverished piano student married to a Marquis who was much older than herself to "banish the spectre of poverty". The story a variant on Bluebeard, a tale about a wealthy man who murders numerous young women. Carter's protagonist, who is unnamed, describes her mother as "eagle-featured" and "indomitable". Her mother is depicted as a woman who is prepared for violence, instead of hiding from it or sacrificing herself to it. The protagonist recalls how her mother kept an "antique service revolver" and once "shot a man-eating tiger with her own hand."[84]
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In contemporary literature, many authors have used the form of fairy tales for various reasons, such as examining the human condition from the simple framework a fairytale provides.[85] Some authors seek to recreate a sense of the fantastic in a contemporary discourse.[86] Some writers use fairy tale forms for modern issues;[87] this can include using the psychological dramas implicit in the story, as when Robin McKinley retold Donkeyskin as the novel Deerskin, with emphasis on the abusive treatment the father of the tale dealt to his daughter.[88] Sometimes, especially in children's literature, fairy tales are retold with a twist simply for comic effect, such as The Stinky Cheese Man by Jon Scieszka and The ASBO Fairy Tales by Chris Pilbeam. A common comic motif is a world where all the fairy tales take place, and the characters are aware of their role in the story,[89] such as in the film series Shrek.
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Other authors may have specific motives, such as multicultural or feminist reevaluations of predominantly Eurocentric masculine-dominated fairy tales, implying critique of older narratives.[90] The figure of the damsel in distress has been particularly attacked by many feminist critics. Examples of narrative reversal rejecting this figure include The Paperbag Princess by Robert Munsch, a picture book aimed at children in which a princess rescues a prince, and Angela Carter's The Bloody Chamber, which retells a number of fairy tales from a female point of view.[91]
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There are also many contemporary erotic retellings of fairy tales, which explicitly draw upon the original spirit of the tales, and are specifically for adults. Modern retellings focus on exploring the tale through use of the erotic, explicit sexuality, dark and/or comic themes, female empowerment, fetish and BDSM, multicultural, and heterosexual characters. Cleis Press has released several fairy tale themed erotic anthologies, including Fairy Tale Lust, Lustfully Ever After, and A Princess Bound.
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It may be hard to lay down the rule between fairy tales and fantasies that use fairy tale motifs, or even whole plots, but the distinction is commonly made, even within the works of a single author: George MacDonald's Lilith and Phantastes are regarded as fantasies, while his "The Light Princess", "The Golden Key", and "The Wise Woman" are commonly called fairy tales. The most notable distinction is that fairytale fantasies, like other fantasies, make use of novelistic writing conventions of prose, characterization, or setting.[92]
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Fairy tales have been enacted dramatically; records exist of this in commedia dell'arte,[93] and later in pantomime.[94] The advent of cinema has meant that such stories could be presented in a more plausible manner, with the use of special effects and animation. The Walt Disney Company has had a significant impact on the evolution of the fairy tale film. Some of the earliest short silent films from the Disney studio were based on fairy tales, and some fairy tales were adapted into shorts in the musical comedy series "Silly Symphony", such as Three Little Pigs. Walt Disney's first feature-length film Snow White and the Seven Dwarfs, released in 1937, was a ground-breaking film for fairy tales and, indeed, fantasy in general.[81] Disney and his creative successors have returned to traditional and literary fairy tales numerous times with films such as Cinderella (1950), Sleeping Beauty (1959), The Little Mermaid (1989) and Beauty and the Beast (1991). Disney's influence helped establish the fairy tale genre as a genre for children, and has been accused by some of bowdlerizing the gritty naturalism – and sometimes unhappy endings – of many folk fairy tales.[88] However, others note that the softening of fairy tales occurred long before Disney, some of which was even done by the Grimm brothers themselves.[95][96]
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Many filmed fairy tales have been made primarily for children, from Disney's later works to Aleksandr Rou's retelling of Vasilissa the Beautiful, the first Soviet film to use Russian folk tales in a big-budget feature.[97] Others have used the conventions of fairy tales to create new stories with sentiments more relevant to contemporary life, as in Labyrinth,[98] My Neighbor Totoro, Happily N'Ever After, and the films of Michel Ocelot.[99]
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Other works have retold familiar fairy tales in a darker, more horrific or psychological variant aimed primarily at adults. Notable examples are Jean Cocteau's Beauty and the Beast[100] and The Company of Wolves, based on Angela Carter's retelling of Little Red Riding Hood.[101] Likewise, Princess Mononoke,[102] Pan's Labyrinth,[103] Suspiria, and Spike[104] create new stories in this genre from fairy tale and folklore motifs.
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In comics and animated TV series, The Sandman, Revolutionary Girl Utena, Princess Tutu, Fables and MÄR all make use of standard fairy tale elements to various extents but are more accurately categorised as fairytale fantasy due to the definite locations and characters which a longer narrative requires.
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A more modern cinematic fairy tale would be Luchino Visconti's Le Notti Bianche, starring Marcello Mastroianni before he became a superstar. It involves many of the romantic conventions of fairy tales, yet it takes place in post-World War II Italy, and it ends realistically.
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Any comparison of fairy tales quickly discovers that many fairy tales have features in common with each other. Two of the most influential classifications are those of Antti Aarne, as revised by Stith Thompson into the Aarne-Thompson classification system, and Vladimir Propp's Morphology of the Folk Tale.
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This system groups fairy and folk tales according to their overall plot. Common, identifying features are picked out to decide which tales are grouped together. Much therefore depends on what features are regarded as decisive.
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For instance, tales like Cinderella – in which a persecuted heroine, with the help of the fairy godmother or similar magical helper, attends an event (or three) in which she wins the love of a prince and is identified as his true bride—are classified as type 510, the persecuted heroine. Some such tales are The Wonderful Birch; Aschenputtel; Katie Woodencloak; The Story of Tam and Cam; Ye Xian; Cap O' Rushes; Catskin; Fair, Brown and Trembling; Finette Cendron; Allerleirauh.
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Further analysis of the tales shows that in Cinderella, The Wonderful Birch, The Story of Tam and Cam, Ye Xian, and Aschenputtel, the heroine is persecuted by her stepmother and refused permission to go to the ball or other event, and in Fair, Brown and Trembling and Finette Cendron by her sisters and other female figures, and these are grouped as 510A; while in Cap O' Rushes, Catskin, and Allerleirauh, the heroine is driven from home by her father's persecutions, and must take work in a kitchen elsewhere, and these are grouped as 510B. But in Katie Woodencloak, she is driven from home by her stepmother's persecutions and must take service in a kitchen elsewhere, and in Tattercoats, she is refused permission to go to the ball by her grandfather. Given these features common with both types of 510, Katie Woodencloak is classified as 510A because the villain is the stepmother, and Tattercoats as 510B because the grandfather fills the father's role.
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This system has its weaknesses in the difficulty of having no way to classify subportions of a tale as motifs. Rapunzel is type 310 (The Maiden in the Tower), but it opens with a child being demanded in return for stolen food, as does Puddocky; but Puddocky is not a Maiden in the Tower tale, while The Canary Prince, which opens with a jealous stepmother, is.
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It also lends itself to emphasis on the common elements, to the extent that the folklorist describes The Black Bull of Norroway as the same story as Beauty and the Beast. This can be useful as a shorthand but can also erase the coloring and details of a story.[105]
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Vladimir Propp specifically studied a collection of Russian fairy tales, but his analysis has been found useful for the tales of other countries.[106] Having criticized Aarne-Thompson type analysis for ignoring what motifs did in stories, and because the motifs used were not clearly distinct,[107] he analyzed the tales for the function each character and action fulfilled and concluded that a tale was composed of thirty-one elements ('functions') and seven characters or 'spheres of action' ('the princess and her father' are a single sphere). While the elements were not all required for all tales, when they appeared they did so in an invariant order – except that each individual element might be negated twice, so that it would appear three times, as when, in Brother and Sister, the brother resists drinking from enchanted streams twice, so that it is the third that enchants him.[108] Propp's 31 functions also fall within six 'stages' (preparation, complication, transference, struggle, return, recognition), and a stage can also be repeated, which can affect the perceived order of elements.
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One such element is the donor who gives the hero magical assistance, often after testing him.[109] In The Golden Bird, the talking fox tests the hero by warning him against entering an inn and, after he succeeds, helps him find the object of his quest; in The Boy Who Drew Cats, the priest advised the hero to stay in small places at night, which protects him from an evil spirit; in Cinderella, the fairy godmother gives Cinderella the dresses she needs to attend the ball, as their mothers' spirits do in Bawang Putih Bawang Merah and The Wonderful Birch; in The Fox Sister, a Buddhist monk gives the brothers magical bottles to protect against the fox spirit. The roles can be more complicated.[110] In The Red Ettin, the role is split into the mother—who offers the hero the whole of a journey cake with her curse or half with her blessing—and when he takes the half, a fairy who gives him advice; in Mr Simigdáli, the sun, the moon, and the stars all give the heroine a magical gift. Characters who are not always the donor can act like the donor.[111] In Kallo and the Goblins, the villain goblins also give the heroine gifts, because they are tricked; in Schippeitaro, the evil cats betray their secret to the hero, giving him the means to defeat them. Other fairy tales, such as The Story of the Youth Who Went Forth to Learn What Fear Was, do not feature the donor.
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Analogies have been drawn between this and the analysis of myths into the hero's journey.[112]
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Many fairy tales have been interpreted for their (purported) significance. One mythological interpretation saw many fairy tales, including Hansel and Gretel, Sleeping Beauty, and The Frog King, as solar myths; this mode of interpretation subsequently became rather less popular.[113] Freudian, Jungian, and other psychological analyses have also explicated many tales, but no mode of interpretation has established itself definitively.[114]
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Specific analyses have often been criticized[by whom?] for lending great importance to motifs that are not, in fact, integral to the tale; this has often stemmed from treating one instance of a fairy tale as the definitive text, where the tale has been told and retold in many variations.[115] In variants of Bluebeard, the wife's curiosity is betrayed by a blood-stained key, by an egg's breaking, or by the singing of a rose she wore, without affecting the tale, but interpretations of specific variants have claimed that the precise object is integral to the tale.[116]
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Other folklorists have interpreted tales as historical documents. Many[quantify] German folklorists, believing the tales to have preserved details from ancient times, have used the Grimms' tales to explain ancient customs.[117]
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One approach sees the topography of European Märchen as echoing the period immediately following the last Ice Age.[118]
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Other folklorists have explained the figure of the wicked stepmother in a historical/sociological context: many women did die in childbirth, their husbands remarried, and the new stepmothers competed with the children of the first marriage for resources.[119]
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In a 2012 lecture, Jack Zipes reads fairy tales as examples of what he calls "childism". He suggests that there are terrible aspects to the tales, which (among other things) have conditioned children to accept mistreatment and even abuse.[120]
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Fairy tales have inspired music, namely opera, such as the French Opéra féerie and the German Märchenoper. French examples include Gretry's Zémire et Azor, and Auber's Le cheval de bronze, German operas are Mozart's Die Zauberflöte, Humperdinck's Hänsel und Gretel, Siegfried Wagner's An allem ist Hütchen schuld!, which is based on many fairy tales, and Carl Orff's Die Kluge. Even contemporary fairy tales have been written for the purpose of inspiration in the music world. "Raven Girl" by Audrey Niffenegger was written to inspire a new dance for the Royal Ballet in London.
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The song "Singring and the Glass Guitar" by the American band Utopia, recorded for their album "Ra", is called "An Electrified Fairytale". Composed by the four members of the band, Roger Powell, Kasim Sulton, Willie Wilcox and Todd Rundgren, it tells the story of the theft of the Glass Guitar by Evil Forces, which has to be recovered by the four heroes.
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1 |
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Africa is the world's second-largest and second-most populous continent, after Asia. At about 30.3 million km2 (11.7 million square miles) including adjacent islands, it covers 6% of Earth's total surface area and 20% of its land area.[4] With 1.3 billion people[1][2] as of 2018, it accounts for about 16% of the world's human population. Africa's average population is the youngest amongst all the continents;[5][6] the median age in 2012 was 19.7, when the worldwide median age was 30.4.[7] Despite a wide range of natural resources, the continent is the least wealthy per capita, possibly due in part to the legacies of European colonization in Africa. Despite this low concentration of wealth, recent economic expansion and the large and young population make Africa an important economic market in the broader global context.
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The continent is surrounded by the Mediterranean Sea to the north, the Isthmus of Suez and the Red Sea to the northeast, the Indian Ocean to the southeast and the Atlantic Ocean to the west. The continent includes Madagascar and various archipelagos. It contains 54 fully recognised sovereign states (countries), eight territories and two de facto independent states with limited or no recognition. Algeria is Africa's largest country by area, and Nigeria is its largest by population. African nations cooperate through the establishment of the African Union, which is headquartered in Addis Ababa.
|
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Africa straddles the Equator and encompasses numerous climate areas; it is the only continent to stretch from the northern temperate to southern temperate zones.[8] The majority of the continent and its countries are in the Northern Hemisphere, with a substantial portion and number of countries in the Southern Hemisphere. Africa is home to much biodiversity; it is the continent with the largest number of megafauna species, as it was least affected by the extinction of the Pleistocene megafauna. However, Africa also is heavily affected by a wide range of environmental issues, including desertification, deforestation, water scarcity, and other issues. These entrenched environmental concerns are expected to worsen as climate change impacts Africa. The UN Intergovernmental Panel on Climate Change has identified Africa as the most vulnerable continent to climate change.[9][10]
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Africa, particularly Eastern Africa, is widely accepted as the place of origin of humans and the Hominidae clade (great apes), meaning that Africa has a long and complex history. The earliest hominids and their ancestors have been dated to around 7 million years ago, including Sahelanthropus tchadensis, Australopithecus africanus, A. afarensis, Homo erectus, H. habilis and H. ergaster— the earliest Homo sapiens (modern human) remains, found in Ethiopia, South Africa, and Morocco, date to circa 200,000, 259,000, and 300,000 years ago respectively, and Homo sapiens is believed to have orignated in Africa around 350,000-260,000 years ago.[11][12][13][14][15] Early human civilizations, such as Ancient Egypt and Phoenicia emerged in North Africa. Following a subsequent long and complex history of civilizations, migration and trade, Africa hosts a large diversity of ethnicities, cultures and languages. The last 400 years have witnessed an increasing European influence on the continent. Starting in the 16th century, this was driven by trade, including the Trans-Atlantic slave trade, which created large African diaspora populations in the Americas. In the late 19th century, European countries colonized almost all of Africa, extracting resources from the continent and exploiting local communities; most present states in Africa emerged from a process of decolonisation in the 20th century.
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Afri was a Latin name used to refer to the inhabitants of then-known northern Africa to the west of the Nile river, and in its widest sense referred to all lands south of the Mediterranean (Ancient Libya).[16][17] This name seems to have originally referred to a native Libyan tribe, an ancestor of modern Berbers; see Terence for discussion. The name had usually been connected with the Phoenician word ʿafar meaning "dust",[18] but a 1981 hypothesis[19] has asserted that it stems from the Berber word ifri (plural ifran) meaning "cave", in reference to cave dwellers.[20] The same word[20] may be found in the name of the Banu Ifran from Algeria and Tripolitania, a Berber tribe originally from Yafran (also known as Ifrane) in northwestern Libya.[21]
|
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Under Roman rule, Carthage became the capital of the province it then named Africa Proconsularis, following its defeat of the Carthaginians in the Third Punic War in 146 BC, which also included the coastal part of modern Libya.[22] The Latin suffix -ica can sometimes be used to denote a land (e.g., in Celtica from Celtae, as used by Julius Caesar). The later Muslim region of Ifriqiya, following its conquest of the Byzantine (Eastern Roman) Empire's Exarchatus Africae, also preserved a form of the name.
|
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According to the Romans, Africa lay to the west of Egypt, while "Asia" was used to refer to Anatolia and lands to the east. A definite line was drawn between the two continents by the geographer Ptolemy (85–165 AD), indicating Alexandria along the Prime Meridian and making the isthmus of Suez and the Red Sea the boundary between Asia and Africa. As Europeans came to understand the real extent of the continent, the idea of "Africa" expanded with their knowledge.
|
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|
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Other etymological hypotheses have been postulated for the ancient name "Africa":
|
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+
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Africa is considered by most paleoanthropologists to be the oldest inhabited territory on Earth, with the human species originating from the continent.[29][30] During the mid-20th century, anthropologists discovered many fossils and evidence of human occupation perhaps as early as 7 million years ago (BP=before present). Fossil remains of several species of early apelike humans thought to have evolved into modern man, such as Australopithecus afarensis (radiometrically dated to approximately 3.9–3.0 million years BP,[31] Paranthropus boisei (c. 2.3–1.4 million years BP)[32] and Homo ergaster (c. 1.9 million–600,000 years BP) have been discovered.[4]
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After the evolution of Homo sapiens approximately 350,000 to 260,000 years BP in Africa.[12][13][14][15] the continent was mainly populated by groups of hunter-gatherers.[33][34][35] These first modern humans left Africa and populated the rest of the globe during the Out of Africa II migration dated to approximately 50,000 years BP, exiting the continent either across Bab-el-Mandeb over the Red Sea,[36][37] the Strait of Gibraltar in Morocco,[38][39] or the Isthmus of Suez in Egypt.[40]
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Other migrations of modern humans within the African continent have been dated to that time, with evidence of early human settlement found in Southern Africa, Southeast Africa, North Africa, and the Sahara.[41]
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The size of the Sahara has historically been extremely variable, with its area rapidly fluctuating and at times disappearing depending on global climatic conditions.[42] At the end of the Ice ages, estimated to have been around 10,500 BC, the Sahara had again become a green fertile valley, and its African populations returned from the interior and coastal highlands in Sub-Saharan Africa, with rock art paintings depicting a fertile Sahara and large populations discovered in Tassili n'Ajjer dating back perhaps 10 millennia.[43] However, the warming and drying climate meant that by 5000 BC, the Sahara region was becoming increasingly dry and hostile. Around 3500 BC, due to a tilt in the earth's orbit, the Sahara experienced a period of rapid desertification.[44] The population trekked out of the Sahara region towards the Nile Valley below the Second Cataract where they made permanent or semi-permanent settlements. A major climatic recession occurred, lessening the heavy and persistent rains in Central and Eastern Africa. Since this time, dry conditions have prevailed in Eastern Africa and, increasingly during the last 200 years, in Ethiopia.
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The domestication of cattle in Africa preceded agriculture and seems to have existed alongside hunter-gatherer cultures. It is speculated that by 6000 BC, cattle were domesticated in North Africa.[45] In the Sahara-Nile complex, people domesticated many animals, including the donkey and a small screw-horned goat which was common from Algeria to Nubia.
|
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Around 4000 BC, the Saharan climate started to become drier at an exceedingly fast pace.[46] This climate change caused lakes and rivers to shrink significantly and caused increasing desertification. This, in turn, decreased the amount of land conducive to settlements and helped to cause migrations of farming communities to the more tropical climate of West Africa.[46]
|
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By the first millennium BC, ironworking had been introduced in Northern Africa and around that time also became established in parts of sub-Saharan Africa either through independent invention there or diffusion from the north[47] and by 500 BC, metalworking began to become commonplace in West Africa. Ironworking was fully established by roughly 500 BC in many areas of East and West Africa, although other regions didn't begin ironworking until the early centuries AD. Copper objects from Egypt, North Africa, Nubia, and Ethiopia dating from around 500 BC have been excavated in West Africa, suggesting that Trans-Saharan trade networks had been established by this date.[46]
|
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At about 3300 BC, the historical record opens in Northern Africa with the rise of literacy in the Pharaonic civilization of Ancient Egypt.[48] One of the world's earliest and longest-lasting civilizations, the Egyptian state continued, with varying levels of influence over other areas, until 343 BC.[49][50] Egyptian influence reached deep into modern-day Libya and Nubia, and, according to Martin Bernal, as far north as Crete.[51]
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An independent centre of civilization with trading links to Phoenicia was established by Phoenicians from Tyre on the north-west African coast at Carthage.[52][53][54]
|
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European exploration of Africa began with Ancient Greeks and Romans.[55][56] In 332 BC, Alexander the Great was welcomed as a liberator in Persian-occupied Egypt. He founded Alexandria in Egypt, which would become the prosperous capital of the Ptolemaic dynasty after his death.[57]
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Following the conquest of North Africa's Mediterranean coastline by the Roman Empire, the area was integrated economically and culturally into the Roman system. Roman settlement occurred in modern Tunisia and elsewhere along the coast. The first Roman emperor native to North Africa was Septimius Severus, born in Leptis Magna in present-day Libya—his mother was Italian Roman and his father was Punic.[58]
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Christianity spread across these areas at an early date, from Judaea via Egypt and beyond the borders of the Roman world into Nubia;[59] by AD 340 at the latest, it had become the state religion of the Aksumite Empire. Syro-Greek missionaries, who arrived by way of the Red Sea, were responsible for this theological development.[60]
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In the early 7th century, the newly formed Arabian Islamic Caliphate expanded into Egypt, and then into North Africa. In a short while, the local Berber elite had been integrated into Muslim Arab tribes. When the Umayyad capital Damascus fell in the 8th century, the Islamic centre of the Mediterranean shifted from Syria to Qayrawan in North Africa. Islamic North Africa had become diverse, and a hub for mystics, scholars, jurists, and philosophers. During the above-mentioned period, Islam spread to sub-Saharan Africa, mainly through trade routes and migration.[61]
|
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In West Africa, Dhar Tichitt and Oualata in present-day Mauritania figure prominently among the early urban centers, dated to 2,000 BC. About 500 stone settlements litter the region in the former savannah of the Sahara. Its inhabitants fished and grew millet. It has been found by Augustin Holl that the Soninke of the Mandé peoples were likely responsible for constructing such settlements. Around 300 BC the region became more desiccated and the settlements began to decline, most likely relocating to Koumbi Saleh.[62] Architectural evidence and the comparison of pottery styles suggest that Dhar Tichitt was related to the subsequent Ghana Empire. Djenné-Djenno (in present-day Mali) was settled around 300 BC, and the town grew to house a sizable Iron Age population, as evidenced by crowded cemeteries. Living structures were made of sun-dried mud. By 250 BC Djenné-Djenno had become a large, thriving market town.[63][64]
|
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Farther south, in central Nigeria, around 1,000 BC, the Nok culture developed on the Jos Plateau. It was a highly centralized community. The Nok people produced lifelike representations in terracotta, including human heads and human figures, elephants, and other animals. By 500 BC they were smelting iron. By 200 AD the Nok culture had vanished. Based on stylistic similarities with the Nok terracottas, the bronze figurines of the Yoruba kingdom of Ife and those of the Bini kingdom of Benin are now[when?] believed[by whom?] to be continuations of the traditions of the earlier Nok culture.[65]
|
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Pre-colonial Africa possessed perhaps as many as 10,000 different states and polities[67] characterized by many different sorts of political organization and rule. These included small family groups of hunter-gatherers such as the San people of southern Africa; larger, more structured groups such as the family clan groupings of the Bantu-speaking peoples of central, southern, and eastern Africa; heavily structured clan groups in the Horn of Africa; the large Sahelian kingdoms; and autonomous city-states and kingdoms such as those of the Akan; Edo, Yoruba, and Igbo people in West Africa; and the Swahili coastal trading towns of Southeast Africa.
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By the ninth century AD, a string of dynastic states, including the earliest Hausa states, stretched across the sub-Saharan savannah from the western regions to central Sudan. The most powerful of these states were Ghana, Gao, and the Kanem-Bornu Empire. Ghana declined in the eleventh century, but was succeeded by the Mali Empire which consolidated much of western Sudan in the thirteenth century. Kanem accepted Islam in the eleventh century.
|
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In the forested regions of the West African coast, independent kingdoms grew with little influence from the Muslim north. The Kingdom of Nri was established around the ninth century and was one of the first. It is also one of the oldest kingdoms in present-day Nigeria and was ruled by the Eze Nri. The Nri kingdom is famous for its elaborate bronzes, found at the town of Igbo-Ukwu. The bronzes have been dated from as far back as the ninth century.[68]
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The Kingdom of Ife, historically the first of these Yoruba city-states or kingdoms, established government under a priestly oba ('king' or 'ruler' in the Yoruba language), called the Ooni of Ife. Ife was noted as a major religious and cultural centre in West Africa, and for its unique naturalistic tradition of bronze sculpture. The Ife model of government was adapted at the Oyo Empire, where its obas or kings, called the Alaafins of Oyo, once controlled a large number of other Yoruba and non-Yoruba city-states and kingdoms; the Fon Kingdom of Dahomey was one of the non-Yoruba domains under Oyo control.
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The Almoravids were a Berber dynasty from the Sahara that spread over a wide area of northwestern Africa and the Iberian peninsula during the eleventh century.[69] The Banu Hilal and Banu Ma'qil were a collection of Arab Bedouin tribes from the Arabian Peninsula who migrated westwards via Egypt between the eleventh and thirteenth centuries. Their migration resulted in the fusion of the Arabs and Berbers, where the locals were Arabized,[70] and Arab culture absorbed elements of the local culture, under the unifying framework of Islam.[71]
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Following the breakup of Mali, a local leader named Sonni Ali (1464–1492) founded the Songhai Empire in the region of middle Niger and the western Sudan and took control of the trans-Saharan trade. Sonni Ali seized Timbuktu in 1468 and Jenne in 1473, building his regime on trade revenues and the cooperation of Muslim merchants. His successor Askia Mohammad I (1493–1528) made Islam the official religion, built mosques, and brought to Gao Muslim scholars, including al-Maghili (d.1504), the founder of an important tradition of Sudanic African Muslim scholarship.[72] By the eleventh century, some Hausa states – such as Kano, jigawa, Katsina, and Gobir – had developed into walled towns engaging in trade, servicing caravans, and the manufacture of goods. Until the fifteenth century, these small states were on the periphery of the major Sudanic empires of the era, paying tribute to Songhai to the west and Kanem-Borno to the east.
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Mansa Musa ruled the Mali Empire in the 14th century.
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Slavery had long been practiced in Africa.[73][74] Between the 7th and 20th centuries, the Arab slave trade (also known as "slavery in the east") took 18 million slaves from Africa via trans-Saharan and Indian Ocean routes. Between the 15th and the 19th centuries, the Atlantic slave trade took an estimated 7–12 million slaves to the New World.[75][76][77] In addition, more than 1 million Europeans were captured by Barbary pirates and sold as slaves in North Africa between the 16th and 19th centuries.[78]
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In West Africa, the decline of the Atlantic slave trade in the 1820s caused dramatic economic shifts in local polities. The gradual decline of slave-trading, prompted by a lack of demand for slaves in the New World, increasing anti-slavery legislation in Europe and America, and the British Royal Navy's increasing presence off the West African coast, obliged African states to adopt new economies. Between 1808 and 1860, the British West Africa Squadron seized approximately 1,600 slave ships and freed 150,000 Africans who were aboard.[79]
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Action was also taken against African leaders who refused to agree to British treaties to outlaw the trade, for example against "the usurping King of Lagos", deposed in 1851. Anti-slavery treaties were signed with over 50 African rulers.[80] The largest powers of West Africa (the Asante Confederacy, the Kingdom of Dahomey, and the Oyo Empire) adopted different ways of adapting to the shift. Asante and Dahomey concentrated on the development of "legitimate commerce" in the form of palm oil, cocoa, timber and gold, forming the bedrock of West Africa's modern export trade. The Oyo Empire, unable to adapt, collapsed into civil wars.[81]
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The Scramble for Africa, also called the Partition of Africa or the Conquest of Africa, was the invasion, occupation, division, and colonisation of African territory by European powers during a short period known to historians as the New Imperialism (between 1881 and 1914). In 1870, only 10 percent of Africa was under formal European control; by 1914 this had increased to almost 90 percent of the continent, with only Ethiopia (Abyssinia), the Dervish state (a portion of present-day Somalia)[82] and Liberia remaining independent, and the latter was a former United States colony. The European colonialists had several motives: a desire for valuable natural resources, the quest for national prestige, rivalry between European powers, and religious missionary zeal. Internal African native politics also played a role.
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Imperial rule by Europeans would continue until after the conclusion of World War II, when almost all remaining colonial territories gradually obtained formal independence. Independence movements in Africa gained momentum following World War II, which left the major European powers weakened. In 1951, Libya, a former Italian colony, gained independence. In 1956, Tunisia and Morocco won their independence from France.[86] Ghana followed suit the next year (March 1957),[87] becoming the first of the sub-Saharan colonies to be granted independence. Most of the rest of the continent became independent over the next decade.
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Portugal's overseas presence in Sub-Saharan Africa (most notably in Angola, Cape Verde, Mozambique, Guinea-Bissau and São Tomé and Príncipe) lasted from the 16th century to 1975, after the Estado Novo regime was overthrown in a military coup in Lisbon. Rhodesia unilaterally declared independence from the United Kingdom in 1965, under the white minority government of Ian Smith, but was not internationally recognized as an independent state (as Zimbabwe) until 1980, when black nationalists gained power after a bitter guerrilla war. Although South Africa was one of the first African countries to gain independence, the state remained under the control of the country's white minority through a system of racial segregation known as apartheid until 1994.
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Today, Africa contains 54 sovereign countries, most of which have borders that were drawn during the era of European colonialism. Since colonialism, African states have frequently been hampered by instability, corruption, violence, and authoritarianism. The vast majority of African states are republics that operate under some form of the presidential system of rule. However, few of them have been able to sustain democratic governments on a permanent basis, and many have instead cycled through a series of coups, producing military dictatorships.
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Great instability was mainly the result of marginalization of ethnic groups, and graft under these leaders. For political gain, many leaders fanned ethnic conflicts, some of which had been exacerbated, or even created, by colonial rule. In many countries, the military was perceived as being the only group that could effectively maintain order, and it ruled many nations in Africa during the 1970s and early 1980s. During the period from the early 1960s to the late 1980s, Africa had more than 70 coups and 13 presidential assassinations. Border and territorial disputes were also common, with the European-imposed borders of many nations being widely contested through armed conflicts.
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Cold War conflicts between the United States and the Soviet Union, as well as the policies of the International Monetary Fund,[88] also played a role in instability. When a country became independent for the first time, it was often expected to align with one of the two superpowers. Many countries in Northern Africa received Soviet military aid, while others in Central and Southern Africa were supported by the United States, France or both. The 1970s saw an escalation of Cold War intrigues, as newly independent Angola and Mozambique aligned themselves with the Soviet Union, and the West and South Africa sought to contain Soviet influence by supporting friendly regimes or insurgency movements. In Rhodesia, Soviet and Chinese-backed leftist guerrillas of the Zimbabwe Patriotic Front waged a brutal guerrilla war against the country's white government. There was a major famine in Ethiopia, when hundreds of thousands of people starved. Some claimed that Marxist economic policies made the situation worse.[89][90][91] The most devastating military conflict in modern independent Africa has been the Second Congo War; this conflict and its aftermath has killed an estimated 5.5 million people.[92] Since 2003 there has been an ongoing conflict in Darfur which has become a humanitarian disaster. Another notable tragic event is the 1994 Rwandan genocide in which an estimated 800,000 people were murdered. AIDS in post-colonial Africa has also been a prevalent issue.
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In the 21st century, however, the number of armed conflicts in Africa has steadily declined. For instance, the civil war in Angola came to an end in 2002 after nearly 30 years. This coincided with many countries abandoning communist-style command economies and opening up for market reforms. The improved stability and economic reforms have led to a great increase in foreign investment into many African nations, mainly from China,[93] which has spurred quick economic growth in many countries, seemingly ending decades of stagnation and decline. Several African economies are among the world's fastest growing as of 2016[update]. A significant part of this growth, which is sometimes referred to as Africa Rising, can also be attributed to the facilitated diffusion of information technologies and specifically the mobile telephone.[94] Migration from African nations has increased dramatically in the last decade.[95]
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Africa is the largest of the three great southward projections from the largest landmass of the Earth. Separated from Europe by the Mediterranean Sea, it is joined to Asia at its northeast extremity by the Isthmus of Suez (transected by the Suez Canal), 163 km (101 mi) wide.[96] (Geopolitically, Egypt's Sinai Peninsula east of the Suez Canal is often considered part of Africa, as well.)[97]
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The coastline is 26,000 km (16,000 mi) long, and the absence of deep indentations of the shore is illustrated by the fact that Europe, which covers only 10,400,000 km2 (4,000,000 sq mi) – about a third of the surface of Africa – has a coastline of 32,000 km (20,000 mi).[98] From the most northerly point, Ras ben Sakka in Tunisia (37°21' N), to the most southerly point, Cape Agulhas in South Africa (34°51'15" S), is a distance of approximately 8,000 km (5,000 mi).[99] Cape Verde, 17°33'22" W, the westernmost point, is a distance of approximately 7,400 km (4,600 mi) to Ras Hafun, 51°27'52" E, the most easterly projection that neighbours Cape Guardafui, the tip of the Horn of Africa.[98]
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Africa's largest country is Algeria, and its smallest country is Seychelles, an archipelago off the east coast.[100] The smallest nation on the continental mainland is The Gambia.
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The African Plate is a major tectonic plate straddling the equator as well as the prime meridian. It includes much of the continent of Africa, as well as oceanic crust which lies between the continent and various surrounding ocean ridges. Between 60 million years ago and 10 million years ago, the Somali Plate began rifting from the African Plate along the East African Rift.[102] Since the continent of Africa consists of crust from both the African and the Somali plates, some literature refers to the African Plate as the Nubian Plate to distinguish it from the continent as a whole.[103]
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Geologically, Africa includes the Arabian Peninsula; the Zagros Mountains of Iran and the Anatolian Plateau of Turkey mark where the African Plate collided with Eurasia. The Afrotropical realm and the Saharo-Arabian desert to its north unite the region biogeographically, and the Afro-Asiatic language family unites the north linguistically.
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The climate of Africa ranges from tropical to subarctic on its highest peaks. Its northern half is primarily desert, or arid, while its central and southern areas contain both savanna plains and dense jungle (rainforest) regions. In between, there is a convergence, where vegetation patterns such as sahel and steppe dominate. Africa is the hottest continent on Earth and 60% of the entire land surface consists of drylands and deserts.[105] The record for the highest-ever recorded temperature, in Libya in 1922 (58 °C (136 °F)), was discredited in 2013.[106][107]
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Africa boasts perhaps the world's largest combination of density and "range of freedom" of wild animal populations and diversity, with wild populations of large carnivores (such as lions, hyenas, and cheetahs) and herbivores (such as buffalo, elephants, camels, and giraffes) ranging freely on primarily open non-private plains. It is also home to a variety of "jungle" animals including snakes and primates and aquatic life such as crocodiles and amphibians. In addition, Africa has the largest number of megafauna species, as it was least affected by the extinction of the Pleistocene megafauna.
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Africa has over 3,000 protected areas, with 198 marine protected areas, 50 biosphere reserves, and 80 wetlands reserves. Significant habitat destruction, increases in human population and poaching are reducing Africa's biological diversity and arable land. Human encroachment, civil unrest and the introduction of non-native species threaten biodiversity in Africa. This has been exacerbated by administrative problems, inadequate personnel and funding problems.[105]
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Deforestation is affecting Africa at twice the world rate, according to the United Nations Environment Programme (UNEP).[108] According to the University of Pennsylvania African Studies Center, 31% of Africa's pasture lands and 19% of its forests and woodlands are classified as degraded, and Africa is losing over four million hectares of forest per year, which is twice the average deforestation rate for the rest of the world.[105] Some sources claim that approximately 90% of the original, virgin forests in West Africa have been destroyed.[109] Over 90% of Madagascar's original forests have been destroyed since the arrival of humans 2000 years ago.[110] About 65% of Africa's agricultural land suffers from soil degradation.[111]
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Anthropogenic climate change is already a reality in Africa, as it is elsewhere in the world. According to the Intergovernmental Panel on Climate Change, Africa is among the most vulnerable continents to climate change.[113][114] The vulnerability of Africa to climate change is driven by a range of factors that includes weak adaptive capacity, high dependence on ecosystem goods for livelihoods, and less developed agricultural production systems.[115] The risks of climate change on agricultural production, food security, water resources and ecosystem services will likely have increasingly severe consequences on lives and sustainable development prospects in Africa.[116] Managing this risk requires integration of mitigation and adaptation strategies in the management of ecosystem goods and services, and the agriculture production systems in Africa.[117]
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Over the coming decades, warming from climate change is expected across almost all the earth's surface, and global mean rainfall will increase.[118] Regional effects on rainfall in the tropics are expected to be much more spatially variable and the sign of change at any one location is often less certain, although changes are expected. Consistent with this, observed surface temperatures have generally increased over Africa since the late 19th century to the early 21st century by about 1 °C, but locally as much as 3 °C for minimum temperature in the Sahel at the end of the dry season.[119] Observed precipitation trends indicate spatial and temporal discrepancies as expected.[120][114] The observed changes in temperature and precipitation vary regionally.[121][120]
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In terms of adaptation efforts, regional-level actors are making some progress. This includes the development and adoption of several regional climate change adaptation strategies[122] e.g. SADC Policy Paper Climate Change,[123] and the adaptation strategy for the water sector.[124] In addition, there has been other efforts to enhance climate change adaptation, such as the tripatite Programme on Climate Change Adaptation and Mitigation in Eastern and Southern Africa (COMESA-EAC-SADC).[125]
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The African Union (AU) is a 55-member federation consisting of all of Africa's states. The union was formed, with Addis Ababa, Ethiopia, as its headquarters, on 26 June 2001. The union was officially established on 9 July 2002[127] as a successor to the Organisation of African Unity (OAU). In July 2004, the African Union's Pan-African Parliament (PAP) was relocated to Midrand, in South Africa, but the African Commission on Human and Peoples' Rights remained in Addis Ababa. There is a policy in effect to decentralize the African Federation's institutions so that they are shared by all the states.
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The African Union, not to be confused with the AU Commission, is formed by the Constitutive Act of the African Union, which aims to transform the African Economic Community, a federated commonwealth, into a state under established international conventions. The African Union has a parliamentary government, known as the African Union Government, consisting of legislative, judicial and executive organs. It is led by the African Union President and Head of State, who is also the President of the Pan-African Parliament. A person becomes AU President by being elected to the PAP, and subsequently gaining majority support in the PAP. The powers and authority of the President of the African Parliament derive from the Constitutive Act and the Protocol of the Pan-African Parliament, as well as the inheritance of presidential authority stipulated by African treaties and by international treaties, including those subordinating the Secretary General of the OAU Secretariat (AU Commission) to the PAP. The government of the AU consists of all-union (federal), regional, state, and municipal authorities, as well as hundreds of institutions, that together manage the day-to-day affairs of the institution.
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Political associations such as the African Union offer hope for greater co-operation and peace between the continent's many countries. Extensive human rights abuses still occur in several parts of Africa, often under the oversight of the state. Most of such violations occur for political reasons, often as a side effect of civil war. Countries where major human rights violations have been reported in recent times include the Democratic Republic of the Congo, Sierra Leone, Liberia, Sudan, Zimbabwe, and Côte d'Ivoire.
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Although it has abundant natural resources, Africa remains the world's poorest and least-developed continent, the result of a variety of causes that may include corrupt governments that have often committed serious human rights violations, failed central planning, high levels of illiteracy, lack of access to foreign capital, and frequent tribal and military conflict (ranging from guerrilla warfare to genocide).[128] Its total nominal GDP remains behind that of the United States, China, Japan, Germany, the United Kingdom, India and France. According to the United Nations' Human Development Report in 2003, the bottom 24 ranked nations (151st to 175th) were all African.[129]
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Poverty, illiteracy, malnutrition and inadequate water supply and sanitation, as well as poor health, affect a large proportion of the people who reside in the African continent. In August 2008, the World Bank[130] announced revised global poverty estimates based on a new international poverty line of $1.25 per day (versus the previous measure of $1.00). 81% of the Sub-Saharan Africa population was living on less than $2.50 (PPP) per day in 2005, compared with 86% for India.[131]
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Sub-Saharan Africa is the least successful region of the world in reducing poverty ($1.25 per day); some 50% of the population living in poverty in 1981 (200 million people), a figure that rose to 58% in 1996 before dropping to 50% in 2005 (380 million people). The average poor person in sub-Saharan Africa is estimated to live on only 70 cents per day, and was poorer in 2003 than in 1973,[132] indicating increasing poverty in some areas. Some of it is attributed to unsuccessful economic liberalization programmes spearheaded by foreign companies and governments, but other studies have cited bad domestic government policies more than external factors.[133][134][135]
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Africa is now at risk of being in debt once again, particularly in Sub-Saharan African countries. The last debt crisis in 2005 was resolved with help from the heavily indebted poor countries scheme (HIPC). The HIPC resulted in some positive and negative effects on the economy in Africa. About ten years after the 2005 debt crisis in Sub-Saharan Africa was resolved, Zambia fell back into debt. A small reason was due to the fall in copper prices in 2011, but the bigger reason was that a large amount of the money Zambia borrowed was wasted or pocketed by the elite.[136]
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From 1995 to 2005, Africa's rate of economic growth increased, averaging 5% in 2005. Some countries experienced still higher growth rates, notably Angola, Sudan and Equatorial Guinea, all of which had recently begun extracting their petroleum reserves or had expanded their oil extraction capacity.
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In a recently published analysis based on World Values Survey data, the Austrian political scientist Arno Tausch maintained that several African countries, most notably Ghana, perform quite well on scales of mass support for democracy and the market economy.[137]
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Tausch's global value comparison based on the World Values Survey derived the following factor analytical scales: 1. The non-violent and law-abiding society 2. Democracy movement 3. Climate of personal non-violence 4. Trust in institutions 5. Happiness, good health 6. No redistributive religious fundamentalism 7. Accepting the market 8. Feminism 9. Involvement in politics 10. Optimism and engagement 11. No welfare mentality, acceptancy of the Calvinist work ethics. The spread in the performance of African countries with complete data, Tausch concluded "is really amazing". While one should be especially hopeful about the development of future democracy and the market economy in Ghana, the article suggests pessimistic tendencies for Egypt and Algeria, and especially for Africa's leading economy, South Africa. High Human Inequality, as measured by the UNDP's Human Development Report's Index of Human Inequality, further impairs the development of Human Security. Tausch also maintains that the certain recent optimism, corresponding to economic and human rights data, emerging from Africa, is reflected in the development of a civil society.
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The continent is believed to hold 90% of the world's cobalt, 90% of its platinum, 50% of its gold, 98% of its chromium, 70% of its tantalite,[138] 64% of its manganese and one-third of its uranium.[139] The Democratic Republic of the Congo (DRC) has 70% of the world's coltan, a mineral used in the production of tantalum capacitors for electronic devices such as cell phones. The DRC also has more than 30% of the world's diamond reserves.[140] Guinea is the world's largest exporter of bauxite.[141] As the growth in Africa has been driven mainly by services and not manufacturing or agriculture, it has been growth without jobs and without reduction in poverty levels. In fact, the food security crisis of 2008 which took place on the heels of the global financial crisis pushed 100 million people into food insecurity.[142]
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In recent years, the People's Republic of China has built increasingly stronger ties with African nations and is Africa's largest trading partner. In 2007, Chinese companies invested a total of US$1 billion in Africa.[93]
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A Harvard University study led by professor Calestous Juma showed that Africa could feed itself by making the transition from importer to self-sufficiency. "African agriculture is at the crossroads; we have come to the end of a century of policies that favoured Africa's export of raw materials and importation of food. Africa is starting to focus on agricultural innovation as its new engine for regional trade and prosperity."[143]
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During US President Barack Obama's visit to Africa in July 2013, he announced a US$7 billion plan to further develop infrastructure and work more intensively with African heads of state. He also announced a new programme named Trade Africa, designed to boost trade within the continent as well as between Africa and the US.[144]
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Africa's population has rapidly increased over the last 40 years, and consequently, it is relatively young. In some African states, more than half the population is under 25 years of age.[146] The total number of people in Africa increased from 229 million in 1950 to 630 million in 1990.[147] As of 2018, the population of Africa is estimated at 1.3 billion [1][2]. Africa's total population surpassing other continents is fairly recent; African population surpassed Europe in the 1990s, while the Americas was overtaken sometime around the year 2000; Africa's rapid population growth is expected to overtake the only two nations currently larger than its population, at roughly the same time – India and China's 1.4 billion people each will swap ranking around the year 2022.[148] This increase in number of babies born in Africa compared to the rest of the world is expected to reach approximately 37% in the year 2050, an increase of 21% since 1990 alone.[149]
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Speakers of Bantu languages (part of the Niger–Congo family) are the majority in southern, central and southeast Africa. The Bantu-speaking peoples from the Sahel progressively expanded over most of Sub-Saharan Africa.[150] But there are also several Nilotic groups in South Sudan and East Africa, the mixed Swahili people on the Swahili Coast, and a few remaining indigenous Khoisan ("San" or "Bushmen") and Pygmy peoples in southern and central Africa, respectively. Bantu-speaking Africans also predominate in Gabon and Equatorial Guinea, and are found in parts of southern Cameroon. In the Kalahari Desert of Southern Africa, the distinct people known as the Bushmen (also "San", closely related to, but distinct from "Hottentots") have long been present. The San are physically distinct from other Africans and are the indigenous people of southern Africa. Pygmies are the pre-Bantu indigenous peoples of central Africa.[151]
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The peoples of West Africa primarily speak Niger–Congo languages, belonging mostly to its non-Bantu branches, though some Nilo-Saharan and Afro-Asiatic speaking groups are also found. The Niger–Congo-speaking Yoruba, Igbo, Fulani, Akan and Wolof ethnic groups are the largest and most influential. In the central Sahara, Mandinka or Mande groups are most significant. Chadic-speaking groups, including the Hausa, are found in more northerly parts of the region nearest to the Sahara, and Nilo-Saharan communities, such as the Songhai, Kanuri and Zarma, are found in the eastern parts of West Africa bordering Central Africa.
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The peoples of North Africa consist of three main indigenous groups: Berbers in the northwest, Egyptians in the northeast, and Nilo-Saharan-speaking peoples in the east. The Arabs who arrived in the 7th century AD introduced the Arabic language and Islam to North Africa. The Semitic Phoenicians (who founded Carthage) and Hyksos, the Indo-Iranian Alans, the Indo- European Greeks, Romans, and Vandals settled in North Africa as well. Significant Berber communities remain within Morocco and Algeria in the 21st century, while, to a lesser extent, Berber speakers are also present in some regions of Tunisia and Libya.[152] The Berber-speaking Tuareg and other often-nomadic peoples are the principal inhabitants of the Saharan interior of North Africa. In Mauritania, there is a small but near-extinct Berber community in the north and Niger–Congo-speaking peoples in the south, though in both regions Arabic and Arab culture predominates. In Sudan, although Arabic and Arab culture predominate, it is mostly inhabited by groups that originally spoke Nilo-Saharan, such as the Nubians, Fur, Masalit and Zaghawa, who, over the centuries, have variously intermixed with migrants from the Arabian peninsula. Small communities of Afro-Asiatic-speaking Beja nomads can also be found in Egypt and Sudan.[153][citation needed]
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In the Horn of Africa, some Ethiopian and Eritrean groups (like the Amhara and Tigrayans, collectively known as Habesha) speak languages from the Semitic branch of the Afro-Asiatic language family, while the Oromo and Somali speak languages from the Cushitic branch of Afro-Asiatic.
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Prior to the decolonization movements of the post-World War II era, Europeans were represented in every part of Africa.[154] Decolonization during the 1960s and 1970s often resulted in the mass emigration of white settlers – especially from Algeria and Morocco (1.6 million pieds-noirs in North Africa),[155] Kenya, Congo,[156] Rhodesia, Mozambique and Angola.[157] Between 1975 and 1977, over a million colonials returned to Portugal alone.[158] Nevertheless, white Africans remain an important minority in many African states, particularly Zimbabwe, Namibia, Réunion, and the Republic of South Africa.[159] The country with the largest white African population is South Africa.[160] Dutch and British diasporas represent the largest communities of European ancestry on the continent today.[161]
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European colonization also brought sizable groups of Asians, particularly from the Indian subcontinent, to British colonies. Large Indian communities are found in South Africa, and smaller ones are present in Kenya, Tanzania, and some other southern and southeast African countries. The large Indian community in Uganda was expelled by the dictator Idi Amin in 1972, though many have since returned. The islands in the Indian Ocean are also populated primarily by people of Asian origin, often mixed with Africans and Europeans. The Malagasy people of Madagascar are an Austronesian people, but those along the coast are generally mixed with Bantu, Arab, Indian and European origins. Malay and Indian ancestries are also important components in the group of people known in South Africa as Cape Coloureds (people with origins in two or more races and continents). During the 20th century, small but economically important communities of Lebanese and Chinese[93] have also developed in the larger coastal cities of West and East Africa, respectively.[162]
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By most estimates, well over a thousand languages (UNESCO has estimated around two thousand) are spoken in Africa.[163] Most are of African origin, though some are of European or Asian origin. Africa is the most multilingual continent in the world, and it is not rare for individuals to fluently speak not only multiple African languages, but one or more European ones as well. There are four major language families indigenous to Africa:
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Following the end of colonialism, nearly all African countries adopted official languages that originated outside the continent, although several countries also granted legal recognition to indigenous languages (such as Swahili, Yoruba, Igbo and Hausa). In numerous countries, English and French (see African French) are used for communication in the public sphere such as government, commerce, education and the media. Arabic, Portuguese, Afrikaans and Spanish are examples of languages that trace their origin to outside of Africa, and that are used by millions of Africans today, both in the public and private spheres. Italian is spoken by some in former Italian colonies in Africa. German is spoken in Namibia, as it was a former German protectorate.
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Some aspects of traditional African cultures have become less practised in recent years as a result of neglect and suppression by colonial and post-colonial regimes. For example, African customs were discouraged, and African languages were prohibited in mission schools.[165] Leopold II of Belgium attempted to "civilize" Africans by discouraging polygamy and witchcraft.[165]
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Obidoh Freeborn posits that colonialism is one element that has created the character of modern African art.[166] According to authors Douglas Fraser and Herbert M. Cole, "The precipitous alterations in the power structure wrought by colonialism were quickly followed by drastic iconographic changes in the art." [167] Fraser and Cole assert that, in Igboland, some art objects "lack the vigor and careful craftsmanship of the earlier art objects that served traditional functions.[167] Author Chika Okeke-Agulu states that "the racist infrastructure of British imperial enterprise forced upon the political and cultural guardians of empire a denial and suppression of an emergent sovereign Africa and modernist art." [168] Editors F. Abiola Irele and Simon Gikandi comment that the current identity of African literature had its genesis in the "traumatic encounter between Africa and Europe."[169] On the other hand, Mhoze Chikowero believes that Africans deployed music, dance, spirituality, and other performative cultures to (re)asset themselves as active agents and indigenous intellectuals, to unmake their colonial marginalization and reshape their own destinies." [170]
|
158 |
+
|
159 |
+
There is now a resurgence in the attempts to rediscover and revalue African traditional cultures, under such movements as the African Renaissance, led by Thabo Mbeki, Afrocentrism, led by a group of scholars, including Molefi Asante, as well as the increasing recognition of traditional spiritualism through decriminalization of Vodou and other forms of spirituality.
|
160 |
+
|
161 |
+
African art and architecture reflect the diversity of African cultures. The region's oldest known beads were made from Nassarius shells and worn as personal ornaments 72,000 years ago.[171] The Great Pyramid of Giza in Egypt was the world's tallest structure for 4,000 years, until the completion of Lincoln Cathedral around the year 1300. The stone ruins of Great Zimbabwe are also noteworthy for their architecture, as are the monolithic churches at Lalibela, Ethiopia, such as the Church of Saint George.
|
162 |
+
|
163 |
+
Egypt has long been a cultural focus of the Arab world, while remembrance of the rhythms of sub-Saharan Africa, in particular West Africa, was transmitted through the Atlantic slave trade to modern samba, blues, jazz, reggae, hip hop, and rock. The 1950s through the 1970s saw a conglomeration of these various styles with the popularization of Afrobeat and Highlife music. Modern music of the continent includes the highly complex choral singing of southern Africa and the dance rhythms of the musical genre of soukous, dominated by the music of the Democratic Republic of Congo. Indigenous musical and dance traditions of Africa are maintained by oral traditions, and they are distinct from the music and dance styles of North Africa and Southern Africa. Arab influences are visible in North African music and dance and, in Southern Africa, Western influences are apparent due to colonization.
|
164 |
+
|
165 |
+
Fifty-four African countries have football (soccer) teams in the Confederation of African Football. Egypt has won the African Cup seven times, and a record-making three times in a row. Cameroon, Nigeria, Senegal, Ghana, and Algeria have advanced to the knockout stage of recent FIFA World Cups. South Africa hosted the 2010 World Cup tournament, becoming the first African country to do so.
|
166 |
+
|
167 |
+
Cricket is popular in some African nations. South Africa and Zimbabwe have Test status, while Kenya is the leading non-test team and previously had One-Day International cricket (ODI) status (from 10 October 1997, until 30 January 2014). The three countries jointly hosted the 2003 Cricket World Cup. Namibia is the other African country to have played in a World Cup. Morocco in northern Africa has also hosted the 2002 Morocco Cup, but the national team has never qualified for a major tournament. Rugby is a popular sport in South Africa, Namibia, and Zimbabwe.
|
168 |
+
|
169 |
+
Africans profess a wide variety of religious beliefs, and statistics on religious affiliation are difficult to come by since they are often a sensitive topic for governments with mixed religious populations.[172][173] According to the World Book Encyclopedia, Islam and Christianity are the two largest religions in Africa. According to Encyclopædia Britannica, 45% of the population are Christians, 40% are Muslims, and 10% follow traditional religions. A small number of Africans are Hindu, Buddhist, Confucianist, Baha'i, or Jewish. There is also a minority of people in Africa who are irreligious.
|
170 |
+
|
171 |
+
The Holy Trinity Cathedral, in Addis Ababa, Ethiopia
|
172 |
+
|
173 |
+
The Great Mosque of Kairouan, Tunisia, founded in 670, is the oldest mosque in North Africa;[174]
|
174 |
+
|
175 |
+
Vodun altar in Abomey, Benin
|
176 |
+
|
177 |
+
National Church of Nigeria, Abuja
|
178 |
+
|
179 |
+
A map showing religious distribution in Africa
|
180 |
+
|
181 |
+
The countries in this table are categorized according to the scheme for geographic subregions used by the United Nations, and data included are per sources in cross-referenced articles. Where they differ, provisos are clearly indicated.
|
182 |
+
|
183 |
+
Africa
|
184 |
+
|
185 |
+
Antarctica
|
186 |
+
|
187 |
+
Asia
|
188 |
+
|
189 |
+
Australia
|
190 |
+
|
191 |
+
Europe
|
192 |
+
|
193 |
+
North America
|
194 |
+
|
195 |
+
South America
|
196 |
+
|
197 |
+
Afro-Eurasia
|
198 |
+
|
199 |
+
America
|
200 |
+
|
201 |
+
Eurasia
|
202 |
+
|
203 |
+
Oceania
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1 |
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Abraham Lincoln (/ˈlɪŋkən/;[2] February 12, 1809 – April 15, 1865) was an American statesman and lawyer who served as the 16th president of the United States from 1861 to 1865. Lincoln led the nation through its greatest moral, constitutional, and political crisis in the American Civil War. He succeeded in preserving the Union, abolishing slavery, bolstering the federal government, and modernizing the U.S. economy.
|
6 |
+
|
7 |
+
Lincoln was born into poverty in a log cabin and was raised on the frontier primarily in Indiana. He was self-educated and became a lawyer, Whig Party leader, Illinois state legislator, and U.S. Congressman from Illinois. In 1849 he returned to his law practice but became vexed by the opening of additional lands to slavery as a result of the Kansas–Nebraska Act. He reentered politics in 1854, becoming a leader in the new Republican Party, and he reached a national audience in the 1858 debates against Stephen Douglas. Lincoln ran for President in 1860, sweeping the North in victory. Pro-slavery elements in the South equated his success with the North's rejection of their right to practice slavery, and southern states began seceding from the union. To secure its independence, the new Confederate States fired on Fort Sumter, a U.S. fort in the South, and Lincoln called up forces to suppress the rebellion and restore the Union.
|
8 |
+
|
9 |
+
As the leader of moderate Republicans, Lincoln had to navigate a contentious array of factions with friends and opponents on both sides. War Democrats rallied a large faction of former opponents into his moderate camp, but they were countered by Radical Republicans, who demanded harsh treatment of the Southern traitors. Anti-war Democrats (called "Copperheads") despised him, and irreconcilable pro-Confederate elements plotted his assassination. Lincoln managed the factions by exploiting their mutual enmity, by carefully distributing political patronage, and by appealing to the U.S. people. His Gettysburg Address became a historic clarion call for nationalism, republicanism, equal rights, liberty, and democracy. Lincoln scrutinized the strategy and tactics in the war effort, including the selection of generals and the naval blockade of the South's trade. He suspended habeas corpus, and he averted British intervention by defusing the Trent Affair. He engineered the end to slavery with his Emancipation Proclamation and his order that the Army protect escaped slaves. He also encouraged border states to outlaw slavery, and promoted the Thirteenth Amendment to the United States Constitution, which outlawed slavery across the country.
|
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+
|
11 |
+
Lincoln managed his own successful re-election campaign. He sought to reconcile the war-torn nation by exonerating the secessionists. On April 14, 1865, just days after the war's end at Appomattox, Lincoln was attending the play Our American Cousin at Ford's Theatre with his wife Mary when he was assassinated by Confederate sympathizer John Wilkes Booth. His marriage had produced four sons, two of whom preceded him in death, with severe emotional impact upon him and Mary. Lincoln is remembered as the United States' martyr hero, and he is consistently ranked as the greatest U.S. president in history.
|
12 |
+
|
13 |
+
Abraham Lincoln was born on February 12, 1809, the second child of Thomas Lincoln and Nancy Hanks Lincoln, in a one-room log cabin on Sinking Spring Farm near Hodgenville, Kentucky.[3] He was a descendant of Samuel Lincoln, an Englishman who migrated from Hingham, Norfolk, to its namesake, Hingham, Massachusetts, in 1638. The family then migrated west, passing through New Jersey, Pennsylvania, and Virginia.[4] Lincoln's paternal grandparents, his namesake Captain Abraham Lincoln and wife Bathsheba (née Herring), moved the family from Virginia to Jefferson County, Kentucky. The captain was killed in an Indian raid in 1786.[5] His children, including eight-year-old Thomas, Abraham's father, witnessed the attack.[6][b] Thomas then worked at odd jobs in Kentucky and Tennessee before the family settled in Hardin County, Kentucky in the early 1800s.[6]
|
14 |
+
|
15 |
+
The heritage of Lincoln's mother Nancy remains unclear, but it is widely assumed that she was the daughter of Lucy Hanks.[8] Thomas and Nancy married on June 12, 1806, in Washington County, and moved to Elizabethtown, Kentucky.[9] They had three children: Sarah, Abraham, and Thomas, who died an infant.[10]
|
16 |
+
|
17 |
+
Thomas Lincoln bought or leased farms in Kentucky before losing all but 200 acres (81 ha) of his land in court disputes over property titles.[11] In 1816, the family moved to Indiana where the land surveys and titles were more reliable.[12] Indiana was a "free" (non-slaveholding) territory, and they settled in an "unbroken forest"[13] in Hurricane Township, Perry County, Indiana.[14][c] In 1860, Lincoln noted that the family's move to Indiana was "partly on account of slavery", but mainly due to land title difficulties.[16]
|
18 |
+
|
19 |
+
In Kentucky and Indiana, Thomas worked as a farmer, cabinetmaker, and carpenter.[17] At various times, he owned farms, livestock and town lots, paid taxes, sat on juries, appraised estates, and served on county patrols. Thomas and Nancy were members of a Separate Baptists church, which forbade alcohol, dancing, and slavery.[18]
|
20 |
+
|
21 |
+
Overcoming financial challenges, Thomas in 1827 obtained clear title to 80 acres (32 ha) in Indiana, an area which became the Little Pigeon Creek Community.[19]
|
22 |
+
|
23 |
+
On October 5, 1818, Nancy Lincoln succumbed to milk sickness, leaving 11-year-old Sarah in charge of a household including her father, 9-year-old Abraham, and Nancy's 19-year-old orphan cousin, Dennis Hanks.[20] Ten years later, on January 20, 1828, Sarah died while giving birth to a stillborn son, devastating Lincoln.[21]
|
24 |
+
|
25 |
+
On December 2, 1819, Thomas married Sarah Bush Johnston, a widow from Elizabethtown, Kentucky, with three children of her own.[22] Abraham became close to his stepmother, and called her "Mother".[23] Lincoln disliked the hard labor associated with farm life. His family even said he was lazy, for all his "reading, scribbling, writing, ciphering, writing Poetry, etc".[24] His stepmother acknowledged he did not enjoy "physical labor", but loved to read.[25]
|
26 |
+
|
27 |
+
Lincoln was mostly self-educated, except for some schooling from itinerant teachers of less than 12 months aggregate.[26] He persisted as an avid reader and retained a lifelong interest in learning.[27] Family, neighbors, and schoolmates recalled that his reading included the King James Bible, Aesop's Fables, John Bunyan's The Pilgrim's Progress, Daniel Defoe's Robinson Crusoe, and The Autobiography of Benjamin Franklin.[28]
|
28 |
+
|
29 |
+
As a teen, Lincoln took responsibility for chores, and customarily gave his father all earnings from work outside the home until he was 21.[29] Lincoln was tall, strong, and athletic, and became adept at using an ax.[30] He gained a reputation for strength and audacity after winning a wrestling match with the renowned leader of ruffians known as "the Clary's Grove boys".[31]
|
30 |
+
|
31 |
+
In March 1830, fearing another milk sickness outbreak, several members of the extended Lincoln family, including Thomas, moved west to Illinois, a free state, and settled in Macon County.[32][d] Abraham then became increasingly distant from Thomas, in part due to his father's lack of education.[34] In 1831, as Thomas and other family prepared to move to a new homestead in Coles County, Illinois, Abraham struck out on his own.[35] He made his home in New Salem, Illinois for six years.[36] Lincoln and some friends took goods by flatboat to New Orleans, Louisiana, where he was first exposed to slavery.[37]
|
32 |
+
|
33 |
+
Lincoln's first romantic interest was Ann Rutledge, whom he met when he moved to New Salem. By 1835, they were in a relationship but not formally engaged.[38] She died on August 25, 1835, most likely of typhoid fever.[39] In the early 1830s, he met Mary Owens from Kentucky.[40]
|
34 |
+
|
35 |
+
Late in 1836, Lincoln agreed to a match with Owens if she returned to New Salem. Owens arrived that November and he courted her for a time; however, they both had second thoughts. On August 16, 1837, he wrote Owens a letter saying he would not blame her if she ended the relationship, and she never replied.[41]
|
36 |
+
|
37 |
+
Lincoln in 1839 met Mary Todd in Springfield, Illinois, and the following year they became engaged.[42] She was the daughter of Robert Smith Todd, a wealthy lawyer and businessman in Lexington, Kentucky.[43] A wedding set for January 1, 1841 was canceled at Lincoln's request, but they reconciled and married on November 4, 1842, in the Springfield mansion of Mary's sister.[44] While anxiously preparing for the nuptials, he was asked where he was going and replied, "To hell, I suppose."[45] In 1844, the couple bought a house in Springfield near his law office. Mary kept house with the help of a relative and hired servant.[46]
|
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+
|
39 |
+
Lincoln was an affectionate husband and father of four sons, though his work regularly kept him away from home. The oldest, Robert Todd Lincoln, was born in 1843 and was the only child to live to maturity. Edward Baker Lincoln (Eddie), born in 1846, died February 1, 1850, probably of tuberculosis. Lincoln's third son, "Willie" Lincoln was born on December 21, 1850, and died of a fever at the White House on February 20, 1862. The youngest, Thomas "Tad" Lincoln, was born on April 4, 1853, and survived his father but died of heart failure at age 18 on July 16, 1871.[47][e] Lincoln "was remarkably fond of children"[49] and the Lincolns were not considered to be strict with their own.[50] In fact, Lincoln's law partner William H. Herndon would grow irritated when Lincoln would bring his children to the law office. Their father, it seemed, was often too absorbed in his work to notice his children's behavior. Herndon recounted, "I have felt many and many a time that I wanted to wring their little necks, and yet out of respect for Lincoln I kept my mouth shut. Lincoln did not note what his children were doing or had done."[51]
|
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+
|
41 |
+
The deaths of their sons, Eddie and Willie, had profound effects on both parents. Lincoln suffered from "melancholy", a condition now thought to be clinical depression.[52] Later in life, Mary struggled with the stresses of losing her husband and sons, and Robert committed her for a time to an asylum in 1875.[53]
|
42 |
+
|
43 |
+
In 1832, Lincoln joined with a partner, Denton Offutt, in the purchase of a general store on credit in New Salem.[54] Although the economy was booming, the business struggled and Lincoln eventually sold his share. That March he entered politics, running for the Illinois General Assembly, advocating navigational improvements on the Sangamon River. He could draw crowds as a raconteur, but he lacked the requisite formal education, powerful friends, and money, and lost the election.[55]
|
44 |
+
|
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+
Lincoln briefly interrupted his campaign to serve as a captain in the Illinois Militia during the Black Hawk War.[56] When he returned to his campaign and first speech, he observed a supporter in the crowd under attack, grabbed the assailant by his "neck and the seat of his trousers" and tossed him.[32] Lincoln finished eighth out of 13 candidates (the top four were elected), though he received 277 of the 300 votes cast in the New Salem precinct.[57]
|
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+
|
47 |
+
Lincoln served as New Salem's postmaster and later as county surveyor, but continued his voracious reading, and he decided to become a lawyer. He taught himself the law, with Blackstone's Commentaries, saying later of the effort, "I studied with nobody."[58]
|
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+
|
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+
Lincoln's second state house campaign in 1834, this time as a Whig, was a success over a powerful Whig opponent.[59] Then followed his four terms in the Illinois House of Representatives for Sangamon County.[60] He championed construction of the Illinois and Michigan Canal, and later was a Canal Commissioner.[61] He voted to expand suffrage beyond white landowners to all white males, but adopted a "free soil" stance opposing both slavery and abolition.[62] In 1837 he declared, "[The] Institution of slavery is founded on both injustice and bad policy, but the promulgation of abolition doctrines tends rather to increase than abate its evils."[63] He echoed Henry Clay's support for the American Colonization Society which advocated a program of abolition in conjunction with settling freed slaves in Liberia.[64]
|
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+
|
51 |
+
Admitted to the Illinois bar in 1836,[65] he moved to Springfield and began to practice law under John T. Stuart, Mary Todd's cousin.[66] Lincoln emerged as a formidable trial combatant during cross-examinations and closing arguments. He partnered several years with Stephen T. Logan, and in 1844 began his practice with William Herndon, "a studious young man".[67]
|
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+
|
53 |
+
True to his record, Lincoln professed to friends in 1861 to be "an old line Whig, a disciple of Henry Clay".[68] Their party favored economic modernization in banking, tariffs to fund internal improvements including railroads, and urbanization.[69]
|
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+
|
55 |
+
In 1843 Lincoln sought the Whig nomination for Illinois's 7th district seat in the U.S. House of Representatives; he was defeated by John J. Hardin though he prevailed with the party in limiting Hardin to one term. Lincoln not only pulled off his strategy of gaining the nomination in 1846, but also won election. He was the only Whig in the Illinois delegation, but as dutiful as any, participated in almost all votes and made speeches that toed the party line.[70] He was assigned to the Committee on Post Office and Post Roads and the Committee on Expenditures in the War Department.[71] Lincoln teamed with Joshua R. Giddings on a bill to abolish slavery in the District of Columbia with compensation for the owners, enforcement to capture fugitive slaves, and a popular vote on the matter. He dropped the bill when it eluded Whig support.[72]
|
56 |
+
|
57 |
+
On foreign and military policy, Lincoln spoke against the Mexican–American War, which he imputed to President James K. Polk's desire for "military glory—that attractive rainbow, that rises in showers of blood".[73] He supported the Wilmot Proviso, a failed proposal to ban slavery in any U.S. territory won from Mexico.[74]
|
58 |
+
|
59 |
+
Lincoln emphasized his opposition to Polk by drafting and introducing his Spot Resolutions. The war had begun with a Mexican slaughter of American soldiers in territory disputed by Mexico, and Polk insisted that Mexican soldiers had "invaded our territory and shed the blood of our fellow-citizens on our soil".[75][verification needed] Lincoln demanded that Polk show Congress the exact spot on which blood had been shed and prove that the spot was on American soil.[76] The resolution was ignored in both Congress and the national papers, and it cost Lincoln political support in his district. One Illinois newspaper derisively nicknamed him "spotty Lincoln".[77] Lincoln later regretted some of his statements, especially his attack on presidential war-making powers.[78]
|
60 |
+
|
61 |
+
Lincoln had pledged in 1846 to serve only one term in the House. Realizing Clay was unlikely to win the presidency, he supported General Zachary Taylor for the Whig nomination in the 1848 presidential election.[79] Taylor won and Lincoln hoped in vain to be appointed Commissioner of the General Land Office.[80] The administration offered to appoint him secretary or governor of the Oregon Territory as consolation.[81] This distant territory was a Democratic stronghold, and acceptance of the post would have disrupted his legal and political career in Illinois, so he declined and resumed his law practice.[82]
|
62 |
+
|
63 |
+
In his Springfield practice Lincoln handled "every kind of business that could come before a prairie lawyer".[83] Twice a year he appeared for 10 consecutive weeks in county seats in the midstate county courts; this continued for 16 years.[84] Lincoln handled transportation cases in the midst of the nation's western expansion, particularly river barge conflicts under the many new railroad bridges. As a riverboat man, Lincoln initially favored those interests, but ultimately represented whoever hired him.[85] He later represented a bridge company against a riverboat company in a landmark case involving a canal boat that sank after hitting a bridge.[86] In 1849, he received a patent for a flotation device for the movement of boats in shallow water. The idea was never commercialized, but it made Lincoln the only president to hold a patent.[87]
|
64 |
+
|
65 |
+
Lincoln appeared before the Illinois Supreme Court in 175 cases; he was sole counsel in 51 cases, of which 31 were decided in his favor.[88] From 1853 to 1860, one of his largest clients was the Illinois Central Railroad.[89] His legal reputation gave rise to the nickname "Honest Abe".[90]
|
66 |
+
|
67 |
+
Lincoln argued in an 1858 criminal trial, defending William "Duff" Armstrong, who was on trial for the murder of James Preston Metzker.[91] The case is famous for Lincoln's use of a fact established by judicial notice to challenge the credibility of an eyewitness. After an opposing witness testified to seeing the crime in the moonlight, Lincoln produced a Farmers' Almanac showing the moon was at a low angle, drastically reducing visibility. Armstrong was acquitted.[91]
|
68 |
+
|
69 |
+
Leading up to his presidential campaign, Lincoln elevated his profile in an 1859 murder case, with his defense of Simeon Quinn "Peachy" Harrison who was a third cousin; Harrison was also the grandson of Lincoln's political opponent, Rev. Peter Cartwright.[92] Harrison was charged with the murder of Greek Crafton who, as he lay dying of his wounds, confessed to Cartwright that he had provoked Harrison.[93] Lincoln angrily protested the judge's initial decision to exclude Cartwright's testimony about the confession as inadmissible hearsay. Lincoln argued that the testimony involved a dying declaration and was not subject to the hearsay rule. Instead of holding Lincoln in contempt of court as expected, the judge, a Democrat, reversed his ruling and admitted the testimony into evidence, resulting in Harrison's acquittal.[91]
|
70 |
+
|
71 |
+
The debate over the status of slavery in the territories failed to alleviate tensions between the slave-holding South and the free North, with the failure of the Compromise of 1850, a legislative package designed to address the issue.[94] In his 1852 eulogy for Clay, Lincoln highlighted the latter's support for gradual emancipation and opposition to "both extremes" on the slavery issue.[95] As the slavery debate in the Nebraska and Kansas territories became particularly acrimonious, Illinois Senator Stephen A. Douglas proposed popular sovereignty as a compromise; the measure would allow the electorate of each territory to decide the status of slavery. The legislation alarmed many Northerners, who sought to prevent the resulting spread of slavery, but Douglas's Kansas–Nebraska Act narrowly passed Congress in May 1854.[96]
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Lincoln did not comment on the act until months later in his "Peoria Speech" in October 1854. Lincoln then declared his opposition to slavery which he repeated en route to the presidency.[97] He said the Kansas Act had a "declared indifference, but as I must think, a covert real zeal for the spread of slavery. I cannot but hate it. I hate it because of the monstrous injustice of slavery itself. I hate it because it deprives our republican example of its just influence in the world ..."[98] Lincoln's attacks on the Kansas–Nebraska Act marked his return to political life.[99]
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Nationally, the Whigs were irreparably split by the Kansas–Nebraska Act and other efforts to compromise on the slavery issue. Reflecting on the demise of his party, Lincoln wrote in 1855, "I think I am a Whig, but others say there are no Whigs, and that I am an abolitionist...I do no more than oppose the extension of slavery."[100] The new Republican Party was formed as a northern party dedicated to antislavery, drawing from the antislavery wing of the Whig Party, and combining Free Soil, Liberty, and antislavery Democratic Party members,[101] Lincoln resisted early Republican entreaties, fearing that the new party would become a platform for extreme abolitionists.[102] Lincoln held out hope for rejuvenating the Whigs, though he lamented his party's growing closeness with the nativist Know Nothing movement.[103]
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In 1854 Lincoln was elected to the Illinois legislature but declined to take his seat. The year's elections showed the strong opposition to the Kansas–Nebraska Act, and in the aftermath, Lincoln sought election to the United States Senate.[99] At that time, senators were elected by the state legislature.[104] After leading in the first six rounds of voting, he was unable to obtain a majority. Lincoln instructed his backers to vote for Lyman Trumbull. Trumbull was an antislavery Democrat, and had received few votes in the earlier ballots; his supporters, also antislavery Democrats, had vowed not to support any Whig. Lincoln's decision to withdraw enabled his Whig supporters and Trumbull's antislavery Democrats to combine and defeat the mainstream Democratic candidate, Joel Aldrich Matteson.[105]
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Violent political confrontations in Kansas continued, and opposition to the Kansas–Nebraska Act remained strong throughout the North. As the 1856 elections approached, Lincoln joined the Republicans and attended the Bloomington Convention, which formally established the Illinois Republican Party. The convention platform endorsed Congress's right to regulate slavery in the territories and backed the admission of Kansas as a free state. Lincoln gave the final speech of the convention supporting the party platform and called for the preservation of the Union.[106] At the June 1856 Republican National Convention, though Lincoln received support to run as vice president, John C. Frémont and William Dayton comprised the ticket, which Lincoln supported throughout Illinois. The Democrats nominated former Secretary of State James Buchanan and the Know-Nothings nominated former Whig President Millard Fillmore.[107] Buchanan prevailed, while Republican William Henry Bissell won election as Governor of Illinois, and Lincoln became a leading Republican in Illinois.[108][f]
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Dred Scott was a slave whose master took him from a slave state to a free territory under the Missouri Compromise. After Scott was returned to the slave state he petitioned a federal court for his freedom. His petition was denied in Dred Scott v. Sandford (1857).[g] Supreme Court Chief Justice Roger B. Taney in the decision wrote that blacks were not citizens and derived no rights from the Constitution. While many Democrats hoped that Dred Scott would end the dispute over slavery in the territories, the decision sparked further outrage in the North.[111] Lincoln denounced it as the product of a conspiracy of Democrats to support the Slave Power.[112] He argued the decision was at variance with the Declaration of Independence; he said that while the founding fathers did not believe all men equal in every respect, they believed all men were equal "in certain inalienable rights, among which are life, liberty, and the pursuit of happiness".[113]
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In 1858 Douglas was up for re-election in the U.S. Senate, and Lincoln hoped to defeat him. Many in the party felt that a former Whig should be nominated in 1858, and Lincoln's 1856 campaigning and support of Trumbull had earned him a favor.[114] Some eastern Republicans supported Douglas from his opposition to the Lecompton Constitution and admission of Kansas as a slave state.[115] Many Illinois Republicans resented this eastern interference. For the first time, Illinois Republicans held a convention to agree upon a Senate candidate, and Lincoln won the nomination with little opposition.[116]
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Accepting the nomination, Lincoln delivered his House Divided Speech, with the biblical reference Mark 3:25, "A house divided against itself cannot stand. I believe this government cannot endure permanently half slave and half free. I do not expect the Union to be dissolved—I do not expect the house to fall—but I do expect it will cease to be divided. It will become all one thing, or all the other."[117] The speech created a stark image of the danger of disunion.[118] The stage was then set for the election of the Illinois legislature which would, in turn, select Lincoln or Douglas.[119] When informed of Lincoln's nomination, Douglas stated, "[Lincoln] is the strong man of the party ... and if I beat him, my victory will be hardly won."[120]
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The Senate campaign featured seven debates between the two. These were the most famous political debates in American history; they had an atmosphere akin to a prizefight and drew crowds in the thousands.[121] The principals stood in stark contrast both physically and politically. Lincoln warned that Douglas’ "Slave Power" was threatening the values of republicanism, and accused Douglas of distorting the Founding Fathers' premise that all men are created equal. Douglas emphasized his Freeport Doctrine, that local settlers were free to choose whether to allow slavery, and accused Lincoln of having joined the abolitionists.[122] Lincoln's argument assumed a moral tone, as he claimed Douglas represented a conspiracy to promote slavery. Douglas's argument was more legal, claiming that Lincoln was defying the authority of the U.S. Supreme Court in the Dred Scott decision.[123]
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Though the Republican legislative candidates won more popular votes, the Democrats won more seats, and the legislature re-elected Douglas. Lincoln's articulation of the issues gave him a national political presence.[124] In May 1859, Lincoln purchased the Illinois Staats-Anzeiger, a German-language newspaper that was consistently supportive; most of the state's 130,000 German Americans voted Democratic but the German-language paper mobilized Republican support.[125] In the aftermath of the 1858 election, newspapers frequently mentioned Lincoln as a potential Republican presidential candidate, rivaled by William H. Seward, Salmon P. Chase, Edward Bates, and Simon Cameron. While Lincoln was popular in the Midwest, he lacked support in the Northeast, and was unsure whether to seek the office.[126] In January 1860, Lincoln told a group of political allies that he would accept the nomination if offered, and in the following months several local papers endorsed his candidacy.[127]
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On February 27, 1860, powerful New York Republicans invited Lincoln to give a speech at Cooper Union, in which he argued that the Founding Fathers had little use for popular sovereignty and had repeatedly sought to restrict slavery. He insisted that morality required opposition to slavery, and rejected any "groping for some middle ground between the right and the wrong".[128] Many in the audience thought he appeared awkward and even ugly.[129] But Lincoln demonstrated intellectual leadership that brought him into contention. Journalist Noah Brooks reported, "No man ever before made such an impression on his first appeal to a New York audience."[130]
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Historian David Herbert Donald described the speech as a "superb political move for an unannounced candidate, to appear in one rival's (Seward) own state at an event sponsored by the second rival's (Chase) loyalists, while not mentioning either by name during its delivery".[131] In response to an inquiry about his ambitions, Lincoln said, "The taste is in my mouth a little."[132]
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On May 9–10, 1860, the Illinois Republican State Convention was held in Decatur.[133] Lincoln's followers organized a campaign team led by David Davis, Norman Judd, Leonard Swett, and Jesse DuBois, and Lincoln received his first endorsement.[134] Exploiting his embellished frontier legend (clearing land and splitting fence rails), Lincoln's supporters adopted the label of "The Rail Candidate".[135] In 1860, Lincoln described himself: "I am in height, six feet, four inches, nearly; lean in flesh, weighing, on an average, one hundred and eighty pounds; dark complexion, with coarse black hair, and gray eyes."[136] Michael Martinez wrote about the effective imaging of Lincoln by his campaign. At times he was presented as the plain-talking "Rail Splitter" and at other times he was "Honest Abe", unpolished but trustworthy.[137]
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On May 18, at the Republican National Convention in Chicago, Lincoln won the nomination on the third ballot, beating candidates such as Seward and Chase. A former Democrat, Hannibal Hamlin of Maine, was nominated for vice president to balance the ticket. Lincoln's success depended on his campaign team, his reputation as a moderate on the slavery issue, and his strong support for internal improvements and the tariff.[138]
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Pennsylvania put him over the top, led by the state's iron interests who were reassured by his tariff support.[139] Lincoln's managers had focused on this delegation while honoring Lincoln's dictate to "Make no contracts that bind me".[140]
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As the Slave Power tightened its grip on the national government, most Republicans agreed with Lincoln that the North was the aggrieved party. Throughout the 1850s, Lincoln had doubted the prospects of civil war, and his supporters rejected claims that his election would incite secession.[141] When Douglas was selected as the candidate of the Northern Democrats, delegates from eleven slave states walked out of the Democratic convention; they opposed Douglas's position on popular sovereignty, and selected incumbent Vice President John C. Breckinridge as their candidate.[142] A group of former Whigs and Know Nothings formed the Constitutional Union Party and nominated John Bell of Tennessee. Lincoln and Douglas competed for votes in the North, while Bell and Breckinridge primarily found support in the South.[114]
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Prior to the Republican convention, the Lincoln campaign began cultivating a nationwide youth organization, the Wide Awakes, which it used to generate popular support throughout the country to spearhead voter registration drives, thinking that new voters and young voters tended to embrace new parties.[143] Lincoln's ideas of abolishing slavery grew, drawing more supporters. People of the Northern states knew the Southern states would vote against Lincoln and rallied supporters for Lincoln.[144]
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As Douglas and the other candidates campaigned, Lincoln gave no speeches, relying on the enthusiasm of the Republican Party. The party did the leg work that produced majorities across the North, and produced an abundance of campaign posters, leaflets, and newspaper editorials. Republican speakers focused first on the party platform, and second on Lincoln's life story, emphasizing his childhood poverty. The goal was to demonstrate the power of "free labor", which allowed a common farm boy to work his way to the top by his own efforts.[145] The Republican Party's production of campaign literature dwarfed the combined opposition; a Chicago Tribune writer produced a pamphlet that detailed Lincoln's life, and sold 100,000–200,000 copies.[146]
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On November 6, 1860, Lincoln was elected the 16th president. He was the first Republican president and his victory was entirely due to his support in the North and West; no ballots were cast for him in 10 of the 15 Southern slave states, and he won only two of 996 counties in all the Southern states.[147] Lincoln received 1,866,452 votes, or 39.8% of the total in a four-way race, carrying the free Northern states, as well as California and Oregon.[148] His victory in the electoral college was decisive: Lincoln had 180 votes to 123 for his opponents.[149]
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In response to Lincoln's election, secessionists implemented plans to leave the Union before he took office in March 1861.[150] On December 20, 1860, South Carolina took the lead by adopting an ordinance of secession; by February 1, 1861, Florida, Mississippi, Alabama, Georgia, Louisiana, and Texas followed.[151] Six of these states declared themselves to be a sovereign nation, the Confederate States of America, and adopted a constitution.[152] The upper South and border states (Delaware, Maryland, Virginia, North Carolina, Tennessee, Kentucky, Missouri, and Arkansas) initially rejected the secessionist appeal.[153] President Buchanan and President-elect Lincoln refused to recognize the Confederacy, declaring secession illegal.[154] The Confederacy selected Jefferson Davis as its provisional President on February 9, 1861.[155]
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Attempts at compromise followed but Lincoln and the Republicans rejected the proposed Crittenden Compromise as contrary to the Party's platform of free-soil in the territories.[156] Lincoln said, "I will suffer death before I consent ... to any concession or compromise which looks like buying the privilege to take possession of this government to which we have a constitutional right."[157]
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Lincoln tacitly supported the Corwin Amendment to the Constitution, which passed Congress and was awaiting ratification by the states when Lincoln took office. That doomed amendment would have protected slavery in states where it already existed.[158] A few weeks before the war, Lincoln sent a letter to every governor informing them Congress had passed a joint resolution to amend the Constitution.[159]
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En route to his inauguration, Lincoln addressed crowds and legislatures across the North.[160] The president-elect evaded suspected assassins in Baltimore. On February 23, 1861, he arrived in disguise in Washington, D.C., which was placed under substantial military guard.[161] Lincoln directed his inaugural address to the South, proclaiming once again that he had no inclination to abolish slavery in the Southern states:
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Apprehension seems to exist among the people of the Southern States that by the accession of a Republican Administration their property and their peace and personal security are to be endangered. There has never been any reasonable cause for such apprehension. Indeed, the most ample evidence to the contrary has all the while existed and been open to their inspection. It is found in nearly all the published speeches of him who now addresses you. I do but quote from one of those speeches when I declare that "I have no purpose, directly or indirectly, to interfere with the institution of slavery in the States where it exists. I believe I have no lawful right to do so, and I have no inclination to do so."
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Lincoln cited his plans for banning the expansion of slavery as the key source of conflict between North and South, stating "One section of our country believes slavery is right and ought to be extended, while the other believes it is wrong and ought not to be extended. This is the only substantial dispute." The President ended his address with an appeal to the people of the South: "We are not enemies, but friends. We must not be enemies ... The mystic chords of memory, stretching from every battlefield, and patriot grave, to every living heart and hearthstone, all over this broad land, will yet swell the chorus of the Union, when again touched, as surely they will be, by the better angels of our nature."[163] The failure of the Peace Conference of 1861 signaled that legislative compromise was impossible. By March 1861, no leaders of the insurrection had proposed rejoining the Union on any terms. Meanwhile, Lincoln and the Republican leadership agreed that the dismantling of the Union could not be tolerated.[164] Later in his second inaugural address Lincoln looked back on the situation at the time and said: "Both parties deprecated war, but one of them would make war rather than let the Nation survive, and the other would accept war rather than let it perish, and the war came."
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Major Robert Anderson, commander of the Union's Fort Sumter in Charleston, South Carolina, sent a request for provisions to Washington, and Lincoln's order to meet that request was seen by the secessionists as an act of war. On April 12, 1861, Confederate forces fired on Union troops at Fort Sumter and began the fight. Historian Allan Nevins argued that the newly inaugurated Lincoln made three miscalculations: underestimating the gravity of the crisis, exaggerating the strength of Unionist sentiment in the South, and overlooking Southern Unionist opposition to an invasion.[165]
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William Tecumseh Sherman talked to Lincoln during inauguration week and was "sadly disappointed" at his failure to realize that "the country was sleeping on a volcano" and that the South was preparing for war.[166] Donald concludes that, "His repeated efforts to avoid collision in the months between inauguration and the firing on Ft. Sumter showed he adhered to his vow not to be the first to shed fraternal blood. But he also vowed not to surrender the forts. The only resolution of these contradictory positions was for the confederates to fire the first shot; they did just that."[167]
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On April 15, Lincoln called on the states to send detachments totaling 75,000 troops to recapture forts, protect Washington, and "preserve the Union", which, in his view, remained intact despite the seceding states. This call forced states to choose sides. Virginia seceded and was rewarded with the designation of Richmond as the Confederate capital, despite its exposure to Union lines. North Carolina, Tennessee, and Arkansas followed over the following two months. Secession sentiment was strong in Missouri and Maryland, but did not prevail; Kentucky remained neutral.[168] The Fort Sumter attack rallied Americans north of the Mason-Dixon line to defend the nation.
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As States sent Union regiments south, on April 19, Baltimore mobs in control of the rail links attacked Union troops who were changing trains. Local leaders' groups later burned critical rail bridges to the capital and the Army responded by arresting local Maryland officials. Lincoln suspended the writ of habeas corpus where needed for the security of troops trying to reach Washington.[169] John Merryman, one Maryland official hindering the U.S. troop movements, petitioned Supreme Court Chief Justice Roger B. Taney to issue a writ of habeas corpus. In June Taney, ruling only for the lower circuit court in ex parte Merryman, issued the writ which he felt could only be suspended by Congress. Lincoln persisted with the policy of suspension in select areas.[170]
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Lincoln took executive control of the war and shaped the Union military strategy. He responded to the unprecedented political and military crisis as commander-in-chief by exercising unprecedented authority. He expanded his war powers, imposed a blockade on Confederate ports, disbursed funds before appropriation by Congress, suspended habeas corpus, and arrested and imprisoned thousands of suspected Confederate sympathizers. Lincoln gained the support of Congress and the northern public for these actions. Lincoln also had to reinforce Union sympathies in the border slave states and keep the war from becoming an international conflict.[171]
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It was clear from the outset that bipartisan support was essential to success, and that any compromise alienated factions on both sides of the aisle, such as the appointment of Republicans and Democrats to command positions. Copperheads criticized Lincoln for refusing to compromise on slavery. The Radical Republicans criticized him for moving too slowly in abolishing slavery.[172] On August 6, 1861, Lincoln signed the Confiscation Act that authorized judicial proceedings to confiscate and free slaves who were used to support the Confederates. The law had little practical effect, but it signaled political support for abolishing slavery.[173]
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In August 1861, General John C. Frémont, the 1856 Republican presidential nominee, without consulting Washington, issued a martial edict freeing slaves of the rebels. Lincoln cancelled the illegal proclamation as politically motivated and lacking military necessity.[174] As a result, Union enlistments from Maryland, Kentucky, and Missouri increased by over 40,000.[175]
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Internationally, Lincoln wanted to forestall foreign military aid to the Confederacy.[176] He relied on his combative Secretary of State William Seward while working closely with Senate Foreign Relations Committee chairman Charles Sumner.[177] In the 1861 Trent Affair which threatened war with Great Britain, the U.S. Navy illegally intercepted a British mail ship, the Trent, on the high seas and seized two Confederate envoys; Britain protested vehemently while the U.S. cheered. Lincoln ended the crisis by releasing the two diplomats. Biographer James G. Randall dissected Lincoln's successful techniques:[178]
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his restraint, his avoidance of any outward expression of truculence, his early softening of State Department's attitude toward Britain, his deference toward Seward and Sumner, his withholding of his paper prepared for the occasion, his readiness to arbitrate, his golden silence in addressing Congress, his shrewdness in recognizing that war must be averted, and his clear perception that a point could be clinched for America's true position at the same time that satisfaction was given to a friendly country.
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Lincoln painstakingly monitored the telegraph reports coming into the War Department. He tracked all phases of the effort, consulting with governors, and selecting generals based on their success, their state, and their party. In January 1862, after complaints of inefficiency and profiteering in the War Department, Lincoln replaced War Secretary Simon Cameron with Edwin Stanton. Stanton centralized the War Department's activities, auditing and canceling contracts, saving the federal government $17,000,000.[179] Stanton was a staunch Unionist, pro-business, conservative Democrat who gravitated toward the Radical Republican faction. He worked more often and more closely with Lincoln than any other senior official. "Stanton and Lincoln virtually conducted the war together", say Thomas and Hyman.[180]
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Lincoln's war strategy embraced two priorities: ensuring that Washington was well-defended and conducting an aggressive war effort for a prompt, decisive victory.[h] Twice a week, Lincoln met with his cabinet in the afternoon. Occasionally Mary prevailed on him to take a carriage ride, concerned that he was working too hard.[182] For his edification Lincoln relied upon a book by his chief of staff General Henry Halleck entitled Elements of Military Art and Science; Halleck was a disciple of the European strategist Antoine-Henri Jomini. Lincoln began to appreciate the critical need to control strategic points, such as the Mississippi River.[183] Lincoln saw the importance of Vicksburg and understood the necessity of defeating the enemy's army, rather than simply capturing territory.[184]
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After the Union rout at Bull Run and Winfield Scott's retirement, Lincoln appointed Major General George B. McClellan general-in-chief.[185] McClellan then took months to plan his Virginia Peninsula Campaign. McClellan's slow progress frustrated Lincoln, as did his position that no troops were needed to defend Washington. McClellan, in turn, blamed the failure of the campaign on Lincoln's reservation of troops for the capitol.[186]
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In 1862 Lincoln removed McClellan for the general's continued inaction. He elevated Henry Halleck in July and appointed John Pope as head of the new Army of Virginia.[187] Pope satisfied Lincoln's desire to advance on Richmond from the north, thus protecting Washington from counterattack.[188] But Pope was then soundly defeated at the Second Battle of Bull Run in the summer of 1862, forcing the Army of the Potomac back to defend Washington.[189]
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Despite his dissatisfaction with McClellan's failure to reinforce Pope, Lincoln restored him to command of all forces around Washington.[190] Two days after McClellan's return to command, General Robert E. Lee's forces crossed the Potomac River into Maryland, leading to the Battle of Antietam.[191] That battle, a Union victory, was among the bloodiest in American history; it facilitated Lincoln's Emancipation Proclamation in January.[192]
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McClellan then resisted the president's demand that he pursue Lee's withdrawing army, while General Don Carlos Buell likewise refused orders to move the Army of the Ohio against rebel forces in eastern Tennessee. Lincoln replaced Buell with William Rosecrans; and after the 1862 midterm elections he replaced McClellan with Ambrose Burnside. The appointments were both politically neutral and adroit on Lincoln's part.[193]
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Burnside, against presidential advice, launched an offensive across the Rappahannock River and was defeated by Lee at Fredericksburg in December. Desertions during 1863 came in the thousands and only increased after Fredericksburg, so Lincoln replaced Burnside with Joseph Hooker.[194]
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In the 1862 midterm elections the Republicans suffered severe losses due to rising inflation, high taxes, rumors of corruption, suspension of habeas corpus, military draft law, and fears that freed slaves would come North and undermine the labor market. The Emancipation Proclamation gained votes for Republicans in rural New England and the upper Midwest, but cost votes in the Irish and German strongholds and in the lower Midwest, where many Southerners had lived for generations.[195]
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In the spring of 1863 Lincoln was sufficiently optimistic about upcoming military campaigns to think the end of the war could be near; the plans included attacks by Hooker on Lee north of Richmond, Rosecrans on Chattanooga, Grant on Vicksburg, and a naval assault on Charleston.[196]
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Hooker was routed by Lee at the Battle of Chancellorsville in May, then resigned and was replaced by George Meade.[197] Meade followed Lee north into Pennsylvania and beat him in the Gettysburg Campaign, but then failed to follow up despite Lincoln's demands. At the same time, Grant captured Vicksburg and gained control of the Mississippi River, splitting the far western rebel states.[198]
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The Federal government's power to end slavery was limited by the Constitution, which before 1865 delegated the issue to the individual states. Lincoln argued that slavery would be rendered obsolete if its expansion into new territories were prevented. He sought to persuade the states to agree to compensation for emancipating their slaves in return for their acceptance of abolition.[199] Lincoln rejected Fremont's two emancipation attempts in August 1861, as well as one by Major General David Hunter in May 1862, on the grounds that it was not within their power, and would upset loyal border states.[200]
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In June 1862, Congress passed an act banning slavery on all federal territory, which Lincoln signed. In July, the Confiscation Act of 1862 was enacted, providing court procedures to free the slaves of those convicted of aiding the rebellion; Lincoln approved the bill despite his belief that it was unconstitutional. He felt such action could be taken only within the war powers of the commander-in-chief, which he planned to exercise. Lincoln at this time reviewed a draft of the Emancipation Proclamation with his cabinet.[201]
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Privately, Lincoln concluded that the Confederacy's slave base had to be eliminated. Copperheads argued that emancipation was a stumbling block to peace and reunification; Republican editor Horace Greeley of the New York Tribune agreed.[202] In a letter of August 22, 1862, Lincoln said that while he personally wished all men could be free, regardless of that, his first obligation as president was to preserve the Union:[203]
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My paramount object in this struggle is to save the Union, and is not either to save or to destroy slavery. If I could save the Union without freeing any slave I would do it, and if I could save it by freeing all the slaves I would do it; and if I could save it by freeing some and leaving others alone I would also do that. What I do about slavery, and the colored race, I do because I believe it helps to save the Union; and what I forbear, I forbear because I do not believe it would help to save the Union ... [¶] I have here stated my purpose according to my view of official duty; and I intend no modification of my oft-expressed personal wish that all men everywhere could be free.[204]
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The Emancipation Proclamation, issued on September 22, 1862, and effective January 1, 1863, affirmed the freedom of slaves in 10 states not then under Union control, with exemptions specified for areas under such control.[205] Lincoln's comment on signing the Proclamation was: "I never, in my life, felt more certain that I was doing right, than I do in signing this paper."[206] He spent the next 100 days preparing the army and the nation for emancipation, while Democrats rallied their voters by warning of the threat that freed slaves posed to northern whites.[207]
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With the abolition of slavery in the rebel states now a military objective, Union armies advancing south liberated three million slaves.
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Enlisting former slaves became official policy. By the spring of 1863, Lincoln was ready to recruit black troops in more than token numbers. In a letter to Tennessee military governor Andrew Johnson encouraging him to lead the way in raising black troops, Lincoln wrote, "The bare sight of 50,000 armed and drilled black soldiers on the banks of the Mississippi would end the rebellion at once".[208] By the end of 1863, at Lincoln's direction, General Lorenzo Thomas had recruited 20 regiments of blacks from the Mississippi Valley.[209]
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The Proclamation included Lincoln's earlier plans for colonies for newly freed slaves, though that undertaking ultimately failed.[210]
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Lincoln spoke at the dedication of the Gettysburg battlefield cemetery on November 19, 1863.[211] In 272 words, and three minutes, Lincoln asserted that the nation was born not in 1789, but in 1776, "conceived in Liberty, and dedicated to the proposition that all men are created equal". He defined the war as dedicated to the principles of liberty and equality for all. He declared that the deaths of so many brave soldiers would not be in vain, that slavery would end, and the future of democracy would be assured, that "government of the people, by the people, for the people, shall not perish from the earth".[212]
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Defying his prediction that "the world will little note, nor long remember what we say here", the Address became the most quoted speech in American history.[213]
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Grant's victories at the Battle of Shiloh and in the Vicksburg campaign impressed Lincoln. Responding to criticism of Grant after Shiloh, Lincoln had said, "I can't spare this man. He fights."[214] With Grant in command, Lincoln felt the Union Army could advance in multiple theaters, while also including black troops. Meade's failure to capture Lee's army after Gettysburg and the continued passivity of the Army of the Potomac persuaded Lincoln to promote Grant to supreme commander. Grant then assumed command of Meade's army.[215]
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Lincoln was concerned that Grant might be considering a presidential candidacy in 1864. He arranged for an intermediary to inquire into Grant's political intentions, and once assured that he had none, Lincoln promoted Grant to the newly revived rank of Lieutenant General, a rank which had been unoccupied since George Washington.[216] Authorization for such a promotion "with the advice and consent of the Senate" was provided by a new bill which Lincoln signed the same day he submitted Grant's name to the Senate. His nomination was confirmed by the Senate on March 2, 1864.[217]
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Grant in 1864 waged the bloody Overland Campaign, which exacted heavy losses on both sides.[218] When Lincoln asked what Grant's plans were, the persistent general replied, "I propose to fight it out on this line if it takes all summer."[219] Grant's army moved steadily south. Lincoln traveled to Grant's headquarters at City Point, Virginia to confer with Grant and William Tecumseh Sherman.[220] Lincoln reacted to Union losses by mobilizing support throughout the North.[221] Lincoln authorized Grant to target infrastructure—plantations, railroads, and bridges—hoping to weaken the South's morale and fighting ability. He emphasized defeat of the Confederate armies over destruction (which was considerable) for its own sake.[222] Lincoln's engagement became distinctly personal on one occasion in 1864 when Confederate general Jubal Early raided Washington, D.C.. While Lincoln watched from an exposed position, Captain Oliver Wendell Holmes shouted at him, "Get down, you damn fool, before you get shot!"[223]
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As Grant continued to weaken Lee's forces, efforts to discuss peace began. Confederate Vice President Stephens led a group meeting with Lincoln, Seward, and others at Hampton Roads. Lincoln refused to negotiate with the Confederacy as a coequal; his objective to end the fighting was not realized.[224] On April 1, 1865, Grant nearly encircled Petersburg in a siege. The Confederate government evacuated Richmond and Lincoln visited the conquered capital. On April 9, Lee surrendered to Grant at Appomattox, officially ending the war.[225]
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Lincoln ran for reelection in 1864, while uniting the main Republican factions, along with War Democrats Edwin M. Stanton and Andrew Johnson. Lincoln used conversation and his patronage powers—greatly expanded from peacetime—to build support and fend off the Radicals' efforts to replace him.[226] At its convention, the Republicans selected Johnson as his running mate. To broaden his coalition to include War Democrats as well as Republicans, Lincoln ran under the label of the new Union Party.[227]
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Grant's bloody stalemates damaged Lincoln's re-election prospects, and many Republicans feared defeat. Lincoln confidentially pledged in writing that if he should lose the election, he would still defeat the Confederacy before turning over the White House;[228] Lincoln did not show the pledge to his cabinet, but asked them to sign the sealed envelope. The pledge read as follows:
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"This morning, as for some days past, it seems exceedingly probable that this Administration will not be re-elected. Then it will be my duty to so co-operate with the President elect, as to save the Union between the election and the inauguration; as he will have secured his election on such ground that he cannot possibly save it afterward."[229]
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The Democratic platform followed the "Peace wing" of the party and called the war a "failure"; but their candidate, McClellan, supported the war and repudiated the platform. Meanwhile, Lincoln emboldened Grant with more troops and Republican party support. Sherman's capture of Atlanta in September and David Farragut's capture of Mobile ended defeatism.[230] The Democratic Party was deeply split, with some leaders and most soldiers openly for Lincoln. The National Union Party was united by Lincoln's support for emancipation. State Republican parties stressed the perfidy of the Copperheads.[231] On November 8, Lincoln carried all but three states, including 78 percent of Union soldiers.[232]
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On March 4, 1865, Lincoln delivered his second inaugural address. In it, he deemed the war casualties to be God's will. Historian Mark Noll places the speech "among the small handful of semi-sacred texts by which Americans conceive their place in the world;" it is inscribed in the Lincoln Memorial.[233] Lincoln said:
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Fondly do we hope—fervently do we pray—that this mighty scourge of war may speedily pass away. Yet, if God wills that it continue, until all the wealth piled by the bond-man's 250 years of unrequited toil shall be sunk, and until every drop of blood drawn with the lash, shall be paid by another drawn with the sword, as was said 3,000 years ago, so still it must be said, "the judgments of the Lord, are true and righteous altogether". With malice toward none; with charity for all; with firmness in the right, as God gives us to see the right, let us strive on to finish the work we are in; to bind up the nation's wounds; to care for him who shall have borne the battle, and for his widow, and his orphan—to do all which may achieve and cherish a just and lasting peace, among ourselves, and with all nations.[234]
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Reconstruction preceded the war's end, as Lincoln and his associates considered the reintegration of the nation, and the fates of Confederate leaders and freed slaves. When a general asked Lincoln how the defeated Confederates were to be treated, Lincoln replied, "Let 'em up easy."[235] Lincoln was determined to find meaning in the war in its aftermath, and did not want to continue to outcast the southern states. His main goal was to keep the union together, so he proceeded by focusing not on whom to blame, but on how to rebuild the nation as one.[236] Lincoln led the moderates in Reconstruction policy and was opposed by the Radicals, under Rep. Thaddeus Stevens, Sen. Charles Sumner and Sen. Benjamin Wade, who otherwise remained Lincoln's allies. Determined to reunite the nation and not alienate the South, Lincoln urged that speedy elections under generous terms be held. His Amnesty Proclamation of December 8, 1863, offered pardons to those who had not held a Confederate civil office and had not mistreated Union prisoners, if they were willing to sign an oath of allegiance.[237]
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As Southern states fell, they needed leaders while their administrations were restored. In Tennessee and Arkansas, Lincoln respectively appointed Johnson and Frederick Steele as military governors. In Louisiana, Lincoln ordered General Nathaniel P. Banks to promote a plan that would reestablish statehood when 10 percent of the voters agreed, and only if the reconstructed states abolished slavery. Democratic opponents accused Lincoln of using the military to ensure his and the Republicans' political aspirations. The Radicals denounced his policy as too lenient, and passed their own plan, the 1864 Wade–Davis Bill, which Lincoln vetoed. The Radicals retaliated by refusing to seat elected representatives from Louisiana, Arkansas, and Tennessee.[238]
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Lincoln's appointments were designed to harness both moderates and Radicals. To fill Chief Justice Taney's seat on the Supreme Court, he named the Radicals' choice, Salmon P. Chase, who Lincoln believed would uphold his emancipation and paper money policies.[239]
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After implementing the Emancipation Proclamation, Lincoln increased pressure on Congress to outlaw slavery throughout the nation with a constitutional amendment. He declared that such an amendment would "clinch the whole matter" and by December 1863 an amendment was brought to Congress.[240] This first attempt fell short of the required two-thirds majority in the House of Representatives. Passage became part of the Republican/Unionist platform, and after a House debate the second attempt passed on January 31, 1865.[241] With ratification, it became the Thirteenth Amendment to the United States Constitution on December 6, 1865.[242]
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Lincoln believed the federal government had limited responsibility to the millions of freedmen. He signed Senator Charles Sumner's Freedmen's Bureau bill that set up a temporary federal agency designed to meet the immediate needs of former slaves. The law opened land for a lease of three years with the ability to purchase title for the freedmen. Lincoln announced a Reconstruction plan that involved short-term military control, pending readmission under the control of southern Unionists.[243]
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Historians agree that it is impossible to predict exactly how Reconstruction would have proceeded had Lincoln lived. Biographers James G. Randall and Richard Current, according to David Lincove, argue that:[244]
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It is likely that had he lived, Lincoln would have followed a policy similar to Johnson's, that he would have clashed with congressional Radicals, that he would have produced a better result for the freedmen than occurred, and that his political skills would have helped him avoid Johnson's mistakes.
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Eric Foner argues that:[245]
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Unlike Sumner and other Radicals, Lincoln did not see Reconstruction as an opportunity for a sweeping political and social revolution beyond emancipation. He had long made clear his opposition to the confiscation and redistribution of land. He believed, as most Republicans did in April 1865, that the voting requirements should be determined by the states. He assumed that political control in the South would pass to white Unionists, reluctant secessionists, and forward-looking former Confederates. But time and again during the war, Lincoln, after initial opposition, had come to embrace positions first advanced by abolitionists and Radical Republicans. ... Lincoln undoubtedly would have listened carefully to the outcry for further protection for the former slaves ... It is entirely plausible to imagine Lincoln and Congress agreeing on a Reconstruction policy that encompassed federal protection for basic civil rights plus limited black suffrage, along the lines Lincoln proposed just before his death.
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Lincoln's experience with Indians followed the death of his grandfather Abraham at their hands, in the presence of his father and uncles. Lincoln claimed Indians were antagonistic toward his father, Thomas Lincoln, and his young family. Although Lincoln was a veteran of the Black Hawk War, which was fought in Wisconsin and Illinois in 1832, he saw no significant action.[246] During his presidency, Lincoln's policy toward Indians was driven by politics.[246] He used the Indian Bureau as a source of patronage, making appointments to his loyal followers in Minnesota and Wisconsin.[247] He faced difficulties guarding Western settlers, railroads, and telegraphs, from Indian attacks.[247]
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On August 17, 1862, the Sioux Uprising in Minnesota, supported by the Yankton Indians, killed hundreds of white settlers, forced 30,000 from their homes, and deeply alarmed the Lincoln administration.[248] Some believed it was a conspiracy by the Confederacy to launch a war on the Northwestern front.[249] Lincoln sent General John Pope, the former head of the Army of Virginia, to Minnesota as commander of the new Department of the Northwest.[250] Lincoln ordered thousands of Confederate prisoners of war sent by railroad to put down the Sioux Uprising.[251] When the Confederates protested turning POWs into Indian fighters, Lincoln revoked the policy.[252] Pope fought against the Indians mercilessly, even advocating their extinction. He ordered Indian farms and food supplies be destroyed, and Indian warriors be killed.[250] Aiding Pope, Minnesota Congressman Col. Henry H. Sibley led militiamen and regular troops to defeat the Sioux at Wood Lake.[252] By October 9, Pope considered the uprising to be ended; hostilities ceased on December 26.[253]
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Lincoln personally reviewed each of 303 execution warrants for Santee Dakota convicted of killing innocent farmers; he approved 39 for execution (one was later reprieved).[254] Former Governor of Minnesota Alexander Ramsey told Lincoln, in 1864, that he would have gotten more presidential election support had he executed all 303 of the Indians. Lincoln responded, "I could not afford to hang men for votes."[255]
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In the selection and use of his cabinet, Lincoln employed the strengths of his opponents in a manner that emboldened his presidency. Lincoln commented on his thought process, “We need the strongest men of the party in the Cabinet. We needed to hold our own people together. I had looked the party over and concluded that these were the very strongest men. Then I had no right to deprive the country of their services.” [256] Goodwin described the group in her biography as a Team of Rivals.[257]
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Lincoln adhered to the Whig theory of a presidency focused on executing laws while deferring to Congress' responsibility for legislating. Lincoln vetoed only four bills, particularly the Wade-Davis Bill with its harsh Reconstruction program.[258] The 1862 Homestead Act made millions of acres of Western government-held land available for purchase at low cost. The 1862 Morrill Land-Grant Colleges Act provided government grants for agricultural colleges in each state. The Pacific Railway Acts of 1862 and 1864 granted federal support for the construction of the United States' First Transcontinental Railroad, which was completed in 1869.[259] The passage of the Homestead Act and the Pacific Railway Acts was enabled by the absence of Southern congressmen and senators who had opposed the measures in the 1850s.[260]
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There were two measures passed to raise revenues for the Federal government: tariffs (a policy with long precedent), and a Federal income tax. In 1861, Lincoln signed the second and third Morrill Tariffs, following the first enacted by Buchanan. He also signed the Revenue Act of 1861, creating the first U.S. income tax—a flat tax of 3 percent on incomes above $800 ($22,800 in current dollar terms).[262] The Revenue Act of 1862 adopted rates that increased with income.[263]
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Lincoln presided over the expansion of the federal government's economic influence in other areas. The National Banking Act created the system of national banks. The US issued paper currency for the first time, known as greenbacks—printed in green on the reverse side.[264] In 1862, Congress created the Department of Agriculture.[262]
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In response to rumors of a renewed draft, the editors of the New York World and the Journal of Commerce published a false draft proclamation that created an opportunity for the editors and others to corner the gold market. Lincoln attacked the media for such behavior, and ordered a military seizure of the two papers which lasted for two days.[265]
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Lincoln is largely responsible for the Thanksgiving holiday.[266] Thanksgiving had become a regional holiday in New England in the 17th century. It had been sporadically proclaimed by the federal government on irregular dates. The prior proclamation had been during James Madison's presidency 50 years earlier. In 1863, Lincoln declared the final Thursday in November of that year to be a day of Thanksgiving.[266]
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In June 1864, Lincoln approved the Yosemite Grant enacted by Congress, which provided unprecedented federal protection for the area now known as Yosemite National Park.[267]
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Lincoln's philosophy on court nominations was that "we cannot ask a man what he will do, and if we should, and he should answer us, we should despise him for it. Therefore we must take a man whose opinions are known."[266] Lincoln made five appointments to the Supreme Court. Noah Haynes Swayne was an anti-slavery lawyer who was committed to the Union. Samuel Freeman Miller supported Lincoln in the 1860 election and was an avowed abolitionist. David Davis was Lincoln's campaign manager in 1860 and had served as a judge in the Illinois court circuit where Lincoln practiced. Democrat Stephen Johnson Field, a previous California Supreme Court justice, provided geographic and political balance. Finally, Lincoln's Treasury Secretary, Salmon P. Chase, became Chief Justice. Lincoln believed Chase was an able jurist, would support Reconstruction legislation, and that his appointment united the Republican Party.[268]
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Lincoln appointed 27 judges to the United States district courts but no judges to the United States circuit courts during his time in office.[269][270]
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West Virginia was admitted to the Union on June 20, 1863. Nevada, which became the third State in the far-west of the continent, was admitted as a free state on October 31, 1864.[271]
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John Wilkes Booth was a well-known actor and a Confederate spy from Maryland; though he never joined the Confederate army, he had contacts with the Confederate secret service.[272] After attending an April 11, 1865 speech in which Lincoln promoted voting rights for blacks, Booth hatched a plot to assassinate the President.[273] Learning of the Lincolns' intent to attend a play with Grant, Booth and his co-conspirators planned to assassinate Lincoln and Grant at Ford's Theatre, and to kill Vice President Johnson and Secretary of State Seward at their respective homes. Lincoln and wife attended the play Our American Cousin on the evening of April 14, just five days after Lee's surrender. At the last minute, Grant decided to go to New Jersey to visit his children instead of attending the play.[274]
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At 10:14 pm, Booth entered the back of Lincoln's theater box, crept up from behind, and fired at the back of Lincoln's head, mortally wounding him. Lincoln's guest Major Henry Rathbone momentarily grappled with Booth, but Booth stabbed him and escaped.[275] Lincoln was taken across the street to Petersen House. After remaining in a coma for eight hours, Lincoln died at 7:22 am on April 15.[276][i] Stanton saluted and said, "Now he belongs to the ages."[281][j] Lincoln's flag-enfolded body was then escorted in the rain to the White House by bareheaded Union officers, while the city's church bells rang.[citation needed] President Johnson was sworn in the next morning.[282]
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Two weeks later, Booth was tracked to a farm in Virginia, and refusing to surrender, he was mortally shot by Sergeant Boston Corbett and died on April 26. Secretary Stanton had issued orders that Booth be taken alive, so Corbett was initially arrested for court martial. After a brief interview, Stanton declared him a patriot and dismissed the charge.[283]
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The late President lay in state, first in the East Room of the White House, and then in the Capitol Rotunda from April 19 through April 21. The caskets containing Lincoln's body and the body of his son Willie traveled for three weeks on the Lincoln Special funeral train.[284] The train followed a circuitous route from Washington D.C. to Springfield, Illinois, stopping at many cities for memorials attended by hundreds of thousands. Many others gathered along the tracks as the train passed with bands, bonfires, and hymn singing[285] or in silent grief. Poet Walt Whitman composed When Lilacs Last in the Dooryard Bloom'd to eulogize him, one of four poems he wrote about Lincoln.[286] African-Americans were especially moved; they had lost 'their Moses'.[287] In a larger sense, the reaction was in response to the deaths of so many men in the war.[288] Historians emphasized the widespread shock and sorrow, but noted that some Lincoln haters celebrated his death.[289]
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As a young man, Lincoln was a religious skeptic.[290] He was deeply familiar with the Bible, quoting and praising it.[291] He was private about his position on organized religion and respected the beliefs of others.[292] He never made a clear profession of Christian beliefs.[293] Through his entire public career, Lincoln had a proneness for quoting Scripture.[294] His three most famous speeches -- the House Divided Speech, the Gettysburg Address, and his second inaugural—each contain direct allusions to Providence and quotes from Scripture.
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In the 1840s, Lincoln subscribed to the Doctrine of Necessity, a belief that the human mind was controlled by a higher power.[295] With the death of his son Edward in 1850 he more frequently expressed a dependence on God.[296] He never joined a church, although he frequently attended First Presbyterian Church with his wife beginning in 1852.[297][k]
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In the 1850s, Lincoln asserted his belief in "providence" in a general way, and rarely used the language or imagery of the evangelicals; he regarded the republicanism of the Founding Fathers with an almost religious reverence.[298] The death of son Willie in February 1862 may have caused him to look toward religion for solace.[299] After Willie's death, he questioned the divine necessity of the war's severity. He wrote at this time that God "could have either saved or destroyed the Union without a human contest. Yet the contest began. And having begun, He could give the final victory to either side any day. Yet the contest proceeds."[300]
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Lincoln did believe in an all-powerful God that shaped events and by 1865 was expressing those beliefs in major speeches.[293] By the end of the war, he increasingly appealed to the Almighty for solace and to explain events, writing on April 4, 1864, to a newspaper editor in Kentucky:
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I claim not to have controlled events, but confess plainly that events have controlled me. Now, at the end of three years struggle the nation's condition is not what either party, or any man devised, or expected. God alone can claim it. Whither it is tending seems plain. If God now wills the removal of a great wrong, and wills also that we of the North as well as you of the South, shall pay fairly for our complicity in that wrong, impartial history will find therein new cause to attest and revere the justice and goodness of God.[301]
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This spirituality can best be seen in his second inaugural address, considered by some scholars[302] as the greatest such address in American history, and by Lincoln himself as his own greatest speech, or one of them at the very least.[l][303] Lincoln explains therein the cause, purpose, and result of the war was God's will.[304] Later in life, Lincoln's frequent use of religious imagery and language might have reflected his own personal beliefs and might have been a device to reach his audiences, who were mostly evangelical Protestants.[305] On the day Lincoln was assassinated, he reportedly told his wife he desired to visit the Holy Land.[306]
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Lincoln is believed to have had depression, smallpox, and malaria.[307] He took blue mass pills, which contained mercury, to treat constipation.[308] It is unknown to what extent he may have suffered from mercury poisoning.[309]
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Several claims have been made that Lincoln's health was declining before the assassination. These are often based on photographs of Lincoln appearing to show weight loss and muscle wasting.[310] It is also suspected that he might have had a rare genetic disease such as Marfan syndrome or Multiple endocrine neoplasia type 2B.[310]
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Lincoln's redefinition of republican values has been stressed by historians such as John Patrick Diggins, Harry V. Jaffa, Vernon Burton, Eric Foner, and Herman J. Belz.[311] Lincoln called the Declaration of Independence—which emphasized freedom and equality for all—the "sheet anchor" of republicanism beginning in the 1850s. He did this at a time when the Constitution, which "tolerated slavery", was the focus of most political discourse.[312] Diggins notes, "Lincoln presented Americans a theory of history that offers a profound contribution to the theory and destiny of republicanism itself" in the 1860 Cooper Union speech.[313] Instead of focusing on the legality of an argument, he focused on the moral basis of republicanism.[314]
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His position on war, though, was founded on a legal argument regarding the Constitution as essentially a contract among the states, and all parties must agree to pull out of the contract. Further, it was a national duty to ensure the republic stands in every state.[315] Many soldiers and religious leaders from the north, though, felt the fight for liberty and freedom of slaves was ordained by their moral and religious beliefs.[316]
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As a Whig activist, Lincoln was a spokesman for business interests, favoring high tariffs, banks, infrastructure improvements, and railroads, in opposition to Jacksonian democrats.[317] William C. Harris found that Lincoln's "reverence for the Founding Fathers, the Constitution, the laws under it, and the preservation of the Republic and its institutions strengthened his conservatism".[318] James G. Randall emphasizes his tolerance and moderation "in his preference for orderly progress, his distrust of dangerous agitation, and his reluctance toward ill digested schemes of reform". Randall concludes that, "he was conservative in his complete avoidance of that type of so-called 'radicalism' which involved abuse of the South, hatred for the slaveholder, thirst for vengeance, partisan plotting, and ungenerous demands that Southern institutions be transformed overnight by outsiders."[319]
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In Lincoln's first inaugural address, he explored the nature of democracy. He denounced secession as anarchy, and explained that majority rule had to be balanced by constitutional restraints. He said "A majority held in restraint by constitutional checks and limitations, and always changing easily with deliberate changes of popular opinions and sentiments, is the only true sovereign of a free people."[320]
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The successful reunification of the states had consequences for how people view the country. The term "the United States" has historically been used, sometimes in the plural ("these United States"), and other times in the singular. The Civil War was a significant force in the eventual dominance of the singular usage by the end of the 19th century.[321]
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In his company, I was never reminded of my humble origin, or of my unpopular color.
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In surveys of U.S. scholars ranking presidents conducted since 1948, the top three presidents are Lincoln, Washington, and Franklin Delano Roosevelt, although the order varies.[323][m] Between 1999 and 2011, Lincoln, John F. Kennedy, and Ronald Reagan have been the top-ranked presidents in eight surveys, according to Gallup.[325] A 2004 study found that scholars in the fields of history and politics ranked Lincoln number one, while legal scholars placed him second after George Washington.[326]
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Lincoln's assassination left him a national martyr. He was viewed by abolitionists as a champion of human liberty. Republicans linked Lincoln's name to their party. Many, though not all, in the South considered Lincoln as a man of outstanding ability.[327] Historians have said he was "a classical liberal" in the 19th-century sense. Allen C. Guelzo states that Lincoln was a "classical liberal democrat—an enemy of artificial hierarchy, a friend to trade and business as ennobling and enabling, and an American counterpart to Mill, Cobden, and Bright" (whose portrait Lincoln hung in his White House office).[328][329]
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Schwartz argues that Lincoln's American reputation grew slowly from the late 19th century until the Progressive Era (1900–1920s) when he emerged as one of America's most venerated heroes, even among white Southerners. The high point came in 1922 with the dedication of the Lincoln Memorial on the National Mall in Washington, D.C.[330]
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Union nationalism, as envisioned by Lincoln, "helped lead America to the nationalism of Theodore Roosevelt, Woodrow Wilson, and Franklin Delano Roosevelt."[331] In the New Deal era, liberals honored Lincoln not so much as the self-made man or the great war president, but as the advocate of the common man who they claimed would have supported the welfare state.[332]
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Sociologist Barry Schwartz argues that in the 1930s and 1940s, the memory of Abraham Lincoln was practically sacred and provided the nation with "a moral symbol inspiring and guiding American life". During the Great Depression, he argues, Lincoln served "as a means for seeing the world's disappointments, for making its sufferings not so much explicable as meaningful". Franklin D. Roosevelt, preparing America for war, used the words of the Civil War president to clarify the threat posed by Germany and Japan. Americans asked, "What would Lincoln do?"[333] However, Schwartz also finds that since World War II, Lincoln's symbolic power has lost relevance, and this "fading hero is symptomatic of fading confidence in national greatness". He suggested that postmodernism and multiculturalism have diluted greatness as a concept.[334]
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In the Cold War years, Lincoln's image shifted to a symbol of freedom who brought hope to those oppressed by Communist regimes.[332] By the late 1960s, some African American intellectuals, led by Lerone Bennett Jr., rejected Lincoln's role as the Great Emancipator.[335][336] Bennett won wide attention when he called Lincoln a white supremacist in 1968.[337] He noted that Lincoln used ethnic slurs and told jokes that ridiculed blacks. Bennett argued that Lincoln opposed social equality, and proposed sending freed slaves to another country. Defenders, such as authors Dirck and Cashin, retorted that he was not as bad as most politicians of his day;[338] and that he was a "moral visionary" who deftly advanced the abolitionist cause, as fast as politically possible.[339] The emphasis shifted away from Lincoln the emancipator to an argument that blacks had freed themselves from slavery, or at least were responsible for pressuring the government on emancipation.[340]
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By the 1970s, Lincoln had become a hero to political conservatives[341] for his intense nationalism, support for business, his insistence on stopping the spread of human bondage, his acting in terms of Lockean and Burkean principles on behalf of both liberty and tradition, and his devotion to the principles of the Founding Fathers.[342] Lincoln became a favorite exemplar for liberal intellectuals across the world.[343]
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Historian Barry Schwartz wrote in 2009 that Lincoln's image suffered "erosion, fading prestige, benign ridicule" in the late 20th century.[344] On the other hand, Donald opined in his 1996 biography that Lincoln was distinctly endowed with the personality trait of negative capability, defined by the poet John Keats and attributed to extraordinary leaders who were "content in the midst of uncertainties and doubts, and not compelled toward fact or reason".[345]
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In the 21st century, President Barack Obama named Lincoln his favorite president and insisted on using Lincoln's Bible for his inaugural ceremonies.[346][347][348] Lincoln has often been portrayed by Hollywood, almost always in a flattering light.[349][350]
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Lincoln's portrait appears on two denominations of United States currency, the penny and the $5 bill. His likeness also appears on many postage stamps.[351] While he is usually portrayed bearded, he grew a beard in 1860 at the suggestion of 11-year-old Grace Bedell. He was the first of 16 presidents to do so.[352]
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He has been memorialized in many town, city, and county names,[353] including the capital of Nebraska.[354] The United States Navy Nimitz-class aircraft carrier USS Abraham Lincoln (CVN-72) is named after Lincoln, the second Navy ship to bear his name.[355]
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Lincoln Memorial is one of the most visited monuments in the nation's capital,[356] and is one of the top five visited National Park Service sites in the country.[357] Ford's Theatre, among the top sites in Washington, D.C.,[357] is across the street from Petersen House (where he died).[358] Memorials in Springfield, Illinois include Abraham Lincoln Presidential Library and Museum, Lincoln's home, as well as his tomb.[359] A portrait carving of Lincoln appears with those of three other presidents on Mount Rushmore, which receives about 3 million visitors a year.[360]
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1 |
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Alexander III of Macedon (Greek: Αλέξανδρος Γʹ ὁ Μακεδών, Aléxandros III ho Makedȏn; 20/21 July 356 BC – 10/11 June 323 BC), commonly known as Alexander the Great (Greek: Ἀλέξανδρος ὁ Μέγας, Aléxandros ho Mégas), was a king (basileus) of the ancient Greek kingdom of Macedon[a] and a member of the Argead dynasty. He was born in Pella in 356 BC and succeeded his father Philip II to the throne at the age of 20. He spent most of his ruling years on an unprecedented military campaign through western Asia and northeast Africa, and by the age of thirty, he had created one of the largest empires of the ancient world, stretching from Greece to northwestern India.[1][2] He was undefeated in battle and is widely considered one of history's most successful military commanders.[3]
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During his youth, Alexander was tutored by Aristotle until age 16. After Philip's assassination in 336 BC, he succeeded his father to the throne and inherited a strong kingdom and an experienced army. Alexander was awarded the generalship of Greece and used this authority to launch his father's pan-Hellenic project to lead the Greeks in the conquest of Persia.[4][5] In 334 BC, he invaded the Achaemenid Empire (Persian Empire) and began a series of campaigns that lasted 10 years. Following the conquest of Anatolia, Alexander broke the power of Persia in a series of decisive battles, most notably the battles of Issus and Gaugamela. He subsequently overthrew Persian King Darius III and conquered the Achaemenid Empire in its entirety.[b] At that point, his empire stretched from the Adriatic Sea to the Beas River.
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Alexander endeavoured to reach the "ends of the world and the Great Outer Sea" and invaded India in 326 BC, winning an important victory over the Pauravas at the Battle of the Hydaspes. He eventually turned back at the demand of his homesick troops, dying in Babylon in 323 BC, the city that he planned to establish as his capital, without executing a series of planned campaigns that would have begun with an invasion of Arabia. In the years following his death, a series of civil wars tore his empire apart, resulting in the establishment of several states ruled by the Diadochi, Alexander's surviving generals and heirs.
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Alexander's legacy includes the cultural diffusion and syncretism which his conquests engendered, such as Greco-Buddhism. He founded some twenty cities that bore his name, most notably Alexandria in Egypt. Alexander's settlement of Greek colonists and the resulting spread of Greek culture in the east resulted in a new Hellenistic civilization, aspects of which were still evident in the traditions of the Byzantine Empire in the mid-15th century AD and the presence of Greek speakers in central and far eastern Anatolia until the Greek genocide by the Turks in the 1920s. Alexander became legendary as a classical hero in the mould of Achilles, and he features prominently in the history and mythic traditions of both Greek and non-Greek cultures. He was undefeated in battle and became the measure against which military leaders compared themselves. Military academies throughout the world still teach his tactics.[6][c] He is often ranked among the most influential people in history.[7]
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Alexander was born in Pella, the capital of the Kingdom of Macedon,[8] on the sixth day of the ancient Greek month of Hekatombaion, which probably corresponds to 20 July 356 BC, although the exact date is uncertain.[9] He was the son of the king of Macedon, Philip II, and his fourth wife, Olympias, the daughter of Neoptolemus I, king of Epirus.[10] Although Philip had seven or eight wives, Olympias was his principal wife for some time, likely because she gave birth to Alexander.[11]
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Several legends surround Alexander's birth and childhood.[12] According to the ancient Greek biographer Plutarch, on the eve of the consummation of her marriage to Philip, Olympias dreamed that her womb was struck by a thunderbolt that caused a flame to spread "far and wide" before dying away. Sometime after the wedding, Philip is said to have seen himself, in a dream, securing his wife's womb with a seal engraved with a lion's image.[13] Plutarch offered a variety of interpretations of these dreams: that Olympias was pregnant before her marriage, indicated by the sealing of her womb; or that Alexander's father was Zeus. Ancient commentators were divided about whether the ambitious Olympias promulgated the story of Alexander's divine parentage, variously claiming that she had told Alexander, or that she dismissed the suggestion as impious.[13]
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On the day Alexander was born, Philip was preparing a siege on the city of Potidea on the peninsula of Chalcidice. That same day, Philip received news that his general Parmenion had defeated the combined Illyrian and Paeonian armies and that his horses had won at the Olympic Games. It was also said that on this day, the Temple of Artemis in Ephesus, one of the Seven Wonders of the World, burnt down. This led Hegesias of Magnesia to say that it had burnt down because Artemis was away, attending the birth of Alexander.[14] Such legends may have emerged when Alexander was king, and possibly at his instigation, to show that he was superhuman and destined for greatness from conception.[12]
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In his early years, Alexander was raised by a nurse, Lanike, sister of Alexander's future general Cleitus the Black. Later in his childhood, Alexander was tutored by the strict Leonidas, a relative of his mother, and by Lysimachus of Acarnania.[15] Alexander was raised in the manner of noble Macedonian youths, learning to read, play the lyre, ride, fight, and hunt.[16]
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When Alexander was ten years old, a trader from Thessaly brought Philip a horse, which he offered to sell for thirteen talents. The horse refused to be mounted, and Philip ordered it away. Alexander, however, detecting the horse's fear of its own shadow, asked to tame the horse, which he eventually managed.[12] Plutarch stated that Philip, overjoyed at this display of courage and ambition, kissed his son tearfully, declaring: "My boy, you must find a kingdom big enough for your ambitions. Macedon is too small for you", and bought the horse for him.[17] Alexander named it Bucephalas, meaning "ox-head". Bucephalas carried Alexander as far as India. When the animal died (because of old age, according to Plutarch, at age thirty), Alexander named a city after him, Bucephala.[18]
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When Alexander was 13, Philip began to search for a tutor, and considered such academics as Isocrates and Speusippus, the latter offering to resign from his stewardship of the Academy to take up the post. In the end, Philip chose Aristotle and provided the Temple of the Nymphs at Mieza as a classroom. In return for teaching Alexander, Philip agreed to rebuild Aristotle's hometown of Stageira, which Philip had razed, and to repopulate it by buying and freeing the ex-citizens who were slaves, or pardoning those who were in exile.[19]
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Mieza was like a boarding school for Alexander and the children of Macedonian nobles, such as Ptolemy, Hephaistion, and Cassander. Many of these students would become his friends and future generals, and are often known as the 'Companions'. Aristotle taught Alexander and his companions about medicine, philosophy, morals, religion, logic, and art. Under Aristotle's tutelage, Alexander developed a passion for the works of Homer, and in particular the Iliad; Aristotle gave him an annotated copy, which Alexander later carried on his campaigns.[20]
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During his youth, Alexander was also acquainted with Persian exiles at the Macedonian court, who received the protection of Philip II for several years as they opposed Artaxerxes III.[21][22][23] Among them were Artabazos II and his daughter Barsine, future mistress of Alexander, who resided at the Macedonian court from 352 to 342 BC, as well as Amminapes, future satrap of Alexander, or a Persian nobleman named Sisines.[21][24][25][26] This gave the Macedonian court a good knowledge of Persian issues, and may even have influenced some of the innovations in the management of the Macedonian state.[24]
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Suda writes that, also, Anaximenes of Lampsacus was one of his teachers. Anaximenes, also accompanied him on his campaigns.[27]
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At age 16, Alexander's education under Aristotle ended. Philip waged war against Byzantion, leaving Alexander in charge as regent and heir apparent.[12] During Philip's absence, the Thracian Maedi revolted against Macedonia. Alexander responded quickly, driving them from their territory. He colonized it with Greeks, and founded a city named Alexandropolis.[28]
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Upon Philip's return, he dispatched Alexander with a small force to subdue revolts in southern Thrace. Campaigning against the Greek city of Perinthus, Alexander is reported to have saved his father's life. Meanwhile, the city of Amphissa began to work lands that were sacred to Apollo near Delphi, a sacrilege that gave Philip the opportunity to further intervene in Greek affairs. Still occupied in Thrace, he ordered Alexander to muster an army for a campaign in southern Greece. Concerned that other Greek states might intervene, Alexander made it look as though he was preparing to attack Illyria instead. During this turmoil, the Illyrians invaded Macedonia, only to be repelled by Alexander.[29]
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Philip and his army joined his son in 338 BC, and they marched south through Thermopylae, taking it after stubborn resistance from its Theban garrison. They went on to occupy the city of Elatea, only a few days' march from both Athens and Thebes. The Athenians, led by Demosthenes, voted to seek alliance with Thebes against Macedonia. Both Athens and Philip sent embassies to win Thebes' favour, but Athens won the contest.[30] Philip marched on Amphissa (ostensibly acting on the request of the Amphictyonic League), capturing the mercenaries sent there by Demosthenes and accepting the city's surrender. Philip then returned to Elatea, sending a final offer of peace to Athens and Thebes, who both rejected it.[31]
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As Philip marched south, his opponents blocked him near Chaeronea, Boeotia. During the ensuing Battle of Chaeronea, Philip commanded the right wing and Alexander the left, accompanied by a group of Philip's trusted generals. According to the ancient sources, the two sides fought bitterly for some time. Philip deliberately commanded his troops to retreat, counting on the untested Athenian hoplites to follow, thus breaking their line. Alexander was the first to break the Theban lines, followed by Philip's generals. Having damaged the enemy's cohesion, Philip ordered his troops to press forward and quickly routed them. With the Athenians lost, the Thebans were surrounded. Left to fight alone, they were defeated.[32]
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After the victory at Chaeronea, Philip and Alexander marched unopposed into the Peloponnese, welcomed by all cities; however, when they reached Sparta, they were refused, but did not resort to war.[33] At Corinth, Philip established a "Hellenic Alliance" (modelled on the old anti-Persian alliance of the Greco-Persian Wars), which included most Greek city-states except Sparta. Philip was then named Hegemon (often translated as "Supreme Commander") of this league (known by modern scholars as the League of Corinth), and announced his plans to attack the Persian Empire.[34][35]
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When Philip returned to Pella, he fell in love with and married Cleopatra Eurydice in 338 BC,[36] the niece of his general Attalus.[37] The marriage made Alexander's position as heir less secure, since any son of Cleopatra Eurydice would be a fully Macedonian heir, while Alexander was only half-Macedonian.[38] During the wedding banquet, a drunken Attalus publicly prayed to the gods that the union would produce a legitimate heir.[37]
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At the wedding of Cleopatra, whom Philip fell in love with and married, she being much too young for him, her uncle Attalus in his drink desired the Macedonians would implore the gods to give them a lawful successor to the kingdom by his niece. This so irritated Alexander, that throwing one of the cups at his head, "You villain," said he, "what, am I then a bastard?" Then Philip, taking Attalus's part, rose up and would have run his son through; but by good fortune for them both, either his over-hasty rage, or the wine he had drunk, made his foot slip, so that he fell down on the floor. At which Alexander reproachfully insulted over him: "See there," said he, "the man who makes preparations to pass out of Europe into Asia, overturned in passing from one seat to another."
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In 337 BC, Alexander fled Macedon with his mother, dropping her off with her brother, King Alexander I of Epirus in Dodona, capital of the Molossians.[40] He continued to Illyria,[40] where he sought refuge with one or more Illyrian kings, perhaps with Glaukias, and was treated as a guest, despite having defeated them in battle a few years before.[41] However, it appears Philip never intended to disown his politically and militarily trained son.[40] Accordingly, Alexander returned to Macedon after six months due to the efforts of a family friend, Demaratus, who mediated between the two parties.[42]
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In the following year, the Persian satrap (governor) of Caria, Pixodarus, offered his eldest daughter to Alexander's half-brother, Philip Arrhidaeus.[40] Olympias and several of Alexander's friends suggested this showed Philip intended to make Arrhidaeus his heir.[40] Alexander reacted by sending an actor, Thessalus of Corinth, to tell Pixodarus that he should not offer his daughter's hand to an illegitimate son, but instead to Alexander. When Philip heard of this, he stopped the negotiations and scolded Alexander for wishing to marry the daughter of a Carian, explaining that he wanted a better bride for him.[40] Philip exiled four of Alexander's friends, Harpalus, Nearchus, Ptolemy and Erigyius, and had the Corinthians bring Thessalus to him in chains.[43]
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In summer 336 BC, while at Aegae attending the wedding of his daughter Cleopatra to Olympias's brother, Alexander I of Epirus, Philip was assassinated by the captain of his bodyguards, Pausanias.[e] As Pausanias tried to escape, he tripped over a vine and was killed by his pursuers, including two of Alexander's companions, Perdiccas and Leonnatus. Alexander was proclaimed king on the spot by the nobles and army at the age of 20.[45][46][47]
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Alexander began his reign by eliminating potential rivals to the throne. He had his cousin, the former Amyntas IV, executed.[48] He also had two Macedonian princes from the region of Lyncestis killed, but spared a third, Alexander Lyncestes. Olympias had Cleopatra Eurydice and Europa, her daughter by Philip, burned alive. When Alexander learned about this, he was furious. Alexander also ordered the murder of Attalus,[48] who was in command of the advance guard of the army in Asia Minor and Cleopatra's uncle.[49]
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Attalus was at that time corresponding with Demosthenes, regarding the possibility of defecting to Athens. Attalus also had severely insulted Alexander, and following Cleopatra's murder, Alexander may have considered him too dangerous to leave alive.[49] Alexander spared Arrhidaeus, who was by all accounts mentally disabled, possibly as a result of poisoning by Olympias.[45][47][50]
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News of Philip's death roused many states into revolt, including Thebes, Athens, Thessaly, and the Thracian tribes north of Macedon. When news of the revolts reached Alexander, he responded quickly. Though advised to use diplomacy, Alexander mustered 3,000 Macedonian cavalry and rode south towards Thessaly. He found the Thessalian army occupying the pass between Mount Olympus and Mount Ossa, and ordered his men to ride over Mount Ossa. When the Thessalians awoke the next day, they found Alexander in their rear and promptly surrendered, adding their cavalry to Alexander's force. He then continued south towards the Peloponnese.[51]
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Alexander stopped at Thermopylae, where he was recognized as the leader of the Amphictyonic League before heading south to Corinth. Athens sued for peace and Alexander pardoned the rebels. The famous encounter between Alexander and Diogenes the Cynic occurred during Alexander's stay in Corinth. When Alexander asked Diogenes what he could do for him, the philosopher disdainfully asked Alexander to stand a little to the side, as he was blocking the sunlight.[52] This reply apparently delighted Alexander, who is reported to have said "But verily, if I were not Alexander, I would like to be Diogenes."[53] At Corinth, Alexander took the title of Hegemon ("leader") and, like Philip, was appointed commander for the coming war against Persia. He also received news of a Thracian uprising.[54]
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Before crossing to Asia, Alexander wanted to safeguard his northern borders. In the spring of 335 BC, he advanced to suppress several revolts. Starting from Amphipolis, he travelled east into the country of the "Independent Thracians"; and at Mount Haemus, the Macedonian army attacked and defeated the Thracian forces manning the heights.[55] The Macedonians marched into the country of the Triballi, and defeated their army near the Lyginus river[56] (a tributary of the Danube). Alexander then marched for three days to the Danube, encountering the Getae tribe on the opposite shore. Crossing the river at night, he surprised them and forced their army to retreat after the first cavalry skirmish.[57]
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News then reached Alexander that Cleitus, King of Illyria, and King Glaukias of the Taulantii were in open revolt against his authority. Marching west into Illyria, Alexander defeated each in turn, forcing the two rulers to flee with their troops. With these victories, he secured his northern frontier.[58]
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While Alexander campaigned north, the Thebans and Athenians rebelled once again. Alexander immediately headed south.[59] While the other cities again hesitated, Thebes decided to fight. The Theban resistance was ineffective, and Alexander razed the city and divided its territory between the other Boeotian cities. The end of Thebes cowed Athens, leaving all of Greece temporarily at peace.[59] Alexander then set out on his Asian campaign, leaving Antipater as regent.[60]
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According to ancient writers Demosthenes called Alexander "Margites" (Greek: Μαργίτης)[61][62][63] and a boy.[63] Greeks used the word Margites to describe fool and useless people, on account of the Margites.[62][64]
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Ionia 336 BC
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Media and Egypt 333 BC
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Persia 331 BC
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India 326 BC
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In 336 BC Philip II had already sent Parmenion, with Amyntas, Andromenes and Attalus, and an army of 10,000 men into Anatolia to make preparations for an invasion to free the Greeks living on the western coast and islands from Achaemenid rule.[65][66] At first, all went well. The Greek cities on the western coast of Anatolia revolted until the news arrived that Philip had been murdered and had been succeeded by his young son Alexander. The Macedonians were demoralized by Philip's death and were subsequently defeated near Magnesia by the Achaemenids under the command of the mercenary Memnon of Rhodes.[65][66]
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Taking over the invasion project of Philip II, Alexander's army crossed the Hellespont in 334 BC with approximately 48,100 soldiers, 6,100 cavalry and a fleet of 120 ships with crews numbering 38,000,[59] drawn from Macedon and various Greek city-states, mercenaries, and feudally raised soldiers from Thrace, Paionia, and Illyria.[67][f] He showed his intent to conquer the entirety of the Persian Empire by throwing a spear into Asian soil and saying he accepted Asia as a gift from the gods. This also showed Alexander's eagerness to fight, in contrast to his father's preference for diplomacy.[59]
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After an initial victory against Persian forces at the Battle of the Granicus, Alexander accepted the surrender of the Persian provincial capital and treasury of Sardis; he then proceeded along the Ionian coast, granting autonomy and democracy to the cities. Miletus, held by Achaemenid forces, required a delicate siege operation, with Persian naval forces nearby. Further south, at Halicarnassus, in Caria, Alexander successfully waged his first large-scale siege, eventually forcing his opponents, the mercenary captain Memnon of Rhodes and the Persian satrap of Caria, Orontobates, to withdraw by sea.[68] Alexander left the government of Caria to a member of the Hecatomnid dynasty, Ada, who adopted Alexander.[69]
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From Halicarnassus, Alexander proceeded into mountainous Lycia and the Pamphylian plain, asserting control over all coastal cities to deny the Persians naval bases. From Pamphylia onwards the coast held no major ports and Alexander moved inland. At Termessos, Alexander humbled but did not storm the Pisidian city.[70] At the ancient Phrygian capital of Gordium, Alexander "undid" the hitherto unsolvable Gordian Knot, a feat said to await the future "king of Asia".[71] According to the story, Alexander proclaimed that it did not matter how the knot was undone and hacked it apart with his sword.[72]
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In spring 333 BC, Alexander crossed the Taurus into Cilicia. After a long pause due to an illness, he marched on towards Syria. Though outmanoeuvered by Darius' significantly larger army, he marched back to Cilicia, where he defeated Darius at Issus. Darius fled the battle, causing his army to collapse, and left behind his wife, his two daughters, his mother Sisygambis, and a fabulous treasure.[73] He offered a peace treaty that included the lands he had already lost, and a ransom of 10,000 talents for his family. Alexander replied that since he was now king of Asia, it was he alone who decided territorial divisions.[74]
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Alexander proceeded to take possession of Syria, and most of the coast of the Levant.[69] In the following year, 332 BC, he was forced to attack Tyre, which he captured after a long and difficult siege.[75][76] The men of military age were massacred and the women and children sold into slavery.[77]
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When Alexander destroyed Tyre, most of the towns on the route to Egypt quickly capitulated. However, Alexander met with resistance at Gaza. The stronghold was heavily fortified and built on a hill, requiring a siege. When "his engineers pointed out to him that because of the height of the mound it would be impossible... this encouraged Alexander all the more to make the
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attempt".[78] After three unsuccessful assaults, the stronghold fell, but not before Alexander had received a serious shoulder wound. As in Tyre, men of military age were put to the sword and the women and children were sold into slavery.[79]
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Alexander advanced on Egypt in later 332 BC, where he was regarded as a liberator.[80] He was pronounced son of the deity Amun at the Oracle of Siwa Oasis in the Libyan desert.[81] Henceforth, Alexander often referred to Zeus-Ammon as his true father, and after his death, currency depicted him adorned with the Horns of Ammon as a symbol of his divinity.[82] During his stay in Egypt, he founded Alexandria-by-Egypt, which would become the prosperous capital of the Ptolemaic Kingdom after his death.[83]
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Leaving Egypt in 331 BCE, Alexander marched eastward into Achaemenid Assyria in Upper Mesopotamia (now northern Iraq) and defeated Darius again at the Battle of Gaugamela.[84] Darius once more fled the field, and Alexander chased him as far as Arbela. Gaugamela would be the final and decisive encounter between the two. Darius fled over the mountains to Ecbatana (modern Hamadan) while Alexander captured Babylon.[85]
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From Babylon, Alexander went to Susa, one of the Achaemenid capitals, and captured its treasury.[85] He sent the bulk of his army to the Persian ceremonial capital of Persepolis via the Persian Royal Road. Alexander himself took selected troops on the direct route to the city. He then stormed the pass of the Persian Gates (in the modern Zagros Mountains) which had been blocked by a Persian army under Ariobarzanes and then hurried to Persepolis before its garrison could loot the treasury.[86]
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On entering Persepolis, Alexander allowed his troops to loot the city for several days.[87] Alexander stayed in Persepolis for five months.[88] During his stay a fire broke out in the eastern palace of Xerxes I and spread to the rest of the city. Possible causes include a drunken accident or deliberate revenge for the burning of the Acropolis of Athens during the Second Persian War by Xerxes;[89] Plutarch and Diodorus allege that Alexander's companion, the hetaera Thaïs, instigated and started the fire. Even as he watched the city burn, Alexander immediately began to regret his decision.[90][91][92] Plutarch claims that he ordered his men to put out the fires,[90] but that the flames had already spread to most of the city.[90] Curtius claims that Alexander did not regret his decision until the next morning.[90] Plutarch recounts an anecdote in which Alexander pauses and talks to a fallen statue of Xerxes as if it were a live person:
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Shall I pass by and leave you lying there because of the expeditions you led against Greece, or shall I set you up again because of your magnanimity and your virtues in other respects?[93]
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Alexander then chased Darius, first into Media, and then Parthia.[95] The Persian king no longer controlled his own destiny, and was taken prisoner by Bessus, his Bactrian satrap and kinsman.[96] As Alexander approached, Bessus had his men fatally stab the Great King and then declared himself Darius' successor as Artaxerxes V, before retreating into Central Asia to launch a guerrilla campaign against Alexander.[97] Alexander buried Darius' remains next to his Achaemenid predecessors in a regal funeral.[98] He claimed that, while dying, Darius had named him as his successor to the Achaemenid throne.[99] The Achaemenid Empire is normally considered to have fallen with Darius.[100]
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Alexander viewed Bessus as a usurper and set out to defeat him. This campaign, initially against Bessus, turned into a grand tour of central Asia. Alexander founded a series of new cities, all called Alexandria, including modern Kandahar in Afghanistan, and Alexandria Eschate ("The Furthest") in modern Tajikistan. The campaign took Alexander through Media, Parthia, Aria (West Afghanistan), Drangiana, Arachosia (South and Central Afghanistan), Bactria (North and Central Afghanistan), and Scythia.[101]
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In 329 BC, Spitamenes, who held an undefined position in the satrapy of Sogdiana, betrayed Bessus to Ptolemy, one of Alexander's trusted companions, and Bessus was executed.[102] However, when, at some point later, Alexander was on the Jaxartes dealing with an incursion by a horse nomad army, Spitamenes raised Sogdiana in revolt. Alexander personally defeated the Scythians at the Battle of Jaxartes and immediately launched a campaign against Spitamenes, defeating him in the Battle of Gabai. After the defeat, Spitamenes was killed by his own men, who then sued for peace.[103]
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During this time, Alexander adopted some elements of Persian dress and customs at his court, notably the custom of proskynesis, either a symbolic kissing of the hand, or prostration on the ground, that Persians showed to their social superiors.[104] The Greeks regarded the gesture as the province of deities and believed that Alexander meant to deify himself by requiring it. This cost him the sympathies of many of his countrymen, and he eventually abandoned it.[105]
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A plot against his life was revealed, and one of his officers, Philotas, was executed for failing to alert Alexander. The death of the son necessitated the death of the father, and thus Parmenion, who had been charged with guarding the treasury at Ecbatana, was assassinated at Alexander's command, to prevent attempts at vengeance. Most infamously, Alexander personally killed the man who had saved his life at Granicus, Cleitus the Black, during a violent drunken altercation at Maracanda (modern day Samarkand in Uzbekistan), in which Cleitus accused Alexander of several judgmental mistakes and most especially, of having forgotten the Macedonian ways in favour of a corrupt oriental lifestyle.[106]
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Later, in the Central Asian campaign, a second plot against his life was revealed, this one instigated by his own royal pages. His official historian, Callisthenes of Olynthus, was implicated in the plot, and in the Anabasis of Alexander, Arrian states that Callisthenes and the pages were then tortured on the rack as punishment, and likely died soon after.[107] It remains unclear if Callisthenes was actually involved in the plot, for prior to his accusation he had fallen out of favour by leading the opposition to the attempt to introduce proskynesis.[108]
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When Alexander set out for Asia, he left his general Antipater, an experienced military and political leader and part of Philip II's "Old Guard", in charge of Macedon.[60] Alexander's sacking of Thebes ensured that Greece remained quiet during his absence.[60] The one exception was a call to arms by Spartan king Agis III in 331 BC, whom Antipater defeated and killed in the battle of Megalopolis.[60] Antipater referred the Spartans' punishment to the League of Corinth, which then deferred to Alexander, who chose to pardon them.[109] There was also considerable friction between Antipater and Olympias, and each complained to Alexander about the other.[110]
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In general, Greece enjoyed a period of peace and prosperity during Alexander's campaign in Asia.[111] Alexander sent back vast sums from his conquest, which stimulated the economy and increased trade across his empire.[112] However, Alexander's constant demands for troops and the migration of Macedonians throughout his empire depleted Macedon's strength, greatly weakening it in the years after Alexander, and ultimately led to its subjugation by Rome after the Third Macedonian War (171–168 BC).[16]
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After the death of Spitamenes and his marriage to Roxana (Raoxshna in Old Iranian) to cement relations with his new satrapies, Alexander turned to the Indian subcontinent. He invited the chieftains of the former satrapy of Gandhara (a region presently straddling eastern Afghanistan and northern Pakistan), to come to him and submit to his authority. Omphis (Indian name Ambhi), the ruler of Taxila, whose kingdom extended from the Indus to the Hydaspes (Jhelum), complied, but the chieftains of some hill clans, including the Aspasioi and Assakenoi sections of the Kambojas (known in Indian texts also as Ashvayanas and Ashvakayanas), refused to submit.[113] Ambhi hastened to relieve Alexander of his apprehension and met him with valuable presents, placing himself and all his forces at his disposal. Alexander not only returned Ambhi his title and the gifts but he also presented him with a wardrobe of "Persian robes, gold and silver ornaments, 30 horses and 1,000 talents in gold". Alexander was emboldened to divide his forces, and Ambhi assisted Hephaestion and Perdiccas in constructing a bridge over the Indus where it bends at Hund,[114] supplied their troops with provisions, and received Alexander himself, and his whole army, in his capital city of Taxila, with every demonstration of friendship and the most liberal hospitality.
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On the subsequent advance of the Macedonian king, Taxiles accompanied him with a force of 5,000 men and took part in the battle of the Hydaspes River. After that victory he was sent by Alexander in pursuit of Porus (Indian name Puru), to whom he was charged to offer favourable terms, but narrowly escaped losing his life at the hands of his old enemy. Subsequently, however, the two rivals were reconciled by the personal mediation of Alexander; and Taxiles, after having contributed zealously to the equipment of the fleet on the Hydaspes, was entrusted by the king with the government of the whole territory between that river and the Indus. A considerable accession of power was granted him after the death of Philip, son of Machatas; and he was allowed to retain his authority at the death of Alexander himself (323 BC), as well as in the subsequent partition of the provinces at Triparadisus, 321 BC.
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In the winter of 327/326 BC, Alexander personally led a campaign against the Aspasioi of Kunar valleys, the Guraeans of the Guraeus valley, and the Assakenoi of the Swat and Buner valleys.[115] A fierce contest ensued with the Aspasioi in which Alexander was wounded in the shoulder by a dart, but eventually the Aspasioi lost. Alexander then faced the Assakenoi, who fought against him from the strongholds of Massaga, Ora and Aornos.[113]
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The fort of Massaga was reduced only after days of bloody fighting, in which Alexander was wounded seriously in the ankle. According to Curtius, "Not only did Alexander slaughter the entire population of Massaga, but also did he reduce its buildings to rubble."[116] A similar slaughter followed at Ora. In the aftermath of Massaga and Ora, numerous Assakenians fled to the fortress of Aornos. Alexander followed close behind and captured the strategic hill-fort after four bloody days.[113]
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After Aornos, Alexander crossed the Indus and fought and won an epic battle against King Porus, who ruled a region lying between the Hydaspes and the Acesines (Chenab), in what is now the Punjab, in the Battle of the Hydaspes in 326 BC.[117] Alexander was impressed by Porus' bravery, and made him an ally. He appointed Porus as satrap, and added to Porus' territory land that he did not previously own, towards the south-east, up to the Hyphasis (Beas).[118][119] Choosing a local helped him control these lands so distant from Greece.[120] Alexander founded two cities on opposite sides of the Hydaspes river, naming one Bucephala, in honour of his horse, who died around this time.[121] The other was Nicaea (Victory), thought to be located at the site of modern-day Mong, Punjab.[122] Philostratus the Elder in the Life of Apollonius of Tyana writes that in the army of Porus there was an elephant who fought brave against Alexander's army and Alexander dedicated it to the Helios (Sun) and named it Ajax, because he thought that a so great animal deserved a great name. The elephant had gold rings around its tusks and an inscription was on them written in Greek: "Alexander the son of Zeus dedicates Ajax to the Helios" (ΑΛΕΞΑΝΔΡΟΣ Ο ΔΙΟΣ ΤΟΝ ΑΙΑΝΤΑ ΤΩΙ ΗΛΙΩΙ).[123]
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East of Porus' kingdom, near the Ganges River, was the Nanda Empire of Magadha, and further east, the Gangaridai Empire of Bengal region of the Indian subcontinent. Fearing the prospect of facing other large armies and exhausted by years of campaigning, Alexander's army mutinied at the Hyphasis River (Beas), refusing to march farther east.[124] This river thus marks the easternmost extent of Alexander's conquests.[125]
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As for the Macedonians, however, their struggle with Porus blunted their courage and stayed their further advance into India. For having had all they could do to repulse an enemy who mustered only twenty thousand infantry and two thousand horse, they violently opposed Alexander when he insisted on crossing the river Ganges also, the width of which, as they learned, was thirty-two furlongs, its depth a hundred fathoms, while its banks on the further side were covered with multitudes of men-at-arms and horsemen and elephants. For they were told that the kings of the Ganderites and Praesii were awaiting them with eighty thousand horsemen, two hundred thousand footmen, eight thousand chariots, and six thousand war elephants.[126]
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Alexander tried to persuade his soldiers to march farther, but his general Coenus pleaded with him to change his opinion and return; the men, he said, "longed to again see their parents, their wives and children, their homeland". Alexander eventually agreed and turned south, marching along the Indus. Along the way his army conquered the Malhi (in modern-day Multan) and other Indian tribes and Alexander sustained an injury during the siege.[127]
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Alexander sent much of his army to Carmania (modern southern Iran) with general Craterus, and commissioned a fleet to explore the Persian Gulf shore under his admiral Nearchus, while he led the rest back to Persia through the more difficult southern route along the Gedrosian Desert and Makran.[128] Alexander reached Susa in 324 BC, but not before losing many men to the harsh desert.[129]
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Discovering that many of his satraps and military governors had misbehaved in his absence, Alexander executed several of them as examples on his way to Susa.[131][132] As a gesture of thanks, he paid off the debts of his soldiers, and announced that he would send over-aged and disabled veterans back to Macedon, led by Craterus. His troops misunderstood his intention and mutinied at the town of Opis. They refused to be sent away and criticized his adoption of Persian customs and dress and the introduction of Persian officers and soldiers into Macedonian units.[133]
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After three days, unable to persuade his men to back down, Alexander gave Persians command posts in the army and conferred Macedonian military titles upon Persian units. The Macedonians quickly begged forgiveness, which Alexander accepted, and held a great banquet for several thousand of his men at which he and they ate together.[134] In an attempt to craft a lasting harmony between his Macedonian and Persian subjects, Alexander held a mass marriage of his senior officers to Persian and other noblewomen at Susa, but few of those marriages seem to have lasted much beyond a year.[132] Meanwhile, upon his return to Persia, Alexander learned that guards of the tomb of Cyrus the Great in Pasargadae had desecrated it, and swiftly executed them.[135] Alexander admired Cyrus the Great, from an early age reading Xenophon's Cyropaedia, which described Cyrus's heroism in battle and governance as a king and legislator.[136] During his visit to Pasargadae Alexander ordered his architect Aristobulus to decorate the interior of the sepulchral chamber of Cyrus' tomb.[136]
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Afterwards, Alexander travelled to Ecbatana to retrieve the bulk of the Persian treasure. There, his closest friend and possible lover, Hephaestion, died of illness or poisoning.[137][138] Hephaestion's death devastated Alexander, and he ordered the preparation of an expensive funeral pyre in Babylon, as well as a decree for public mourning.[137] Back in Babylon, Alexander planned a series of new campaigns, beginning with an invasion of Arabia, but he would not have a chance to realize them, as he died shortly after Hephaestion.[139]
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On either 10 or 11 June 323 BC, Alexander died in the palace of Nebuchadnezzar II, in Babylon, at age 32.[140] There are two different versions of Alexander's death and details of the death differ slightly in each. Plutarch's account is that roughly 14 days before his death, Alexander entertained admiral Nearchus, and spent the night and next day drinking with Medius of Larissa.[141] He developed a fever, which worsened until he was unable to speak. The common soldiers, anxious about his health, were granted the right to file past him as he silently waved at them.[142] In the second account, Diodorus recounts that Alexander was struck with pain after downing a large bowl of unmixed wine in honour of Heracles, followed by 11 days of weakness; he did not develop a fever and died after some agony.[143] Arrian also mentioned this as an alternative, but Plutarch specifically denied this claim.[141]
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Given the propensity of the Macedonian aristocracy to assassination,[144] foul play featured in multiple accounts of his death. Diodorus, Plutarch, Arrian and Justin all mentioned the theory that Alexander was poisoned. Justin stated that Alexander was the victim of a poisoning conspiracy, Plutarch dismissed it as a fabrication,[145] while both Diodorus and Arrian noted that they mentioned it only for the sake of completeness.[143][146] The accounts were nevertheless fairly consistent in designating Antipater, recently removed as Macedonian viceroy, and at odds with Olympias, as the head of the alleged plot. Perhaps taking his summons to Babylon as a death sentence,[147] and having seen the fate of Parmenion and Philotas,[148] Antipater purportedly arranged for Alexander to be poisoned by his son Iollas, who was Alexander's wine-pourer.[146][148] There was even a suggestion that Aristotle may have participated.[146]
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The strongest argument against the poison theory is the fact that twelve days passed between the start of his illness and his death; such long-acting poisons were probably not available.[149] However, in a 2003 BBC documentary investigating the death of Alexander, Leo Schep from the New Zealand National Poisons Centre proposed that the plant white hellebore (Veratrum album), which was known in antiquity, may have been used to poison Alexander.[150][151][152] In a 2014 manuscript in the journal Clinical Toxicology, Schep suggested Alexander's wine was spiked with Veratrum album, and that this would produce poisoning symptoms that match the course of events described in the Alexander Romance.[153] Veratrum album poisoning can have a prolonged course and it was suggested that if Alexander was poisoned, Veratrum album offers the most plausible cause.[153][154] Another poisoning explanation put forward in 2010 proposed that the circumstances of his death were compatible with poisoning by water of the river Styx (modern-day Mavroneri in Arcadia, Greece) that contained calicheamicin, a dangerous compound produced by bacteria.[155]
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Several natural causes (diseases) have been suggested, including malaria and typhoid fever. A 1998 article in the New England Journal of Medicine attributed his death to typhoid fever complicated by bowel perforation and ascending paralysis.[156] Another recent analysis suggested pyogenic (infectious) spondylitis or meningitis.[157] Other illnesses fit the symptoms, including acute pancreatitis and West Nile virus.[158][159] Natural-cause theories also tend to emphasize that Alexander's health may have been in general decline after years of heavy drinking and severe wounds. The anguish that Alexander felt after Hephaestion's death may also have contributed to his declining health.[156]
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Alexander's body was laid in a gold anthropoid sarcophagus that was filled with honey, which was in turn placed in a gold casket.[160][161] According to Aelian, a seer called Aristander foretold that the land where Alexander was laid to rest "would be happy and unvanquishable forever".[162] Perhaps more likely, the successors may have seen possession of the body as a symbol of legitimacy, since burying the prior king was a royal prerogative.[163]
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While Alexander's funeral cortege was on its way to Macedon, Ptolemy seized it and took it temporarily to Memphis.[160][162] His successor, Ptolemy II Philadelphus, transferred the sarcophagus to Alexandria, where it remained until at least late Antiquity. Ptolemy IX Lathyros, one of Ptolemy's final successors, replaced Alexander's sarcophagus with a glass one so he could convert the original to coinage.[164] The recent discovery of an enormous tomb in northern Greece, at Amphipolis, dating from the time of Alexander the Great[165] has given rise to speculation that its original intent was to be the burial place of Alexander. This would fit with the intended destination of Alexander's funeral cortege. However, the memorial was found to be dedicated to the dearest friend of Alexander the Great, Hephaestion.[166][167]
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Pompey, Julius Caesar and Augustus all visited the tomb in Alexandria, where Augustus, allegedly, accidentally knocked the nose off. Caligula was said to have taken Alexander's breastplate from the tomb for his own use. Around AD 200, Emperor Septimius Severus closed Alexander's tomb to the public. His son and successor, Caracalla, a great admirer, visited the tomb during his own reign. After this, details on the fate of the tomb are hazy.[164]
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The so-called "Alexander Sarcophagus", discovered near Sidon and now in the Istanbul Archaeology Museum, is so named not because it was thought to have contained Alexander's remains, but because its bas-reliefs depict Alexander and his companions fighting the Persians and hunting. It was originally thought to have been the sarcophagus of Abdalonymus (died 311 BC), the king of Sidon appointed by Alexander immediately following the battle of Issus in 331.[168][169] However, more recently, it has been suggested that it may date from earlier than Abdalonymus' death.
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Demades likened the Macedonian army, after the death of Alexander, to the blinded Cyclop, due to the many random and disorderly movements that it made.[170][171][172] In addition, Leosthenes, also, likened the anarchy between the generals, after Alexander's death, to the blinded Cyclop "who after he had lost his eye went feeling and groping about with his hands before him, not knowing where to lay them".[173]
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Alexander's death was so sudden that when reports of his death reached Greece, they were not immediately believed.[60] Alexander had no obvious or legitimate heir, his son Alexander IV by Roxane being born after Alexander's death.[174] According to Diodorus, Alexander's companions asked him on his deathbed to whom he bequeathed his kingdom; his laconic reply was "tôi kratistôi"—"to the strongest".[143] Another theory is that his successors willfully or erroneously misheard "tôi Kraterôi"—"to Craterus", the general leading his Macedonian troops home and newly entrusted with the regency of Macedonia.[175]
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Arrian and Plutarch claimed that Alexander was speechless by this point, implying that this was an apocryphal story.[176] Diodorus, Curtius and Justin offered the more plausible story that Alexander passed his signet ring to Perdiccas, a bodyguard and leader of the companion cavalry, in front of witnesses, thereby nominating him.[143][174]
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Perdiccas initially did not claim power, instead suggesting that Roxane's baby would be king, if male; with himself, Craterus, Leonnatus, and Antipater as guardians. However, the infantry, under the command of Meleager, rejected this arrangement since they had been excluded from the discussion. Instead, they supported Alexander's half-brother Philip Arrhidaeus. Eventually, the two sides reconciled, and after the birth of Alexander IV, he and Philip III were appointed joint kings, albeit in name only.[177]
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Dissension and rivalry soon afflicted the Macedonians, however. The satrapies handed out by Perdiccas at the Partition of Babylon became power bases each general used to bid for power. After the assassination of Perdiccas in 321 BC, Macedonian unity collapsed, and 40 years of war between "The Successors" (Diadochi) ensued before the Hellenistic world settled into four stable power blocs: Ptolemaic Egypt, Seleucid Mesopotamia and Central Asia, Attalid Anatolia, and Antigonid Macedon. In the process, both Alexander IV and Philip III were murdered.[178]
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Diodorus stated that Alexander had given detailed written instructions to Craterus some time before his death.[179] Craterus started to carry out Alexander's commands, but the successors chose not to further implement them, on the grounds they were impractical and extravagant.[179] Nevertheless, Perdiccas read Alexander's will to his troops.[60]
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Alexander's will called for military expansion into the southern and western Mediterranean, monumental constructions, and the intermixing of Eastern and Western populations. It included:
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Alexander earned the epithet "the Great" due to his unparalleled success as a military commander. He never lost a battle, despite typically being outnumbered.[59] This was due to use of terrain, phalanx and cavalry tactics, bold strategy, and the fierce loyalty of his troops.[181] The Macedonian phalanx, armed with the sarissa, a spear 6 metres (20 ft) long, had been developed and perfected by Philip II through rigorous training, and Alexander used its speed and maneuverability to great effect against larger but more disparate[clarification needed] Persian forces.[182] Alexander also recognized the potential for disunity among his diverse army, which employed various languages and weapons. He overcame this by being personally involved in battle,[88] in the manner of a Macedonian king.[181]
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In his first battle in Asia, at Granicus, Alexander used only a small part of his forces, perhaps 13,000 infantry with 5,000 cavalry, against a much larger Persian force of 40,000.[183] Alexander placed the phalanx at the center and cavalry and archers on the wings, so that his line matched the length of the Persian cavalry line, about 3 km (1.86 mi). By contrast, the Persian infantry was stationed behind its cavalry. This ensured that Alexander would not be outflanked, while his phalanx, armed with long pikes, had a considerable advantage over the Persians' scimitars and javelins. Macedonian losses were negligible compared to those of the Persians.[184]
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At Issus in 333 BC, his first confrontation with Darius, he used the same deployment, and again the central phalanx pushed through.[184] Alexander personally led the charge in the center, routing the opposing army.[185] At the decisive encounter with Darius at Gaugamela, Darius equipped his chariots with scythes on the wheels to break up the phalanx and equipped his cavalry with pikes. Alexander arranged a double phalanx, with the center advancing at an angle, parting when the chariots bore down and then reforming. The advance was successful and broke Darius' center, causing the latter to flee once again.[184]
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When faced with opponents who used unfamiliar fighting techniques, such as in Central Asia and India, Alexander adapted his forces to his opponents' style. Thus, in Bactria and Sogdiana, Alexander successfully used his javelin throwers and archers to prevent outflanking movements, while massing his cavalry at the center.[185] In India, confronted by Porus' elephant corps, the Macedonians opened their ranks to envelop the elephants and used their sarissas to strike upwards and dislodge the elephants' handlers.[134]
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Greek biographer Plutarch (c. 45 – c. 120 AD) describes Alexander's appearance as:
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The outward appearance of Alexander is best represented by the statues of him which Lysippus made, and it was by this artist alone that Alexander himself thought it fit that he should be modelled. For those peculiarities which many of his successors and friends afterwards tried to imitate, namely, the poise of the neck, which was bent slightly to the left, and the melting glance of his eyes, this artist has accurately observed. Apelles, however, in painting him as wielder of the thunder-bolt, did not reproduce his complexion, but made it too dark and swarthy. Whereas he was of a fair colour, as they say, and his fairness passed into ruddiness on his breast particularly, and in his face. Moreover, that a very pleasant odour exhaled from his skin and that there was a fragrance about his mouth and all his flesh, so that his garments were filled with it, this we have read in the Memoirs of Aristoxenus.[186]
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The semi-legendary Alexander Romance also suggests that Alexander exhibited heterochromia iridum: that one eye was dark and the other light.[187]
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British historian Peter Green provided a description of Alexander's appearance, based on his review of statues and some ancient documents:
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Physically, Alexander was not prepossessing. Even by Macedonian standards he was very short, though stocky and tough. His beard was scanty, and he stood out against his hirsute Macedonian barons by going clean-shaven. His neck was in some way twisted, so that he appeared to be gazing upward at an angle. His eyes (one blue, one brown) revealed a dewy, feminine quality. He had a high complexion and a harsh voice.[188]
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Historian and Egyptologist Joann Fletcher has said that the Macedonian ruler Alexander the Great had blond hair.[189]
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Ancient authors recorded that Alexander was so pleased with portraits of himself created by Lysippos that he forbade other sculptors from crafting his image.[190] Lysippos had often used the contrapposto sculptural scheme to portray Alexander and other characters such as Apoxyomenos, Hermes and Eros.[191] Lysippos' sculpture, famous for its naturalism, as opposed to a stiffer, more static pose, is thought to be the most faithful depiction.[192]
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Some of Alexander's strongest personality traits formed in response to his parents. His mother had huge ambitions, and encouraged him to believe it was his destiny to conquer the Persian Empire.[188] Olympias' influence instilled a sense of destiny in him,[194] and Plutarch tells how his ambition "kept his spirit serious and lofty in advance of his years".[195] However, his father Philip was Alexander's most immediate and influential role model, as the young Alexander watched him campaign practically every year, winning victory after victory while ignoring severe wounds.[48] Alexander's relationship with his father forged the competitive side of his personality; he had a need to outdo his father, illustrated by his reckless behaviour in battle.[188] While Alexander worried that his father would leave him "no great or brilliant achievement to be displayed to the world",[196] he also downplayed his father's achievements to his companions.[188]
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According to Plutarch, among Alexander's traits were a violent temper and rash, impulsive nature,[197] which undoubtedly contributed to some of his decisions.[188] Although Alexander was stubborn and did not respond well to orders from his father, he was open to reasoned debate.[198] He had a calmer side—perceptive, logical, and calculating. He had a great desire for knowledge, a love for philosophy, and was an avid reader.[199] This was no doubt in part due to Aristotle's tutelage; Alexander was intelligent and quick to learn.[188] His intelligent and rational side was amply demonstrated by his ability and success as a general.[197] He had great self-restraint in "pleasures of the body", in contrast with his lack of self-control with alcohol.[200]
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Alexander was erudite and patronized both arts and sciences.[195][199] However, he had little interest in sports or the Olympic games (unlike his father), seeking only the Homeric ideals of honour (timê) and glory (kudos).[201] He had great charisma and force of personality, characteristics which made him a great leader.[174][197] His unique abilities were further demonstrated by the inability of any of his generals to unite Macedonia and retain the Empire after his death—only Alexander had the ability to do so.[174]
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During his final years, and especially after the death of Hephaestion, Alexander began to exhibit signs of megalomania and paranoia.[147] His extraordinary achievements, coupled with his own ineffable sense of destiny and the flattery of his companions, may have combined to produce this effect.[202] His delusions of grandeur are readily visible in his will and in his desire to conquer the world,[147] in as much as he is by various sources described as having boundless ambition,[203][204] an epithet, the meaning of which has descended into an historical cliché.[205][206]
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He appears to have believed himself a deity, or at least sought to deify himself.[147] Olympias always insisted to him that he was the son of Zeus,[207] a theory apparently confirmed to him by the oracle of Amun at Siwa.[208] He began to identify himself as the son of Zeus-Ammon.[208] Alexander adopted elements of Persian dress and customs at court, notably proskynesis, a practice of which Macedonians disapproved, and were loath to perform.[104] This behaviour cost him the sympathies of many of his countrymen.[209] However, Alexander also was a pragmatic ruler who understood the difficulties of ruling culturally disparate peoples, many of whom lived in kingdoms where the king was divine.[210] Thus, rather than megalomania, his behaviour may simply have been a practical attempt at strengthening his rule and keeping his empire together.[211]
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Alexander married three times: Roxana, daughter of the Sogdian nobleman Oxyartes of Bactria,[212][213][214] out of love;[215] and the Persian princesses Stateira II and Parysatis II, the former a daughter of Darius III and latter a daughter of Artaxerxes III, for political reasons.[216][217] He apparently had two sons, Alexander IV of Macedon by Roxana and, possibly, Heracles of Macedon from his mistress Barsine. He lost another child when Roxana miscarried at Babylon.[218][219]
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Alexander also had a close relationship with his friend, general, and bodyguard Hephaestion, the son of a Macedonian noble.[137][188][220] Hephaestion's death devastated Alexander.[137][221] This event may have contributed to Alexander's failing health and detached mental state during his final months.[147][156]
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Alexander's sexuality has been the subject of speculation and controversy in modern times.[222] The Roman era writer Athenaeus says, based on the scholar Dicaearchus, who was Alexander's contemporary, that the king "was quite excessively keen on boys", and that Alexander sexually embraced his eunuch Bagoas in public.[223] This episode is also told by Plutarch, probably based on the same source. None of Alexander's contemporaries, however, are known to have explicitly described Alexander's relationship with Hephaestion as sexual, though the pair was often compared to Achilles and Patroclus, whom classical Greek culture painted as a couple. Aelian writes of Alexander's visit to Troy where "Alexander garlanded the tomb of Achilles, and Hephaestion that of Patroclus, the latter hinting that he was a beloved of Alexander, in just the same way as Patroclus was of Achilles."[224] Some modern historians (e.g., Robin Lane Fox) believe not only that Alexander's youthful relationship with Hephaestion was sexual, but that their sexual contacts may have continued into adulthood, which went against the social norms of at least some Greek cities, such as Athens,[225][226] though some modern researchers have tentatively proposed that Macedonia (or at least the Macedonian court) may have been more tolerant of homosexuality between adults.[227]
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Green argues that there is little evidence in ancient sources that Alexander had much carnal interest in women; he did not produce an heir until the very end of his life.[188] However, Ogden calculates that Alexander, who impregnated his partners thrice in eight years, had a higher matrimonial record than his father at the same age.[228] Two of these pregnancies — Stateira's and Barsine's — are of dubious legitimacy.[229]
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According to Diodorus Siculus, Alexander accumulated a harem in the style of Persian kings, but he used it rather sparingly,[230] showing great self-control in "pleasures of the body".[200] Nevertheless, Plutarch described how Alexander was infatuated by Roxana while complimenting him on not forcing himself on her.[231] Green suggested that, in the context of the period, Alexander formed quite strong friendships with women, including Ada of Caria, who adopted him, and even Darius' mother Sisygambis, who supposedly died from grief upon hearing of Alexander's death.[188]
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Alexander's legacy extended beyond his military conquests. His campaigns greatly increased contacts and trade between East and West, and vast areas to the east were significantly exposed to Greek civilization and influence.[16] Some of the cities he founded became major cultural centers, many surviving into the 21st century. His chroniclers recorded valuable information about the areas through which he marched, while the Greeks themselves got a sense of belonging to a world beyond the Mediterranean.[16]
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Alexander's most immediate legacy was the introduction of Macedonian rule to huge new swathes of Asia. At the time of his death, Alexander's empire covered some 5,200,000 km2 (2,000,000 sq mi),[233] and was the largest state of its time. Many of these areas remained in Macedonian hands or under Greek influence for the next 200–300 years. The successor states that emerged were, at least initially, dominant forces, and these 300 years are often referred to as the Hellenistic period.[234]
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The eastern borders of Alexander's empire began to collapse even during his lifetime.[174] However, the power vacuum he left in the northwest of the Indian subcontinent directly gave rise to one of the most powerful Indian dynasties in history, the Maurya Empire. Taking advantage of this power vacuum, Chandragupta Maurya (referred to in Greek sources as "Sandrokottos"), of relatively humble origin, took control of the Punjab, and with that power base proceeded to conquer the Nanda Empire.[235]
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Over the course of his conquests, Alexander founded some twenty cities that bore his name, most of them east of the Tigris.[105][236] The first, and greatest, was Alexandria in Egypt, which would become one of the leading Mediterranean cities.[105] The cities' locations reflected trade routes as well as defensive positions. At first, the cities must have been inhospitable, little more than defensive garrisons.[105] Following Alexander's death, many Greeks who had settled there tried to return to Greece.[105][236] However, a century or so after Alexander's death, many of the Alexandrias were thriving, with elaborate public buildings and substantial populations that included both Greek and local peoples.[105]
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In 334 BC, Alexander the Great donated funds for the completion of the new temple of Athena Polias in Priene, in modern-day western Turkey.[238][239] An inscription from the temple, now housed in the British Museum, declares: "King Alexander dedicated [this temple] to Athena Polias."[237] This inscription is one of the few independent archaeological discoveries confirming an episode from Alexander's life.[237] The temple was designed by Pytheos, one of the architects of the Mausoleum at Halicarnassus.[237][238][239][240]
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Libanius wrote that Alexander founded the temple of Zeus Bottiaios (Ancient Greek: Βοττιαίου Δῖός), in the place where later the city of Antioch was built.[241][242]
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Hellenization was coined by the German historian Johann Gustav Droysen to denote the spread of Greek language, culture, and population into the former Persian empire after Alexander's conquest.[234] That this export took place is undoubted, and can be seen in the great Hellenistic cities of, for instance, Alexandria, Antioch[243] and Seleucia (south of modern Baghdad).[244] Alexander sought to insert Greek elements into Persian culture and attempted to hybridize Greek and Persian culture. This culminated in his aspiration to homogenize the populations of Asia and Europe. However, his successors explicitly rejected such policies. Nevertheless, Hellenization occurred throughout the region, accompanied by a distinct and opposite 'Orientalization' of the successor states.[245]
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The core of the Hellenistic culture promulgated by the conquests was essentially Athenian.[246] The close association of men from across Greece in Alexander's army directly led to the emergence of the largely Attic-based "koine", or "common" Greek dialect.[247] Koine spread throughout the Hellenistic world, becoming the lingua franca of Hellenistic lands and eventually the ancestor of modern Greek.[247] Furthermore, town planning, education, local government, and art current in the Hellenistic period were all based on Classical Greek ideals, evolving into distinct new forms commonly grouped as Hellenistic.[243] Aspects of Hellenistic culture were still evident in the traditions of the Byzantine Empire in the mid-15th century.[248]
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Some of the most pronounced effects of Hellenization can be seen in Afghanistan and India, in the region of the relatively late-rising Greco-Bactrian Kingdom (250–125 BC) (in modern Afghanistan, Pakistan, and Tajikistan) and the Indo-Greek Kingdom (180 BC – 10 AD) in modern Afghanistan and India.[249] On the Silk Road trade routes, Hellenistic culture hybridized with Iranian and Buddhist cultures. The cosmopolitan art and mythology of Gandhara (a region spanning the upper confluence of the Indus, Swat and Kabul rivers in modern Pakistan) of the ~3rd century BC to the ~5th century AD are most evident of the direct contact between Hellenistic civilization and South Asia, as are the Edicts of Ashoka, which directly mention the Greeks within Ashoka's dominion as converting to Buddhism and the reception of Buddhist emissaries by Ashoka's contemporaries in the Hellenistic world.[250] The resulting syncretism known as Greco-Buddhism influenced the development of Buddhism[citation needed] and created a culture of Greco-Buddhist art. These Greco-Buddhist kingdoms sent some of the first Buddhist missionaries to China, Sri Lanka and Hellenistic Asia and Europe (Greco-Buddhist monasticism).
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Some of the first and most influential figurative portrayals of the Buddha appeared at this time, perhaps modeled on Greek statues of Apollo in the Greco-Buddhist style.[249] Several Buddhist traditions may have been influenced by the ancient Greek religion: the concept of Boddhisatvas is reminiscent of Greek divine heroes,[251] and some Mahayana ceremonial practices (burning incense, gifts of flowers, and food placed on altars) are similar to those practiced by the ancient Greeks; however, similar practices were also observed amongst the native Indic culture. One Greek king, Menander I, probably became Buddhist, and was immortalized in Buddhist literature as 'Milinda'.[249] The process of Hellenization also spurred trade between the east and west.[252] For example, Greek astronomical instruments dating to the 3rd century BC were found in the Greco-Bactrian city of Ai Khanoum in modern-day Afghanistan,[253] while the Greek concept of a spherical earth surrounded by the spheres of planets eventually supplanted the long-standing Indian cosmological belief of a disc consisting of four continents grouped around a central mountain (Mount Meru) like the petals of a flower.[252][254][255] The Yavanajataka (lit. Greek astronomical treatise) and Paulisa Siddhanta texts depict the influence of Greek astronomical ideas on Indian astronomy.
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Following the conquests of Alexander the Great in the east, Hellenistic influence on Indian art was far-ranging. In the area of architecture, a few examples of the Ionic order can be found as far as Pakistan with the Jandial temple near Taxila. Several examples of capitals displaying Ionic influences can be seen as far as Patna, especially with the Pataliputra capital, dated to the 3rd century BC.[256] The Corinthian order is also heavily represented in the art of Gandhara, especially through Indo-Corinthian capitals.
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Alexander and his exploits were admired by many Romans, especially generals, who wanted to associate themselves with his achievements.[257] Polybius began his Histories by reminding Romans of Alexander's achievements, and thereafter Roman leaders saw him as a role model. Pompey the Great adopted the epithet "Magnus" and even Alexander's anastole-type haircut, and searched the conquered lands of the east for Alexander's 260-year-old cloak, which he then wore as a sign of greatness.[257] Julius Caesar dedicated a Lysippean equestrian bronze statue but replaced Alexander's head with his own, while Octavian visited Alexander's tomb in Alexandria and temporarily changed his seal from a sphinx to Alexander's profile.[257] The emperor Trajan also admired Alexander, as did Nero and Caracalla.[257] The Macriani, a Roman family that in the person of Macrinus briefly ascended to the imperial throne, kept images of Alexander on their persons, either on jewelry, or embroidered into their clothes.[258]
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On the other hand, some Roman writers, particularly Republican figures, used Alexander as a cautionary tale of how autocratic tendencies can be kept in check by republican values.[259] Alexander was used by these writers as an example of ruler values such as amicita (friendship) and clementia (clemency), but also iracundia (anger) and cupiditas gloriae (over-desire for glory).[259]
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Emperor Julian in his satire called "The Caesars", describes a contest between the previous Roman emperors, with Alexander the Great called in as an extra contestant, in the presence of the assembled gods.[260]
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Pausanias writes that Alexander wanted to dig the Mimas mountain (today at the Karaburun area), but he didn't succeed. He also mentions that this was the only unsuccessful project of Alexander.[261] In addition, Pliny the Elder writes about this unsuccessful plan adding that the distance was 12 kilometres (7 1⁄2 mi), and the purpose was to cut a canal through the isthmus, so as to connect the Caystrian and Hermaean bays.[262][263]
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Arrian wrote that Aristobulus said that the Icarus island (modern Failaka Island) in the Persian Gulf had this name because Alexander ordered the island to be named like this, after the Icarus island in the Aegean Sea.[264][265]
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Legendary accounts surround the life of Alexander the Great, many deriving from his own lifetime, probably encouraged by Alexander himself.[266] His court historian Callisthenes portrayed the sea in Cilicia as drawing back from him in proskynesis. Writing shortly after Alexander's death, another participant, Onesicritus, invented a tryst between Alexander and Thalestris, queen of the mythical Amazons. When Onesicritus read this passage to his patron, Alexander's general and later King Lysimachus reportedly quipped, "I wonder where I was at the time."[267]
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In the first centuries after Alexander's death, probably in Alexandria, a quantity of the legendary material coalesced into a text known as the Alexander Romance, later falsely ascribed to Callisthenes and therefore known as Pseudo-Callisthenes. This text underwent numerous expansions and revisions throughout Antiquity and the Middle Ages,[268] containing many dubious stories,[266] and was translated into numerous languages.[269]
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Alexander the Great's accomplishments and legacy have been depicted in many cultures. Alexander has figured in both high and popular culture beginning in his own era to the present day. The Alexander Romance, in particular, has had a significant impact on portrayals of Alexander in later cultures, from Persian to medieval European to modern Greek.[269]
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Alexander features prominently in modern Greek folklore, more so than any other ancient figure.[270] The colloquial form of his name in modern Greek ("O Megalexandros") is a household name, and he is the only ancient hero to appear in the Karagiozis shadow play.[270] One well-known fable among Greek seamen involves a solitary mermaid who would grasp a ship's prow during a storm and ask the captain "Is King Alexander alive?" The correct answer is "He is alive and well and rules the world!" causing the mermaid to vanish and the sea to calm. Any other answer would cause the mermaid to turn into a raging Gorgon who would drag the ship to the bottom of the sea, all hands aboard.[270]
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In pre-Islamic Middle Persian (Zoroastrian) literature, Alexander is referred to by the epithet gujastak, meaning "accursed", and is accused of destroying temples and burning the sacred texts of Zoroastrianism.[271] In Sunni Islamic Persia, under the influence of the Alexander Romance (in Persian: اسکندرنامه Iskandarnamah), a more positive portrayal of Alexander emerges.[272] Firdausi's Shahnameh ("The Book of Kings") includes Alexander in a line of legitimate Persian shahs, a mythical figure who explored the far reaches of the world in search of the Fountain of Youth.[273] Later Persian writers associate him with philosophy, portraying him at a symposium with figures such as Socrates, Plato and Aristotle, in search of immortality.[272]
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The figure of Dhul-Qarnayn (literally "the Two-Horned One") mentioned in the Quran is believed by scholars to be based on later legends of Alexander.[272] In this tradition, he was a heroic figure who built a wall to defend against the nations of Gog and Magog.[274] He then travelled the known world in search of the Water of Life and Immortality, eventually becoming a prophet.[274]
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The Syriac version of the Alexander Romance portrays him as an ideal Christian world conqueror who prayed to "the one true God".[272] In Egypt, Alexander was portrayed as the son of Nectanebo II, the last pharaoh before the Persian conquest.[274] His defeat of Darius was depicted as Egypt's salvation, "proving" Egypt was still ruled by an Egyptian.[272]
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According to Josephus, Alexander was shown the Book of Daniel when he entered Jerusalem, which described a mighty Greek king who would conquer the Persian Empire. This is cited as a reason for sparing Jerusalem.[275]
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In Hindi and Urdu, the name "Sikandar", derived from the Persian name for Alexander, denotes a rising young talent, and the Delhi Sultanate ruler Aladdin Khajli stylized himself as "Sikandar-i-Sani" (the Second Alexander the Great).[276] In medieval India, Turkic and Afghan sovereigns from the Iranian-cultured region of Central Asia brought positive cultural connotations of Alexander to the Indian subcontinent, resulting in the efflorescence of Sikandernameh (Alexander Romances) written by Indo-Persian poets such as Amir Khusrow and the prominence of Alexander the Great as a popular subject in Mughal-era Persian miniatures.[277] In medieval Europe, Alexander the Great was revered as a member of the Nine Worthies, a group of heroes whose lives were believed to encapsulate all the ideal qualities of chivalry.[278]
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In Greek Anthology there are poems referring to Alexander.[279][280]
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Irish playwright Aubrey Thomas de Vere wrote Alexander the Great, a Dramatic Poem.
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In popular culture, the British heavy metal band Iron Maiden included a song titled "Alexander the Great" on their 1986 album Somewhere in Time. Written by bass player Steve Harris, the song retells Alexander's life.
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Apart from a few inscriptions and fragments, texts written by people who actually knew Alexander or who gathered information from men who served with Alexander were all lost.[16] Contemporaries who wrote accounts of his life included Alexander's campaign historian Callisthenes; Alexander's generals Ptolemy and Nearchus; Aristobulus, a junior officer on the campaigns; and Onesicritus, Alexander's chief helmsman. Their works are lost, but later works based on these original sources have survived. The earliest of these is Diodorus Siculus (1st century BC), followed by Quintus Curtius Rufus (mid-to-late 1st century AD), Arrian (1st to 2nd century AD), the biographer Plutarch (1st to 2nd century AD), and finally Justin, whose work dated as late as the 4th century.[16] Of these, Arrian is generally considered the most reliable, given that he used Ptolemy and Aristobulus as his sources, closely followed by Diodorus.[16]
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Antarctica (/ænˈtɑːrtɪkə/ or /æntˈɑːrktɪkə/ (listen))[note 1] is Earth's southernmost continent. It contains the geographic South Pole and is situated in the Antarctic region of the Southern Hemisphere, almost entirely south of the Antarctic Circle, and is surrounded by the Southern Ocean. At 14,200,000 square kilometres (5,500,000 square miles), it is the fifth-largest continent and nearly twice the size of Australia. At 0.00008 people per square kilometre, it is by far the least densely populated continent. About 98% of Antarctica is covered by ice that averages 1.9 km (1.2 mi; 6,200 ft) in thickness,[5] which extends to all but the northernmost reaches of the Antarctic Peninsula.
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Antarctica, on average, is the coldest, driest, and windiest continent, and has the highest average elevation of all the continents.[6] Most of Antarctica is a polar desert, with annual precipitation of 200 mm (7.9 in) along the coast and far less inland; there has been no rain there for almost 2 million years, yet 80% of the world freshwater reserves are stored there, enough to raise global sea levels by about 60 metres (200 ft) if all of it were to melt.[7] The temperature in Antarctica has reached −89.2 °C (−128.6 °F) (or even −94.7 °C (−135.8 °F) as measured from space[8]), though the average for the third quarter (the coldest part of the year) is −63 °C (−81 °F). Anywhere from 1,000 to 5,000 people reside throughout the year at research stations scattered across the continent. Organisms native to Antarctica include many types of algae, bacteria, fungi, plants, protista, and certain animals, such as mites, nematodes, penguins, seals and tardigrades. Vegetation, where it occurs, is tundra.
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Antarctica is noted as the last region on Earth in recorded history to be discovered, unseen until 1820 when the Russian expedition of Fabian Gottlieb von Bellingshausen and Mikhail Lazarev on Vostok and Mirny sighted the Fimbul ice shelf. The continent, however, remained largely neglected for the rest of the 19th century because of its hostile environment, lack of easily accessible resources, and isolation. In 1895, the first confirmed landing was conducted by a team of Norwegians.
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Antarctica is a de facto condominium, governed by parties to the Antarctic Treaty System that have consulting status. Twelve countries signed the Antarctic Treaty in 1959, and thirty-eight have signed it since then. The treaty prohibits military activities and mineral mining, prohibits nuclear explosions and nuclear waste disposal, supports scientific research, and protects the continent's ecology. Ongoing experiments are conducted by more than 4,000 scientists from many nations.
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The name Antarctica is the romanised version of the Greek compound word ἀνταρκτική (antarktiké), feminine of ἀνταρκτικός (antarktikós),[9] meaning "opposite to the Arctic", "opposite to the north".[10]
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Aristotle wrote in his book Meteorology about an Antarctic region in c. 350 BC.[11] Marinus of Tyre reportedly used the name in his unpreserved world map from the 2nd century CE. The Roman authors Hyginus and Apuleius (1–2 centuries CE) used for the South Pole the romanised Greek name polus antarcticus,[12][13] from which derived the Old French pole antartike (modern pôle antarctique) attested in 1270, and from there the Middle English pol antartik in a 1391 technical treatise by Geoffrey Chaucer (modern Antarctic Pole).[14]
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The long-imagined (but undiscovered) south polar continent was originally called Terra Australis, sometimes shortened to Australia as seen in a woodcut illustration titled "Sphere of the winds", contained in an astrological textbook published in Frankfurt in 1545.[15]
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18 |
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Then in the nineteenth century, the colonial authorities in Sydney removed the Dutch name from New Holland. Instead of inventing a new name to replace it, they took the name Australia from the south polar continent, leaving it nameless for some eighty years. During that period, geographers had to make do with clumsy phrases such as "the Antarctic Continent". They searched for a more poetic replacement, suggesting various names such as Ultima and Antipodea.[16] Eventually Antarctica was adopted as continental name in the 1890s—the first use of the name is attributed to the Scottish cartographer John George Bartholomew.[17]
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United Kingdom 1908–present
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New Zealand 1923–present
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Norway 1931–present
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Australia 1933–present
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Chile 1940–present
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Argentina 1943–present
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Antarctica has no indigenous population. In February 1775, during his second voyage, Captain Cook called the existence of such a polar continent "probable" and in another copy of his journal he wrote: "[I] firmly believe it and it's more than probable that we have seen a part of it".[18]
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However, belief in the existence of a Terra Australis—a vast continent in the far south of the globe to "balance" the northern lands of Europe, Asia and North Africa—had prevailed since the times of Ptolemy in the 1st century AD. Even in the late 17th century, after explorers had found that South America and Australia were not part of the fabled "Antarctica", geographers believed that the continent was much larger than its actual size. Integral to the story of the origin of Antarctica's name is that it was not named Terra Australis—this name was given to Australia instead, because of the misconception that no significant landmass could exist further south. Explorer Matthew Flinders, in particular, has been credited with popularising the transfer of the name Terra Australis to Australia. He justified the titling of his book A Voyage to Terra Australis (1814) by writing in the introduction:
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There is no probability, that any other detached body of land, of nearly equal extent, will ever be found in a more southern latitude; the name Terra Australis will, therefore, remain descriptive of the geographical importance of this country and of its situation on the globe: it has antiquity to recommend it; and, having no reference to either of the two claiming nations, appears to be less objectionable than any other which could have been selected.[19]
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European maps continued to show this hypothetical land until Captain James Cook's ships, HMS Resolution and Adventure, crossed the Antarctic Circle on 17 January 1773, in December 1773 and again in January 1774.[20] Cook came within about 120 km (75 mi) of the Antarctic coast before retreating in the face of field ice in January 1773.[21]
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According to various organisations (the National Science Foundation,[22] NASA,[23] the University of California, San Diego,[24] the Russian State Museum of the Arctic and Antarctic,[25] among others),[26][27] ships captained by three men sighted Antarctica or its ice shelf in 1820: Fabian Gottlieb von Bellingshausen (a captain in the Imperial Russian Navy), Edward Bransfield (a captain in the Royal Navy), and Nathaniel Palmer (a sealer from Stonington, Connecticut).
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The First Russian Antarctic Expedition led by Bellingshausen and Mikhail Lazarev on the 985-ton sloop-of-war Vostok ("East") and the 530-ton support vessel Mirny ("Peaceful") reached a point within 32 km (20 mi) of Queen Maud's Land and recorded the sight of an ice shelf at 69°21′28″S 2°14′50″W / 69.35778°S 2.24722°W / -69.35778; -2.24722,[28] on 27 January 1820,[29] which became known as the Fimbul ice shelf. This happened three days before Bransfield sighted the land of the Trinity Peninsula of Antarctica, as opposed to the ice of an ice shelf, and ten months before Palmer did so in November 1820. The first documented landing on Antarctica was by the American sealer John Davis, apparently at Hughes Bay, near Cape Charles, in West Antarctica on 7 February 1821, although some historians dispute this claim.[30][31] The first recorded and confirmed landing was at Cape Adair in 1895 (by the Norwegian-Swedish whaling ship Antarctic).[32]
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On 22 January 1840, two days after the discovery of the coast west of the Balleny Islands, some members of the crew of the 1837–40 expedition of Jules Dumont d'Urville disembarked on the highest islet[33] of a group of coastal rocky islands about 4 km from Cape Géodésie on the coast of Adélie Land where they took some mineral, algae, and animal samples, erected the French flag and claimed French sovereignty over the territory.[34]
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Discovery and claim of French sovereignty over Adélie Land by Jules Dumont d'Urville, in 1840.
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Painting of James Weddell's second expedition in 1823, depicting the brig Jane and the cutter Beaufoy
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Nimrod Expedition South Pole Party (left to right): Wild, Shackleton, Marshall and Adams
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Explorer James Clark Ross passed through what is now known as the Ross Sea and discovered Ross Island (both of which were named after him) in 1841. He sailed along a huge wall of ice that was later named the Ross Ice Shelf. Mount Erebus and Mount Terror are named after two ships from his expedition: HMS Erebus and Terror.[35] Mercator Cooper landed in East Antarctica on 26 January 1853.[36]
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During the Nimrod Expedition led by Ernest Shackleton in 1907, parties led by Edgeworth David became the first to climb Mount Erebus and to reach the South Magnetic Pole. Douglas Mawson, who assumed the leadership of the Magnetic Pole party on their perilous return, went on to lead several expeditions until retiring in 1931.[37] In addition, Shackleton and three other members of his expedition made several firsts in December 1908 – February 1909: they were the first humans to traverse the Ross Ice Shelf, the first to traverse the Transantarctic Mountains (via the Beardmore Glacier), and the first to set foot on the South Polar Plateau. An expedition led by Norwegian polar explorer Roald Amundsen from the ship Fram became the first to reach the geographic South Pole on 14 December 1911, using a route from the Bay of Whales and up the Axel Heiberg Glacier.[38] One month later, the doomed Scott Expedition reached the pole.
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Richard E. Byrd led several voyages to the Antarctic by plane in the 1930s and 1940s. He is credited with implementing mechanised land transport on the continent and conducting extensive geological and biological research.[39] The first women to set foot on Antarctica did so in the 1930s with Caroline Mikkelsen landing on an island of Antarctica in 1935,[40] and Ingrid Christensen stepping onto the mainland in 1937.[41][42][43]
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It was not until 31 October 1956, that anyone set foot on the South Pole again; on that day a U.S. Navy group led by Rear Admiral George J. Dufek successfully landed an aircraft there.[44] The first women to step onto the South Pole were Pam Young, Jean Pearson, Lois Jones, Eileen McSaveney, Kay Lindsay and Terry Tickhill in 1969.[45]
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On 28 November 1979, Air New Zealand Flight 901, a McDonnell Douglas DC-10-30, crashed into Mount Erebus, killing all 257 people on board.[46]
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In the southern hemisphere summer of 1996–97 the Norwegian explorer Børge Ousland became the first human to cross Antarctica alone from coast to coast.[47] Ousland got aid from a kite on parts of the distance. All attempted crossings, with no kites or resupplies, that have tried to go from the true continental edges, where the ice meets the sea, have failed due to the great distance that needs to be covered.[48] For this crossing, Ousland also holds the record for the fastest unsupported journey to the South Pole, taking just 34 days.[49]
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Roald Amundsen and his crew looking at the Norwegian flag at the South Pole, 1911
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The French Dumont d'Urville Station, an example of modern human settlement in Antarctica
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In 1997 Børge Ousland became the first person to make a solo crossing.
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Positioned asymmetrically around the South Pole and largely south of the Antarctic Circle, Antarctica is the southernmost continent and is surrounded by the Southern Ocean; alternatively, it may be considered to be surrounded by the southern Pacific, Atlantic, and Indian Oceans, or by the southern waters of the World Ocean. There are a number of rivers and lakes in Antarctica, the longest river being the Onyx. The largest lake, Vostok, is one of the largest sub-glacial lakes in the world. Antarctica covers more than 14 million km2 (5,400,000 sq mi),[1] making it the fifth-largest continent, about 1.3 times as large as Europe. The coastline measures 17,968 km (11,165 mi)[1] and is mostly characterised by ice formations, as the following table shows:
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Antarctica is divided in two by the Transantarctic Mountains close to the neck between the Ross Sea and the Weddell Sea. The portion west of the Weddell Sea and east of the Ross Sea is called West Antarctica and the remainder East Antarctica, because they roughly correspond to the Western and Eastern Hemispheres relative to the Greenwich meridian.[citation needed]
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74 |
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About 98% of Antarctica is covered by the Antarctic ice sheet, a sheet of ice averaging at least 1.6 km (1.0 mi) thick. The continent has about 90% of the world's ice (and thus about 70% of the world's fresh water). If all of this ice were melted, sea levels would rise about 60 m (200 ft).[51] In most of the interior of the continent, precipitation is very low, down to 20 mm (0.8 in) per year; in a few "blue ice" areas precipitation is lower than mass loss by sublimation, and so the local mass balance is negative. In the dry valleys, the same effect occurs over a rock base, leading to a desiccated landscape.[citation needed]
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77 |
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West Antarctica is covered by the West Antarctic Ice Sheet. The sheet has been of recent concern because of the small possibility of its collapse. If the sheet were to break down, ocean levels would rise by several metres in a relatively geologically short period of time, perhaps a matter of centuries.[citation needed] Several Antarctic ice streams, which account for about 10% of the ice sheet, flow to one of the many Antarctic ice shelves: see ice-sheet dynamics.
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79 |
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East Antarctica lies on the Indian Ocean side of the Transantarctic Mountains and comprises Coats Land, Queen Maud Land, Enderby Land, Mac. Robertson Land, Wilkes Land, and Victoria Land. All but a small portion of this region lies within the Eastern Hemisphere. East Antarctica is largely covered by the East Antarctic Ice Sheet.[citation needed]
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80 |
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81 |
+
Vinson Massif, the highest peak in Antarctica at 4,892 m (16,050 ft), is located in the Ellsworth Mountains. Antarctica contains many other mountains, on both the main continent and the surrounding islands. Mount Erebus on Ross Island is the world's southernmost active volcano. Another well-known volcano is found on Deception Island, which is famous for a giant eruption in 1970. Minor eruptions are frequent, and lava flow has been observed in recent years. Other dormant volcanoes may potentially be active.[52] In 2004, a potentially active underwater volcano was found in the Antarctic Peninsula by American and Canadian researchers.[53]
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Antarctica is home to more than 70 lakes that lie at the base of the continental ice sheet. Lake Vostok, discovered beneath Russia's Vostok Station in 1996, is the largest of these subglacial lakes. It was once believed that the lake had been sealed off for 500,000 to one million years, but a recent survey suggests that, every so often, there are large flows of water from one lake to another.[54]
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There is some evidence, in the form of ice cores drilled to about 400 m (1,300 ft) above the water line, that Lake Vostok's waters may contain microbial life. The frozen surface of the lake shares similarities with Jupiter's moon, Europa. If life is discovered in Lake Vostok, it would strengthen the argument for the possibility of life on Europa.[55][56] On 7 February 2008, a NASA team embarked on a mission to Lake Untersee, searching for extremophiles in its highly alkaline waters. If found, these resilient creatures could further bolster the argument for extraterrestrial life in extremely cold, methane-rich environments.[57]
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In September 2018, researchers at the National Geospatial-Intelligence Agency released a high resolution terrain map (detail down to the size of a car, and less in some areas) of Antarctica, named the "Reference Elevation Model of Antarctica" (REMA).[58]
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|
89 |
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More than 170 million years ago, Antarctica was part of the supercontinent Gondwana. Over time, Gondwana gradually broke apart, and Antarctica as we know it today was formed around 25 million years ago. Antarctica was not always cold, dry, and covered in ice sheets. At a number of points in its long history, it was farther north, experienced a tropical or temperate climate, was covered in forests,[59] and inhabited by various ancient life forms.
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During the Cambrian period, Gondwana had a mild climate. West Antarctica was partially in the Northern Hemisphere, and during this period large amounts of sandstones, limestones and shales were deposited. East Antarctica was at the equator, where sea floor invertebrates and trilobites flourished in the tropical seas. By the start of the Devonian period (416 Ma), Gondwana was in more southern latitudes and the climate was cooler, though fossils of land plants are known from this time. Sand and silts were laid down in what is now the Ellsworth, Horlick and Pensacola Mountains. Glaciation began at the end of the Devonian period (360 Ma), as Gondwana became centred on the South Pole and the climate cooled, though flora remained. During the Permian period, the land became dominated by seed plants such as Glossopteris, a pteridosperm which grew in swamps. Over time these swamps became deposits of coal in the Transantarctic Mountains. Towards the end of the Permian period, continued warming led to a dry, hot climate over much of Gondwana.[60]
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As a result of continued warming, the polar ice caps melted and much of Gondwana became a desert. In Eastern Antarctica, seed ferns or pteridosperms became abundant and large amounts of sandstone and shale were laid down at this time. Synapsids, commonly known as "mammal-like reptiles", were common in Antarctica during the Early Triassic and included forms such as Lystrosaurus. The Antarctic Peninsula began to form during the Jurassic period (206–146 Ma), and islands gradually rose out of the ocean. Ginkgo trees, conifers, bennettites, horsetails, ferns and cycads were plentiful during this period. In West Antarctica, coniferous forests dominated through the entire Cretaceous period (146–66 Ma), though southern beech became more prominent towards the end of this period. Ammonites were common in the seas around Antarctica, and dinosaurs were also present, though only three Antarctic dinosaur genera (Cryolophosaurus and Glacialisaurus, from the Hanson Formation,[61] and Antarctopelta) have been described to date.[62] It was during this era that Gondwana began to break up.
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95 |
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However, there is some evidence of antarctic marine glaciation during the Cretaceous period.[63]
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96 |
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|
97 |
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The cooling of Antarctica occurred stepwise, as the continental spread changed the oceanic currents from longitudinal equator-to-pole temperature-equalising currents to latitudinal currents that preserved and accentuated latitude temperature differences.
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98 |
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99 |
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Africa separated from Antarctica in the Jurassic, around 160 Ma, followed by the Indian subcontinent in the early Cretaceous (about 125 Ma). By the end of the Cretaceous, about 66 Ma, Antarctica (then connected to Australia) still had a subtropical climate and flora, complete with a marsupial fauna.[64] In the Eocene epoch, about 40 Ma Australia-New Guinea separated from Antarctica, so that latitudinal currents could isolate Antarctica from Australia, and the first ice began to appear. During the Eocene–Oligocene extinction event about 34 million years ago, CO2 levels have been found to be about 760 ppm[65] and had been decreasing from earlier levels in the thousands of ppm.
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101 |
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Around 23 Ma, the Drake Passage opened between Antarctica and South America, resulting in the Antarctic Circumpolar Current that completely isolated the continent. Models of the changes suggest that declining CO2 levels became more important.[66] The ice began to spread, replacing the forests that until then had covered the continent. Since about 15 Ma, the continent has been mostly covered with ice.[67]
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102 |
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103 |
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Fossil Nothofagus leaves in the Meyer Desert Formation of the Sirius Group show that intermittent warm periods allowed Nothofagus shrubs to cling to the Dominion Range as late as 3–4 Ma (mid-late Pliocene).[68] After that, the Pleistocene ice age covered the whole continent and destroyed all major plant life on it.[69]
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The geological study of Antarctica has been greatly hindered by nearly all of the continent being permanently covered with a thick layer of ice.[70] However, new techniques such as remote sensing, ground-penetrating radar and satellite imagery have begun to reveal the structures beneath the ice.
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Geologically, West Antarctica closely resembles the Andes mountain range of South America.[60] The Antarctic Peninsula was formed by uplift and metamorphism of sea bed sediments during the late Paleozoic and the early Mesozoic eras. This sediment uplift was accompanied by igneous intrusions and volcanism. The most common rocks in West Antarctica are andesite and rhyolite volcanics formed during the Jurassic period. There is also evidence of volcanic activity, even after the ice sheet had formed, in Marie Byrd Land and Alexander Island. The only anomalous area of West Antarctica is the Ellsworth Mountains region, where the stratigraphy is more similar to East Antarctica.
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East Antarctica is geologically varied, dating from the Precambrian era, with some rocks formed more than 3 billion years ago. It is composed of a metamorphic and igneous platform which is the basis of the continental shield. On top of this base are coal and various modern rocks, such as sandstones, limestones and shales laid down during the Devonian and Jurassic periods to form the Transantarctic Mountains. In coastal areas such as Shackleton Range and Victoria Land some faulting has occurred.
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The main mineral resource known on the continent is coal.[67] It was first recorded near the Beardmore Glacier by Frank Wild on the Nimrod Expedition, and now low-grade coal is known across many parts of the Transantarctic Mountains. The Prince Charles Mountains contain significant deposits of iron ore. The most valuable resources of Antarctica lie offshore, namely the oil and natural gas fields found in the Ross Sea in 1973. Exploitation of all mineral resources is banned until 2048 by the Protocol on Environmental Protection to the Antarctic Treaty.
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Antarctica is the coldest of Earth's continents. It used to be ice-free until about 34 million years ago, when it became covered with ice.[71] The lowest natural air temperature ever recorded on Earth was −89.2 °C (−128.6 °F) at the Russian Vostok Station in Antarctica on 21 July 1983.[72] For comparison, this is 10.7 °C (20 °F) colder than subliming dry ice at one atmosphere of partial pressure, but since CO2 only makes up 0.039% of air, temperatures of less than −140 °C (−220 °F)[73] would be needed to produce dry ice snow in Antarctica. A lower air temperature of −94.7 °C (−138.5 °F) was recorded in 2010 by satellite—however, it may be influenced by ground temperatures and was not recorded at a height of 7 feet (2 m) above the surface as required for the official air temperature records.[74] Antarctica is a frozen desert with little precipitation; the South Pole receives less than 10 mm (0.4 in) per year, on average. Temperatures reach a minimum of between −80 °C (−112 °F) and −89.2 °C (−128.6 °F) in the interior in winter and reach a maximum of between 5 °C (41 °F) and 15 °C (59 °F) near the coast in summer. Northern Antarctica recorded a temperature of 20.75 °C (69.3 °F) on 9 February 2020, the highest recorded temperature in the continent.[75][76] Sunburn is often a health issue as the snow surface reflects almost all of the ultraviolet light falling on it. Given the latitude, long periods of constant darkness or constant sunlight create climates unfamiliar to human beings in much of the rest of the world.[77]
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East Antarctica is colder than its western counterpart because of its higher elevation. Weather fronts rarely penetrate far into the continent, leaving the centre cold and dry. Despite the lack of precipitation over the central portion of the continent, ice there lasts for extended periods. Heavy snowfalls are common on the coastal portion of the continent, where snowfalls of up to 1.22 metres (48 in) in 48 hours have been recorded.
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At the edge of the continent, strong katabatic winds off the polar plateau often blow at storm force. In the interior, wind speeds are typically moderate. During clear days in summer, more solar radiation reaches the surface at the South Pole than at the equator because of the 24 hours of sunlight each day at the Pole.[1]
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Antarctica is colder than the Arctic for three reasons. First, much of the continent is more than 3,000 m (9,800 ft) above sea level, and temperature decreases with elevation in the troposphere. Second, the Arctic Ocean covers the north polar zone: the ocean's relative warmth is transferred through the icepack and prevents temperatures in the Arctic regions from reaching the extremes typical of the land surface of Antarctica. Third, the Earth is at aphelion in July (i.e., the Earth is farthest from the Sun in the Antarctic winter), and the Earth is at perihelion in January (i.e., the Earth is closest to the Sun in the Antarctic summer). The orbital distance contributes to a colder Antarctic winter (and a warmer Antarctic summer) but the first two effects have more impact.[78]
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The aurora australis, commonly known as the southern lights, is a glow observed in the night sky near the South Pole created by the plasma-full solar winds that pass by the Earth. Another unique spectacle is diamond dust, a ground-level cloud composed of tiny ice crystals. It generally forms under otherwise clear or nearly clear skies, so people sometimes also refer to it as clear-sky precipitation. A sun dog, a frequent atmospheric optical phenomenon, is a bright "spot" beside the true sun.[77]
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Several governments maintain permanent manned research stations on the continent. The number of people conducting and supporting scientific research and other work on the continent and its nearby islands varies from about 1,000 in winter to about 5,000 in the summer, giving it a population density between 70 and 350 inhabitants per million square kilometres (180 and 900 per million square miles) at these times. Many of the stations are staffed year-round, the winter-over personnel typically arriving from their home countries for a one-year assignment. An Orthodox church—Trinity Church, opened in 2004 at the Russian Bellingshausen Station—is manned year-round by one or two priests, who are similarly rotated every year.[79][80]
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The first semi-permanent inhabitants of regions near Antarctica (areas situated south of the Antarctic Convergence) were British and American sealers who used to spend a year or more on South Georgia, from 1786 onward. During the whaling era, which lasted until 1966, the population of that island varied from over 1,000 in the summer (over 2,000 in some years) to some 200 in the winter. Most of the whalers were Norwegian, with an increasing proportion of Britons. The settlements included Grytviken, Leith Harbour, King Edward Point, Stromness, Husvik, Prince Olav Harbour, Ocean Harbour and Godthul. Managers and other senior officers of the whaling stations often lived together with their families. Among them was the founder of Grytviken, Captain Carl Anton Larsen, a prominent Norwegian whaler and explorer who, along with his family, adopted British citizenship in 1910.[citation needed]
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The first child born in the southern polar region was Norwegian girl Solveig Gunbjørg Jacobsen, born in Grytviken on 8 October 1913, and her birth was registered by the resident British Magistrate of South Georgia. She was a daughter of Fridthjof Jacobsen, the assistant manager of the whaling station, and Klara Olette Jacobsen. Jacobsen arrived on the island in 1904 and became the manager of Grytviken, serving from 1914 to 1921; two of his children were born on the island.[81]
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Emilio Marcos Palma was the first person born south of the 60th parallel south, the first born on the Antarctic mainland, and the only living human to be the first born on any continent.[82] He was born in 1978 at Esperanza Base, on the tip of the Antarctic Peninsula;[83][84] his parents were sent there along with seven other families by the Argentine government to determine if the continent was suitable for family life. In 1984, Juan Pablo Camacho was born at the Frei Montalva Station, becoming the first Chilean born in Antarctica. Several bases are now home to families with children attending schools at the station.[85] As of 2009, eleven children were born in Antarctica (south of the 60th parallel south): eight at the Argentine Esperanza Base[86] and three at the Chilean Frei Montalva Station.[87]
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The terrestrial and native all year round species appears to be the descendants of ancestors who lived in geothermally warmed environments during the last ice age, when these areas were the only places on the continent not covered by ice.[88]
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Few terrestrial vertebrates live in Antarctica, and those that do are limited to the sub-Antarctic islands.[89] Invertebrate life includes microscopic mites like the Alaskozetes antarcticus, lice, nematodes, tardigrades, rotifers, krill and springtails. The flightless midge Belgica antarctica, up to 6 mm (1⁄4 in) in size, is the largest purely terrestrial animal in Antarctica.[90] Another member of Chironomidae is Parochlus steinenii.[91] The snow petrel is one of only three birds that breed exclusively in Antarctica.[92]
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Some species of marine animals exist and rely, directly or indirectly, on the phytoplankton. Antarctic sea life includes penguins, blue whales, orcas, colossal squids and fur seals. The emperor penguin is the only penguin that breeds during the winter in Antarctica, while the Adélie penguin breeds farther south than any other penguin.[citation needed] The southern rockhopper penguin has distinctive feathers around the eyes, giving the appearance of elaborate eyelashes. King penguins, chinstrap penguins, and gentoo penguins also breed in the Antarctic.[citation needed]
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The Antarctic fur seal was very heavily hunted in the 18th and 19th centuries for its pelt by sealers from the United States and the United Kingdom. The Weddell seal, a "true seal", is named after Sir James Weddell, commander of British sealing expeditions in the Weddell Sea. Antarctic krill, which congregate in large schools, is the keystone species of the ecosystem of the Southern Ocean, and is an important food organism for whales, seals, leopard seals, fur seals, squid, icefish, penguins, albatrosses and many other birds.[93]
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A census of sea life carried out during the International Polar Year and which involved some 500 researchers was released in 2010. The research is part of the global Census of Marine Life and has disclosed some remarkable findings. More than 235 marine organisms live in both polar regions, having bridged the gap of 12,000 km (7,456 mi). Large animals such as some cetaceans and birds make the round trip annually. More surprising are small forms of life such as sea cucumbers and free-swimming snails found in both polar oceans. Various factors may aid in their distribution – fairly uniform temperatures of the deep ocean at the poles and the equator which differ by no more than 5 °C, and the major current systems or marine conveyor belt which transport eggs and larval stages.[94]
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About 1,150 species of fungi have been recorded from Antarctica, of which about 750 are non-lichen-forming and 400 are lichen-forming.[95][96] Some of these species are cryptoendoliths as a result of evolution under extreme conditions, and have significantly contributed to shaping the impressive rock formations of the McMurdo Dry Valleys and surrounding mountain ridges. The apparently simple morphology, scarcely differentiated structures, metabolic systems and enzymes still active at very low temperatures, and reduced life cycles shown by such fungi make them particularly suited to harsh environments such as the McMurdo Dry Valleys. In particular, their thick-walled and strongly melanised cells make them resistant to UV light. Those features can also be observed in algae and cyanobacteria, suggesting that these are adaptations to the conditions prevailing in Antarctica. This has led to speculation that, if life ever occurred on Mars, it might have looked similar to Antarctic fungi such as Cryomyces antarcticus, and Cryomyces minteri.[97] Some of these fungi are also apparently endemic to Antarctica. Endemic Antarctic fungi also include certain dung-inhabiting species which have had to evolve in response to the double challenge of extreme cold while growing on dung, and the need to survive passage through the gut of warm-blooded animals.[98]
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About 298 million years ago Permian forests started to cover the continent, and tundra vegetation survived as late as 15 million years ago,[99] but the climate of present-day Antarctica does not allow extensive vegetation to form. A combination of freezing temperatures, poor soil quality, lack of moisture, and lack of sunlight inhibit plant growth. As a result, the diversity of plant life is very low and limited in distribution. The flora of the continent largely consists of bryophytes. There are about 100 species of mosses and 25 species of liverworts, but only three species of flowering plants, all of which are found in the Antarctic Peninsula: Deschampsia antarctica (Antarctic hair grass), Colobanthus quitensis (Antarctic pearlwort) and the non-native Poa annua (annual bluegrass).[100] Growth is restricted to a few weeks in the summer.[95][101]
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Seven hundred species of algae exist, most of which are phytoplankton. Multicoloured snow algae and diatoms are especially abundant in the coastal regions during the summer.[101] Bacteria have been found living in the cold and dark as deep as 800 m (0.50 mi; 2,600 ft) under the ice.[102]
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The Protocol on Environmental Protection to the Antarctic Treaty (also known as the Environmental Protocol or Madrid Protocol) came into force in 1998, and is the main instrument concerned with conservation and management of biodiversity in Antarctica. The Antarctic Treaty Consultative Meeting is advised on environmental and conservation issues in Antarctica by the Committee for Environmental Protection. A major concern within this committee is the risk to Antarctica from unintentional introduction of non-native species from outside the region.[103]
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The passing of the Antarctic Conservation Act (1978) in the U.S. brought several restrictions to U.S. activity on Antarctica. The introduction of alien plants or animals can bring a criminal penalty, as can the extraction of any indigenous species. The overfishing of krill, which plays a large role in the Antarctic ecosystem, led officials to enact regulations on fishing. The Convention for the Conservation of Antarctic Marine Living Resources (CCAMLR), a treaty that came into force in 1980, requires that regulations managing all Southern Ocean fisheries consider potential effects on the entire Antarctic ecosystem.[1] Despite these new acts, unregulated and illegal fishing, particularly of Patagonian toothfish (marketed as Chilean Sea Bass in the U.S.), remains a serious problem. The illegal fishing of toothfish has been increasing, with estimates of 32,000 tonnes (35,000 short tons) in 2000.[104][105]
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Several countries claim sovereignty in certain regions. While a few of these countries have mutually recognised each other's claims,[106] the validity of these claims is not recognised universally.[1]
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New claims on Antarctica have been suspended since 1959, although in 2015 Norway formally defined Queen Maud Land as including the unclaimed area between it and the South Pole.[107] Antarctica's status is regulated by the 1959 Antarctic Treaty and other related agreements, collectively called the Antarctic Treaty System. Antarctica is defined as all land and ice shelves south of 60° S for the purposes of the Treaty System. The treaty was signed by twelve countries including the Soviet Union (and later Russia), the United Kingdom, Argentina, Chile, Australia, and the United States.[108] It set aside Antarctica as a scientific preserve, established freedom of scientific investigation and environmental protection, and banned military activity on Antarctica. This was the first arms control agreement established during the Cold War.
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In 1983 the Antarctic Treaty Parties began negotiations on a convention to regulate mining in Antarctica.[109] A coalition of international organisations[110] launched a public pressure campaign to prevent any minerals development in the region, led largely by Greenpeace International,[111] which operated its own scientific station—World Park Base—in the Ross Sea region from 1987 until 1991[112] and conducted annual expeditions to document environmental effects of humans on Antarctica.[113] In 1988, the Convention on the Regulation of Antarctic Mineral Resources (CRAMRA) was adopted.[114] The following year, however, Australia and France announced that they would not ratify the convention, rendering it dead for all intents and purposes. They proposed instead that a comprehensive regime to protect the Antarctic environment be negotiated in its place.[115] The Protocol on Environmental Protection to the Antarctic Treaty (the "Madrid Protocol") was negotiated as other countries followed suit and on 14 January 1998 it entered into force.[115][116] The Madrid Protocol bans all mining in Antarctica, designating Antarctica a "natural reserve devoted to peace and science".
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The Antarctic Treaty prohibits any military activity in Antarctica, including the establishment of military bases and fortifications, military manoeuvres, and weapons testing. Military personnel or equipment are permitted only for scientific research or other peaceful purposes.[117] The only documented military land manoeuvre has been the small Operation NINETY by the Argentine military in 1965.[118]
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The Argentine, British and Chilean claims all overlap, and have caused friction. On 18 December 2012, the British Foreign and Commonwealth Office named a previously unnamed area Queen Elizabeth Land in tribute to Queen Elizabeth II's Diamond Jubilee.[119] On 22 December 2012, the UK ambassador to Argentina, John Freeman, was summoned to the Argentine government as protest against the claim.[120] Argentine–UK relations had previously been damaged throughout 2012 due to disputes over the sovereignty of the nearby Falkland Islands, and the 30th anniversary of the Falklands War.
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The areas shown as Australia's and New Zealand's claims were British territory until they were handed over following the countries' independence. Australia currently claims the largest area. The claims of Britain, Australia, New Zealand, France and Norway are all recognised by each other.[121]
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Other countries participating as members of the Antarctic Treaty have a territorial interest in Antarctica, but the provisions of the Treaty do not allow them to make their claims while it is in force.[122][123]
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There is no economic activity in Antarctica at present, except for fishing off the coast and small-scale tourism, both based outside Antarctica.[1]
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Although coal, hydrocarbons, iron ore, platinum, copper, chromium, nickel, gold and other minerals have been found, they have not been in large enough quantities to exploit.[126] The 1991 Protocol on Environmental Protection to the Antarctic Treaty also restricts a struggle for resources. In 1998, a compromise agreement was reached to place an indefinite ban on mining, to be reviewed in 2048, further limiting economic development and exploitation. The primary economic activity is the capture and offshore trading of fish. Antarctic fisheries in 2000–01 reported landing 112,934 tonnes.[127]
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Small-scale "expedition tourism" has existed since 1957 and is currently subject to Antarctic Treaty and Environmental Protocol provisions, but in effect self-regulated by the International Association of Antarctica Tour Operators (IAATO). Not all vessels associated with Antarctic tourism are members of IAATO, but IAATO members account for 95% of the tourist activity. Travel is largely by small or medium ship, focusing on specific scenic locations with accessible concentrations of iconic wildlife. A total of 37,506 tourists visited during the 2006–07 Austral summer with nearly all of them coming from commercial ships; 38,478 were recorded in 2015–16.[128][129][130] As of 2015, there are two Wells Fargo ATMs in Antarctica.[131]
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There has been some concern over the potential adverse environmental and ecosystem effects caused by the influx of visitors. Some environmentalists and scientists have made a call for stricter regulations for ships and a tourism quota.[132] The primary response by Antarctic Treaty Parties has been to develop, through their Committee for Environmental Protection and in partnership with IAATO, "site use guidelines" setting landing limits and closed or restricted zones on the more frequently visited sites. Antarctic sightseeing flights (which did not land) operated out of Australia and New Zealand until the fatal crash of Air New Zealand Flight 901 in 1979 on Mount Erebus, which killed all 257 aboard. Qantas resumed commercial overflights to Antarctica from Australia in the mid-1990s.
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Antarctic fisheries in 1998–99 (1 July – 30 June) reported landing 119,898 tonnes legally.[133]
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About thirty countries maintain about seventy research stations (40-year-round or permanent, and 30 summer-only) in Antarctica, with an approximate population of 4000 in summer and 1000 in winter.[1]
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The ISO 3166-1 alpha-2 "AQ" is assigned to the entire continent regardless of jurisdiction. Different country calling codes and currencies[134] are used for different settlements, depending on the administrating country. The Antarctican dollar, a souvenir item sold in the United States and Canada, is not legal tender.[1][135]
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Each year, scientists from 28 different nations conduct experiments not reproducible in any other place in the world. In the summer more than 4,000 scientists operate research stations; this number decreases to just over 1,000 in the winter.[1] McMurdo Station, which is the largest research station in Antarctica, is capable of housing more than 1,000 scientists, visitors, and tourists.
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Researchers include biologists, geologists, oceanographers, physicists, astronomers, glaciologists, and meteorologists. Geologists tend to study plate tectonics, meteorites from outer space, and resources from the breakup of the supercontinent Gondwana. Glaciologists in Antarctica are concerned with the study of the history and dynamics of floating ice, seasonal snow, glaciers, and ice sheets. Biologists, in addition to examining the wildlife, are interested in how harsh temperatures and the presence of people affect adaptation and survival strategies in a wide variety of organisms. Medical physicians have made discoveries concerning the spreading of viruses and the body's response to extreme seasonal temperatures. Astrophysicists at Amundsen–Scott South Pole Station study the celestial dome and cosmic microwave background radiation. Many astronomical observations are better made from the interior of Antarctica than from most surface locations because of the high elevation, which results in a thin atmosphere; low temperature, which minimises the amount of water vapour in the atmosphere; and absence of light pollution, thus allowing for a view of space clearer than anywhere else on Earth. Antarctic ice serves as both the shield and the detection medium for the largest neutrino telescope in the world, built 2 km (1.2 mi) below Amundsen–Scott station.[136]
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Since the 1970s an important focus of study has been the ozone layer in the atmosphere above Antarctica. In 1985, three British scientists working on data they had gathered at Halley Station on the Brunt Ice Shelf discovered the existence of a hole in this layer. It was eventually determined that the destruction of the ozone was caused by chlorofluorocarbons (CFCs) emitted by human products. With the ban of CFCs in the Montreal Protocol of 1989, climate projections indicate that the ozone layer will return to 1980 levels between 2050 and 2070.[137]
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In September 2006 NASA satellite data revealed that the Antarctic ozone hole was larger than at any other time on record, at 2,750,000 km2 (1,060,000 sq mi).[138] The impacts of the depleted ozone layer on climate changes occurring in Antarctica are not well understood.[137]
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In 2007 The Polar Geospatial Center was founded. The Polar Geospatial Center uses geospatial and remote sensing technology to provide mapping services to American federally funded research teams. Currently, the Polar Geospatial Center can image all of Antarctica at 500 mm (20 in) resolution every 45 days.[139]
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On 6 September 2007 Belgian-based International Polar Foundation unveiled the Princess Elisabeth station, the world's first zero-emissions polar science station in Antarctica to research climate change. Costing $16.3 million, the prefabricated station, which is part of the International Polar Year, was shipped to the South Pole from Belgium by the end of 2008 to monitor the health of the polar regions. Belgian polar explorer Alain Hubert stated: "This base will be the first of its kind to produce zero emissions, making it a unique model of how energy should be used in the Antarctic." Johan Berte is the leader of the station design team and manager of the project which conducts research in climatology, glaciology and microbiology.[140]
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In January 2008 British Antarctic Survey (BAS) scientists, led by Hugh Corr and David Vaughan, reported (in the journal Nature Geoscience) that 2,200 years ago, a volcano erupted under Antarctica's ice sheet (based on airborne survey with radar images). The biggest eruption in Antarctica in the last 10,000 years, the volcanic ash was found deposited on the ice surface under the Hudson Mountains, close to Pine Island Glacier.[141]
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A study from 2014 estimated that during the Pleistocene, the East Antarctic Ice Sheet (EAIS) thinned by at least 500 m (1,600 ft), and that thinning since the Last Glacial Maximum for the EAIS area is less than 50 m (160 ft) and probably started after c. 14 ka.[142]
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Meteorites from Antarctica are an important area of study of material formed early in the solar system; most are thought to come from asteroids, but some may have originated on larger planets. The first meteorite was found in 1912, and named the Adelie Land meteorite. In 1969, a Japanese expedition discovered nine meteorites. Most of these meteorites have fallen onto the ice sheet in the last million years. Motion of the ice sheet tends to concentrate the meteorites at blocking locations such as mountain ranges, with wind erosion bringing them to the surface after centuries beneath accumulated snowfall. Compared with meteorites collected in more temperate regions on Earth, the Antarctic meteorites are well-preserved.[143]
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This large collection of meteorites allows a better understanding of the abundance of meteorite types in the solar system and how meteorites relate to asteroids and comets. New types of meteorites and rare meteorites have been found. Among these are pieces blasted off the Moon, and probably Mars, by impacts. These specimens, particularly ALH84001 discovered by ANSMET, are at the centre of the controversy about possible evidence of microbial life on Mars. Because meteorites in space absorb and record cosmic radiation, the time elapsed since the meteorite hit the Earth can be determined from laboratory studies. The elapsed time since fall, or terrestrial residence age, of a meteorite represents more information that might be useful in environmental studies of Antarctic ice sheets.[143]
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In 2006 a team of researchers from Ohio State University used gravity measurements by NASA's GRACE satellites to discover the 500-kilometre-wide (300 mi) Wilkes Land crater, which probably formed about 250 million years ago.[144]
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In January 2013 an 18 kg (40 lb) meteorite was discovered frozen in ice on the Nansen ice field by a Search for Antarctic Meteorites, Belgian Approach (SAMBA) mission.[145]
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In January 2015 reports emerged of a 2-kilometre (1.2 mi) circular structure, supposedly a meteorite crater, on the surface snow of King Baudouin Ice Shelf. Satellite images from 25 years ago seemingly show it.
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Due to its location at the South Pole, Antarctica receives relatively little solar radiation except along the southern summer. This means that it is a very cold continent where water is mostly in the form of ice. Precipitation is low (most of Antarctica is a desert) and almost always in the form of snow, which accumulates and forms a giant ice sheet which covers the land. Parts of this ice sheet form moving glaciers known as ice streams, which flow towards the edges of the continent. Next to the continental shore are many ice shelves. These are floating extensions of outflowing glaciers from the continental ice mass. Offshore, temperatures are also low enough that ice is formed from seawater through most of the year. It is important to understand the various types of Antarctic ice to understand possible effects on sea levels and the implications of global cooling.
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Sea ice extent expands annually in the Antarctic winter and most of this ice melts in the summer. This ice is formed from the ocean water and floats in the same water and thus does not contribute to rise in sea level. The extent of sea ice around Antarctica (in terms of square kilometers of coverage) has remained roughly constant in recent decades, although the amount of variation it has experienced in its thickness is unclear.[146][147]
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Melting of floating ice shelves (ice that originated on the land) does not in itself contribute much to sea-level rise (since the ice displaces only its own mass of water). However, it is the outflow of the ice from the land to form the ice shelf which causes a rise in global sea level. This effect is offset by snow falling back onto the continent. Recent decades have witnessed several dramatic collapses of large ice shelves around the coast of Antarctica, especially along the Antarctic Peninsula. Concerns have been raised that disruption of ice shelves may result in increased glacial outflow from the continental ice mass.[148]
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On the continent itself, the large volume of ice present stores around 70% of the world's fresh water.[51] This ice sheet is constantly gaining ice from snowfall and losing ice through outflow to the sea.
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Sheperd et al. 2012, found that different satellite methods for measuring ice mass and change were in good agreement and combining methods leads to more certainty with East Antarctica, West Antarctica, and the Antarctic Peninsula changing in mass by +14 ± 43, −65 ± 26, and −20 ± 14 gigatonnes (Gt) per year.[149] The same group's 2018 systematic review study estimated that ice loss across the entire continent was 43 gigatonnes per year on average during the period from 1992 to 2002 but has accelerated to an average of 220 gigatonnes per year during the five years from 2012 to 2017.[150] NASA's Climate Change website indicates a compatible overall trend of greater than 100 gigatonnes of ice loss per year since 2002.[151]
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A single 2015 study by H. Jay Zwally et al. found instead that the net change in ice mass is slightly positive at approximately 82 gigatonnes per year (with significant regional variation) which would result in Antarctic activity reducing global sea-level rise by 0.23 mm per year.[152] However, one critic, Eric Rignot of NASA's Jet Propulsion Laboratory, states that this outlying study's findings "are at odds with all other independent methods: re-analysis, gravity measurements, mass budget method, and other groups using the same data" and appears to arrive at more precise values than current technology and mathematical approaches would permit.[153]
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A satellite record revealed that the overall increase in Antarctic sea ice extents reversed in 2014, with rapid rates of decrease in 2014–2017 reducing the Antarctic sea ice extents to their lowest values in the 40-y record.[154]
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East Antarctica is a cold region with a ground base above sea level and occupies most of the continent. This area is dominated by small accumulations of snowfall which becomes ice and thus eventually seaward glacial flows. The mass balance of the East Antarctic Ice Sheet as a whole is thought to be slightly positive (lowering sea level) or near to balance.[155][156][157] However, increased ice outflow has been suggested in some regions.[156][158]
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Some of Antarctica has been warming up; particularly strong warming has been noted on the Antarctic Peninsula. A study by Eric Steig published in 2009 noted for the first time that the continent-wide average surface temperature trend of Antarctica is slightly positive at >0.05 °C (0.09 °F) per decade from 1957 to 2006. This study also noted that West Antarctica has warmed by more than 0.1 °C (0.2 °F) per decade in the last 50 years, and this warming is strongest in winter and spring. This is partly offset by autumn cooling in East Antarctica.[159] There is evidence from one study that Antarctica is warming as a result of human carbon dioxide emissions,[160] but this remains ambiguous.[161] The amount of surface warming in West Antarctica, while large, has not led to appreciable melting at the surface, and is not directly affecting the West Antarctic Ice Sheet's contribution to sea level. Instead the recent increases in glacier outflow are believed to be due to an inflow of warm water from the deep ocean, just off the continental shelf.[162][163] The net contribution to sea level from the Antarctic Peninsula is more likely to be a direct result of the much greater atmospheric warming there.[164]
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In 2002 the Antarctic Peninsula's Larsen-B ice shelf collapsed.[165] Between 28 February and 8 March 2008, about 570 km2 (220 sq mi) of ice from the Wilkins Ice Shelf on the southwest part of the peninsula collapsed, putting the remaining 15,000 km2 (5,800 sq mi) of the ice shelf at risk. The ice was being held back by a "thread" of ice about 6 km (4 mi) wide,[166][167] prior to its collapse on 5 April 2009.[168][169] According to NASA, the most widespread Antarctic surface melting of the past 30 years occurred in 2005, when an area of ice comparable in size to California briefly melted and refroze; this may have resulted from temperatures rising to as high as 5 °C (41 °F).[170]
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A study published in Nature Geoscience in 2013 (online in December 2012) identified central West Antarctica as one of the fastest-warming regions on Earth. The researchers present a complete temperature record from Antarctica's Byrd Station and assert that it "reveals a linear increase in annual temperature between 1958 and 2010 by 2.4±1.2 °C".[171]
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In February 2020, the region recorded the highest temperature of 18.3-degree Celsius which was a degree higher than the previous record of 17.5 degrees in March 2015.[172]
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There is a large area of low ozone concentration or "ozone hole" over Antarctica. This hole covers almost the whole continent and was at its largest in September 2008, when the longest lasting hole on record remained until the end of December.[173] The hole was detected by scientists in 1985[174] and has tended to increase over the years of observation. The ozone hole is attributed to the emission of chlorofluorocarbons or CFCs into the atmosphere, which decompose the ozone into other gases.[175] In 2019, the ozone hole was at its smallest in the previous thirty years, due to the warmer polar stratosphere weakening the polar vortex. This reduced the formation of the 'polar stratospheric clouds' that enable the chemistry that leads to rapid ozone loss.[176]
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Some scientific studies suggest that ozone depletion may have a dominant role in governing climatic change in Antarctica (and a wider area of the Southern Hemisphere).[174] Ozone absorbs large amounts of ultraviolet radiation in the stratosphere. Ozone depletion over Antarctica can cause a cooling of around 6 °C in the local stratosphere. This cooling has the effect of intensifying the westerly winds which flow around the continent (the polar vortex) and thus prevents outflow of the cold air near the South Pole. As a result, the continental mass of the East Antarctic ice sheet is held at lower temperatures, and the peripheral areas of Antarctica, especially the Antarctic Peninsula, are subject to higher temperatures, which promote accelerated melting.[174] Models also suggest that the ozone depletion/enhanced polar vortex effect also accounts for the recent increase in sea ice just offshore of the continent.[177]
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Africa
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Antarctica
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Asia
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Australia
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Europe
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North America
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South America
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Afro-Eurasia
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America
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Eurasia
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Oceania
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Coordinates: 90°S 0°E / 90°S 0°E / -90; 0
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A continent is one of several very large landmasses. Generally identified by convention rather than any strict criteria, up to seven regions are commonly regarded as continents. Ordered from largest in area to smallest, these seven regions are: Asia, Africa, North America, South America, Antarctica, Europe, and Australia.[1] Variations with fewer continents may merge some of these, for example some systems include Eurasia or America as single continents.
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Geologically, the continents correspond to areas of continental crust that are found on the continental plates, but include continental fragments such as Madagascar that are not commonly referred to as continents. Some geological continents are largely covered with water, such as Zealandia (see submerged continents below). Continental crust is only known to exist on Earth.[2]
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Oceanic islands are frequently grouped with a neighbouring continent to divide all the world's land into regions. Under this scheme, most of the island countries and territories in the Pacific Ocean are grouped together with the continent of Australia to form a region called Oceania.
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By convention, "continents are understood to be large, continuous, discrete masses of land, ideally separated by expanses of water."[3] In modern schemes with five or more recognised continents, at least one pair of continents is joined by land in some way. The criterion "large" leads to arbitrary classification: Greenland, with a surface area of 2,166,086 square kilometres (836,330 sq mi) is considered the world's largest island, while Australia, at 7,617,930 square kilometres (2,941,300 sq mi) is deemed the smallest continent.
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Earth's major landmasses all have coasts on a single, continuous World Ocean, which is divided into a number of principal oceanic components by the continents and various geographic criteria.[4][5]
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The most restricted meaning of continent is that of a continuous[6] area of land or mainland, with the coastline and any land boundaries forming the edge of the continent. In this sense the term continental Europe (sometimes referred to in Britain as "the Continent") is used to refer to mainland Europe, excluding islands such as Great Britain, Ireland, Malta and Iceland, and the term continent of Australia may refer to the mainland of Australia, excluding Tasmania and New Guinea. Similarly, the continental United States refers to the 48 contiguous states and the District of Columbia in central North America and may include Alaska in the northwest of the continent (the two being separated by Canada), while excluding Hawaii in the Pacific Ocean.
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From the perspective of geology or physical geography, continent may be extended beyond the confines of continuous dry land to include the shallow, submerged adjacent area (the continental shelf)[7] and the islands on the shelf (continental islands), as they are structurally part of the continent.[8]
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From this perspective, the edge of the continental shelf is the true edge of the continent, as shorelines vary with changes in sea level.[9] In this sense the islands of Great Britain and Ireland are part of Europe, while Australia and the island of New Guinea together form a continent.
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As a cultural construct, the concept of a continent may go beyond the continental shelf to include oceanic islands and continental fragments. In this way, Iceland is considered part of Europe and Madagascar part of Africa. Extrapolating the concept to its extreme, some geographers group the Australian continental plate with other islands in the Pacific into one "quasi-continent" called Oceania. This divides the entire land surface of Earth into continents or quasi-continents.[10]
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The ideal criterion that each continent is a discrete landmass is commonly relaxed due to historical conventions. Of the seven most globally recognized continents, only Antarctica and Australia are completely separated from other continents by the ocean. Several continents are defined not as absolutely distinct bodies but as "more or less discrete masses of land".[11] Asia and Africa are joined by the Isthmus of Suez, and North and South America by the Isthmus of Panama. In both cases, there is no complete separation of these landmasses by water (disregarding the Suez Canal and Panama Canal, which are both narrow and shallow, as well as man-made). Both these isthmuses are very narrow compared to the bulk of the landmasses they unite.
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22 |
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|
23 |
+
North America and South America are treated as separate continents in the seven-continent model. However, they may also be viewed as a single continent known as America. This viewpoint was common in the United States until World War II, and remains prevalent in some Asian six-continent models.[12] This remains the more common vision in Latin American countries, Spain, Portugal, France, Italy, Germany, Greece and Hungary, where they are taught as a single continent.
|
24 |
+
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25 |
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The criterion of a discrete landmass is completely disregarded if the continuous landmass of Eurasia is classified as two separate continents: Europe and Asia. Physiographically, Europe and South Asia are peninsulas of the Eurasian landmass. However, Europe is widely considered a continent with its comparatively large land area of 10,180,000 square kilometres (3,930,000 sq mi), while South Asia, with less than half that area, is considered a subcontinent. The alternative view—in geology and geography—that Eurasia is a single continent results in a six-continent view of the world. Some view separation of Eurasia into Asia and Europe as a residue of Eurocentrism: "In physical, cultural and historical diversity, China and India are comparable to the entire European landmass, not to a single European country. [...]."[13] However, for historical and cultural reasons, the view of Europe as a separate continent continues in several categorizations.
|
26 |
+
|
27 |
+
If continents are defined strictly as discrete landmasses, embracing all the contiguous land of a body, then Africa, Asia, and Europe form a single continent which may be referred to as Afro-Eurasia.[14] Combined with the consolidation of the Americas, this would produce a four-continent model consisting of Afro-Eurasia, America, Antarctica and Australia.
|
28 |
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|
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When sea levels were lower during the Pleistocene ice ages, greater areas of continental shelf were exposed as dry land, forming land bridges. At those times Australia–New Guinea was a single, continuous continent. Likewise, the Americas and Afro-Eurasia were joined by the Bering land bridge. Other islands such as Great Britain were joined to the mainlands of their continents. At that time there were just three discrete continents: Afro-Eurasia-America, Antarctica, and Australia-New Guinea.
|
30 |
+
|
31 |
+
There are several ways of distinguishing the continents:
|
32 |
+
|
33 |
+
As previously mentioned, some geographers use the name Oceania for a region including most of the island countries and territories in the Pacific Ocean as well as the continent of Australia.
|
34 |
+
|
35 |
+
|
36 |
+
|
37 |
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The following table summarizes the area and population of the continental regions used by the United Nations.[40] These regions differ from the physical continents in various ways that are explained in the notes.
|
38 |
+
|
39 |
+
|
40 |
+
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41 |
+
The total land area of all continents is 148,647,000 square kilometres (57,393,000 sq mi), or 29.1% of earth's surface (510,065,600 km2 or 196,937,400 sq mi).
|
42 |
+
|
43 |
+
Aside from the conventionally known continents, the scope and meaning of the term continent varies. Supercontinents, largely in evidence earlier in the geological record, are landmasses that comprise more than one craton or continental core. These have included Laurasia, Gondwana, Vaalbara, Kenorland, Columbia, Rodinia, and Pangaea. Over time, these supercontinents broke apart into large land masses which caused the formation of the present continents.
|
44 |
+
|
45 |
+
Certain parts of continents are recognized as subcontinents, especially the large peninsulas separated from the main continental landmass by geographical features. The most notable examples are the Indian subcontinent and the Arabian Peninsula.[43] The Southern Cone of South America and the Alaska Peninsula of North America are other examples.[43]
|
46 |
+
|
47 |
+
In many of these cases, the "subcontinents" concerned are on different tectonic plates from the rest of the continent, providing a geological justification for the terminology.[44] Greenland, generally reckoned as the world's largest island on the northeastern periphery of the North American Plate, is sometimes referred to as a subcontinent.[45][46] This is a significant departure from the more conventional view of a subcontinent as comprising a very large peninsula on the fringe of a continent.
|
48 |
+
|
49 |
+
Where the Americas are viewed as a single continent (America), it is divided into two subcontinents (North America and South America)[47][48][49] or three (with Central America being the third).[50][51] When Eurasia is regarded as a single continent, Europe is treated as a subcontinent.[43]
|
50 |
+
|
51 |
+
Some areas of continental crust are largely covered by the sea and may be considered submerged continents. Notable examples are Zealandia, emerging from the sea primarily in New Zealand and New Caledonia, and the almost completely submerged Kerguelen Plateau in the southern Indian Ocean.
|
52 |
+
|
53 |
+
Some islands lie on sections of continental crust that have rifted and drifted apart from a main continental landmass. While not considered continents because of their relatively small size, they may be considered microcontinents. Madagascar, the largest example, is usually considered an island of Africa, but its divergent evolution has caused it to be referred to as "the eighth continent" from a biological perspective.[52]
|
54 |
+
|
55 |
+
"Continents" may be defined differently for specific purposes. The Biodiversity Information Standards organization has developed the World Geographical Scheme for Recording Plant Distributions, used in many international plant databases. This scheme divides the world into nine "botanical continents". Some match the traditional geographical continents, but some differ significantly. Thus the Americas are divided between Northern America (Mexico northwards) and Southern America (Central America and the Caribbean southwards) rather than between North America and South America.[53]
|
56 |
+
|
57 |
+
The term "continent" translates Greek ἤπειρος, properly "landmass, terra firma", the proper name of Epirus and later especially used of Asia (i.e. Asia Minor),[54]
|
58 |
+
The first distinction between continents was made by ancient Greek mariners who gave the names Europe and Asia to the lands on either side of the waterways of the Aegean Sea, the Dardanelles strait, the Sea of Marmara, the Bosporus strait and the Black Sea.[55] The names were first applied just to lands near the coast and only later extended to include the hinterlands.[56] But the division was only carried through to the end of navigable waterways and "... beyond that point the Hellenic geographers never succeeded in laying their finger on any inland feature in the physical landscape that could offer any convincing line for partitioning an indivisible Eurasia ..."[55]
|
59 |
+
|
60 |
+
Ancient Greek thinkers subsequently debated whether Africa (then called Libya) should be considered part of Asia or a third part of the world. Division into three parts eventually came to predominate.[57] From the Greek viewpoint, the Aegean Sea was the center of the world; Asia lay to the east, Europe to the north and west, and Africa to the south.[58] The boundaries between the continents were not fixed. Early on, the Europe–Asia boundary was taken to run from the Black Sea along the Rioni River (known then as the Phasis) in Georgia. Later it was viewed as running from the Black Sea through Kerch Strait, the Sea of Azov and along the Don River (known then as the Tanais) in Russia.[59] The boundary between Asia and Africa was generally taken to be the Nile River. Herodotus[60] in the 5th century BC objected to the whole of Egypt being split between Asia and Africa ("Libya") and took the boundary to lie along the western border of Egypt, regarding Egypt as part of Asia. He also questioned the division into three of what is really a single landmass,[61] a debate that continues nearly two and a half millennia later.
|
61 |
+
|
62 |
+
Eratosthenes, in the 3rd century BC, noted that some geographers divided the continents by rivers (the Nile and the Don), thus considering them "islands". Others divided the continents by isthmuses, calling the continents "peninsulas". These latter geographers set the border between Europe and Asia at the isthmus between the Black Sea and the Caspian Sea, and the border between Asia and Africa at the isthmus between the Red Sea and the mouth of Lake Bardawil on the Mediterranean Sea.[62]
|
63 |
+
|
64 |
+
Through the Roman period and the Middle Ages, a few writers took the Isthmus of Suez as the boundary between Asia and Africa, but most writers continued to consider it the Nile or the western border of Egypt (Gibbon)[citation needed]. In the Middle Ages, the world was usually portrayed on T and O maps, with the T representing the waters dividing the three continents. By the middle of the 18th century, "the fashion of dividing Asia and Africa at the Nile, or at the Great Catabathmus [the boundary between Egypt and Libya] farther west, had even then scarcely passed away".[63]
|
65 |
+
|
66 |
+
Christopher Columbus sailed across the Atlantic Ocean to the West Indies in 1492, sparking a period of European exploration of the Americas. But despite four voyages to the Americas, Columbus never believed he had reached a new continent—he always thought it was part of Asia.
|
67 |
+
|
68 |
+
In 1501, Amerigo Vespucci and Gonçalo Coelho attempted to sail around what they considered the southern end of the Asian mainland into the Indian Ocean, passing through Fernando de Noronha. After reaching the coast of Brazil, they sailed a long way further south along the coast of South America, confirming that this was a land of continental proportions and that it also extended much further south than Asia was known to.[64] On return to Europe, an account of the voyage, called Mundus Novus ("New World"), was published under Vespucci's name in 1502 or 1503,[65] although it seems that it had additions or alterations by another writer.[66] Regardless of who penned the words, Mundus Novus credited Vespucci with saying, "I have discovered a continent in those southern regions that is inhabited by more numerous people and animals than our Europe, or Asia or Africa",[67] the first known explicit identification of part of the Americas as a continent like the other three.
|
69 |
+
|
70 |
+
Within a few years, the name "New World" began appearing as a name for South America on world maps, such as the Oliveriana (Pesaro) map of around 1504–1505. Maps of this time though, still showed North America connected to Asia and showed South America as a separate land.[66]
|
71 |
+
|
72 |
+
In 1507 Martin Waldseemüller published a world map, Universalis Cosmographia, which was the first to show North and South America as separate from Asia and surrounded by water. A small inset map above the main map explicitly showed for the first time the Americas being east of Asia and separated from Asia by an ocean, as opposed to just placing the Americas on the left end of the map and Asia on the right end. In the accompanying book Cosmographiae Introductio, Waldseemüller noted that the earth is divided into four parts, Europe, Asia, Africa and the fourth part, which he named "America" after Amerigo Vespucci's first name.[68] On the map, the word "America" was placed on part of South America.
|
73 |
+
|
74 |
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From the 16th century the English noun continent was derived from the term continent land, meaning continuous or connected land[69] and translated from the Latin terra continens.[70] The noun was used to mean "a connected or continuous tract of land" or mainland.[69] It was not applied only to very large areas of land—in the 17th century, references were made to the continents (or mainlands) of Isle of Man, Ireland and Wales and in 1745 to Sumatra.[69] The word continent was used in translating Greek and Latin writings about the three "parts" of the world, although in the original languages no word of exactly the same meaning as continent was used.[71]
|
75 |
+
|
76 |
+
While continent was used on the one hand for relatively small areas of continuous land, on the other hand geographers again raised Herodotus's query about why a single large landmass should be divided into separate continents. In the mid-17th century, Peter Heylin wrote in his Cosmographie that "A Continent is a great quantity of Land, not separated by any Sea from the rest of the World, as the whole Continent of Europe, Asia, Africa." In 1727, Ephraim Chambers wrote in his Cyclopædia, "The world is ordinarily divided into two grand continents: the old and the new." And in his 1752 atlas, Emanuel Bowen defined a continent as "a large space of dry land comprehending many countries all joined together, without any separation by water. Thus Europe, Asia, and Africa is one great continent, as America is another."[72] However, the old idea of Europe, Asia and Africa as "parts" of the world ultimately persisted with these being regarded as separate continents.
|
77 |
+
|
78 |
+
From the late 18th century, some geographers started to regard North America and South America as two parts of the world, making five parts in total. Overall though, the fourfold division prevailed well into the 19th century.[73]
|
79 |
+
|
80 |
+
Europeans discovered Australia in 1606, but for some time it was taken as part of Asia. By the late 18th century, some geographers considered it a continent in its own right, making it the sixth (or fifth for those still taking America as a single continent).[73] In 1813, Samuel Butler wrote of Australia as "New Holland, an immense island, which some geographers dignify with the appellation of another continent" and the Oxford English Dictionary was just as equivocal some decades later.[74] It was in the 1950s that the concept of Oceania as a "great division" of the world was replaced by the concept of Australia as a continent.[75]
|
81 |
+
|
82 |
+
Antarctica was sighted in 1820 during the First Russian Antarctic Expedition and described as a continent by Charles Wilkes on the United States Exploring Expedition in 1838, the last continent identified, although a great "Antarctic" (antipodean) landmass had been anticipated for millennia. An 1849 atlas labelled Antarctica as a continent but few atlases did so until after World War II.[76]
|
83 |
+
|
84 |
+
From the mid-19th century, atlases published in the United States more commonly treated North and South America as separate continents, while atlases published in Europe usually considered them one continent. However, it was still not uncommon for American atlases to treat them as one continent up until World War II.[77] From the 1950s, most U.S. geographers divided the Americas into two continents.[77] With the addition of Antarctica, this made the seven-continent model. However, this division of the Americas never appealed to Latin Americans, who saw their region spanning an América as a single landmass, and there the conception of six continents remains dominant, as it does in scattered other countries.[citation needed]
|
85 |
+
|
86 |
+
Some geographers regard Europe and Asia together as a single continent, dubbed Eurasia.[78] In this model, the world is divided into six continents, with North America and South America considered separate continents.
|
87 |
+
|
88 |
+
Geologists use the term continent in a different manner from geographers. In geology a continent is defined by continental crust: a platform of metamorphic and igneous rock, largely of granitic composition. Some geologists restrict the term 'continent' to portions of the crust built around stable Precambrian "shield", typically 1.5 to 3.8 billion years old, called a craton. The craton itself is an accretionary complex of ancient mobile belts (mountain belts) from earlier cycles of subduction, continental collision and break-up from plate tectonic activity. An outward-thickening veneer of younger minimally deformed sedimentary rock covers much of the craton. The margins of geologic continents are characterized by currently active or relatively recently active mobile belts and deep troughs of accumulated marine or deltaic sediments. Beyond the margin, there is either a continental shelf and drop off to the basaltic ocean basin or the margin of another continent, depending on the current plate-tectonic setting of the continent. A continental boundary does not have to be a body of water. Over geologic time, continents are periodically submerged under large epicontinental seas, and continental collisions result in a continent becoming attached to another continent. The current geologic era is relatively anomalous in that so much of the continental areas are "high and dry"; that is, many parts of the continents that were once below sea level are now elevated well above it due to changes in sea levels and the subsequent uplifting of those continental areas from tectonic activity.[79]
|
89 |
+
|
90 |
+
Some argue that continents are accretionary crustal "rafts" that, unlike the denser basaltic crust of the ocean basins, are not subjected to destruction through the plate tectonic process of subduction. This accounts for the great age of the rocks comprising the continental cratons. By this definition, Eastern Europe, India and some other regions could be regarded as continental masses distinct from the rest of Eurasia because they have separate ancient shield areas (i.e. East European craton and Indian craton). Younger mobile belts (such as the Ural Mountains and Himalayas) mark the boundaries between these regions and the rest of Eurasia.
|
91 |
+
|
92 |
+
There are many microcontinents, or continental fragments, that are built of continental crust but do not contain a craton. Some of these are fragments of Gondwana or other ancient cratonic continents: Zealandia,[80] which includes New Zealand and New Caledonia; Madagascar; the northern Mascarene Plateau, which includes the Seychelles. Other islands, such as several in the Caribbean Sea, are composed largely of granitic rock as well, but all continents contain both granitic and basaltic crust, and there is no clear boundary as to which islands would be considered microcontinents under such a definition. The Kerguelen Plateau, for example, is largely volcanic, but is associated with the break-up of Gondwanaland and is considered a microcontinent,[81][82] whereas volcanic Iceland and Hawaii are not. The British Isles, Sri Lanka, Borneo, and Newfoundland are margins of the Laurasian continent—only separated by inland seas flooding its margins.
|
93 |
+
|
94 |
+
Plate tectonics offers yet another way of defining continents. Today, Europe and most of Asia constitute the unified Eurasian Plate, which is approximately coincident with the geographic Eurasian continent excluding India, Arabia, and far eastern Russia. India contains a central shield, and the geologically recent Himalaya mobile belt forms its northern margin. North America and South America are separate continents, the connecting isthmus being largely the result of volcanism from relatively recent subduction tectonics. North American continental rocks extend to Greenland (a portion of the Canadian Shield), and in terms of plate boundaries, the North American plate includes the easternmost portion of the Asian landmass. Geologists do not use these facts to suggest that eastern Asia is part of the North American continent, even though the plate boundary extends there; the word continent is usually used in its geographic sense and additional definitions ("continental rocks," "plate boundaries") are used as appropriate.
|
95 |
+
|
96 |
+
The movement of plates has caused the formation and break-up of continents over time, including occasional formation of a supercontinent that contains most or all of the continents. The supercontinent Columbia or Nuna formed during a period of 2.0–1.8 billion years ago and broke up about 1.5–1.3 billion years ago.[83][84] The supercontinent Rodinia is thought to have formed about 1 billion years ago and to have embodied most or all of Earth's continents, and broken up into eight continents around 600 million years ago. The eight continents later re-assembled into another supercontinent called Pangaea; Pangaea broke up into Laurasia (which became North America and Eurasia) and Gondwana (which became the remaining continents).
|
97 |
+
|
98 |
+
The following table lists the seven continents with their highest and lowest points on land, sorted in decreasing highest points.
|
99 |
+
|
100 |
+
† The lowest exposed points are given for North America and Antarctica. The lowest non-submarine bedrock elevations in these continents are the trough beneath Jakobshavn Glacier, at −1,512 metres (−4,961 ft)[85] and Bentley Subglacial Trench, at −2,540 metres (−8,330 ft), but these are covered by kilometres of ice.
|
101 |
+
|
102 |
+
†† Claimed by Australia as part of Australian Antarctic Territory, but this claim is not widely recognised.
|
103 |
+
|
104 |
+
Some sources list the Kuma–Manych Depression (a remnant of the Paratethys) as the geological border between Europe and Asia.[86][87] This would place the Caucasus outside of Europe, thus making Mont Blanc (elevation 4810 m) in the Graian Alps the highest point in Europe – the lowest point would still be the shore of the Caspian Sea.
|
105 |
+
|
106 |
+
Africa
|
107 |
+
|
108 |
+
Antarctica
|
109 |
+
|
110 |
+
Asia
|
111 |
+
|
112 |
+
Australia
|
113 |
+
|
114 |
+
Europe
|
115 |
+
|
116 |
+
North America
|
117 |
+
|
118 |
+
South America
|
119 |
+
|
120 |
+
Afro-Eurasia
|
121 |
+
|
122 |
+
America
|
123 |
+
|
124 |
+
Eurasia
|
125 |
+
|
126 |
+
Oceania
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1 |
+
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2 |
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3 |
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A continent is one of several very large landmasses. Generally identified by convention rather than any strict criteria, up to seven regions are commonly regarded as continents. Ordered from largest in area to smallest, these seven regions are: Asia, Africa, North America, South America, Antarctica, Europe, and Australia.[1] Variations with fewer continents may merge some of these, for example some systems include Eurasia or America as single continents.
|
4 |
+
|
5 |
+
Geologically, the continents correspond to areas of continental crust that are found on the continental plates, but include continental fragments such as Madagascar that are not commonly referred to as continents. Some geological continents are largely covered with water, such as Zealandia (see submerged continents below). Continental crust is only known to exist on Earth.[2]
|
6 |
+
|
7 |
+
Oceanic islands are frequently grouped with a neighbouring continent to divide all the world's land into regions. Under this scheme, most of the island countries and territories in the Pacific Ocean are grouped together with the continent of Australia to form a region called Oceania.
|
8 |
+
|
9 |
+
By convention, "continents are understood to be large, continuous, discrete masses of land, ideally separated by expanses of water."[3] In modern schemes with five or more recognised continents, at least one pair of continents is joined by land in some way. The criterion "large" leads to arbitrary classification: Greenland, with a surface area of 2,166,086 square kilometres (836,330 sq mi) is considered the world's largest island, while Australia, at 7,617,930 square kilometres (2,941,300 sq mi) is deemed the smallest continent.
|
10 |
+
|
11 |
+
Earth's major landmasses all have coasts on a single, continuous World Ocean, which is divided into a number of principal oceanic components by the continents and various geographic criteria.[4][5]
|
12 |
+
|
13 |
+
The most restricted meaning of continent is that of a continuous[6] area of land or mainland, with the coastline and any land boundaries forming the edge of the continent. In this sense the term continental Europe (sometimes referred to in Britain as "the Continent") is used to refer to mainland Europe, excluding islands such as Great Britain, Ireland, Malta and Iceland, and the term continent of Australia may refer to the mainland of Australia, excluding Tasmania and New Guinea. Similarly, the continental United States refers to the 48 contiguous states and the District of Columbia in central North America and may include Alaska in the northwest of the continent (the two being separated by Canada), while excluding Hawaii in the Pacific Ocean.
|
14 |
+
|
15 |
+
From the perspective of geology or physical geography, continent may be extended beyond the confines of continuous dry land to include the shallow, submerged adjacent area (the continental shelf)[7] and the islands on the shelf (continental islands), as they are structurally part of the continent.[8]
|
16 |
+
|
17 |
+
From this perspective, the edge of the continental shelf is the true edge of the continent, as shorelines vary with changes in sea level.[9] In this sense the islands of Great Britain and Ireland are part of Europe, while Australia and the island of New Guinea together form a continent.
|
18 |
+
|
19 |
+
As a cultural construct, the concept of a continent may go beyond the continental shelf to include oceanic islands and continental fragments. In this way, Iceland is considered part of Europe and Madagascar part of Africa. Extrapolating the concept to its extreme, some geographers group the Australian continental plate with other islands in the Pacific into one "quasi-continent" called Oceania. This divides the entire land surface of Earth into continents or quasi-continents.[10]
|
20 |
+
|
21 |
+
The ideal criterion that each continent is a discrete landmass is commonly relaxed due to historical conventions. Of the seven most globally recognized continents, only Antarctica and Australia are completely separated from other continents by the ocean. Several continents are defined not as absolutely distinct bodies but as "more or less discrete masses of land".[11] Asia and Africa are joined by the Isthmus of Suez, and North and South America by the Isthmus of Panama. In both cases, there is no complete separation of these landmasses by water (disregarding the Suez Canal and Panama Canal, which are both narrow and shallow, as well as man-made). Both these isthmuses are very narrow compared to the bulk of the landmasses they unite.
|
22 |
+
|
23 |
+
North America and South America are treated as separate continents in the seven-continent model. However, they may also be viewed as a single continent known as America. This viewpoint was common in the United States until World War II, and remains prevalent in some Asian six-continent models.[12] This remains the more common vision in Latin American countries, Spain, Portugal, France, Italy, Germany, Greece and Hungary, where they are taught as a single continent.
|
24 |
+
|
25 |
+
The criterion of a discrete landmass is completely disregarded if the continuous landmass of Eurasia is classified as two separate continents: Europe and Asia. Physiographically, Europe and South Asia are peninsulas of the Eurasian landmass. However, Europe is widely considered a continent with its comparatively large land area of 10,180,000 square kilometres (3,930,000 sq mi), while South Asia, with less than half that area, is considered a subcontinent. The alternative view—in geology and geography—that Eurasia is a single continent results in a six-continent view of the world. Some view separation of Eurasia into Asia and Europe as a residue of Eurocentrism: "In physical, cultural and historical diversity, China and India are comparable to the entire European landmass, not to a single European country. [...]."[13] However, for historical and cultural reasons, the view of Europe as a separate continent continues in several categorizations.
|
26 |
+
|
27 |
+
If continents are defined strictly as discrete landmasses, embracing all the contiguous land of a body, then Africa, Asia, and Europe form a single continent which may be referred to as Afro-Eurasia.[14] Combined with the consolidation of the Americas, this would produce a four-continent model consisting of Afro-Eurasia, America, Antarctica and Australia.
|
28 |
+
|
29 |
+
When sea levels were lower during the Pleistocene ice ages, greater areas of continental shelf were exposed as dry land, forming land bridges. At those times Australia–New Guinea was a single, continuous continent. Likewise, the Americas and Afro-Eurasia were joined by the Bering land bridge. Other islands such as Great Britain were joined to the mainlands of their continents. At that time there were just three discrete continents: Afro-Eurasia-America, Antarctica, and Australia-New Guinea.
|
30 |
+
|
31 |
+
There are several ways of distinguishing the continents:
|
32 |
+
|
33 |
+
As previously mentioned, some geographers use the name Oceania for a region including most of the island countries and territories in the Pacific Ocean as well as the continent of Australia.
|
34 |
+
|
35 |
+
|
36 |
+
|
37 |
+
The following table summarizes the area and population of the continental regions used by the United Nations.[40] These regions differ from the physical continents in various ways that are explained in the notes.
|
38 |
+
|
39 |
+
|
40 |
+
|
41 |
+
The total land area of all continents is 148,647,000 square kilometres (57,393,000 sq mi), or 29.1% of earth's surface (510,065,600 km2 or 196,937,400 sq mi).
|
42 |
+
|
43 |
+
Aside from the conventionally known continents, the scope and meaning of the term continent varies. Supercontinents, largely in evidence earlier in the geological record, are landmasses that comprise more than one craton or continental core. These have included Laurasia, Gondwana, Vaalbara, Kenorland, Columbia, Rodinia, and Pangaea. Over time, these supercontinents broke apart into large land masses which caused the formation of the present continents.
|
44 |
+
|
45 |
+
Certain parts of continents are recognized as subcontinents, especially the large peninsulas separated from the main continental landmass by geographical features. The most notable examples are the Indian subcontinent and the Arabian Peninsula.[43] The Southern Cone of South America and the Alaska Peninsula of North America are other examples.[43]
|
46 |
+
|
47 |
+
In many of these cases, the "subcontinents" concerned are on different tectonic plates from the rest of the continent, providing a geological justification for the terminology.[44] Greenland, generally reckoned as the world's largest island on the northeastern periphery of the North American Plate, is sometimes referred to as a subcontinent.[45][46] This is a significant departure from the more conventional view of a subcontinent as comprising a very large peninsula on the fringe of a continent.
|
48 |
+
|
49 |
+
Where the Americas are viewed as a single continent (America), it is divided into two subcontinents (North America and South America)[47][48][49] or three (with Central America being the third).[50][51] When Eurasia is regarded as a single continent, Europe is treated as a subcontinent.[43]
|
50 |
+
|
51 |
+
Some areas of continental crust are largely covered by the sea and may be considered submerged continents. Notable examples are Zealandia, emerging from the sea primarily in New Zealand and New Caledonia, and the almost completely submerged Kerguelen Plateau in the southern Indian Ocean.
|
52 |
+
|
53 |
+
Some islands lie on sections of continental crust that have rifted and drifted apart from a main continental landmass. While not considered continents because of their relatively small size, they may be considered microcontinents. Madagascar, the largest example, is usually considered an island of Africa, but its divergent evolution has caused it to be referred to as "the eighth continent" from a biological perspective.[52]
|
54 |
+
|
55 |
+
"Continents" may be defined differently for specific purposes. The Biodiversity Information Standards organization has developed the World Geographical Scheme for Recording Plant Distributions, used in many international plant databases. This scheme divides the world into nine "botanical continents". Some match the traditional geographical continents, but some differ significantly. Thus the Americas are divided between Northern America (Mexico northwards) and Southern America (Central America and the Caribbean southwards) rather than between North America and South America.[53]
|
56 |
+
|
57 |
+
The term "continent" translates Greek ἤπειρος, properly "landmass, terra firma", the proper name of Epirus and later especially used of Asia (i.e. Asia Minor),[54]
|
58 |
+
The first distinction between continents was made by ancient Greek mariners who gave the names Europe and Asia to the lands on either side of the waterways of the Aegean Sea, the Dardanelles strait, the Sea of Marmara, the Bosporus strait and the Black Sea.[55] The names were first applied just to lands near the coast and only later extended to include the hinterlands.[56] But the division was only carried through to the end of navigable waterways and "... beyond that point the Hellenic geographers never succeeded in laying their finger on any inland feature in the physical landscape that could offer any convincing line for partitioning an indivisible Eurasia ..."[55]
|
59 |
+
|
60 |
+
Ancient Greek thinkers subsequently debated whether Africa (then called Libya) should be considered part of Asia or a third part of the world. Division into three parts eventually came to predominate.[57] From the Greek viewpoint, the Aegean Sea was the center of the world; Asia lay to the east, Europe to the north and west, and Africa to the south.[58] The boundaries between the continents were not fixed. Early on, the Europe–Asia boundary was taken to run from the Black Sea along the Rioni River (known then as the Phasis) in Georgia. Later it was viewed as running from the Black Sea through Kerch Strait, the Sea of Azov and along the Don River (known then as the Tanais) in Russia.[59] The boundary between Asia and Africa was generally taken to be the Nile River. Herodotus[60] in the 5th century BC objected to the whole of Egypt being split between Asia and Africa ("Libya") and took the boundary to lie along the western border of Egypt, regarding Egypt as part of Asia. He also questioned the division into three of what is really a single landmass,[61] a debate that continues nearly two and a half millennia later.
|
61 |
+
|
62 |
+
Eratosthenes, in the 3rd century BC, noted that some geographers divided the continents by rivers (the Nile and the Don), thus considering them "islands". Others divided the continents by isthmuses, calling the continents "peninsulas". These latter geographers set the border between Europe and Asia at the isthmus between the Black Sea and the Caspian Sea, and the border between Asia and Africa at the isthmus between the Red Sea and the mouth of Lake Bardawil on the Mediterranean Sea.[62]
|
63 |
+
|
64 |
+
Through the Roman period and the Middle Ages, a few writers took the Isthmus of Suez as the boundary between Asia and Africa, but most writers continued to consider it the Nile or the western border of Egypt (Gibbon)[citation needed]. In the Middle Ages, the world was usually portrayed on T and O maps, with the T representing the waters dividing the three continents. By the middle of the 18th century, "the fashion of dividing Asia and Africa at the Nile, or at the Great Catabathmus [the boundary between Egypt and Libya] farther west, had even then scarcely passed away".[63]
|
65 |
+
|
66 |
+
Christopher Columbus sailed across the Atlantic Ocean to the West Indies in 1492, sparking a period of European exploration of the Americas. But despite four voyages to the Americas, Columbus never believed he had reached a new continent—he always thought it was part of Asia.
|
67 |
+
|
68 |
+
In 1501, Amerigo Vespucci and Gonçalo Coelho attempted to sail around what they considered the southern end of the Asian mainland into the Indian Ocean, passing through Fernando de Noronha. After reaching the coast of Brazil, they sailed a long way further south along the coast of South America, confirming that this was a land of continental proportions and that it also extended much further south than Asia was known to.[64] On return to Europe, an account of the voyage, called Mundus Novus ("New World"), was published under Vespucci's name in 1502 or 1503,[65] although it seems that it had additions or alterations by another writer.[66] Regardless of who penned the words, Mundus Novus credited Vespucci with saying, "I have discovered a continent in those southern regions that is inhabited by more numerous people and animals than our Europe, or Asia or Africa",[67] the first known explicit identification of part of the Americas as a continent like the other three.
|
69 |
+
|
70 |
+
Within a few years, the name "New World" began appearing as a name for South America on world maps, such as the Oliveriana (Pesaro) map of around 1504–1505. Maps of this time though, still showed North America connected to Asia and showed South America as a separate land.[66]
|
71 |
+
|
72 |
+
In 1507 Martin Waldseemüller published a world map, Universalis Cosmographia, which was the first to show North and South America as separate from Asia and surrounded by water. A small inset map above the main map explicitly showed for the first time the Americas being east of Asia and separated from Asia by an ocean, as opposed to just placing the Americas on the left end of the map and Asia on the right end. In the accompanying book Cosmographiae Introductio, Waldseemüller noted that the earth is divided into four parts, Europe, Asia, Africa and the fourth part, which he named "America" after Amerigo Vespucci's first name.[68] On the map, the word "America" was placed on part of South America.
|
73 |
+
|
74 |
+
From the 16th century the English noun continent was derived from the term continent land, meaning continuous or connected land[69] and translated from the Latin terra continens.[70] The noun was used to mean "a connected or continuous tract of land" or mainland.[69] It was not applied only to very large areas of land—in the 17th century, references were made to the continents (or mainlands) of Isle of Man, Ireland and Wales and in 1745 to Sumatra.[69] The word continent was used in translating Greek and Latin writings about the three "parts" of the world, although in the original languages no word of exactly the same meaning as continent was used.[71]
|
75 |
+
|
76 |
+
While continent was used on the one hand for relatively small areas of continuous land, on the other hand geographers again raised Herodotus's query about why a single large landmass should be divided into separate continents. In the mid-17th century, Peter Heylin wrote in his Cosmographie that "A Continent is a great quantity of Land, not separated by any Sea from the rest of the World, as the whole Continent of Europe, Asia, Africa." In 1727, Ephraim Chambers wrote in his Cyclopædia, "The world is ordinarily divided into two grand continents: the old and the new." And in his 1752 atlas, Emanuel Bowen defined a continent as "a large space of dry land comprehending many countries all joined together, without any separation by water. Thus Europe, Asia, and Africa is one great continent, as America is another."[72] However, the old idea of Europe, Asia and Africa as "parts" of the world ultimately persisted with these being regarded as separate continents.
|
77 |
+
|
78 |
+
From the late 18th century, some geographers started to regard North America and South America as two parts of the world, making five parts in total. Overall though, the fourfold division prevailed well into the 19th century.[73]
|
79 |
+
|
80 |
+
Europeans discovered Australia in 1606, but for some time it was taken as part of Asia. By the late 18th century, some geographers considered it a continent in its own right, making it the sixth (or fifth for those still taking America as a single continent).[73] In 1813, Samuel Butler wrote of Australia as "New Holland, an immense island, which some geographers dignify with the appellation of another continent" and the Oxford English Dictionary was just as equivocal some decades later.[74] It was in the 1950s that the concept of Oceania as a "great division" of the world was replaced by the concept of Australia as a continent.[75]
|
81 |
+
|
82 |
+
Antarctica was sighted in 1820 during the First Russian Antarctic Expedition and described as a continent by Charles Wilkes on the United States Exploring Expedition in 1838, the last continent identified, although a great "Antarctic" (antipodean) landmass had been anticipated for millennia. An 1849 atlas labelled Antarctica as a continent but few atlases did so until after World War II.[76]
|
83 |
+
|
84 |
+
From the mid-19th century, atlases published in the United States more commonly treated North and South America as separate continents, while atlases published in Europe usually considered them one continent. However, it was still not uncommon for American atlases to treat them as one continent up until World War II.[77] From the 1950s, most U.S. geographers divided the Americas into two continents.[77] With the addition of Antarctica, this made the seven-continent model. However, this division of the Americas never appealed to Latin Americans, who saw their region spanning an América as a single landmass, and there the conception of six continents remains dominant, as it does in scattered other countries.[citation needed]
|
85 |
+
|
86 |
+
Some geographers regard Europe and Asia together as a single continent, dubbed Eurasia.[78] In this model, the world is divided into six continents, with North America and South America considered separate continents.
|
87 |
+
|
88 |
+
Geologists use the term continent in a different manner from geographers. In geology a continent is defined by continental crust: a platform of metamorphic and igneous rock, largely of granitic composition. Some geologists restrict the term 'continent' to portions of the crust built around stable Precambrian "shield", typically 1.5 to 3.8 billion years old, called a craton. The craton itself is an accretionary complex of ancient mobile belts (mountain belts) from earlier cycles of subduction, continental collision and break-up from plate tectonic activity. An outward-thickening veneer of younger minimally deformed sedimentary rock covers much of the craton. The margins of geologic continents are characterized by currently active or relatively recently active mobile belts and deep troughs of accumulated marine or deltaic sediments. Beyond the margin, there is either a continental shelf and drop off to the basaltic ocean basin or the margin of another continent, depending on the current plate-tectonic setting of the continent. A continental boundary does not have to be a body of water. Over geologic time, continents are periodically submerged under large epicontinental seas, and continental collisions result in a continent becoming attached to another continent. The current geologic era is relatively anomalous in that so much of the continental areas are "high and dry"; that is, many parts of the continents that were once below sea level are now elevated well above it due to changes in sea levels and the subsequent uplifting of those continental areas from tectonic activity.[79]
|
89 |
+
|
90 |
+
Some argue that continents are accretionary crustal "rafts" that, unlike the denser basaltic crust of the ocean basins, are not subjected to destruction through the plate tectonic process of subduction. This accounts for the great age of the rocks comprising the continental cratons. By this definition, Eastern Europe, India and some other regions could be regarded as continental masses distinct from the rest of Eurasia because they have separate ancient shield areas (i.e. East European craton and Indian craton). Younger mobile belts (such as the Ural Mountains and Himalayas) mark the boundaries between these regions and the rest of Eurasia.
|
91 |
+
|
92 |
+
There are many microcontinents, or continental fragments, that are built of continental crust but do not contain a craton. Some of these are fragments of Gondwana or other ancient cratonic continents: Zealandia,[80] which includes New Zealand and New Caledonia; Madagascar; the northern Mascarene Plateau, which includes the Seychelles. Other islands, such as several in the Caribbean Sea, are composed largely of granitic rock as well, but all continents contain both granitic and basaltic crust, and there is no clear boundary as to which islands would be considered microcontinents under such a definition. The Kerguelen Plateau, for example, is largely volcanic, but is associated with the break-up of Gondwanaland and is considered a microcontinent,[81][82] whereas volcanic Iceland and Hawaii are not. The British Isles, Sri Lanka, Borneo, and Newfoundland are margins of the Laurasian continent—only separated by inland seas flooding its margins.
|
93 |
+
|
94 |
+
Plate tectonics offers yet another way of defining continents. Today, Europe and most of Asia constitute the unified Eurasian Plate, which is approximately coincident with the geographic Eurasian continent excluding India, Arabia, and far eastern Russia. India contains a central shield, and the geologically recent Himalaya mobile belt forms its northern margin. North America and South America are separate continents, the connecting isthmus being largely the result of volcanism from relatively recent subduction tectonics. North American continental rocks extend to Greenland (a portion of the Canadian Shield), and in terms of plate boundaries, the North American plate includes the easternmost portion of the Asian landmass. Geologists do not use these facts to suggest that eastern Asia is part of the North American continent, even though the plate boundary extends there; the word continent is usually used in its geographic sense and additional definitions ("continental rocks," "plate boundaries") are used as appropriate.
|
95 |
+
|
96 |
+
The movement of plates has caused the formation and break-up of continents over time, including occasional formation of a supercontinent that contains most or all of the continents. The supercontinent Columbia or Nuna formed during a period of 2.0–1.8 billion years ago and broke up about 1.5–1.3 billion years ago.[83][84] The supercontinent Rodinia is thought to have formed about 1 billion years ago and to have embodied most or all of Earth's continents, and broken up into eight continents around 600 million years ago. The eight continents later re-assembled into another supercontinent called Pangaea; Pangaea broke up into Laurasia (which became North America and Eurasia) and Gondwana (which became the remaining continents).
|
97 |
+
|
98 |
+
The following table lists the seven continents with their highest and lowest points on land, sorted in decreasing highest points.
|
99 |
+
|
100 |
+
† The lowest exposed points are given for North America and Antarctica. The lowest non-submarine bedrock elevations in these continents are the trough beneath Jakobshavn Glacier, at −1,512 metres (−4,961 ft)[85] and Bentley Subglacial Trench, at −2,540 metres (−8,330 ft), but these are covered by kilometres of ice.
|
101 |
+
|
102 |
+
†† Claimed by Australia as part of Australian Antarctic Territory, but this claim is not widely recognised.
|
103 |
+
|
104 |
+
Some sources list the Kuma–Manych Depression (a remnant of the Paratethys) as the geological border between Europe and Asia.[86][87] This would place the Caucasus outside of Europe, thus making Mont Blanc (elevation 4810 m) in the Graian Alps the highest point in Europe – the lowest point would still be the shore of the Caspian Sea.
|
105 |
+
|
106 |
+
Africa
|
107 |
+
|
108 |
+
Antarctica
|
109 |
+
|
110 |
+
Asia
|
111 |
+
|
112 |
+
Australia
|
113 |
+
|
114 |
+
Europe
|
115 |
+
|
116 |
+
North America
|
117 |
+
|
118 |
+
South America
|
119 |
+
|
120 |
+
Afro-Eurasia
|
121 |
+
|
122 |
+
America
|
123 |
+
|
124 |
+
Eurasia
|
125 |
+
|
126 |
+
Oceania
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1 |
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2 |
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3 |
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Copenhagen[a] (Danish: København [kʰøpm̩ˈhɑwˀn] (listen)) is the capital and most populous city of Denmark. As of 1 January 2020, the city had a population of 794,128 with 632,340 in Copenhagen Municipality, 104,305 in Frederiksberg Municipality, 42,989 in Tårnby Municipality, and 14,494 in Dragør Municipality.[3][7][8] It forms the core of the wider urban area of Copenhagen (population 1,330,993) and the Copenhagen metropolitan area (population 2,057,142). Copenhagen is situated on the eastern coast of the island of Zealand; another small portion of the city is located on Amager, and it is separated from Malmö, Sweden, by the strait of Øresund. The Øresund Bridge connects the two cities by rail and road.
|
4 |
+
|
5 |
+
Originally a Viking fishing village established in the 10th century in the vicinity of what is now Gammel Strand, Copenhagen became the capital of Denmark in the early 15th century. Beginning in the 17th century, it consolidated its position as a regional centre of power with its institutions, defences and armed forces. During the renaissance the city served as the de facto capital being the seat of government of the Kalmar Union, governing the entire present day Nordic region in a personal union with Sweden and Norway ruled by the Danish monarch serving as the head of state. The city flourished as the cultural and economic center of Scandinavia under the union for well over 120 years, starting in the 15th century up until the beginning of the 16th century when the union was dissolved with Sweden leaving the union through a rebellion. After a plague outbreak and fire in the 18th century, the city underwent a period of redevelopment. This included construction of the prestigious district of Frederiksstaden and founding of such cultural institutions as the Royal Theatre and the Royal Academy of Fine Arts. After further disasters in the early 19th century when Horatio Nelson attacked the Dano-Norwegian fleet and bombarded the city, rebuilding during the Danish Golden Age brought a Neoclassical look to Copenhagen's architecture. Later, following the Second World War, the Finger Plan fostered the development of housing and businesses along the five urban railway routes stretching out from the city centre.
|
6 |
+
|
7 |
+
Since the turn of the 21st century, Copenhagen has seen strong urban and cultural development, facilitated by investment in its institutions and infrastructure. The city is the cultural, economic and governmental centre of Denmark; it is one of the major financial centres of Northern Europe with the Copenhagen Stock Exchange. Copenhagen's economy has seen rapid developments in the service sector, especially through initiatives in information technology, pharmaceuticals and clean technology. Since the completion of the Øresund Bridge, Copenhagen has become increasingly integrated with the Swedish province of Scania and its largest city, Malmö, forming the Øresund Region. With a number of bridges connecting the various districts, the cityscape is characterised by parks, promenades and waterfronts. Copenhagen's landmarks such as Tivoli Gardens, The Little Mermaid statue, the Amalienborg and Christiansborg palaces, Rosenborg Castle Gardens, Frederik's Church, and many museums, restaurants and nightclubs are significant tourist attractions.
|
8 |
+
|
9 |
+
Copenhagen is home to the University of Copenhagen, the Technical University of Denmark, Copenhagen Business School and the IT University of Copenhagen. The University of Copenhagen, founded in 1479, is the oldest university in Denmark. Copenhagen is home to the FC København and Brøndby football clubs. The annual Copenhagen Marathon was established in 1980. Copenhagen is one of the most bicycle-friendly cities in the world.
|
10 |
+
|
11 |
+
The Copenhagen Metro, launched in 2002, serves central Copenhagen. Additionally the Copenhagen S-train, the Lokaltog (private railway) and the Coast Line network serve and connect central Copenhagen to outlying boroughs. Serving roughly two million passengers a month, Copenhagen Airport, Kastrup, is the busiest airport in the Nordic countries.
|
12 |
+
|
13 |
+
Copenhagen's name reflects its origin as a harbour and a place of commerce. The original designation in Old Norse, from which Danish descends, was Kaupmannahǫfn [ˈkaupmanːahɒvn] (cf. modern Icelandic: Kaupmannahöfn [ˈkʰøyhpmanːahœpn], Faroese Keypmannahavn), meaning "merchants' harbour". By the time Old Danish was spoken, the capital was called Køpmannæhafn, with the current name deriving from centuries of subsequent regular sound change. An exact English equivalent would be "chapman's haven".[9] However, the English term for the city was adapted from its Low German name, Kopenhagen.
|
14 |
+
(English chapman, German Kaufmann, Dutch koopman, Swedish köpman, Danish købmand, Icelandic kaupmaður: in all these words, the first syllable comes ultimately from Latin caupo, "tradesman".) Copenhagen's Swedish name is Köpenhamn, a direct translation of the mutually intelligible Danish name.
|
15 |
+
|
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Although the earliest historical records of Copenhagen are from the end of the 12th century, recent archaeological finds in connection with work on the city's metropolitan rail system revealed the remains of a large merchant's mansion near today's Kongens Nytorv from c. 1020. Excavations in Pilestræde have also led to the discovery of a well from the late 12th century. The remains of an ancient church, with graves dating to the 11th century, have been unearthed near where Strøget meets Rådhuspladsen.
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These finds indicate that Copenhagen's origins as a city go back at least to the 11th century. Substantial discoveries of flint tools in the area provide evidence of human settlements dating to the Stone Age.[10] Many historians believe the town dates to the late Viking Age, and was possibly founded by Sweyn I Forkbeard.[11]
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The natural harbour and good herring stocks seem to have attracted fishermen and merchants to the area on a seasonal basis from the 11th century and more permanently in the 13th century.[12] The first habitations were probably centred on Gammel Strand (literally "old shore") in the 11th century or even earlier.[13]
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The earliest written mention of the town was in the 12th century when Saxo Grammaticus in Gesta Danorum referred to it as Portus Mercatorum, meaning Merchants' Harbour or, in the Danish of the time, Købmannahavn.[14] Traditionally, Copenhagen's founding has been dated to Bishop Absalon's construction of a modest fortress on the little island of Slotsholmen in 1167 where Christiansborg Palace stands today.[15] The construction of the fortress was in response to attacks by Wendish pirates who plagued the coastline during the 12th century.[16] Defensive ramparts and moats were completed and by 1177 St. Clemens Church had been built. Attacks by the Germans continued, and after the original fortress was eventually destroyed by the marauders, islanders replaced it with Copenhagen Castle.[17]
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In 1186, a letter from Pope Urban III states that the castle of Hafn (Copenhagen) and its surrounding lands, including the town of Hafn, were given to Absalon, Bishop of Roskilde 1158–1191 and Archbishop of Lund 1177–1201, by King Valdemar I. On Absalon's death, the property was to come into the ownership of the Bishopric of Roskilde.[12] Around 1200, the Church of Our Lady was constructed on higher ground to the northeast of the town, which began to develop around it.[12]
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As the town became more prominent, it was repeatedly attacked by the Hanseatic League, and in 1368 successfully invaded during the Second Danish-Hanseatic War. As the fishing industry thrived in Copenhagen, particularly in the trade of herring, the city began expanding to the north of Slotsholmen.[16] In 1254, it received a charter as a city under Bishop Jakob Erlandsen[18] who garnered support from the local fishing merchants against the king by granting them special privileges.[19] In the mid 1330s, the first land assessment of the city was published.[19]
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With the establishment of the Kalmar Union (1397–1523) between Denmark, Norway and Sweden, by about 1416 Copenhagen had emerged as the capital of Denmark when Eric of Pomerania moved his seat to Copenhagen Castle.[20][17] The University of Copenhagen was inaugurated on 1 June 1479 by King Christian I, following approval from Pope Sixtus IV.[21] This makes it the oldest university in Denmark and one of the oldest in Europe. Originally controlled by the Catholic Church, the university's role in society was forced to change during the Reformation in Denmark in the late 1530s.[21]
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In disputes prior to the Reformation of 1536, the city which had been faithful to Christian II, who was Catholic, was successfully besieged in 1523 by the forces of Frederik I, who supported Lutheranism. Copenhagen's defences were reinforced with a series of towers along the city wall. After an extended siege from July 1535 to July 1536, during which the city supported Christian II's alliance with Malmö and Lübeck, it was finally forced to capitulate to Christian III. During the second half of the century, the city prospered from increased trade across the Baltic supported by Dutch shipping. Christoffer Valkendorff, a high-ranking statesman, defended the city's interests and contributed to its development.[12] The Netherlands had also become primarily Protestant, as were northern German states.
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During the reign of Christian IV between 1588 and 1648, Copenhagen had dramatic growth as a city. On his initiative at the beginning of the 17th century, two important buildings were completed on Slotsholmen: the Tøjhus Arsenal and Børsen, the stock exchange. To foster international trade, the East India Company was founded in 1616. To the east of the city, inspired by Dutch planning, the king developed the district of Christianshavn with canals and ramparts. It was initially intended to be a fortified trading centre but ultimately became part of Copenhagen.[22] Christian IV also sponsored an array of ambitious building projects including Rosenborg Slot and the Rundetårn.[16] In 1658–59, the city withstood a siege by the Swedes under Charles X and successfully repelled a major assault.[22]
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By 1661, Copenhagen had asserted its position as capital of Denmark and Norway. All the major institutions were located there, as was the fleet and most of the army. The defences were further enhanced with the completion of the Citadel in 1664 and the extension of Christianshavns Vold with its bastions in 1692, leading to the creation of a new base for the fleet at Nyholm.[22][23]
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Copenhagen lost around 22,000 of its population of 65,000 to the plague in 1711.[24] The city was also struck by two major fires which destroyed much of its infrastructure.[17] The Copenhagen Fire of 1728 was the largest in the history of Copenhagen. It began on the evening of 20 October, and continued to burn until the morning of 23 October, destroying approximately 28% of the city, leaving some 20% of the population homeless. No less than 47% of the medieval section of the city was completely lost. Along with the 1795 fire, it is the main reason that few traces of the old town can be found in the modern city.[25][26]
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A substantial amount of rebuilding followed. In 1733, work began on the royal residence of Christiansborg Palace which was completed in 1745. In 1749, development of the prestigious district of Frederiksstaden was initiated. Designed by Nicolai Eigtved in the Rococo style, its centre contained the mansions which now form Amalienborg Palace.[27] Major extensions to the naval base of Holmen were undertaken while the city's cultural importance was enhanced with the Royal Theatre and the Royal Academy of Fine Arts.[28]
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In the second half of the 18th century, Copenhagen benefited from Denmark's neutrality during the wars between Europe's main powers, allowing it to play an important role in trade between the states around the Baltic Sea. After Christiansborg was destroyed by fire in 1794 and another fire caused serious damage to the city in 1795, work began on the classical Copenhagen landmark of Højbro Plads while Nytorv and Gammel Torv were converged.[28]
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On 2 April 1801, a British fleet under the command of Admiral Sir Hyde Parker attacked and defeated the neutral Danish-Norwegian fleet anchored near Copenhagen. Vice-Admiral Horatio Nelson led the main attack.[29] He famously disobeyed Parker's order to withdraw, destroying many of the Dano-Norwegian ships before a truce was agreed.[30] Copenhagen is often considered to be Nelson's hardest-fought battle, surpassing even the heavy fighting at Trafalgar.[31] It was during this battle that Lord Nelson was said to have "put the telescope to the blind eye" in order not to see Admiral Parker's signal to cease fire.[32]
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The Second Battle of Copenhagen (or the Bombardment of Copenhagen) (16 August – 5 September 1807) was from a British point of view a preemptive attack on Copenhagen, targeting the civilian population to yet again seize the Dano-Norwegian fleet.[33] But from a Danish point of view the battle was a terror bombardment on their capital. Particularly notable was the use of incendiary Congreve rockets (containing phosphorus, which cannot be extinguished with water) that randomly hit the city. Few houses with straw roofs remained after the bombardment. The largest church, Vor frue kirke, was destroyed by the sea artillery. Several historians consider this battle the first terror attack against a major European city in modern times.[34][35]
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The British landed 30,000 men, they surrounded Copenhagen and the attack continued for the next three days, killing some 2,000 civilians and destroying most of the city.[36] The devastation was so great because Copenhagen relied on an old defence-line whose limited range could not reach the British ships and their longer-range artillery.[37]
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Despite the disasters of the early 19th century, Copenhagen experienced a period of intense cultural creativity known as the Danish Golden Age. Painting prospered under C.W. Eckersberg and his students while C.F. Hansen and Gottlieb Bindesbøll brought a Neoclassical look to the city's architecture.[38] In the early 1850s, the ramparts of the city were opened to allow new housing to be built around The Lakes (Danish: Søerne) that bordered the old defences to the west. By the 1880s, the districts of Nørrebro and Vesterbro developed to accommodate those who came from the provinces to participate in the city's industrialization. This dramatic increase of space was long overdue, as not only were the old ramparts out of date as a defence system but bad sanitation in the old city had to be overcome. From 1886, the west rampart (Vestvolden) was flattened, allowing major extensions to the harbour leading to the establishment of the Freeport of Copenhagen 1892–94.[39] Electricity came in 1892 with electric trams in 1897. The spread of housing to areas outside the old ramparts brought about a huge increase in the population. In 1840, Copenhagen was inhabited by approximately 120,000 people. By 1901, it had some 400,000 inhabitants.[28]
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By the beginning of the 20th century, Copenhagen had become a thriving industrial and administrative city. With its new city hall and railway station, its centre was drawn towards the west.[28] New housing developments grew up in Brønshøj and Valby while Frederiksberg became an enclave within the city of Copenhagen.[40] The northern part of Amager and Valby were also incorporated into the City of Copenhagen in 1901–02.[41]
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As a result of Denmark's neutrality in the First World War, Copenhagen prospered from trade with both Britain and Germany while the city's defences were kept fully manned by some 40,000 soldiers for the duration of the war.[42]
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In the 1920s there were serious shortages of goods and housing. Plans were drawn up to demolish the old part of Christianshavn and to get rid of the worst of the city's slum areas.[43] However, it was not until the 1930s that substantial housing developments ensued,[44] with the demolition of one side of Christianhavn's Torvegade to build five large blocks of flats.[43]
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In Denmark during World War II, Copenhagen was occupied by German troops along with the rest of the country from 9 April 1940 until 4 May 1945. German leader Adolf Hitler hoped that Denmark would be "a model protectorate"[45] and initially the Nazi authorities sought to arrive at an understanding with the Danish government. The 1943 Danish parliamentary election was also allowed to take place, with only the Communist Party excluded. But in August 1943, after the government's collaboration with the occupation forces collapsed, several ships were sunk in Copenhagen Harbor by the Royal Danish Navy to prevent their use by the Germans. Around that time the Nazis started to arrest Jews, although most managed to escape to Sweden.[46]
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In 1945 Ole Lippman, leader of the Danish section of the Special Operations Executive, invited the British Royal Air Force to assist their operations by attacking Nazi headquarters in Copenhagen. Accordingly, air vice-marshal Sir Basil Embry drew up plans for a spectacular precision attack on the Sicherheitsdienst and Gestapo building, the former offices of the Shell Oil Company. Political prisoners were kept in the attic to prevent an air raid, so the RAF had to bomb the lower levels of the building.[47]
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The attack, known as "Operation Carthage", came on 22 March 1945, in three small waves. In the first wave, all six planes (carrying one bomb each) hit their target, but one of the aircraft crashed near Frederiksberg Girls School. Because of this crash, four of the planes in the two following waves assumed the school was the military target and aimed their bombs at the school, leading to the death of 123 civilians (of which 87 were schoolchildren).[47] However, 18 of the 26 political prisoners in the Shell Building managed to escape while the Gestapo archives were completely destroyed.[47]
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On 8 May 1945 Copenhagen was officially liberated by British troops commanded by Field Marshal Bernard Montgomery who supervised the surrender of 30,000 Germans situated around the capital.[48]
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Shortly after the end of the war, an innovative urban development project known as the Finger Plan was introduced in 1947, encouraging the creation of new housing and businesses interspersed with large green areas along five "fingers" stretching out from the city centre along the S-train routes.[49][50] With the expansion of the welfare state and women entering the work force, schools, nurseries, sports facilities and hospitals were established across the city. As a result of student unrest in the late 1960s, the former Bådsmandsstræde Barracks in Christianshavn was occupied, leading to the establishment of Freetown Christiania in September 1971.[51]
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Motor traffic in the city grew significantly and in 1972 the trams were replaced by buses. From the 1960s, on the initiative of the young architect Jan Gehl, pedestrian streets and cycle tracks were created in the city centre.[52] Activity in the port of Copenhagen declined with the closure of the Holmen Naval Base. Copenhagen Airport underwent considerable expansion, becoming a hub for the Nordic countries. In the 1990s, large-scale housing developments were realized in the harbour area and in the west of Amager.[44] The national library's Black Diamond building on the waterfront was completed in 1999.[53]
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The Black Diamond
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Freetown Christiania - entrance
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Øresund Bridge
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Since the summer of 2000, Copenhagen and the Swedish city of Malmö have been connected by the Øresund Bridge, which carries rail and road traffic. As a result, Copenhagen has become the centre of a larger metropolitan area spanning both nations. The bridge has brought about considerable changes in the public transport system and has led to the extensive redevelopment of Amager.[51] The city's service and trade sectors have developed while a number of banking and financial institutions have been established. Educational institutions have also gained importance, especially the University of Copenhagen with its 35,000 students.[54] Another important development for the city has been the Copenhagen Metro, the railway system which opened in 2002 with additions until 2007, transporting some 54 million passengers by 2011.[55]
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On the cultural front, the Copenhagen Opera House, a gift to the city from the shipping magnate Mærsk Mc-Kinney Møller on behalf of the A.P. Møller foundation, was completed in 2004.[56] In December 2009 Copenhagen gained international prominence when it hosted the worldwide climate meeting COP15.[57]
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Copenhagen is part of the Øresund Region, which consists of Zealand, Lolland-Falster and Bornholm in Denmark and Scania in Sweden.[58] It is located on the eastern shore of the island of Zealand, partly on the island of Amager and on a number of natural and artificial islets between the two. Copenhagen faces the Øresund to the east, the strait of water that separates Denmark from Sweden, and which connects the North Sea with the Baltic Sea. The Swedish towns of Malmö and Landskrona lie on the Swedish side of the sound directly across from Copenhagen.[59] By road, Copenhagen is 42 kilometres (26 mi) northwest of Malmö, Sweden, 85 kilometres (53 mi) northeast of Næstved, 164 kilometres (102 mi) northeast of Odense, 295 kilometres (183 mi) east of Esbjerg and 188 kilometres (117 mi) southeast of Aarhus by sea and road via Sjællands Odde.[60]
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The city centre lies in the area originally defined by the old ramparts, which are still referred to as the Fortification Ring (Fæstningsringen) and kept as a partial green band around it.[61] Then come the late-19th- and early-20th-century residential neighbourhoods of Østerbro, Nørrebro, Vesterbro and Amagerbro. The outlying areas of Kongens Enghave, Valby, Vigerslev, Vanløse, Brønshøj, Utterslev and Sundby followed from 1920 to 1960. They consist mainly of residential housing and apartments often enhanced with parks and greenery.[62]
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The central area of the city consists of relatively low-lying flat ground formed by moraines from the last ice age while the hilly areas to the north and west frequently rise to 50 m (160 ft) above sea level. The slopes of Valby and Brønshøj reach heights of over 30 m (98 ft), divided by valleys running from the northeast to the southwest. Close to the centre are the Copenhagen lakes of Sortedams Sø, Peblinge Sø and Sankt Jørgens Sø.[62]
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Copenhagen rests on a subsoil of flint-layered limestone deposited in the Danian period some 60 to 66 million years ago. Some greensand from the Selandian is also present. There are a few faults in the area, the most important of which is the Carlsberg fault which runs northwest to southeast through the centre of the city.[63] During the last ice age, glaciers eroded the surface leaving a layer of moraines up to 15 m (49 ft) thick.[64]
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Geologically, Copenhagen lies in the northern part of Denmark where the land is rising because of post-glacial rebound.
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Amager Strandpark, which opened in 2005, is a 2 km (1 mi) long artificial island, with a total of 4.6 km (2.9 mi) of beaches. It is located just 15 minutes by bicycle or a few minutes by metro from the city centre.[65] In Klampenborg, about 10 kilometers from downtown Copenhagen, is Bellevue Beach. It is 700 metres (2,300 ft) long and has both lifeguards and freshwater showers on the beach.[66]
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The beaches are supplemented by a system of Harbour Baths along the Copenhagen waterfront. The first and most popular of these is located at Islands Brygge and has won international acclaim for its design.[67]
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Copenhagen is in the oceanic climate zone (Köppen: Cfb ).[68] Its weather is subject to low-pressure systems from the Atlantic which result in unstable conditions throughout the year. Apart from slightly higher rainfall from July to September, precipitation is moderate. While snowfall occurs mainly from late December to early March, there can also be rain, with average temperatures around the freezing point.[69]
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June is the sunniest month of the year with an average of about eight hours of sunshine a day. July is the warmest month with an average daytime high of 21 °C. By contrast, the average hours of sunshine are less than two per day in November and only one and a half per day from December to February. In the spring, it gets warmer again with four to six hours of sunshine per day from March to May. February is the driest month of the year.[70] Exceptional weather conditions can bring as much as 50 cm of snow to Copenhagen in a 24-hour period during the winter months[71] while summer temperatures have been known to rise to heights of 33 °C (91 °F).[72]
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Because of Copenhagen's northern latitude, the number of daylight hours varies considerably between summer and winter. On the summer solstice, the sun rises at 04:26 and sets at 21:58, providing 17 hours 32 minutes of daylight. On the winter solstice, it rises at 08:37 and sets at 15:39 with 7 hours and 1 minute of daylight. There is therefore a difference of 10 hours and 31 minutes in the length of days and nights between the summer and winter solstices.[73]
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According to Statistics Denmark, the urban area of Copenhagen (Hovedstadsområdet) consists of the municipalities of Copenhagen, Frederiksberg, Albertslund, Brøndby, Gentofte, Gladsaxe, Glostrup, Herlev, Hvidovre, Lyngby-Taarbæk, Rødovre, Tårnby and Vallensbæk as well as parts of Ballerup, Rudersdal and Furesø municipalities, along with the cities of Ishøj and Greve Strand.[4][79] They are located in the Capital Region (Region Hovedstaden). Municipalities are responsible for a wide variety of public services, which include land-use planning, environmental planning, public housing, management and maintenance of local roads, and social security. Municipal administration is also conducted by a mayor, a council, and an executive.[80]
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Copenhagen Municipality is by far the largest municipality, with the historic city at its core. The seat of Copenhagen's municipal council is the Copenhagen City Hall (Rådhus), which is situated on City Hall Square. The second largest municipality is Frederiksberg, an enclave within Copenhagen Municipality.
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Copenhagen Municipality is divided into ten districts (bydele):[81] Indre By, Østerbro, Nørrebro, Vesterbro/Kongens Enghave, Valby, Vanløse, Brønshøj-Husum, Bispebjerg, Amager Øst, and Amager Vest. Neighbourhoods of Copenhagen include Slotsholmen, Frederiksstaden, Islands Brygge, Holmen, Christiania, Carlsberg, Sluseholmen, Sydhavn, Amagerbro, Ørestad, Nordhavnen, Bellahøj, Brønshøj, Ryparken, and Vigerslev.
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Most of Denmark's top legal courts and institutions are based in Copenhagen. A modern style court of justice, Hof- og Stadsretten, was introduced in Denmark, specifically for Copenhagen, by Johann Friedrich Struensee in 1771.[82] Now known as the City Court of Copenhagen (Københavns Byret), it is the largest of the 24 city courts in Denmark with jurisdiction over the municipalities of Copenhagen, Dragør and Tårnby. With its 42 judges, it has a Probate Division, an Enforcement Division and a Registration and Notorial Acts Division while bankruptcy is handled by the Maritime and Commercial Court of Copenhagen.[83] Established in 1862, the Maritime and Commercial Court (Sø- og Handelsretten) also hears commercial cases including those relating to trade marks, marketing practices and competition for the whole of Denmark.[84] Denmark's Supreme Court (Højesteret), located in Christiansborg Palace on Prins Jørgens Gård in the centre of Copenhagen, is the country's final court of appeal. Handling civil and criminal cases from the subordinate courts, it has two chambers which each hear all types of cases.[85]
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The Danish National Police and Copenhagen Police headquarters is situated in the Neoclassical-inspired Politigården building built in 1918–24 under architects Hack Kampmann and Holger Alfred Jacobsen. The building also contains administration, management, emergency department and radio service offices.[86] In their efforts to deal with drugs, the police have noted considerable success in the two special drug consumption rooms opened by the city where addicts can use sterile needles and receive help from nurses if necessary. Use of these rooms does not lead to prosecution; the city treats drug use as a public health issue, not a criminal one.[87]
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The Copenhagen Fire Department forms the largest municipal fire brigade in Denmark with some 500 fire and ambulance personnel, 150 administration and service workers, and 35 workers in prevention.[88] The brigade began as the Copenhagen Royal Fire Brigade on 9 July 1687 under King Christian V. After the passing of the Copenhagen Fire Act on 18 May 1868, on 1 August 1870 the Copenhagen Fire Brigade became a municipal institution in its own right.[89] The fire department has its headquarters in the Copenhagen Central Fire Station which was designed by Ludvig Fenger in the Historicist style and inaugurated in 1892.[90]
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Copenhagen is recognized as one of the most environmentally friendly cities in the world.[91] As a result of its commitment to high environmental standards, Copenhagen has been praised for its green economy, ranked as the top green city for the second time in the 2014 Global Green Economy Index (GGEI).[92][93] In 2001 a large offshore wind farm was built just off the coast of Copenhagen at Middelgrunden. It produces about 4% of the city's energy.[94] Years of substantial investment in sewage treatment have improved water quality in the harbour to an extent that the inner harbour can be used for swimming with facilities at a number of locations.[95]
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Copenhagen aims to be carbon-neutral by 2025. Commercial and residential buildings are to reduce electricity consumption by 20 percent and 10 percent respectively, and total heat consumption is to fall by 20 percent by 2025. Renewable energy features such as solar panels are becoming increasingly common in the newest buildings in Copenhagen. District heating will be carbon-neutral by 2025, by waste incineration and biomass. New buildings must now be constructed according to Low Energy Class ratings and in 2020 near net-zero energy buildings. By 2025, 75% of trips should be made on foot, by bike, or by using public transit. The city plans that 20–30% of cars will run on electricity or biofuel by 2025. The investment is estimated at $472 million public funds and $4.78 billion private funds.[96]
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The city's urban planning authorities continue to take full account of these priorities. Special attention is given both to climate issues and efforts to ensure maximum application of low-energy standards. Priorities include sustainable drainage systems,[97] recycling rainwater, green roofs and efficient waste management solutions. In city planning, streets and squares are to be designed to encourage cycling and walking rather than driving.[98] Further, the city administration is working with smart city initiatives to improve how data and technology can be used to implement new solutions that support the transition toward a carbon-neutral economy. These solutions support operations covered by the city administration to improve e.g. public health, district heating, urban mobility and waste management systems. Smart city operations in Copenhagen are maintained by Copenhagen Solutions Lab, the city's official smart-city development unit under the Technical and Environmental Administration.
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Copenhagen is the most populous city in Denmark and one of the most populous in the Nordic countries. For statistical purposes, Statistics Denmark considers the City of Copenhagen (Byen København) to consist of the Municipality of Copenhagen plus three adjacent municipalities: Dragør, Frederiksberg, and Tårnby.[7] Their combined population stands at 763,908 (as of December 2016[update]).[8]
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The Municipality of Copenhagen is by far the most populous in the country and one of the most populous Nordic municipalities with 601,448 inhabitants (as of December 2016[update]).[4] There was a demographic boom in the 1990s and first decade of the 21st century, largely due to immigration to Denmark. According to figures from the first quarter of 2016, approximately 76% of the municipality's population was of Danish descent,[99] defined as having at least one parent who was born in Denmark and has Danish citizenship. Much of the remaining 24% were of a foreign background, defined as immigrants (18%) or descendants of recent immigrants (6%).[99] There are no official statistics on ethnic groups. The adjacent table shows the most common countries of birth of Copenhagen residents.
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According to Statistics Denmark, Copenhagen's urban area has a larger population of 1,280,371 (as of 1 January 2016[update]).[4] The urban area consists of the municipalities of Copenhagen and Frederiksberg plus 16 of the 20 municipalities of the former counties Copenhagen and Roskilde, though five of them only partially.[79] Metropolitan Copenhagen has a total of 2,016,285 inhabitants (as of 2016[update]).[4] The area of Metropolitan Copenhagen is defined by the Finger Plan.[100] Since the opening of the Øresund Bridge in 2000, commuting between Zealand and Scania in Sweden has increased rapidly, leading to a wider, integrated area. Known as the Øresund Region, it has 3.8 million inhabitants (of whom 2.5 million live in the Danish part of the region).[101]
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A majority (56.9%) of those living in Copenhagen are members of the Lutheran Church of Denmark which is 0.6% lower than one year earlier according to 2019 figures.[102] The National Cathedral, the Church of Our Lady, is one of the dozens of churches in Copenhagen. There are also several other Christian communities in the city, of which the largest is Roman Catholic.[103]
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Foreign migration to Copenhagen, rising over the last three decades, has contributed to increasing religious diversity; the Grand Mosque of Copenhagen, the first in Denmark, opened in 2014.[104] Islam is the second largest religion in Copenhagen, accounting for approximately 10% of the population.[105][106][107] While there are no official statistics, a significant portion of the estimated 175,000–200,000 Muslims in the country live in the Copenhagen urban area, with the highest concentration in Nørrebro and the Vestegnen.[108] There are also some 7,000 Jews in Denmark, most of them in the Copenhagen area where there are several synagogues.[109] There is a long history of Jews in the city, and the first synagogue in Copenhagen was built in 1684.[110] Today, the history of the Jews of Denmark can be explored at the Danish Jewish Museum in Copenhagen.
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For a number of years, Copenhagen has ranked high in international surveys for its quality of life. Its stable economy together with its education services and level of social safety make it attractive for locals and visitors alike. Although it is one of the world's most expensive cities, it is also one of the most liveable with its public transport, facilities for cyclists and its environmental policies.[111] In elevating Copenhagen to "most liveable city" in 2013, Monocle pointed to its open spaces, increasing activity on the streets, city planning in favour of cyclists and pedestrians, and features to encourage inhabitants to enjoy city life with an emphasis on community, culture and cuisine.[112] Other sources have ranked Copenhagen high for its business environment, accessibility, restaurants and environmental planning.[113] However, Copenhagen ranks only 39th for student friendliness in 2012. Despite a top score for quality of living, its scores were low for employer activity and affordability.[114]
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Copenhagen is the major economic and financial centre of Denmark. The city's economy is based largely on services and commerce. Statistics for 2010 show that the vast majority of the 350,000 workers in Copenhagen are employed in the service sector, especially transport and communications, trade, and finance, while less than 10,000 work in the manufacturing industries. The public sector workforce is around 110,000, including education and healthcare.[115] From 2006 to 2011, the economy grew by 2.5% in Copenhagen, while it fell by some 4% in the rest of Denmark.[116] In 2017, the wider Capital Region of Denmark had a gross domestic product (GDP) of €120 billion, and the 15th largest GDP per capita of regions in the European Union.[117]
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Several financial institutions and banks have headquarters in Copenhagen, including Alm. Brand, Danske Bank, Nykredit and Nordea Bank Danmark. The Copenhagen Stock Exchange (CSE) was founded in 1620 and is now owned by Nasdaq, Inc.. Copenhagen is also home to a number of international companies including A.P. Møller-Mærsk, Novo Nordisk, Carlsberg and Novozymes.[118] City authorities have encouraged the development of business clusters in several innovative sectors, which include information technology, biotechnology, pharmaceuticals, clean technology and smart city solutions.[119][120]
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Life science is a key sector with extensive research and development activities. Medicon Valley is a leading bi-national life sciences cluster in Europe, spanning the Øresund Region. Copenhagen is rich in companies and institutions with a focus on research and development within the field of biotechnology,[121] and the Medicon Valley initiative aims to strengthen this position and to promote cooperation between companies and academia. Many major Danish companies like Novo Nordisk and Lundbeck, both of which are among the 50 largest pharmaceutical and biotech companies in the world, are located in this business cluster.[122]
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Shipping is another import sector with Maersk, the world's largest shipping company, having their world headquarters in Copenhagen. The city has an industrial harbour, Copenhagen Port. Following decades of stagnation, it has experienced a resurgence since 1990 following a merger with Malmö harbour. Both ports are operated by Copenhagen Malmö Port (CMP). The central location in the Øresund Region allows the ports to act as a hub for freight that is transported onward to the Baltic countries. CMP annually receives about 8,000 ships and handled some 148,000 TEU in 2012.[123]
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Copenhagen has some of the highest gross wages in the world.[124] High taxes mean that wages are reduced after mandatory deduction. A beneficial researcher scheme with low taxation of foreign specialists has made Denmark an attractive location for foreign labour. It is however also among the most expensive cities in Europe.[125][126]
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Denmark's Flexicurity model features some of the most flexible hiring and firing legislation in Europe, providing attractive conditions for foreign investment and international companies looking to locate in Copenhagen.[127] In Dansk Industri's 2013 survey of employment factors in the ninety-six municipalities of Denmark, Copenhagen came in first place for educational qualifications and for the development of private companies in recent years, but fell to 86th place in local companies' assessment of the employment climate. The survey revealed considerable dissatisfaction in the level of dialogue companies enjoyed with the municipal authorities.[128]
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Tourism is a major contributor to Copenhagen's economy, attracting visitors due to the city's harbour, cultural attractions and award-winning restaurants. Since 2009, Copenhagen has been one of the fastest growing metropolitan destinations in Europe.[129] Hotel capacity in the city is growing significantly. From 2009 to 2013, it experienced a 42% growth in international bed nights (total number of nights spent by tourists), tallying a rise of nearly 70% for Chinese visitors.[129] The total number of bed nights in the Capital Region surpassed 9 million in 2013, while international bed nights reached 5 million.[129]
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In 2010, it is estimated that city break tourism contributed to DKK 2 billion in turnover. However, 2010 was an exceptional year for city break tourism and turnover increased with 29% in that one year.[130] 680,000 cruise passengers visited the port in 2015.[131] In 2019 Copenhagen was ranked first among Lonely Planet's top ten cities to visit.[132]
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The city's appearance today is shaped by the key role it has played as a regional centre for centuries. Copenhagen has a multitude of districts, each with its distinctive character and representing its own period. Other distinctive features of Copenhagen include the abundance of water, its many parks, and the bicycle paths that line most streets.[133]
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The oldest section of Copenhagen's inner city is often referred to as Middelalderbyen (the medieval city).[134] However, the city's most distinctive district is Frederiksstaden, developed during the reign of Frederick V. It has the Amalienborg Palace at its centre and is dominated by the dome of Frederik's Church (or the Marble Church) and several elegant 18th-century Rococo mansions.[135] The inner city includes Slotsholmen, a little island on which Christiansborg Palace stands and Christianshavn with its canals.[136] Børsen on Slotsholmen and Frederiksborg Palace in Hillerød are prominent examples of the Dutch Renaissance style in Copenhagen. Around the historical city centre lies a band of congenial residential boroughs (Vesterbro, Inner Nørrebro, Inner Østerbro) dating mainly from late 19th century. They were built outside the old ramparts when the city was finally allowed to expand beyond its fortifications.[137]
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Sometimes referred to as "the City of Spires", Copenhagen is known for its horizontal skyline, broken only by the spires and towers of its churches and castles. Most characteristic of all is the Baroque spire of the Church of Our Saviour with its narrowing external spiral stairway that visitors can climb to the top.[138] Other important spires are those of Christiansborg Palace, the City Hall and the former Church of St. Nikolaj that now houses a modern art venue. Not quite so high are the Renaissance spires of Rosenborg Castle and the "dragon spire" of Christian IV's former stock exchange, so named because it resembles the intertwined tails of four dragons.[139]
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Copenhagen is recognised globally as an exemplar of best practice urban planning.[140] Its thriving mixed use city centre is defined by striking contemporary architecture, engaging public spaces and an abundance of human activity. These design outcomes have been deliberately achieved through careful replanning in the second half of the 20th century.
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Recent years have seen a boom in modern architecture in Copenhagen[141] both for Danish architecture and for works by international architects. For a few hundred years, virtually no foreign architects had worked in Copenhagen, but since the turn of the millennium the city and its immediate surroundings have seen buildings and projects designed by top international architects. British design magazine Monocle named Copenhagen the World's best design city 2008.[142]
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Copenhagen's urban development in the first half of the 20th century was heavily influenced by industrialisation. After World War II, Copenhagen Municipality adopted Fordism and repurposed its medieval centre to facilitate private automobile infrastructure in response to innovations in transport, trade and communication.[143] Copenhagen's spatial planning in this time frame was characterised by the separation of land uses: an approach which requires residents to travel by car to access facilities of different uses.[144]
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The boom in urban development and modern architecture has brought some changes to the city's skyline. A political majority has decided to keep the historical centre free of high-rise buildings, but several areas will see or have already seen massive urban development. Ørestad now has seen most of the recent development. Located near Copenhagen Airport, it currently boasts one of the largest malls in Scandinavia and a variety of office and residential buildings as well as the IT University and a high school.[145]
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Copenhagen is a green city with many parks, both large and small. King's Garden (Kongens Have), the garden of Rosenborg Castle, is the oldest and most frequented of them all.[146] It was Christian IV who first developed its landscaping in 1606. Every year it sees more than 2.5 million visitors[147] and in the summer months it is packed with sunbathers, picnickers and ballplayers. It serves as a sculpture garden with both a permanent display and temporary exhibits during the summer months.[146] Also located in the city centre are the Botanical Gardens noted for their large complex of 19th-century greenhouses donated by Carlsberg founder J. C. Jacobsen.[148] Fælledparken at 58 ha (140 acres) is the largest park in Copenhagen.[149]
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It is popular for sports fixtures and hosts several annual events including a free opera concert at the opening of the opera season, other open-air concerts, carnival and Labour Day celebrations, and the Copenhagen Historic Grand Prix, a race for antique cars. A historical green space in the northeastern part of the city is Kastellet, a well-preserved Renaissance citadel that now serves mainly as a park.[150] Another popular park is the Frederiksberg Gardens, a 32-hectare romantic landscape park. It houses a colony of tame grey herons and other waterfowl.[151] The park offers views of the elephants and the elephant house designed by world-famous British architect Norman Foster of the adjacent Copenhagen Zoo.[152] Langelinie, a park and promenade along the inner Øresund coast, is home to one of Copenhagen's most-visited tourist attractions, the Little Mermaid statue.[153]
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In Copenhagen, many cemeteries double as parks, though only for the more quiet activities such as sunbathing, reading and meditation. Assistens Cemetery, the burial place of Hans Christian Andersen, is an important green space for the district of Inner Nørrebro and a Copenhagen institution. The lesser known Vestre Kirkegaard is the largest cemetery in Denmark (54 ha (130 acres)) and offers a maze of dense groves, open lawns, winding paths, hedges, overgrown tombs, monuments, tree-lined avenues, lakes and other garden features.[154]
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It is official municipal policy in Copenhagen that by 2015 all citizens must be able to reach a park or beach on foot in less than 15 minutes.[155] In line with this policy, several new parks, including the innovative Superkilen in the Nørrebro district, have been completed or are under development in areas lacking green spaces.[156]
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The historic centre of the city, Indre By or the Inner City, features many of Copenhagen's most popular monuments and attractions. The area known as Frederiksstaden, developed by Frederik V in the second half of the 18th century in the Rococo style, has the four mansions of Amalienborg, the royal residence, and the wide-domed Marble Church at its centre.[157] Directly across the water from Amalienborg, the recently completed Copenhagen Opera stands on the island of Holmen.[158] To the south of Frederiksstaden, the Nyhavn canal is lined with colourful houses from the 17th and 18th centuries, many now with lively restaurants and bars.[159] The canal runs from the harbour front to the spacious square of Kongens Nytorv which was laid out by Christian V in 1670. Important buildings include Charlottenborg Palace, famous for its art exhibitions, the Thott Palace (now the French embassy), the Royal Danish Theatre and the Hotel D'Angleterre, dated to 1755.[160] Other landmarks in Indre By include the parliament building of Christiansborg, the City Hall and Rundetårn, originally an observatory. There are also several museums in the area including Thorvaldsen Museum dedicated to the 18th-century sculptor Bertel Thorvaldsen.[161] Closed to traffic since 1964, Strøget, the world's oldest and longest pedestrian street, runs the 3.2 km (2.0 mi) from Rådhuspladsen to Kongens Nytorv. With its speciality shops, cafés, restaurants, and buskers, it is always full of life and includes the old squares of Gammel Torv and Amagertorv, each with a fountain.[162] Rosenborg Castle on Øster Voldgade was built by Christian IV in 1606 as a summer residence in the Renaissance style. It houses the Danish crown jewels and crown regalia, the coronation throne and tapestries illustrating Christian V's victories in the Scanian War.[163]
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Christianshavn lies to the southeast of Indre By on the other side of the harbour. The area was developed by Christian IV in the early 17th century. Impressed by the city of Amsterdam, he employed Dutch architects to create canals within its ramparts which are still well preserved today.[22] The canals themselves, branching off the central Christianshavn Canal and lined with house boats and pleasure craft are one of the area's attractions.[164] Another interesting feature is Freetown Christiania, a fairly large area which was initially occupied by squatters during student unrest in 1971. Today it still maintains a measure of autonomy. The inhabitants openly sell drugs on "Pusher Street" as well as their arts and crafts. Other buildings of interest in Christianshavn include the Church of Our Saviour with its spiralling steeple and the magnificent Rococo Christian's Church. Once a warehouse, the North Atlantic House now displays culture from Iceland and Greenland and houses the Noma restaurant, known for its Nordic cuisine.[165][166]
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Vesterbro, to the southwest of Indre By, begins with the Tivoli Gardens, the city's top tourist attraction with its fairground atmosphere, its Pantomime Theatre, its Concert Hall and its many rides and restaurants.[167] The Carlsberg neighbourhood has some interesting vestiges of the old brewery of the same name including the Elephant Gate and the Ny Carlsberg Brewhouse.[168] The Tycho Brahe Planetarium is located on the edge of Skt. Jørgens Sø, one of the Copenhagen lakes.[169] Halmtorvet, the old haymarket behind the Central Station, is an increasingly popular area with its cafés and restaurants. The former cattle market Øksnehallen has been converted into a modern exhibition centre for art and photography.[170] Radisson Blu Royal Hotel, built by Danish architect and designer Arne Jacobsen for the airline Scandinavian Airlines System (SAS) between 1956 and 1960 was once the tallest hotel in Denmark with a height of 69.60 m (228.3 ft) and the city's only skyscraper until 1969.[171] Completed in 1908, Det Ny Teater (the New Theatre) located in a passage between Vesterbrogade and Gammel Kongevej has become a popular venue for musicals since its reopening in 1994, attracting the largest audiences in the country.[172]
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Nørrebro to the northwest of the city centre has recently developed from a working-class district into a colourful cosmopolitan area with antique shops, non-Danish food stores and restaurants. Much of the activity is centred on Sankt Hans Torv[173] and around Rantzausgade. Copenhagen's historic cemetery, Assistens Kirkegård halfway up Nørrebrogade, is the resting place of many famous figures including Søren Kierkegaard, Niels Bohr, and Hans Christian Andersen but is also used by locals as a park and recreation area.[174]
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Just north of the city centre, Østerbro is an upper middle-class district with a number of fine mansions, some now serving as embassies.[175] The district stretches from Nørrebro to the waterfront where The Little Mermaid statue can be seen from the promenade known as Langelinie. Inspired by Hans Christian Andersen's fairy tale, it was created by Edvard Eriksen and unveiled in 1913.[176] Not far from the Little Mermaid, the old Citadel (Kastellet) can be seen. Built by Christian IV, it is one of northern Europe's best preserved fortifications. There is also a windmill in the area.[177] The large Gefion Fountain (Gefionspringvandet) designed by Anders Bundgaard and completed in 1908 stands close to the southeast corner of Kastellet. Its figures illustrate a Nordic legend.[178]
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Frederiksberg, a separate municipality within the urban area of Copenhagen, lies to the west of Nørrebro and Indre By and north of Vesterbro. Its landmarks include Copenhagen Zoo founded in 1869 with over 250 species from all over the world and Frederiksberg Palace built as a summer residence by Frederick IV who was inspired by Italian architecture. Now a military academy, it overlooks the extensive landscaped Frederiksberg Gardens with its follies, waterfalls, lakes and decorative buildings.[179] The wide tree-lined avenue of Frederiksberg Allé connecting Vesterbrogade with the Frederiksberg Gardens has long been associated with theatres and entertainment. While a number of the earlier theatres are now closed, the Betty Nansen Theatre and Aveny-T are still active.[180]
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Amagerbro (also known as Sønderbro) is the district located immediately south-east of Christianshavn at northernmost Amager. The old city moats and their surrounding parks constitute a clear border between these districts. The main street is Amagerbrogade which after the harbour bridge Langebro, is an extension of H. C. Andersens Boulevard and has a number of various stores and shops as well as restaurants and pubs.[181] Amagerbro was built up during the two first decades of the twentieth century and is the city's northernmost block built area with typically 4–7 floors. Further south follows the Sundbyøster and Sundbyvester districts.[182]
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Hellerup is the city's northernmost district with a central city feeling. It's located north of Østerbro and is known to be the perhaps most fashionable part of Copenhagen. Along Strandvejen (a street and further north a road leading to Elsinore) various shops, stores and restaurants are located. And by its crossing streets plenty of large villas are found. Hellerup is not a part of Copenhagen municipality, but constitutes the eastern parts of Gentofte. Hellerup is nevertheless a typical city environment without any notable bound towards the south.[183]
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Not far from Copenhagen Airport on the Kastrup coast, The Blue Planet completed in March 2013 now houses the national aquarium. With its 53 aquariums, it is the largest facility of its kind in Scandinavia.[184] Grundtvig's Church, located in the northern suburb of Bispebjerg, was designed by P.V. Jensen Klint and completed in 1940. A rare example of Expressionist church architecture, its striking west façade is reminiscent of a church organ.[185]
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Apart from being the national capital, Copenhagen also serves as the cultural hub of Denmark and wider Scandinavia. Since the late 1990s, it has undergone a transformation from a modest Scandinavian capital into a metropolitan city of international appeal in the same league as Barcelona and Amsterdam.[186] This is a result of huge investments in infrastructure and culture as well as the work of successful new Danish architects, designers and chefs.[141][187] Copenhagen Fashion Week, the largest fashion event in Northern Europe, takes place every year in February and August.[188][189]
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Copenhagen has a wide array of museums of international standing. The National Museum, Nationalmuseet, is Denmark's largest museum of archaeology and cultural history, comprising the histories of Danish and foreign cultures alike.[190] Denmark's National Gallery (Statens Museum for Kunst) is the national art museum with collections dating from the 12th century to the present. In addition to Danish painters, artists represented in the collections include Rubens, Rembrandt, Picasso, Braque, Léger, Matisse, Emil Nolde, Olafur Eliasson, Elmgreen and Dragset, Superflex and Jens Haaning.[191]
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Another important Copenhagen art museum is the Ny Carlsberg Glyptotek founded by second generation Carlsberg philanthropist Carl Jacobsen and built around his personal collections. Its main focus is classical Egyptian, Roman and Greek sculptures and antiquities and a collection of Rodin sculptures, the largest outside France. Besides its sculpture collections, the museum also holds a comprehensive collection of paintings of Impressionist and Post-Impressionist painters such as Monet, Renoir, Cézanne, van Gogh and Toulouse-Lautrec as well as works by the Danish Golden Age painters.[192]
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Louisiana is a Museum of Modern Art situated on the coast just north of Copenhagen. It is located in the middle of a sculpture garden on a cliff overlooking Øresund. Its collection of over 3,000 items includes works by Picasso, Giacometti and Dubuffet.[193] The Danish Design Museum is housed in the 18th-century former Frederiks Hospital and displays Danish design as well as international design and crafts.[194]
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Other museums include: the Thorvaldsens Museum, dedicated to the oeuvre of romantic Danish sculptor Bertel Thorvaldsen who lived and worked in Rome;[195] the Cisternerne museum, an exhibition space for contemporary art, located in former cisterns that come complete with stalactites formed by the changing water levels;[196] and the Ordrupgaard Museum, located just north of Copenhagen, which features 19th-century French and Danish art and is noted for its works by Paul Gauguin.[197]
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The new Copenhagen Concert Hall opened in January 2009. Designed by Jean Nouvel, it has four halls with the main auditorium seating 1,800 people. It serves as the home of the Danish National Symphony Orchestra and along with the Walt Disney Concert Hall in Los Angeles is the most expensive concert hall ever built.[198] Another important venue for classical music is the Tivoli Concert Hall located in the Tivoli Gardens.[199] Designed by Henning Larsen, the Copenhagen Opera House (Operaen) opened in 2005. It is among the most modern opera houses in the world.[200] The Royal Danish Theatre also stages opera in addition to its drama productions. It is also home to the Royal Danish Ballet. Founded in 1748 along with the theatre, it is one of the oldest ballet troupes in Europe, and is noted for its Bournonville style of ballet.[201]
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Copenhagen has a significant jazz scene that has existed for many years. It developed when a number of American jazz musicians such as Ben Webster, Thad Jones, Richard Boone, Ernie Wilkins, Kenny Drew, Ed Thigpen, Bob Rockwell, Dexter Gordon, and others such as rock guitarist Link Wray came to live in Copenhagen during the 1960s. Every year in early July, Copenhagen's streets, squares, parks as well as cafés and concert halls fill up with big and small jazz concerts during the Copenhagen Jazz Festival. One of Europe's top jazz festivals, the annual event features around 900 concerts at 100 venues with over 200,000 guests from Denmark and around the world.[202]
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The largest venue for popular music in Copenhagen is Vega in the Vesterbro district. It was chosen as "best concert venue in Europe" by international music magazine Live. The venue has three concert halls: the great hall, Store Vega, accommodates audiences of 1,550, the middle hall, Lille Vega, has space for 500 and Ideal Bar Live has a capacity of 250.[203] Every September since 2006, the Festival of Endless Gratitude (FOEG) has taken place in Copenhagen. This festival focuses on indie counterculture, experimental pop music and left field music combined with visual arts exhibitions.[204]
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Copenhagen is home to the "K-Town" punk and hardcore music community. This community developed around the underground scene venue Ungdomshuset in the late 1990s punk scene, with punk- and hardcore acts such as Snipers, Amdi Petersens Armé, Gorilla Angreb, Young Wasteners, and No Hope for the Kids emerging as significant bands.[205] The term "K-town" got international recognition within the punk-scene with the emergence of "K-Town" festivals. In 2001, the first of these was held in Ungdomshuset, on Jagtvej 69, Nørrebro, Copenhagen.[206] The festival temporarily moved to Freetown Christiania after Ungdomshuset was evicted from its original location until a new Ungdomshuset location was opened on Dortheavej 61.[207]
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For free entertainment one can stroll along Strøget, especially between Nytorv and Højbro Plads, which in the late afternoon and evening is a bit like an impromptu three-ring circus with musicians, magicians, jugglers and other street performers.[208]
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Most of Denmarks's major publishing houses are based in Copenhagen.[209] These include the book publishers Gyldendal and Akademisk Forlag and newspaper publishers Berlingske and Politiken (the latter also publishing books).[210][211] Many of the most important contributors to Danish literature such as Hans Christian Andersen (1805–1875) with his fairy tales, the philosopher Søren Kierkegaard (1813–1855) and playwright Ludvig Holberg (1684–1754) spent much of their lives in Copenhagen. Novels set in Copenhagen include Baby (1973) by Kirsten Thorup, The Copenhagen Connection (1982) by Barbara Mertz, Number the Stars (1989) by Lois Lowry, Miss Smilla's Feeling for Snow (1992) and Borderliners (1993) by Peter Høeg, Music and Silence (1999) by Rose Tremain, The Danish Girl (2000) by David Ebershoff, and Sharpe's Prey (2001) by Bernard Cornwell. Michael Frayn's 1998 play Copenhagen about the meeting between the physicists Niels Bohr and Werner Heisenberg in 1941 is also set in the city. On 15–18 August 1973, an oral literature conference took place in Copenhagen as part of the 9th International Congress of Anthropological and Ethnological Sciences.[212]
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The Royal Library, belonging to the University of Copenhagen, is the largest library in the Nordic countries with an almost complete collection of all printed Danish books since 1482. Founded in 1648, the Royal Library is located at four sites in the city, the main one being on the Slotsholmen waterfront.[213] Copenhagen's public library network has over 20 outlets, the largest being the Central Library (Københavns Hovedbibliotek) on Krystalgade in the inner city.[214]
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Copenhagen has a wide selection of art museums and galleries displaying both historic works and more modern contributions. They include Statens Museum for Kunst, i.e. the Danish national art gallery, in the Østre Anlæg park, and the adjacent Hirschsprung Collection specialising in the 19th and early 20th century. Kunsthal Charlottenborg in the city centre exhibits national and international contemporary art. Den Frie Udstilling near the Østerport Station exhibits paintings created and selected by contemporary artists themselves rather than by the official authorities. The Arken Museum of Modern Art is located in southwestern Ishøj.[215] Among artists who have painted scenes of Copenhagen are Martinus Rørbye (1803–1848),[216] Christen Købke (1810–1848)[217] and the prolific Paul Gustav Fischer (1860–1934).[218]
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A number of notable sculptures can be seen in the city. In addition to The Little Mermaid on the waterfront, there are two historic equestrian statues in the city centre: Jacques Saly's Frederik V on Horseback (1771) in Amalienborg Square[219] and the statue of Christian V on Kongens Nytorv created by Abraham-César Lamoureux in 1688 who was inspired by the statue of Louis XIII in Paris.[220] Rosenborg Castle Gardens contains several sculptures and monuments including August Saabye's Hans Christian Andersen, Aksel Hansen's Echo, and Vilhelm Bissen's Dowager Queen Caroline Amalie.[221]
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Copenhagen is believed to have invented the photomarathon photography competition, which has been held in the City each year since 1989.[222][223]
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As of 2014[update], Copenhagen has 15 Michelin-starred restaurants, the most of any Scandinavian city.[224] The city is increasingly recognized internationally as a gourmet destination.[225] These include Den Røde Cottage, Formel B Restaurant, Grønbech & Churchill, Søllerød Kro, Kadeau, Kiin Kiin (Denmark's first Michelin-starred Asian gourmet restaurant), the French restaurant Kong Hans Kælder, Relæ, Restaurant AOC, Noma (short for Danish: nordisk mad, English: Nordic food) with two Stars and Geranium with three. Noma, was ranked as the Best Restaurant in the World by Restaurant in 2010, 2011, 2012, and again in 2014,[226] sparking interest in the New Nordic Cuisine.[227]
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Apart from the selection of upmarket restaurants, Copenhagen offers a great variety of Danish, ethnic and experimental restaurants. It is possible to find modest eateries serving open sandwiches, known as smørrebrød – a traditional, Danish lunch dish; however, most restaurants serve international dishes.[228] Danish pastry can be sampled from any of numerous bakeries found in all parts of the city. The Copenhagen Baker's Association dates back to the 1290s and Denmark's oldest confectioner's shop still operating, Conditori La Glace, was founded in 1870 in Skoubogade by Nicolaus Henningsen, a trained master baker from Flensburg.[229]
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Copenhagen has long been associated with beer. Carlsberg beer has been brewed at the brewery's premises on the border between the Vesterbro and Valby districts since 1847 and has long been almost synonymous with Danish beer production. However, recent years have seen an explosive growth in the number of microbreweries so that Denmark today has more than 100 breweries, many of which are located in Copenhagen. Some like Nørrebro Bryghus also act as brewpubs where it is also possible to eat on the premises.[230][231]
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Copenhagen has one of the highest number of restaurants and bars per capita in the world.[232] The nightclubs and bars stay open until 5 or 6 in the morning, some even longer. Denmark has a very liberal alcohol culture and a strong tradition for beer breweries, although binge drinking is frowned upon and the Danish Police take driving under the influence very seriously.[233] Inner city areas such as Istedgade and Enghave Plads in Vesterbro, Sankt Hans Torv in Nørrebro and certain places in Frederiksberg are especially noted for their nightlife. Notable nightclubs include Bakken Kbh, ARCH (previously ZEN), Jolene, The Jane, Chateau Motel, KB3, At Dolores (previously Sunday Club), Rust, Vega Nightclub, Culture Box and Gefährlich, which also serves as a bar, café, restaurant, and art gallery.[234][235]
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Copenhagen has several recurring community festivals, mainly in the summer. Copenhagen Carnival has taken place every year since 1982 during the Whitsun Holiday in Fælledparken and around the city with the participation of 120 bands, 2,000 dancers and 100,000 spectators.[236] Since 2010, the old B&W Shipyard at Refshaleøen in the harbour has been the location for Copenhell, a heavy metal rock music festival. Copenhagen Pride is a gay pride festival taking place every year in August. The Pride has a series of different activities all over Copenhagen, but it is at the City Hall Square that most of the celebration takes place. During the Pride the square is renamed Pride Square.[237] Copenhagen Distortion has emerged to be one of the biggest street festivals in Europe with 100,000 people joining to parties in the beginning of June every year.
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Copenhagen has the two oldest amusement parks in the world.[238][239]
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Dyrehavsbakken, a fair-ground and pleasure-park established in 1583, is located in Klampenborg just north of Copenhagen in a forested area known as Dyrehaven. Created as an amusement park complete with rides, games and restaurants by Christian IV, it is the oldest surviving amusement park in the world.[238] Pierrot (Danish: Pjerrot), a nitwit dressed in white with a scarlet grin wearing a boat-like hat while entertaining children, remains one of the park's key attractions. In Danish, Dyrehavsbakken is often abbreviated as Bakken. There is no entrance fee to pay and Klampenborg Station on the C-line, is situated nearby.[240]
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The Tivoli Gardens is an amusement park and pleasure garden located in central Copenhagen between the City Hall Square and the Central Station. It opened in 1843, making it the second oldest amusement park in the world. Among its rides are the oldest still operating rollercoaster Rutschebanen from 1915 and the oldest ferris wheel still in use, opened in 1943.[241] Tivoli Gardens also serves as a venue for various performing arts and as an active part of the cultural scene in Copenhagen.[242]
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Copenhagen has over 94,000 students enrolled in its largest universities and institutions: University of Copenhagen (38,867 students),[243] Copenhagen Business School (19,999 students),[244] Metropolitan University College and University College Capital (10,000 students each),[245] Technical University of Denmark (7,000 students),[246] KEA (c. 4,500 students),[247] IT University of Copenhagen (2,000 students) and Aalborg University – Copenhagen (2,300 students).[248]
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The University of Copenhagen is Denmark's oldest university founded in 1479. It attracts some 1,500 international and exchange students every year. The Academic Ranking of World Universities placed it 30th in the world in 2016.[249]
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The Technical University of Denmark is located in Lyngby in the northern outskirts of Copenhagen. In 2013, it was ranked as one of the leading technical universities in Northern Europe.[250] The IT University is Denmark's youngest university, a mono-faculty institution focusing on technical, societal and business aspects of information technology.[251]
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The Danish Academy of Fine Arts has provided education in the arts for more than 250 years. It includes the historic School of Visual Arts, and has in later years come to include a School of Architecture, a School of Design and a School of Conservation.[252] Copenhagen Business School (CBS) is an EQUIS-accredited business school located in Frederiksberg.[253]
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There are also branches of both University College Capital and Metropolitan University College inside and outside Copenhagen.[254][255]
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The city has a variety of sporting teams. The major football teams are the historically successful FC København[256] and Brøndby. FC København plays at Parken in Østerbro. Formed in 1992, it is a merger of two older Copenhagen clubs, B 1903 (from the inner suburb Gentofte) and KB (from Frederiksberg).[257] Brøndby plays at Brøndby Stadion in the inner suburb of Brøndbyvester. BK Frem is based in the southern part of Copenhagen (Sydhavnen, Valby). Other teams are FC Nordsjælland (from suburban Farum), Fremad Amager, B93, AB, Lyngby and Hvidovre IF.[258]
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Copenhagen has several handball teams—a sport which is particularly popular in Denmark. Of clubs playing in the "highest" leagues, there are Ajax, Ydun, and HIK (Hellerup).[258] The København Håndbold women's club has recently been established.[259] Copenhagen also has ice hockey teams, of which three play in the top league, Rødovre Mighty Bulls, Herlev Eagles and Hvidovre Ligahockey all inner suburban clubs. Copenhagen Ice Skating Club founded in 1869 is the oldest ice hockey team in Denmark but is no longer in the top league.[260]
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Rugby union is also played in the Danish capital with teams such as CSR-Nanok, Copenhagen Business School Sport Rugby, Frederiksberg RK, Exiles RUFC and Rugbyklubben Speed. Rugby league is now played in Copenhagen, with the national team playing out of Gentofte Stadion. The Danish Australian Football League, based in Copenhagen is the largest Australian rules football competition outside of the English-speaking world.[258][261]
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Copenhagen Marathon, Copenhagen's annual marathon event, was established in 1980.[262]
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Round Christiansborg Open Water Swim Race is a 2-kilometre (1.2-mile) open water swimming competition taking place each year in late August.[263] This amateur event is combined with a 10-kilometre (6-mile) Danish championship.[264] In 2009 the event included a 10-kilometre (6-mile) FINA World Cup competition in the morning. Copenhagen hosted the 2011 UCI Road World Championships in September 2011, taking advantage of its bicycle-friendly infrastructure. It was the first time that Denmark had hosted the event since 1956, when it was also held in Copenhagen.[265]
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The greater Copenhagen area has a very well established transportation infrastructure making it a hub in Northern Europe. Copenhagen Airport, opened in 1925, is Scandinavia's largest airport, located in Kastrup on the island of Amager. It is connected to the city centre by metro and main line railway services.[266] October 2013 was a record month with 2.2 million passengers, and November 2013 figures reveal that the number of passengers is increasing by some 3% annually, about 50% more than the European average.[267]
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Copenhagen has an extensive road network including motorways connecting the city to other parts of Denmark and to Sweden over the Øresund Bridge.[268] The car is still the most popular form of transport within the city itself, representing two-thirds of all distances travelled. This can however lead to serious congestion in rush hour traffic.[269] The Øresund train links Copenhagen with Malmö 24 hours a day, 7 days a week.
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Copenhagen is also served by a daily ferry connection to Oslo in Norway.[270] In 2012, Copenhagen Harbour handled 372 cruise ships and 840,000 passengers.[270]
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The Copenhagen S-Train, Copenhagen Metro and the regional train networks are used by about half of the city's passengers, the remainder using bus services. Nørreport Station near the city centre serves passengers travelling by main-line rail, S-train, regional train, metro and bus. Some 750,000 passengers make use of public transport facilities every day.[268] Copenhagen Central Station is the hub of the DSB railway network serving Denmark and international destinations.[271]
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The Copenhagen Metro expanded radically with the opening of the City Circle Line (M3) on September 29, 2019.[272] The new line connects all inner boroughs of the city by metro, including the Central Station, and opens up 17 new stations[273] for Copenhageners. On March 28, 2020, the 2.2 km (1.4 mi) Nordhavn extension of the Harbour Line (M4) opened.[274] Running from Copenhagen Central Station, the new extension is a branch line of M3 Cityring to Osterport.[275] The M4 Sydhavn branch is expected to open in 2024.[276] The new metro lines are part of the city's strategy to transform mobility towards sustainable modes of transport such as public transport and cycling as opposed to automobility.[277]
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Copenhagen is cited by urban planners for its exemplary integration of public transport and urban development. In implementing its Finger Plan, Copenhagen is considered the world's first example of a transit metropolis,[50] and areas around S-Train stations like Ballerup and Brøndby Strand are among the earliest examples of transit-oriented development.
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Copenhaden has been rated as the most bicycle-friendly city in the world since 2015, with bicycles outnumbering its inhabitants.[278][279][280] In 2012 some 36% of all working or studying city-dwellers cycled to work, school, or university. With 1.27 million km covered every working day by Copenhagen's cyclists (including both residents and commuters), and 75% of Copenhageners cycling throughout the year.[281] The city's bicycle paths are extensive and well used, boasting 400 kilometres (250 miles) of cycle lanes not shared with cars or pedestrians, and sometimes have their own signal systems – giving the cyclists a lead of a couple of seconds to accelerate.[280][282]
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Promoting health is an important issue for Copenhagen's municipal authorities. Central to its sustainability mission is its "Long Live Copenhagen" (Længe Leve København) scheme in which it has the goal of increasing the life expectancy of citizens, improving quality of life through better standards of health, and encouraging more productive lives and equal opportunities.[283] The city has targets to encourage people to exercise regularly and to reduce the number who smoke and consume alcohol.[283]
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Copenhagen University Hospital forms a conglomerate of several hospitals in Region Hovedstaden and Region Sjælland, together with the faculty of health sciences at the University of Copenhagen; Rigshospitalet and Bispebjerg Hospital in Copenhagen belong to this group of university hospitals.[284] Rigshospitalet began operating in March 1757 as Frederiks Hospital,[285] and became state-owned in 1903. With 1,120 beds, Rigshospitalet has responsibility for 65,000 inpatients and approximately 420,000 outpatients annually. It seeks to be the number one specialist hospital in the country, with an extensive team of researchers into cancer treatment, surgery and radiotherapy.[286] In addition to its 8,000 personnel, the hospital has training and hosting functions. It benefits from the presence of in-service students of medicine and other healthcare sciences, as well as scientists working under a variety of research grants. The hospital became internationally famous as the location of Lars von Trier's television horror mini-series The Kingdom. Bispebjerg Hospital was built in 1913, and serves about 400,000 people in the Greater Copenhagen area, with some 3,000 employees.[287] Other large hospitals in the city include Amager Hospital (1997),[288] Herlev Hospital (1976),[289] Hvidovre Hospital (1970),[290] and Gentofte Hospital (1927).[291]
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Many Danish media corporations are located in Copenhagen. DR, the major Danish public service broadcasting corporation consolidated its activities in a new headquarters, DR Byen, in 2006 and 2007. Similarly TV2, which is based in Odense, has concentrated its Copenhagen activities in a modern media house in Teglholmen.[292] The two national daily newspapers Politiken and Berlingske Tidende and the two tabloids Ekstra Bladet and BT are based in Copenhagen.[293] Kristeligt Dagblad is based in Copenhagen and is published six days a week.[294] Other important media corporations include Aller Media which is the largest publisher of weekly and monthly magazines in Scandinavia,[295] the Egmont media group[296] and Gyldendal, the largest Danish publisher of books.[297]
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Copenhagen has a large film and television industry. Nordisk Film, established in Valby, Copenhagen in 1906 is the oldest continuously operating film production company in the world.[236] In 1992 it merged with the Egmont media group and currently runs the 17-screen Palads Cinema in Copenhagen. Filmbyen (movie city), located in a former military camp in the suburb of Hvidovre, houses several movie companies and studios. Zentropa is a film company, co-owned by Danish director Lars von Trier. He is behind several international movie productions as well and founded the Dogme Movement.[298] CPH:PIX is Copenhagen's international feature film festival, established in 2009 as a fusion of the 20-year-old NatFilm Festival and the four-year-old CIFF. The CPH:PIX festival takes place in mid-April. CPH:DOX is Copenhagen's international documentary film festival, every year in November. In addition to a documentary film programme of over 100 films, CPH:DOX includes a wide event programme with dozens of events, concerts, exhibitions and parties all over town.[299]
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Copenhagen is twinned or cooperating with the following cities:
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People awarded the honorary citizenship of Copenhagen are:
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While honorary citizenship is no longer granted in Copenhagen, three people have been awarded the title of honorary Copenhageners (æreskøbenhavnere).
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Copenhagen City - Driving in Denmark
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Nicolaus Copernicus (/koʊˈpɜːrnɪkəs, kə-/;[2][3][4] Polish: Mikołaj Kopernik;[b] German: Nikolaus Kopernikus; Niklas Koppernigk; 19 February 1473 – 24 May 1543) was a Renaissance-era mathematician and astronomer, who formulated a model of the universe that placed the Sun rather than Earth at the center of the universe, in all likelihood independently of Aristarchus of Samos, who had formulated such a model some eighteen centuries earlier.[5][c][d]
|
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The publication of Copernicus' model in his book De revolutionibus orbium coelestium (On the Revolutions of the Celestial Spheres), just before his death in 1543, was a major event in the history of science, triggering the Copernican Revolution and making a pioneering contribution to the Scientific Revolution.[7]
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Copernicus was born and died in Royal Prussia, a region that had been part of the Kingdom of Poland since 1466. A polyglot and polymath, he obtained a doctorate in canon law and was also a mathematician, astronomer, physician, classics scholar, translator, governor, diplomat, and economist. In 1517 he derived a quantity theory of money—a key concept in economics—and in 1519 he formulated an economic principle that later came to be called Gresham's law.[e]
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Nicolaus Copernicus was born on 19 February 1473 in the city of Toruń (Thorn), in the province of Royal Prussia, in the Crown of the Kingdom of Poland.[9][10]
|
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His father was a merchant from Kraków and his mother was the daughter of a wealthy Toruń merchant.[11] Nicolaus was the youngest of four children. His brother Andreas (Andrew) became an Augustinian canon at Frombork (Frauenburg).[11] His sister Barbara, named after her mother, became a Benedictine nun and, in her final years, prioress of a convent in Chełmno (Kulm); she died after 1517.[11] His sister Katharina married the businessman and Toruń city councilor Barthel Gertner and left five children, whom Copernicus looked after to the end of his life.[11] Copernicus never married and is not known to have had children, but from at least 1531 until 1539 his relations with Anna Schilling, a live-in housekeeper, were seen as scandalous by two bishops of Warmia who urged him over the years to break off relations with his "mistress".[12]
|
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Copernicus' father's family can be traced to a village in Silesia near Nysa (Neiße). The village's name has been variously spelled Kopernik,[f] Copernik, Copernic, Kopernic, Coprirnik, and today Koperniki.[14]
|
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In the 14th century, members of the family began moving to various other Silesian cities, to the Polish capital, Kraków (1367), and to Toruń (1400).[14] The father, Mikołaj the Elder, likely the son of Jan, came from the Kraków line.[14]
|
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Nicolaus was named after his father, who appears in records for the first time as a well-to-do merchant who dealt in copper, selling it mostly in Danzig (Gdańsk).[15][16] He moved from Kraków to Toruń around 1458.[17] Toruń, situated on the Vistula River, was at that time embroiled in the Thirteen Years' War, in which the Kingdom of Poland and the Prussian Confederation, an alliance of Prussian cities, gentry and clergy, fought the Teutonic Order over control of the region. In this war, Hanseatic cities like Danzig and Toruń, Nicolaus Copernicus's hometown, chose to support the Polish King, Casimir IV Jagiellon, who promised to respect the cities' traditional vast independence, which the Teutonic Order had challenged. Nicolaus' father was actively engaged in the politics of the day and supported Poland and the cities against the Teutonic Order.[18] In 1454 he mediated negotiations between Poland's Cardinal Zbigniew Oleśnicki and the Prussian cities for repayment of war loans.[14] In the Second Peace of Thorn (1466), the Teutonic Order formally relinquished all claims to its western province, which as Royal Prussia remained a region of the Crown of the Kingdom of Poland until the First (1772) and Second (1793) Partitions of Poland.
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Copernicus's father married Barbara Watzenrode, the astronomer's mother, between 1461 and 1464.[14] He died about 1483.[11]
|
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Nicolaus' mother, Barbara Watzenrode, was the daughter of a wealthy Toruń patrician and city councillor, Lucas Watzenrode the Elder (deceased 1462), and Katarzyna (widow of Jan Peckau), mentioned in other sources as Katarzyna Rüdiger gente Modlibóg (deceased 1476).[11] The Modlibógs were a prominent Polish family who had been well known in Poland's history since 1271.[19] The Watzenrode family, like the Kopernik family, had come from Silesia from near Świdnica (Schweidnitz), and after 1360 had settled in Toruń. They soon became one of the wealthiest and most influential patrician families.[11] Through the Watzenrodes' extensive family relationships by marriage, Copernicus was related to wealthy families of Toruń (Thorn), Gdańsk (Danzig) and Elbląg (Elbing), and to prominent Polish noble families of Prussia: the Czapskis, Działyńskis, Konopackis and Kościeleckis.[11] Lucas and Katherine had three children: Lucas Watzenrode the Younger (1447–1512), who would become Bishop of Warmia and Copernicus's patron; Barbara, the astronomer's mother (deceased after 1495); and Christina (deceased before 1502), who in 1459 married the Toruń merchant and mayor, Tiedeman von Allen.[11]
|
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Lucas Watzenrode the Elder, a wealthy merchant and in 1439–62 president of the judicial bench, was a decided opponent of the Teutonic Knights.[11] In 1453 he was the delegate from Toruń at the Grudziądz (Graudenz) conference that planned the uprising against them.[11] During the ensuing Thirteen Years' War (1454–66), he actively supported the Prussian cities' war effort with substantial monetary subsidies (only part of which he later re-claimed), with political activity in Toruń and Danzig, and by personally fighting in battles at Łasin (Lessen) and Malbork (Marienburg).[11] He died in 1462.[11]
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Lucas Watzenrode the Younger, the astronomer's maternal uncle and patron, was educated at the University of Kraków (now Jagiellonian University) and at the universities of Cologne and Bologna. He was a bitter opponent of the Teutonic Order,[g] and its Grand Master once referred to him as "the devil incarnate".[h] In 1489 Watzenrode was elected Bishop of Warmia (Ermeland, Ermland) against the preference of King Casimir IV, who had hoped to install his own son in that seat.[22] As a result, Watzenrode quarreled with the king until Casimir IV's death three years later.[23] Watzenrode was then able to form close relations with three successive Polish monarchs: John I Albert, Alexander Jagiellon, and Sigismund I the Old. He was a friend and key advisor to each ruler, and his influence greatly strengthened the ties between Warmia and Poland proper.[24] Watzenrode came to be considered the most powerful man in Warmia, and his wealth, connections and influence allowed him to secure Copernicus' education and career as a canon at Frombork Cathedral.[22][i]
|
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Copernicus is postulated to have spoken Latin, German, and Polish with equal fluency; he also spoke Greek and Italian, and had some knowledge of Hebrew.[j][k][l][m] The vast majority of Copernicus's extant writings are in Latin, the language of European academia in his lifetime.
|
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Arguments for German being Copernicus's native tongue are that he was born into a predominantly German-speaking urban patrician class using German, next to Latin, as language of trade and commerce in written documents,[34] and that, while studying canon law at Bologna in 1496, he signed into the German natio (Natio Germanorum)—a student organization which, according to its 1497 by-laws, was open to students of all kingdoms and states whose mother-tongue was German.[35] However, according to French philosopher Alexandre Koyré, Copernicus's registration with the Natio Germanorum does not in itself imply that Copernicus considered himself German, since students from Prussia and Silesia were routinely so categorized, which carried certain privileges that made it a natural choice for German-speaking students, regardless of their ethnicity or self-identification.[35][n][o][38]
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The surname Kopernik, Copernik, Koppernigk, in various spellings, is recorded in Kraków from c. 1350, apparently given to people from the village of Koperniki (prior to 1845 rendered Kopernik, Copernik, Copirnik, and Koppirnik) in the Duchy of Nysa, 10 km south of Nysa, and now 10 km north of the Polish-Czech border. Nicolaus Copernicus' great-grandfather is recorded as having received citizenship in Kraków in 1386. The toponym Kopernik (modern Koperniki) has been variously tied to the Polish word for "dill" (koper) and the German word for "copper" (Kupfer).[p] The suffix -nik (or plural, -niki) denotes a Slavic and Polish agent noun.
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As was common in the period, the spellings of both the toponym and the surname vary greatly. Copernicus "was rather indifferent about orthography".[39] During his childhood, about 1480, the name of his father (and thus of the future astronomer) was recorded in Thorn as Niclas Koppernigk.[40]
|
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At Kraków he signed himself, in Latin, Nicolaus Nicolai de Torunia (Nicolaus, son of Nicolaus, of Toruń).[q] At Bologna, in 1496, he registered in the Matricula Nobilissimi Germanorum Collegii, resp. Annales Clarissimae Nacionis Germanorum, of the Natio Germanica Bononiae, as Dominus Nicolaus Kopperlingk de Thorn – IX grosseti.[42][43] At Padua he signed himself "Nicolaus Copernik", later "Coppernicus".[39] The astronomer thus Latinized his name to Coppernicus, generally with two "p"s (in 23 of 31 documents studied),[44] but later in life he used a single "p". On the title page of De revolutionibus, Rheticus published the name (in the genitive, or possessive, case) as "Nicolai Copernici".[r]
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Upon his father's death, young Nicolaus' maternal uncle, Lucas Watzenrode the Younger (1447–1512), took the boy under his wing and saw to his education and career.[11] Watzenrode maintained contacts with leading intellectual figures in Poland and was a friend of the influential Italian-born humanist and Kraków courtier, Filippo Buonaccorsi.[45] There are no surviving primary documents on the early years of Copernicus's childhood and education.[11] Copernicus biographers assume that Watzenrode first sent young Copernicus to St. John's School, at Toruń, where he himself had been a master.[11] Later, according to Armitage,[s] the boy attended the Cathedral School at Włocławek, up the Vistula River from Toruń, which prepared pupils for entrance to the University of Kraków, Watzenrode's alma mater in Poland's capital.[46]
|
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In the winter semester of 1491–92 Copernicus, as "Nicolaus Nicolai de Thuronia", matriculated together with his brother Andrew at the University of Kraków (now Jagiellonian University).[11] Copernicus began his studies in the Department of Arts (from the fall of 1491, presumably until the summer or fall of 1495) in the heyday of the Kraków astronomical-mathematical school, acquiring the foundations for his subsequent mathematical achievements.[11] According to a later but credible tradition (Jan Brożek), Copernicus was a pupil of Albert Brudzewski, who by then (from 1491) was a professor of Aristotelian philosophy but taught astronomy privately outside the university; Copernicus became familiar with Brudzewski's widely read commentary to Georg von Peuerbach's Theoricæ novæ planetarum and almost certainly attended the lectures of Bernard of Biskupie and Wojciech Krypa of Szamotuły, and probably other astronomical lectures by Jan of Głogów, Michał of Wrocław (Breslau), Wojciech of Pniewy, and Marcin Bylica of Olkusz.[47]
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Copernicus' Kraków studies gave him a thorough grounding in the mathematical astronomy taught at the University (arithmetic, geometry, geometric optics, cosmography, theoretical and computational astronomy) and a good knowledge of the philosophical and natural-science writings of Aristotle (De coelo, Metaphysics) and Averroes (which in the future would play an important role in the shaping of Copernicus' theory), stimulating his interest in learning and making him conversant with humanistic culture.[22] Copernicus broadened the knowledge that he took from the university lecture halls with independent reading of books that he acquired during his Kraków years (Euclid, Haly Abenragel, the Alfonsine Tables, Johannes Regiomontanus' Tabulae directionum); to this period, probably, also date his earliest scientific notes, now preserved partly at Uppsala University.[22] At Kraków Copernicus began collecting a large library on astronomy; it would later be carried off as war booty by the Swedes during the Deluge in the 1650s and is now at the Uppsala University Library.[48]
|
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|
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Copernicus' four years at Kraków played an important role in the development of his critical faculties and initiated his analysis of logical contradictions in the two "official" systems of astronomy—Aristotle's theory of homocentric spheres, and Ptolemy's mechanism of eccentrics and epicycles—the surmounting and discarding of which would be the first step toward the creation of Copernicus' own doctrine of the structure of the universe.[22]
|
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+
Without taking a degree, probably in the fall of 1495, Copernicus left Kraków for the court of his uncle Watzenrode, who in 1489 had been elevated to Prince-Bishop of Warmia and soon (before November 1495) sought to place his nephew in the Warmia canonry vacated by the 26 August 1495 death of its previous tenant, Jan Czanow. For unclear reasons—probably due to opposition from part of the chapter, who appealed to Rome—Copernicus' installation was delayed, inclining Watzenrode to send both his nephews to study canon law in Italy, seemingly with a view to furthering their ecclesiastic careers and thereby also strengthening his own influence in the Warmia chapter.[22]
|
43 |
+
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44 |
+
On 20 October 1497, Copernicus, by proxy, formally succeeded to the Warmia canonry which had been granted to him two years earlier. To this, by a document dated 10 January 1503 at Padua, he would add a sinecure at the Collegiate Church of the Holy Cross and St. Bartholomew in Wrocław (at the time in the Kingdom of Bohemia). Despite having been granted a papal indult on 29 November 1508 to receive further benefices, through his ecclesiastic career Copernicus not only did not acquire further prebends and higher stations (prelacies) at the chapter, but in 1538 he relinquished the Wrocław sinecure. It is unclear whether he was ever ordained a priest.[49] Edward Rosen asserts that he was not.[50][51] Copernicus did take minor orders, which sufficed for assuming a chapter canonry.[22] The Catholic Encyclopedia proposes that his ordination was probable, as in 1537 he was one of four candidates for the episcopal seat of Warmia, a position which required ordination.[52]
|
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+
|
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+
Meanwhile, leaving Warmia in mid-1496—possibly with the retinue of the chapter's chancellor, Jerzy Pranghe, who was going to Italy—in the fall, possibly in October, Copernicus arrived in Bologna and a few months later (after 6 January 1497) signed himself into the register of the Bologna University of Jurists' "German nation", which included young Poles from Silesia, Prussia and Pomerania as well as students of other nationalities.[22]
|
47 |
+
|
48 |
+
During his three-year stay at Bologna, which occurred between fall 1496 and spring 1501, Copernicus seems to have devoted himself less keenly to studying canon law (he received his doctorate in law only after seven years, following a second return to Italy in 1503) than to studying the humanities—probably attending lectures by Filippo Beroaldo, Antonio Urceo, called Codro, Giovanni Garzoni, and Alessandro Achillini—and to studying astronomy. He met the famous astronomer Domenico Maria Novara da Ferrara and became his disciple and assistant.[22] Copernicus was developing new ideas inspired by reading the "Epitome of the Almagest" (Epitome in Almagestum Ptolemei) by George von Peuerbach and Johannes Regiomontanus (Venice, 1496). He verified its observations about certain peculiarities in Ptolemy's theory of the Moon's motion, by conducting on 9 March 1497 at Bologna a memorable observation of the occultation of Aldebaran, the brightest star in the Taurus constellation, by the moon. Copernicus the humanist sought confirmation for his growing doubts through close reading of Greek and Latin authors (Pythagoras, Aristarchos of Samos, Cleomedes, Cicero, Pliny the Elder, Plutarch, Philolaus, Heraclides, Ecphantos, Plato), gathering, especially while at Padua, fragmentary historic information about ancient astronomical, cosmological and calendar systems.[53]
|
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+
|
50 |
+
Copernicus spent the jubilee year 1500 in Rome, where he arrived with his brother Andrew that spring, doubtless to perform an apprenticeship at the Papal Curia. Here, too, however, he continued his astronomical work begun at Bologna, observing, for example, a lunar eclipse on the night of 5–6 November 1500. According to a later account by Rheticus, Copernicus also—probably privately, rather than at the Roman Sapienza—as a "Professor Mathematum" (professor of astronomy) delivered, "to numerous... students and... leading masters of the science", public lectures devoted probably to a critique of the mathematical solutions of contemporary astronomy.[54]
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+
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On his return journey doubtless stopping briefly at Bologna, in mid-1501 Copernicus arrived back in Warmia. After on 28 July receiving from the chapter a two-year extension of leave in order to study medicine (since "he may in future be a useful medical advisor to our Reverend Superior [Bishop Lucas Watzenrode] and the gentlemen of the chapter"), in late summer or in the fall he returned again to Italy, probably accompanied by his brother Andrew[t] and by Canon Bernhard Sculteti. This time he studied at the University of Padua, famous as a seat of medical learning, and—except for a brief visit to Ferrara in May–June 1503 to pass examinations for, and receive, his doctorate in canon law—he remained at Padua from fall 1501 to summer 1503.[54]
|
53 |
+
|
54 |
+
Copernicus studied medicine probably under the direction of leading Padua professors—Bartolomeo da Montagnana, Girolamo Fracastoro, Gabriele Zerbi, Alessandro Benedetti—and read medical treatises that he acquired at this time, by Valescus de Taranta, Jan Mesue, Hugo Senensis, Jan Ketham, Arnold de Villa Nova, and Michele Savonarola, which would form the embryo of his later medical library.[54]
|
55 |
+
|
56 |
+
One of the subjects that Copernicus must have studied was astrology, since it was considered an important part of a medical education.[56] However, unlike most other prominent Renaissance astronomers, he appears never to have practiced or expressed any interest in astrology.[57]
|
57 |
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|
58 |
+
As at Bologna, Copernicus did not limit himself to his official studies. It was probably the Padua years that saw the beginning of his Hellenistic interests. He familiarized himself with Greek language and culture with the aid of Theodorus Gaza's grammar (1495) and J.B. Chrestonius' dictionary (1499), expanding his studies of antiquity, begun at Bologna, to the writings of Basilius Bessarion, Lorenzo Valla and others. There also seems to be evidence that it was during his Padua stay that the idea finally crystallized, of basing a new system of the world on the movement of the Earth.[54]
|
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+
As the time approached for Copernicus to return home, in spring 1503 he journeyed to Ferrara where, on 31 May 1503, having passed the obligatory examinations, he was granted the degree of Doctor of Canon Law (Nicolaus Copernich de Prusia, Jure Canonico ... et doctoratus[58]). No doubt it was soon after (at latest, in fall 1503) that he left Italy for good to return to Warmia.[54]
|
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Copernicus made three observations of Mercury, with errors of −3, −15 and −1 minutes of arc. He made one of Venus, with an error of −24 minutes. Four were made of Mars, with errors of 2, 20, 77, and 137 minutes. Four observations were made of Jupiter, with errors of 32, 51, −11 and 25 minutes. He made four of Saturn, with errors of 31, 20, 23 and −4 minutes.[59]
|
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Having completed all his studies in Italy, 30-year-old Copernicus returned to Warmia, where he would live out the remaining 40 years of his life, apart from brief journeys to Kraków and to nearby Prussian cities: Toruń (Thorn), Gdańsk (Danzig), Elbląg (Elbing), Grudziądz (Graudenz), Malbork (Marienburg), Königsberg (Królewiec).[54]
|
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The Prince-Bishopric of Warmia enjoyed substantial autonomy, with its own diet (parliament) and monetary unit (the same as in the other parts of Royal Prussia) and treasury.[60]
|
66 |
+
|
67 |
+
Copernicus was his uncle's secretary and physician from 1503 to 1510 (or perhaps till his uncle's death on 29 March 1512) and resided in the Bishop's castle at Lidzbark (Heilsberg), where he began work on his heliocentric theory. In his official capacity, he took part in nearly all his uncle's political, ecclesiastic and administrative-economic duties. From the beginning of 1504, Copernicus accompanied Watzenrode to sessions of the Royal Prussian diet held at Malbork and Elbląg and, write Dobrzycki and Hajdukiewicz, "participated... in all the more important events in the complex diplomatic game that ambitious politician and statesman played in defense of the particular interests of Prussia and Warmia, between hostility to the [Teutonic] Order and loyalty to the Polish Crown."[54]
|
68 |
+
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+
In 1504–12 Copernicus made numerous journeys as part of his uncle's retinue—in 1504, to Toruń and Gdańsk, to a session of the Royal Prussian Council in the presence of Poland's King Alexander Jagiellon; to sessions of the Prussian diet at Malbork (1506), Elbląg (1507) and Sztum (Stuhm) (1512); and he may have attended a Poznań (Posen) session (1510) and the coronation of Poland's King Sigismund I the Old in Kraków (1507). Watzenrode's itinerary suggests that in spring 1509 Copernicus may have attended the Kraków sejm.[54]
|
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+
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+
It was probably on the latter occasion, in Kraków, that Copernicus submitted for printing at Jan Haller's press his translation, from Greek to Latin, of a collection, by the 7th-century Byzantine historian Theophylact Simocatta, of 85 brief poems called Epistles, or letters, supposed to have passed between various characters in a Greek story. They are of three kinds—"moral," offering advice on how people should live; "pastoral", giving little pictures of shepherd life; and "amorous", comprising love poems. They are arranged to follow one another in a regular rotation of subjects. Copernicus had translated the Greek verses into Latin prose, and he now published his version as Theophilacti scolastici Simocati epistolae morales, rurales et amatoriae interpretatione latina, which he dedicated to his uncle in gratitude for all the benefits he had received from him. With this translation, Copernicus declared himself on the side of the humanists in the struggle over the question whether Greek literature should be revived.[29] Copernicus's first poetic work was a Greek epigram, composed probably during a visit to Kraków, for Johannes Dantiscus' epithalamium for Barbara Zapolya's 1512 wedding to King Zygmunt I the Old.[61]
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+
Some time before 1514, Copernicus wrote an initial outline of his heliocentric theory known only from later transcripts, by the title (perhaps given to it by a copyist), Nicolai Copernici de hypothesibus motuum coelestium a se constitutis commentariolus—commonly referred to as the Commentariolus. It was a succinct theoretical description of the world's heliocentric mechanism, without mathematical apparatus, and differed in some important details of geometric construction from De revolutionibus; but it was already based on the same assumptions regarding Earth's triple motions. The Commentariolus, which Copernicus consciously saw as merely a first sketch for his planned book, was not intended for printed distribution. He made only a very few manuscript copies available to his closest acquaintances, including, it seems, several Kraków astronomers with whom he collaborated in 1515–30 in observing eclipses. Tycho Brahe would include a fragment from the Commentariolus in his own treatise, Astronomiae instauratae progymnasmata, published in Prague in 1602, based on a manuscript that he had received from the Bohemian physician and astronomer Tadeáš Hájek, a friend of Rheticus. The Commentariolus would appear complete in print for the first time only in 1878.[61]
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In 1510 or 1512 Copernicus moved to Frombork, a town to the northwest at the Vistula Lagoon on the Baltic Sea coast. There, in April 1512, he participated in the election of Fabian of Lossainen as Prince-Bishop of Warmia. It was only in early June 1512 that the chapter gave Copernicus an "external curia"—a house outside the defensive walls of the cathedral mount. In 1514 he purchased the northwestern tower within the walls of the Frombork stronghold. He would maintain both these residences to the end of his life, despite the devastation of the chapter's buildings by a raid against Frauenburg carried out by the Teutonic Order in January 1520, during which Copernicus's astronomical instruments were probably destroyed. Copernicus conducted astronomical observations in 1513–16 presumably from his external curia; and in 1522–43, from an unidentified "small tower" (turricula), using primitive instruments modeled on ancient ones—the quadrant, triquetrum, armillary sphere. At Frombork Copernicus conducted over half of his more than 60 registered astronomical observations.[61]
|
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Having settled permanently at Frombork, where he would reside to the end of his life, with interruptions in 1516–19 and 1520–21, Copernicus found himself at the Warmia chapter's economic and administrative center, which was also one of Warmia's two chief centers of political life. In the difficult, politically complex situation of Warmia, threatened externally by the Teutonic Order's aggressions (attacks by Teutonic bands; the Polish-Teutonic War of 1519–21; Albert's plans to annex Warmia), internally subject to strong separatist pressures (the selection of the prince-bishops of Warmia; currency reform), he, together with part of the chapter, represented a program of strict cooperation with the Polish Crown and demonstrated in all his public activities (the defense of his country against the Order's plans of conquest; proposals to unify its monetary system with the Polish Crown's; support for Poland's interests in the Warmia dominion's ecclesiastic administration) that he was consciously a citizen of the Polish-Lithuanian Republic. Soon after the death of uncle Bishop Watzenrode, he participated in the signing of the Second Treaty of Piotrków Trybunalski (7 December 1512), governing the appointment of the Bishop of Warmia, declaring, despite opposition from part of the chapter, for loyal cooperation with the Polish Crown.[61]
|
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+
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+
That same year (before 8 November 1512) Copernicus assumed responsibility, as magister pistoriae, for administering the chapter's economic enterprises (he would hold this office again in 1530), having already since 1511 fulfilled the duties of chancellor and visitor of the chapter's estates.[61]
|
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+
His administrative and economic dutes did not distract Copernicus, in 1512–15, from intensive observational activity. The results of his observations of Mars and Saturn in this period, and especially a series of four observations of the Sun made in 1515, led to discovery of the variability of Earth's eccentricity and of the movement of the solar apogee in relation to the fixed stars, which in 1515–19 prompted his first revisions of certain assumptions of his system. Some of the observations that he made in this period may have had a connection with a proposed reform of the Julian calendar made in the first half of 1513 at the request of the Bishop of Fossombrone, Paul of Middelburg. Their contacts in this matter in the period of the Fifth Lateran Council were later memorialized in a complimentary mention in Copernicus's dedicatory epistle in Dē revolutionibus orbium coelestium and in a treatise by Paul of Middelburg, Secundum compendium correctionis Calendarii (1516), which mentions Copernicus among the learned men who had sent the Council proposals for the calendar's emendation.[62]
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+
During 1516–21, Copernicus resided at Olsztyn (Allenstein) Castle as economic administrator of Warmia, including Olsztyn (Allenstein) and Pieniężno (Mehlsack). While there, he wrote a manuscript, Locationes mansorum desertorum (Locations of Deserted Fiefs), with a view to populating those fiefs with industrious farmers and so bolstering the economy of Warmia. When Olsztyn was besieged by the Teutonic Knights during the Polish–Teutonic War, Copernicus directed the defense of Olsztyn and Warmia by Royal Polish forces. He also represented the Polish side in the ensuing peace negotiations.[63]
|
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+
Copernicus for years advised the Royal Prussian sejmik on monetary reform, particularly in the 1520s when that was a major question in regional Prussian politics.[64] In 1526 he wrote a study on the value of money, "Monetae cudendae ratio". In it he formulated an early iteration of the theory, now called Gresham's law, that "bad" (debased) coinage drives "good" (un-debased) coinage out of circulation—several decades before Thomas Gresham. He also, in 1517, set down a quantity theory of money, a principal concept in economics to the present day. Copernicus's recommendations on monetary reform were widely read by leaders of both Prussia and Poland in their attempts to stabilize currency.[65]
|
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+
In 1533, Johann Widmanstetter, secretary to Pope Clement VII, explained Copernicus's heliocentric system to the Pope and two cardinals. The Pope was so pleased that he gave Widmanstetter a valuable gift.[66] In 1535 Bernard Wapowski wrote a letter to a gentleman in Vienna, urging him to publish an enclosed almanac, which he claimed had been written by Copernicus. This is the only mention of a Copernicus almanac in the historical records. The "almanac" was likely Copernicus's tables of planetary positions. Wapowski's letter mentions Copernicus's theory about the motions of the earth. Nothing came of Wapowski's request, because he died a couple of weeks later.[66]
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Following the death of Prince-Bishop of Warmia Mauritius Ferber (1 July 1537), Copernicus participated in the election of his successor, Johannes Dantiscus (20 September 1537). Copernicus was one of four candidates for the post, written in at the initiative of Tiedemann Giese; but his candidacy was actually pro forma, since Dantiscus had earlier been named coadjutor bishop to Ferber and since Dantiscus had the backing of Poland's King Sigismund I.[67] At first Copernicus maintained friendly relations with the new Prince-Bishop, assisting him medically in spring 1538 and accompanying him that summer on an inspection tour of Chapter holdings. But that autumn, their friendship was strained by suspicions over Copernicus's housekeeper, Anna Schilling, whom Dantiscus banished from Frombork in spring 1539.[67]
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In his younger days, Copernicus the physician had treated his uncle, brother and other chapter members. In later years he was called upon to attend the elderly bishops who in turn occupied the see of Warmia—Mauritius Ferber and Johannes Dantiscus—and, in 1539, his old friend Tiedemann Giese, Bishop of Chełmno (Kulm). In treating such important patients, he sometimes sought consultations from other physicians, including the physician to Duke Albert and, by letter, the Polish Royal Physician.[68]
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In the spring of 1541, Duke Albert—former Grand Master of the Teutonic Order who had converted the Monastic State of the Teutonic Knights into a Lutheran and hereditary realm, the Duchy of Prussia, upon doing homage to his uncle, the King of Poland, Sigismund I—summoned Copernicus to Königsberg to attend the Duke's counselor, George von Kunheim, who had fallen seriously ill, and for whom the Prussian doctors seemed unable to do anything. Copernicus went willingly; he had met von Kunheim during negotiations over reform of the coinage. And Copernicus had come to feel that Albert himself was not such a bad person; the two had many intellectual interests in common. The Chapter readily gave Copernicus permission to go, as it wished to remain on good terms with the Duke, despite his Lutheran faith. In about a month the patient recovered, and Copernicus returned to Frombork. For a time, he continued to receive reports on von Kunheim's condition, and to send him medical advice by letter.[70]
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Some of Copernicus's close friends turned Protestant, but Copernicus never showed a tendency in that direction. The first attacks on him came from Protestants. Wilhelm Gnapheus, a Dutch refugee settled in Elbląg, wrote a comedy in Latin, Morosophus (The Foolish Sage), and staged it at the Latin school that he had established there. In the play, Copernicus was caricatured as the eponymous Morosophus, a haughty, cold, aloof man who dabbled in astrology, considered himself inspired by God, and was rumored to have written a large work that was moldering in a chest.[45]
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Elsewhere Protestants were the first to react to news of Copernicus's theory. Melanchthon wrote:
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Some people believe that it is excellent and correct to work out a thing as absurd as did that Sarmatian [i.e., Polish] astronomer who moves the earth and stops the sun. Indeed, wise rulers should have curbed such light-mindedness.[45]
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Nevertheless, in 1551, eight years after Copernicus's death, astronomer Erasmus Reinhold published, under the sponsorship of Copernicus's former military adversary, the Protestant Duke Albert, the Prussian Tables, a set of astronomical tables based on Copernicus's work. Astronomers and astrologers quickly adopted it in place of its predecessors.[71]
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Some time before 1514 Copernicus made available to friends his "Commentariolus" ("Little Commentary"), a manuscript describing his ideas about the heliocentric hypothesis.[u] It contained seven basic assumptions (detailed below).[72] Thereafter he continued gathering data for a more detailed work.
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At about 1532 Copernicus had basically completed his work on the manuscript of Dē revolutionibus orbium coelestium; but despite urging by his closest friends, he resisted openly publishing his views, not wishing—as he confessed—to risk the scorn "to which he would expose himself on account of the novelty and incomprehensibility of his theses."[67]
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In 1533, Johann Albrecht Widmannstetter delivered a series of lectures in Rome outlining Copernicus's theory. Pope Clement VII and several Catholic cardinals heard the lectures and were interested in the theory. On 1 November 1536, Cardinal Nikolaus von Schönberg, Archbishop of Capua, wrote to Copernicus from Rome:
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Some years ago word reached me concerning your proficiency, of which everybody constantly spoke. At that time I began to have a very high regard for you... For I had learned that you had not merely mastered the discoveries of the ancient astronomers uncommonly well but had also formulated a new cosmology. In it you maintain that the earth moves; that the sun occupies the lowest, and thus the central, place in the universe... Therefore with the utmost earnestness I entreat you, most learned sir, unless I inconvenience you, to communicate this discovery of yours to scholars, and at the earliest possible moment to send me your writings on the sphere of the universe together with the tables and whatever else you have that is relevant to this subject ...[73]
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By then Copernicus's work was nearing its definitive form, and rumors about his theory had reached educated people all over Europe. Despite urgings from many quarters, Copernicus delayed publication of his book, perhaps from fear of criticism—a fear delicately expressed in the subsequent dedication of his masterpiece to Pope Paul III. Scholars disagree on whether Copernicus's concern was limited to possible astronomical and philosophical objections, or whether he was also concerned about religious objections.[v]
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Copernicus was still working on De revolutionibus orbium coelestium (even if not certain that he wanted to publish it) when in 1539 Georg Joachim Rheticus, a Wittenberg mathematician, arrived in Frombork. Philipp Melanchthon, a close theological ally of Martin Luther, had arranged for Rheticus to visit several astronomers and study with them. Rheticus became Copernicus's pupil, staying with him for two years and writing a book, Narratio prima (First Account), outlining the essence of Copernicus's theory. In 1542 Rheticus published a treatise on trigonometry by Copernicus (later included as chapters 13 and 14 of Book I of De revolutionibus).[74]
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Under strong pressure from Rheticus, and having seen the favorable first general reception of his work, Copernicus finally agreed to give De revolutionibus to his close friend, Tiedemann Giese, bishop of Chełmno (Kulm), to be delivered to Rheticus for printing by the German printer Johannes Petreius at Nuremberg (Nürnberg), Germany. While Rheticus initially supervised the printing, he had to leave Nuremberg before it was completed, and he handed over the task of supervising the rest of the printing to a Lutheran theologian, Andreas Osiander.[75]
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Osiander added an unauthorised and unsigned preface, defending Copernicus' work against those who might be offended by its novel hypotheses. He argued that "different hypotheses are sometimes offered for one and the same motion [and therefore] the astronomer will take as his first choice that hypothesis which is the easiest to grasp." According to Osiander, "these hypotheses need not be true nor even probable. [I]f they provide a calculus consistent with the observations, that alone is enough."[76]
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Toward the close of 1542, Copernicus was seized with apoplexy and paralysis, and he died at age 70 on 24 May 1543. Legend has it that he was presented with the final printed pages of his Dē revolutionibus orbium coelestium on the very day that he died, allowing him to take farewell of his life's work.[w] He is reputed to have awoken from a stroke-induced coma, looked at his book, and then died peacefully.[x]
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Copernicus was reportedly buried in Frombork Cathedral, where a 1580 epitaph stood until being defaced; it was replaced in 1735. For over two centuries, archaeologists searched the cathedral in vain for Copernicus' remains. Efforts to locate them in 1802, 1909, 1939 had come to nought. In 2004 a team led by Jerzy Gąssowski, head of an archaeology and anthropology institute in Pułtusk, began a new search, guided by the research of historian Jerzy Sikorski.[77][78] In August 2005, after scanning beneath the cathedral floor, they discovered what they believed to be Copernicus's remains.[79]
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The discovery was announced only after further research, on 3 November 2008. Gąssowski said he was "almost 100 percent sure it is Copernicus".[80] Forensic expert Capt. Dariusz Zajdel of the Polish Police Central Forensic Laboratory used the skull to reconstruct a face that closely resembled the features—including a broken nose and a scar above the left eye—on a Copernicus self-portrait.[80] The expert also determined that the skull belonged to a man who had died around age 70—Copernicus's age at the time of his death.[79]
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The grave was in poor condition, and not all the remains of the skeleton were found; missing, among other things, was the lower jaw.[81] The DNA from the bones found in the grave matched hair samples taken from a book owned by Copernicus which was kept at the library of the University of Uppsala in Sweden.[78][82]
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On 22 May 2010 Copernicus was given a second funeral in a Mass led by Józef Kowalczyk, the former papal nuncio to Poland and newly named Primate of Poland. Copernicus's remains were reburied in the same spot in Frombork Cathedral where part of his skull and other bones had been found. A black granite tombstone now identifies him as the founder of the heliocentric theory and also a church canon. The tombstone bears a representation of Copernicus's model of the Solar System—a golden Sun encircled by six of the planets.[83]
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Philolaus (c. 480–385 BCE) described an astronomical system in which a Central Fire (different from the Sun) occupied the centre of the universe, and a counter-Earth, the Earth, Moon, the Sun itself, planets, and stars all revolved around it, in that order outward from the centre.[84] Heraclides Ponticus (387–312 BCE) proposed that the Earth rotates on its axis.[85]
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Aristarchus of Samos (c. 310 BCE – c. 230 BCE) was the first to advance a theory that the earth orbited the sun.[86] Further mathematical details of Aristarchus' heliocentric system were worked out around 150 BCE by the Hellenistic astronomer Seleucus of Seleucia. Though Aristarchus' original text has been lost, a reference in Archimedes' book The Sand Reckoner (Archimedis Syracusani Arenarius & Dimensio Circuli) describes a work by Aristarchus in which he advanced the heliocentric model. Thomas Heath gives the following English translation of Archimedes' text:[87]
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You are now aware ['you' being King Gelon] that the "universe" is the name given by most astronomers to the sphere the centre of which is the centre of the earth, while its radius is equal to the straight line between the centre of the sun and the centre of the earth. This is the common account (τά γραφόμενα) as you have heard from astronomers. But Aristarchus has brought out a book consisting of certain hypotheses, wherein it appears, as a consequence of the assumptions made, that the universe is many times greater than the "universe" just mentioned. His hypotheses are that the fixed stars and the sun remain unmoved, that the earth revolves about the sun on the circumference of a circle, the sun lying in the middle of the orbit, and that the sphere of the fixed stars, situated about the same centre as the sun, is so great that the circle in which he supposes the earth to revolve bears such a proportion to the distance of the fixed stars as the centre of the sphere bears to its surface.
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Copernicus cited Aristarchus of Samos in an early (unpublished) manuscript of De Revolutionibus (which still survives), though he removed the reference from his final published manuscript.[6]
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Copernicus was probably aware that Pythagoras's system involved a moving Earth. The Pythagorean system was mentioned by Aristotle.[88]
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Copernicus owned a copy of Giorgio Valla's De expetendis et fugiendis rebus, which included a translation of Plutarch's reference to Aristarchus's heliostaticism.[89]
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In Copernicus' dedication of On the Revolutions to Pope Paul III—which Copernicus hoped would dampen criticism of his heliocentric theory by "babblers... completely ignorant of [astronomy]"—the book's author wrote that, in rereading all of philosophy, in the pages of Cicero and Plutarch he had found references to those few thinkers who dared to move the Earth "against the traditional opinion of astronomers and almost against common sense."
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The prevailing theory during Copernicus's lifetime was the one that Ptolemy published in his Almagest c. 150 CE; the Earth was the stationary center of the universe. Stars were embedded in a large outer sphere which rotated rapidly, approximately daily, while each of the planets, the Sun, and the Moon were embedded in their own, smaller spheres. Ptolemy's system employed devices, including epicycles, deferents and equants, to account for observations that the paths of these bodies differed from simple, circular orbits centered on the Earth.[90]
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Beginning in the 10th century, a tradition criticizing Ptolemy developed within Islamic astronomy, which climaxed with Ibn al-Haytham of Basra's Al-Shukūk 'alā Baṭalamiyūs ("Doubts Concerning Ptolemy").[91] Several Islamic astronomers questioned the Earth's apparent immobility,[92][93] and centrality within the universe.[94] Some accepted that the earth rotates around its axis, such as Abu Sa'id al-Sijzi (d. c. 1020).[95][96] According to al-Biruni, al-Sijzi invented an astrolabe based on a belief held by some of his contemporaries "that the motion we see is due to the Earth's movement and not to that of the sky."[96][97] That others besides al-Sijzi held this view is further confirmed by a reference from an Arabic work in the 13th century which states:
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According to the geometers [or engineers] (muhandisīn), the earth is in constant circular motion, and what appears to be the motion of the heavens is actually due to the motion of the earth and not the stars.[96]
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In the 12th century, Nur ad-Din al-Bitruji proposed a complete alternative to the Ptolemaic system (although not heliocentric).[98][99] He declared the Ptolemaic system as an imaginary model, successful at predicting planetary positions, but not real or physical.[98][99] Al-Bitruji's alternative system spread through most of Europe during the 13th century, with debates and refutations of his ideas continued up to the 16th century.[99]
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Mathematical techniques developed in the 13th to 14th centuries by Mo'ayyeduddin al-Urdi, Nasir al-Din al-Tusi, and Ibn al-Shatir for geocentric models of planetary motions closely resemble some of those used later by Copernicus in his heliocentric models.[100] Copernicus used what is now known as the Urdi lemma and the Tusi couple in the same planetary models as found in Arabic sources.[101] Furthermore, the exact replacement of the equant by two epicycles used by Copernicus in the Commentariolus was found in an earlier work by Ibn al-Shatir (d. c. 1375) of Damascus.[102] Ibn al-Shatir's lunar and Mercury models are also identical to those of Copernicus.[103] This has led some scholars to argue that Copernicus must have had access to some yet to be identified work on the ideas of those earlier astronomers.[104] However, no likely candidate for this conjectured work has yet come to light, and other scholars have argued that Copernicus could well have developed these ideas independently of the late Islamic tradition.[105] Nevertheless, Copernicus cited some of the Islamic astronomers whose theories and observations he used in De Revolutionibus, namely al-Battani, Thabit ibn Qurra, al-Zarqali, Averroes, and al-Bitruji.[106]
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Copernicus' major work on his heliocentric theory was Dē revolutionibus orbium coelestium (On the Revolutions of the Celestial Spheres), published in the year of his death, 1543. He had formulated his theory by 1510. "He wrote out a short overview of his new heavenly arrangement [known as the Commentariolus, or Brief Sketch], also probably in 1510 [but no later than May 1514], and sent it off to at least one correspondent beyond Varmia [the Latin for "Warmia"]. That person in turn copied the document for further circulation, and presumably the new recipients did, too..."[108]
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Copernicus' Commentariolus summarized his heliocentric theory. It listed the "assumptions" upon which the theory was based, as follows:[109]
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1. There is no one center of all the celestial circles[110] or spheres.[111]
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2. The center of the earth is not the center of the universe, but only the center towards which heavy bodies move and the center of the lunar sphere.
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3. All the spheres surround the sun as if it were in the middle of them all, and therefore the center of the universe is near the sun.
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4. The ratio of the earth's distance from the sun to the height of the firmament (outermost celestial sphere containing the stars) is so much smaller than the ratio of the earth's radius to its distance from the sun that the distance from the earth to the sun is imperceptible in comparison with the height of the firmament.
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5. Whatever motion appears in the firmament arises not from any motion of the firmament, but from the earth's motion. The earth together with its circumjacent elements performs a complete rotation on its fixed poles in a daily motion, while the firmament and highest heaven abide unchanged.
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6. What appear to us as motions of the sun arise not from its motion but from the motion of the earth and our sphere, with which we revolve about the sun like any other planet. The earth has, then, more than one motion.
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7. The apparent retrograde and direct motion of the planets arises not from their motion but from the earth's. The motion of the earth alone, therefore, suffices to explain so many apparent inequalities in the heavens.
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De revolutionibus itself was divided into six sections or parts, called "books":[112]
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Georg Joachim Rheticus could have been Copernicus's successor, but did not rise to the occasion.[66] Erasmus Reinhold could have been his successor, but died prematurely.[66] The first of the great successors was Tycho Brahe[66] (though he did not think the Earth orbited the Sun), followed by Johannes Kepler,[66] who had collaborated with Tycho in Prague and benefited from Tycho's decades' worth of detailed observational data.[113]
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Despite the near universal acceptance later of the heliocentric idea (though not the epicycles or the circular orbits), Copernicus's theory was originally slow to catch on. Scholars hold that sixty years after the publication of The Revolutions there were only around 15 astronomers espousing Copernicanism in all of Europe: "Thomas Digges and Thomas Harriot in England; Giordano Bruno and Galileo Galilei in Italy; Diego Zuniga in Spain; Simon Stevin in the Low Countries; and in Germany, the largest group—Georg Joachim Rheticus, Michael Maestlin, Christoph Rothmann (who may have later recanted),[114] and Johannes Kepler."[114] Additional possibilities are Englishman William Gilbert, along with Achilles Gasser, Georg Vogelin, Valentin Otto, and Tiedemann Giese.[114]
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Arthur Koestler, in his popular book The Sleepwalkers, asserted that Copernicus's book had not been widely read on its first publication.[115] This claim was trenchantly criticised by Edward Rosen,[y] and has been decisively disproved by Owen Gingerich, who examined nearly every surviving copy of the first two editions and found copious marginal notes by their owners throughout many of them. Gingerich published his conclusions in 2004 in The Book Nobody Read.[116]
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The intellectual climate of the time "remained dominated by Aristotelian philosophy and the corresponding Ptolemaic astronomy. At that time there was no reason to accept the Copernican theory, except for its mathematical simplicity [by avoiding using the equant in determining planetary positions]."[117] Tycho Brahe's system ("that the earth is stationary, the sun revolves about the earth, and the other planets revolve about the sun")[117] also directly competed with Copernicus's. It was only a half century later with the work of Kepler and Galileo that any substantial evidence defending Copernicanism appeared, starting "from the time when Galileo formulated the principle of inertia...[which] helped to explain why everything would not fall off the earth if it were in motion."[117] "[Not until] after Isaac Newton formulated the universal law of gravitation and the laws of mechanics [in his 1687 Principia], which unified terrestrial and celestial mechanics, was the heliocentric view generally accepted."[117]
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The immediate result of the 1543 publication of Copernicus's book was only mild controversy. At the Council of Trent (1545–63) neither Copernicus's theory nor calendar reform (which would later use tables deduced from Copernicus's calculations) were discussed.[118] It has been much debated why it was not until six decades after the publication of De revolutionibus that the Catholic Church took any official action against it, even the efforts of Tolosani going unheeded. Catholic side opposition only commenced seventy-three years later, when it was occasioned by Galileo.[119]
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The first notable to move against Copernicanism was the Magister of the Holy Palace (i.e., the Catholic Church's chief censor), Dominican Bartolomeo Spina, who "expressed a desire to stamp out the Copernican doctrine".[120] But with Spina's death in 1546, his cause fell to his friend, the well known theologian-astronomer, the Dominican Giovanni Maria Tolosani of the Convent of St. Mark in Florence. Tolosani had written a treatise on reforming the calendar (in which astronomy would play a large role) and had attended the Fifth Lateran Council (1512–1517) to discuss the matter. He had obtained a copy of De Revolutionibus in 1544. His denunciation of Copernicanism was written a year later, in 1545, in an appendix to his unpublished work, On the Truth of Sacred Scripture.[121]
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Emulating the rationalistic style of Thomas Aquinas, Tolosani sought to refute Copernicanism by philosophical argument. Copernicanism was absurd, according to Tolosani, because it was scientifically unproven and unfounded. First, Copernicus had assumed the motion of the Earth but offered no physical theory whereby one would deduce this motion. (No one realized that the investigation into Copernicanism would result in a rethinking of the entire field of physics.) Second, Tolosani charged that Copernicus's thought process was backwards. He held that Copernicus had come up with his idea and then sought phenomena that would support it, rather than observing phenomena and deducing from them the idea of what caused them. In this, Tolosani was linking Copernicus's mathematical equations with the practices of the Pythagoreans (whom Aristotle had made arguments against, which were later picked up by Thomas Aquinas). It was argued that mathematical numbers were a mere product of the intellect without any physical reality, and as such could not provide physical causes in the investigation of nature.[122]
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Some astronomical hypotheses at the time (such as epicycles and eccentrics) were seen as mere mathematical devices to adjust calculations of where the heavenly bodies would appear, rather than an explanation of the cause of those motions. (As Copernicus still maintained the idea of perfectly spherical orbits, he relied on epicycles.) This "saving the phenomena" was seen as proof that astronomy and mathematics could not be taken as serious means to determine physical causes. Tolosani invoked this view in his final critique of Copernicus, saying that his biggest error was that he had started with "inferior" fields of science to make pronouncements about "superior" fields. Copernicus had used mathematics and astronomy to postulate about physics and cosmology, rather than beginning with the accepted principles of physics and cosmology to determine things about astronomy and mathematics. Thus Copernicus seemed to be undermining the whole system of the philosophy of science at the time. Tolosani held that Copernicus had fallen into philosophical error because he had not been versed in physics and logic; anyone without such knowledge would make a poor astronomer and be unable to distinguish truth from falsehood. Because Copernicanism had not met the criteria for scientific truth set out by Thomas Aquinas, Tolosani held that it could only be viewed as a wild unproven theory.[123][124]
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Tolosani recognized that the Ad Lectorem preface to Copernicus's book was not actually by him. Its thesis that astronomy as a whole would never be able to make truth claims was rejected by Tolosani (though he still held that Copernicus's attempt to describe physical reality had been faulty); he found it ridiculous that Ad Lectorem had been included in the book (unaware that Copernicus had not authorized its inclusion). Tolosani wrote: "By means of these words [of the Ad Lectorem], the foolishness of this book's author is rebuked. For by a foolish effort he [Copernicus] tried to revive the weak Pythagorean opinion [that the element of fire was at the center of the Universe], long ago deservedly destroyed, since it is expressly contrary to human reason and also opposes holy writ. From this situation, there could easily arise disagreements between Catholic expositors of holy scripture and those who might wish to adhere obstinately to this false opinion."[125] Tolosani declared: "Nicolaus Copernicus neither read nor understood the arguments of Aristotle the philosopher and Ptolemy the astronomer."[121] Tolosani wrote that Copernicus "is expert indeed in the sciences of mathematics and astronomy, but he is very deficient in the sciences of physics and logic. Moreover, it appears that he is unskilled with regard to [the interpretation of] holy scripture, since he contradicts several of its principles, not without danger of infidelity to himself and the readers of his book. ...his arguments have no force and can very easily be taken apart. For it is stupid to contradict an opinion accepted by everyone over a very long time for the strongest reasons, unless the impugner uses more powerful and insoluble demonstrations and completely dissolves the opposed reasons. But he does not do this in the least."[125]
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Tolosani declared that he had written against Copernicus "for the purpose of preserving the truth to the common advantage of the Holy Church."[126] Despite this, his work remained unpublished and there is no evidence that it received serious consideration. Robert Westman describes it as becoming a "dormant" viewpoint with "no audience in the Catholic world" of the late sixteenth century, but also notes that there is some evidence that it did become known to Tommaso Caccini, who would criticize Galileo in a sermon in December 1613.[126]
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Tolosani may have criticized the Copernican theory as scientifically unproven and unfounded, but the theory also conflicted with the theology of the time, as can be seen in a sample of the works of John Calvin. In his Commentary on Genesis he said that "We indeed are not ignorant that the circuit of the heavens is finite, and that the earth, like a little globe, is placed in the centre."[127] In his commentary on Psalms 93:1 he states that "The heavens revolve daily, and, immense as is their fabric and inconceivable the rapidity of their revolutions, we experience no concussion.... How could the earth hang suspended in the air were it not upheld by God's hand? By what means could it maintain itself unmoved, while the heavens above are in constant rapid motion, did not its Divine Maker fix and establish it."[128] One sharp point of conflict between Copernicus's theory and the Bible concerned the story of the Battle of Gibeon in the Book of Joshua where the Hebrew forces were winning but whose opponents were likely to escape once night fell. This is averted by Joshua's prayers causing the Sun and the Moon to stand still. Martin Luther once made a remark about Copernicus, although without mentioning his name. According to Anthony Lauterbach, while eating with Martin Luther the topic of Copernicus arose during dinner on 4 June 1539 (in the same year as professor George Joachim Rheticus of the local University had been granted leave to visit him). Luther is said to have remarked "So it goes now. Whoever wants to be clever must agree with nothing others esteem. He must do something of his own. This is what that fellow does who wishes to turn the whole of astronomy upside down. Even in these things that are thrown into disorder I believe the Holy Scriptures, for Joshua commanded the sun to stand still and not the earth."[117] These remarks were made four years before the publication of On the Revolutions of the Heavenly Spheres and a year before Rheticus' Narratio Prima. In John Aurifaber's account of the conversation Luther calls Copernicus "that fool" rather than "that fellow", this version is viewed by historians as less reliably sourced.[117]
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Luther's collaborator Philipp Melanchthon also took issue with Copernicanism. After receiving the first pages of Narratio Prima from Rheticus himself, Melanchthon wrote to Mithobius (physician and mathematician Burkard Mithob of Feldkirch) on 16 October 1541 condemning the theory and calling for it to be repressed by governmental force, writing "certain people believe it is a marvelous achievement to extol so crazy a thing, like that Polish astronomer who makes the earth move and the sun stand still. Really, wise governments ought to repress impudence of mind."[129] It had appeared to Rheticus that Melanchton would understand the theory and would be open to it. This was because Melanchton had taught Ptolemaic astronomy and had even recommended his friend Rheticus to an appointment to the Deanship of the Faculty of Arts & Sciences at the University of Wittenberg after he had returned from studying with Copernicus.[130]
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Rheticus' hopes were dashed when six years after the publication of De Revolutionibus Melanchthon published his Initia Doctrinae Physicae presenting three grounds to reject Copernicanism. These were "the evidence of the senses, the thousand-year consensus of men of science, and the authority of the Bible".[131] Blasting the new theory Melanchthon wrote, "Out of love for novelty or in order to make a show of their cleverness, some people have argued that the earth moves. They maintain that neither the eighth sphere nor the sun moves, whereas they attribute motion to the other celestial spheres, and also place the earth among the heavenly bodies. Nor were these jokes invented recently. There is still extant Archimedes' book on The Sand Reckoner; in which he reports that Aristarchus of Samos propounded the paradox that the sun stands still and the earth revolves around the sun. Even though subtle experts institute many investigations for the sake of exercising their ingenuity, nevertheless public proclamation of absurd opinions is indecent and sets a harmful example."[129] Melanchthon went on to cite Bible passages and then declare "Encouraged by this divine evidence, let us cherish the truth and let us not permit ourselves to be alienated from it by the tricks of those who deem it an intellectual honor to introduce confusion into the arts."[129] In the first edition of Initia Doctrinae Physicae, Melanchthon even questioned Copernicus's character claiming his motivation was "either from love of novelty or from desire to appear clever", these more personal attacks were largely removed by the second edition in 1550.[131]
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Another Protestant theologian who disparaged heliocentrism on scriptural grounds was John Owen. In a passing remark in an essay on the origin of the sabbath, he characterised "the late hypothesis, fixing the sun as in the centre of the world" as being "built on fallible phenomena, and advanced by many arbitrary presumptions against evident testimonies of Scripture."[132]
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In Roman Catholic circles, German Jesuit Nicolaus Serarius was one of the first to write against Copernicus's theory as heretical, citing the Joshua passage, in a work published in 1609–1610, and again in a book in 1612.[133] In his 12 April 1615 letter to a Catholic defender of Copernicus, Paolo Antonio Foscarini, Catholic Cardinal Robert Bellarmine condemned Copernican theory, writing "...not only the Holy Fathers, but also the modern commentaries on Genesis, the Psalms, Ecclesiastes, and Joshua, you will find all agreeing in the literal interpretation that the sun is in heaven and turns around the earth with great speed, and that the earth is very far from heaven and sits motionless at the center of the world...Nor can one answer that this is not a matter of faith, since if it is not a matter of faith 'as regards the topic,' it is a matter of faith 'as regards the speaker': and so it would be heretical to say that Abraham did not have two children and Jacob twelve, as well as to say that Christ was not born of a virgin, because both are said by the Holy Spirit through the mouth of prophets and apostles."[134]
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Perhaps the most influential opponent of the Copernican theory was Francesco Ingoli, a Catholic priest. Ingoli wrote a January 1616 essay to Galileo presenting more than twenty arguments against the Copernican theory.[135] Though "it is not certain, it is probable that he [Ingoli] was commissioned by the Inquisition to write an expert opinion on the controversy",[136] (after the Congregation of the Index's decree against Copernicanism on 5 March 1616, Ingoli was officially appointed its consultant).[136] Galileo himself was of the opinion that the essay played an important role in the rejection of the theory by church authorities, writing in a later letter to Ingoli that he was concerned that people thought the theory was rejected because Ingoli was right.[135] Ingoli presented five physical arguments against the theory, thirteen mathematical arguments (plus a separate discussion of the sizes of stars), and four theological arguments. The physical and mathematical arguments were of uneven quality, but many of them came directly from the writings of Tycho Brahe, and Ingoli repeatedly cited Brahe, the leading astronomer of the era. These included arguments about the effect of a moving Earth on the trajectory of projectiles, and about parallax and Brahe's argument that the Copernican theory required that stars be absurdly large.[137]
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Two of Ingoli's theological issues with the Copernican theory were "common Catholic beliefs not directly traceable to Scripture: the doctrine that hell is located at the center of Earth and is most distant from heaven; and the explicit assertion that Earth is motionless in a hymn sung on Tuesdays as part of the Liturgy of the Hours of the Divine Office prayers regularly recited by priests."[138] Ingoli cited Robert Bellarmine in regards to both of these arguments, and may have been trying to convey to Galileo a sense of Bellarmine's opinion.[139] Ingoli also cited Genesis 1:14 where God places "lights in the firmament of the heavens to divide the day from the night." Ingoli did not think the central location of the Sun in the Copernican theory was compatible with it being described as one of the lights placed in the firmament.[138] Like previous commentators Ingoli also pointed to the passages about the Battle of Gibeon. He dismissed arguments that they should be taken metaphorically, saying "Replies which assert that Scripture speaks according to our mode of understanding are not satisfactory: both because in explaining the Sacred Writings the rule is always to preserve the literal sense, when it is possible, as it is in this case; and also because all the [Church] Fathers unanimously take this passage to mean that the Sun which was truly moving stopped at Joshua's request. An interpretation which is contrary to the unanimous consent of the Fathers is condemned by the Council of Trent, Session IV, in the decree on the edition and use of the Sacred Books. Furthermore, although the Council speaks about matters of faith and morals, nevertheless it cannot be denied that the Holy Fathers would be displeased with an interpretation of Sacred Scriptures which is contrary to their common agreement."[138] However, Ingoli closed the essay by suggesting Galileo respond primarily to the better of his physical and mathematical arguments rather than to his theological arguments, writing "Let it be your choice to respond to this either entirely of in part—clearly at least to the mathematical and physical arguments, and not to all even of these, but to the more weighty ones."[140] When Galileo wrote a letter in reply to Ingoli years later, he in fact only addressed the mathematical and physical arguments.[140]
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In March 1616, in connection with the Galileo affair, the Roman Catholic Church's Congregation of the Index issued a decree suspending De revolutionibus until it could be "corrected," on the grounds of ensuring that Copernicanism, which it described as a "false Pythagorean doctrine, altogether contrary to the Holy Scripture," would not "creep any further to the prejudice of Catholic truth."[141] The corrections consisted largely of removing or altering wording that spoke of heliocentrism as a fact, rather than a hypothesis.[142] The corrections were made based largely on work by Ingoli.[136]
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On the orders of Pope Paul V, Cardinal Robert Bellarmine gave Galileo prior notice that the decree was about to be issued, and warned him that he could not "hold or defend" the Copernican doctrine.[z] The corrections to De revolutionibus, which omitted or altered nine sentences, were issued four years later, in 1620.[143]
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In 1633 Galileo Galilei was convicted of grave suspicion of heresy for "following the position of Copernicus, which is contrary to the true sense and authority of Holy Scripture",[144] and was placed under house arrest for the rest of his life.[145][146]
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At the instance of Roger Boscovich, the Catholic Church's 1758 Index of Prohibited Books omitted the general prohibition of works defending heliocentrism,[147] but retained the specific prohibitions of the original uncensored versions of De revolutionibus and Galileo's Dialogue Concerning the Two Chief World Systems. Those prohibitions were finally dropped from the 1835 Index.[148]
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There has been discussion of Copernicus' nationality and of whether it is meaningful to ascribe to him a nationality in the modern sense.
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Nicolaus Copernicus was born and raised in Royal Prussia, a semiautonomous and polyglot region of the Kingdom of Poland.[149][150] He was the child of German-speaking parents and grew up with German as his mother tongue.[151][152][153] His first alma mater was the University of Kraków in Poland. When he later studied in Italy, at the University of Bologna, he joined the German Nation, a student organization for German-speakers of all allegiances (Germany would not become a nation-state until 1871).[154][155] His family stood against the Teutonic Order and actively supported the city of Toruń during the Thirteen Years' War (1454–66). Copernicus' father lent money to Poland's King Casimir IV Jagiellon to finance the war against the Teutonic Knights,[156] but the inhabitants of Royal Prussia also resisted the Polish crown's efforts for greater control over the region.[149]
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Encyclopædia Britannica,[157] Encyclopedia Americana,[158] The Concise Columbia Encyclopedia,[159] The Oxford World Encyclopedia,[160] and World Book Encyclopedia[161] refer to Copernicus as a "Polish astronomer". Sheila Rabin, writing in the Stanford Encyclopedia of Philosophy, describes Copernicus as a "child of a German family [who] was a subject of the Polish crown",[10] while Manfred Weissenbacher writes that Copernicus's father was a Germanized Pole.[162]
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No Polish texts by Copernicus survive due to the rarity of Polish literary language before the writings of the Polish Renaissance poets Mikołaj Rej and Jan Kochanowski (educated Poles had generally written in Latin); but it is known that Copernicus knew Polish on a par with German and Latin.[163]
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Historian Michael Burleigh describes the nationality debate as a "totally insignificant battle" between German and Polish scholars during the interwar period.[164] Polish astronomer Konrad Rudnicki calls the discussion a "fierce scholarly quarrel in ... times of nationalism" and describes Copernicus as an inhabitant of a German-speaking territory that belonged to Poland, himself being of mixed Polish-German extraction.[165]
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Czesław Miłosz describes the debate as an "absurd" projection of a modern understanding of nationality onto Renaissance people, who identified with their home territories rather than with a nation.[166] Similarly, historian Norman Davies writes that Copernicus, as was common in his era, was "largely indifferent" to nationality, being a local patriot who considered himself "Prussian".[167] Miłosz and Davies both write that Copernicus had a German-language cultural background, while his working language was Latin in accord with the usage of the time.[166][167] Additionally, according to Davies, "there is ample evidence that he knew the Polish language".[167] Davies concludes that, "Taking everything into consideration, there is good reason to regard him both as a German and as a Pole: and yet, in the sense that modern nationalists understand it, he was neither."[167]
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Copernicia, a genus of palm trees native to South America and the Greater Antilles, was named after Copernicus in 1837. In some of the species, the leaves are coated with a thin layer of wax, known as carnauba wax.
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On 14 July 2009, the discoverers, from the Gesellschaft für Schwerionenforschung in Darmstadt, Germany, of chemical element 112 (temporarily named ununbium) proposed to the International Union of Pure and Applied Chemistry (IUPAC) that its permanent name be "copernicium" (symbol Cn). "After we had named elements after our city and our state, we wanted to make a statement with a name that was known to everyone," said Hofmann. "We didn't want to select someone who was a German. We were looking world-wide."[168] On the 537th anniversary of his birthday the official naming was released to the public.[169]
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In July 2014 the International Astronomical Union launched a process for giving proper names to certain exoplanets and their host stars.[170] The process involved public nomination and voting for the new names.[171] In December 2015, the IAU announced the winning name for 55 Cancri A was Copernicus.[172]
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Copernicus is honored, together with Johannes Kepler, in the liturgical calendar of the Episcopal Church (US), with a feast day on 23 May.[173]
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Wrocław-Strachowice International Airport is named after Nicolaus Copernicus (Copernicus Airport Wrocław)
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Contemporary literary and artistic works inspired by Copernicus:
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Copyright is a type of intellectual property that gives its owner the exclusive right to make copies of a creative work, usually for a limited time.[1][2][3][4][5] The creative work may be in a literary, artistic, educational, or musical form. Copyright is intended to protect the original expression of an idea in the form of a creative work, but not the idea itself.[6][7][8] A copyright is subject to limitations based on public interest considerations, such as the fair use doctrine in the United States.
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Some jurisdictions require "fixing" copyrighted works in a tangible form. It is often shared among multiple authors, each of whom holds a set of rights to use or license the work, and who are commonly referred to as rights holders.[citation needed][9][10][11][12] These rights frequently include reproduction, control over derivative works, distribution, public performance, and moral rights such as attribution.[13]
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Copyrights can be granted by public law and are in that case considered "territorial rights". This means that copyrights granted by the law of a certain state, do not extend beyond the territory of that specific jurisdiction. Copyrights of this type vary by country; many countries, and sometimes a large group of countries, have made agreements with other countries on procedures applicable when works "cross" national borders or national rights are inconsistent.[14]
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Typically, the public law duration of a copyright expires 50 to 100 years after the creator dies, depending on the jurisdiction. Some countries require certain copyright formalities[5] to establishing copyright, others recognize copyright in any completed work, without a formal registration.
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The concept of copyright developed after the printing press came into use in Europe[15] in the 15th and 16th centuries.[16] The printing press made it much cheaper to produce works, but as there was initially no copyright law, anyone could buy or rent a press and print any text. Popular new works were immediately re-set and re-published by competitors, so printers needed a constant stream of new material. Fees paid to authors for new works were high, and significantly supplemented the incomes of many academics.[17]
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Printing brought profound social changes. The rise in literacy across Europe led to a dramatic increase in the demand for reading matter.[15] Prices of reprints were low, so publications could be bought by poorer people, creating a mass audience.[17] In German language markets before the advent of copyright, technical materials, like popular fiction, were inexpensive and widely available; it has been suggested this contributed to Germany's industrial and economic success.[17] After copyright law became established (in 1710 in England and Scotland, and in the 1840s in German-speaking areas) the low-price mass market vanished, and fewer, more expensive editions were published; distribution of scientific and technical information was greatly reduced.[17][18]
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The concept of copyright first developed in England. In reaction to the printing of "scandalous books and pamphlets", the English Parliament passed the Licensing of the Press Act 1662,[15] which required all intended publications to be registered with the government-approved Stationers' Company, giving the Stationers the right to regulate what material could be printed.[19]
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The Statute of Anne, enacted in 1710 in England and Scotland provided the first legislation to protect copyrights (but not authors' rights). The Copyright Act of 1814 extended more rights for authors but did not protect British from reprinting in the US. The Berne International Copyright Convention of 1886 finally provided protection for authors among the countries who signed the agreement, although the US did not join the Berne Convention until 1989.[20]
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In the US, the Constitution grants Congress the right to establish copyright and patent laws. Shortly after the Constitution was passed, Congress enacted the Copyright Act of 1790, modeling it after the Statute of Anne. While the national law protected authors’ published works, authority was granted to the states to protect authors’ unpublished works. The most recent major overhaul of copyright in the US, the 1976 Copyright Act, extended federal copyright to works as soon as they are created and "fixed", without requiring publication or registration. State law continues to apply to unpublished works that are not otherwise copyrighted by federal law.[20] This act also changed the calculation of copyright term from a fixed term (then a maximum of fifty-six years) to "life of the author plus 50 years". These changes brought the US closer to conformity with the Berne Convention, and in 1989 the United States further revised its copyright law and joined the Berne Convention officially.[20]
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Copyright laws allow products of creative human activities, such as literary and artistic production, to be preferentially exploited and thus incentivized. Different cultural attitudes, social organizations, economic models and legal frameworks are seen to account for why copyright emerged in Europe and not, for example, in Asia. In the Middle Ages in Europe, there was generally a lack of any concept of literary property due to the general relations of production, the specific organization of literary production and the role of culture in society. The latter refers to the tendency of oral societies, such as that of Europe in the medieval period, to view knowledge as the product and expression of the collective, rather than to see it as individual property. However, with copyright laws, intellectual production comes to be seen as a product of an individual, with attendant rights. The most significant point is that patent and copyright laws support the expansion of the range of creative human activities that can be commodified. This parallels the ways in which capitalism led to the commodification of many aspects of social life that earlier had no monetary or economic value per se.[21]
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Copyright has developed into a concept that has a significant effect on nearly every modern industry, including not just literary work, but also forms of creative work such as sound recordings, films, photographs, software, and architecture.
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Often seen as the first real copyright law, the 1709 British Statute of Anne gave the publishers rights for a fixed period, after which the copyright expired.[22]
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The act also alluded to individual rights of the artist. It began, "Whereas Printers, Booksellers, and other Persons, have of late frequently taken the Liberty of Printing ... Books, and other Writings, without the Consent of the Authors ... to their very great Detriment, and too often to the Ruin of them and their Families:".[23] A right to benefit financially from the work is articulated, and court rulings and legislation have recognized a right to control the work, such as ensuring that the integrity of it is preserved. An irrevocable right to be recognized as the work's creator appears in some countries' copyright laws.
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The Copyright Clause of the United States, Constitution (1787) authorized copyright legislation: "To promote the Progress of Science and useful Arts, by securing for limited Times to Authors and Inventors the exclusive Right to their respective Writings and Discoveries." That is, by guaranteeing them a period of time in which they alone could profit from their works, they would be enabled and encouraged to invest the time required to create them, and this would be good for society as a whole. A right to profit from the work has been the philosophical underpinning for much legislation extending the duration of copyright, to the life of the creator and beyond, to their heirs.
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The original length of copyright in the United States was 14 years, and it had to be explicitly applied for. If the author wished, they could apply for a second 14‑year monopoly grant, but after that the work entered the public domain, so it could be used and built upon by others.
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Copyright law was enacted rather late in German states, and the historian Eckhard Höffner argues that the absence of copyright laws in the early 19th century encouraged publishing, was profitable for authors, led to a proliferation of books, enhanced knowledge, and was ultimately an important factor in the ascendency of Germany as a power during that century.[24] However, empirical evidence derived from the exogenous differential introduction of copyright in Napoleonic Italy shows that "basic copyrights increased both the number and the quality of operas, measured by their popularity and durability".[25]
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The 1886 Berne Convention first established recognition of copyrights among sovereign nations, rather than merely bilaterally. Under the Berne Convention, copyrights for creative works do not have to be asserted or declared, as they are automatically in force at creation: an author need not "register" or "apply for" a copyright in countries adhering to the Berne Convention.[26] As soon as a work is "fixed", that is, written or recorded on some physical medium, its author is automatically entitled to all copyrights in the work, and to any derivative works unless and until the author explicitly disclaims them, or until the copyright expires. The Berne Convention also resulted in foreign authors being treated equivalently to domestic authors, in any country signed onto the Convention. The UK signed the Berne Convention in 1887 but did not implement large parts of it until 100 years later with the passage of the Copyright, Designs and Patents Act 1988. Specially, for educational and scientific research purposes, the Berne Convention provides the developing countries issue compulsory licenses for the translation or reproduction of copyrighted works within the limits prescribed by the Convention. This was a special provision that had been added at the time of 1971 revision of the Convention, because of the strong demands of the developing countries. The United States did not sign the Berne Convention until 1989.[27]
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The United States and most Latin American countries instead entered into the Buenos Aires Convention in 1910, which required a copyright notice on the work (such as all rights reserved), and permitted signatory nations to limit the duration of copyrights to shorter and renewable terms.[28][29][30] The Universal Copyright Convention was drafted in 1952 as another less demanding alternative to the Berne Convention, and ratified by nations such as the Soviet Union and developing nations.
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The regulations of the Berne Convention are incorporated into the World Trade Organization's TRIPS agreement (1995), thus giving the Berne Convention effectively near-global application.[31]
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In 1961, the United International Bureaux for the Protection of Intellectual Property signed the Rome Convention for the Protection of Performers, Producers of Phonograms and Broadcasting Organizations. In 1996, this organization was succeeded by the founding of the World Intellectual Property Organization, which launched the 1996 WIPO Performances and Phonograms Treaty and the 2002 WIPO Copyright Treaty, which enacted greater restrictions on the use of technology to copy works in the nations that ratified it. The Trans-Pacific Partnership includes intellectual Property Provisions relating to copyright.
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Copyright laws are standardized somewhat through these international conventions such as the Berne Convention and Universal Copyright Convention. These multilateral treaties have been ratified by nearly all countries, and international organizations such as the European Union or World Trade Organization require their member states to comply with them.
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The original holder of the copyright may be the employer of the author rather than the author himself if the work is a "work for hire".[32] For example, in English law the Copyright, Designs and Patents Act 1988 provides that if a copyrighted work is made by an employee in the course of that employment, the copyright is automatically owned by the employer which would be a "Work for Hire". Typically, the first owner of a copyright is the person who created the work i.e. the author.[33][33] But when more than one person creates the work, then a case of joint authorship can be made provided some criteria are met.
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Copyright may apply to a wide range of creative, intellectual, or artistic forms, or "works". Specifics vary by jurisdiction, but these can include poems, theses, fictional characters, plays and other literary works, motion pictures, choreography, musical compositions, sound recordings, paintings, drawings, sculptures, photographs, computer software, radio and television broadcasts, and industrial designs. Graphic designs and industrial designs may have separate or overlapping laws applied to them in some jurisdictions.[34][35]
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Copyright does not cover ideas and information themselves, only the form or manner in which they are expressed.[36] For example, the copyright to a Mickey Mouse cartoon restricts others from making copies of the cartoon or creating derivative works based on Disney's particular anthropomorphic mouse, but does not prohibit the creation of other works about anthropomorphic mice in general, so long as they are different enough to not be judged copies of Disney's.[36] Note additionally that Mickey Mouse is not copyrighted because characters cannot be copyrighted; rather, Steamboat Willie is copyrighted and Mickey Mouse, as a character in that copyrighted work, is afforded protection.
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Typically, a work must meet minimal standards of originality in order to qualify for copyright, and the copyright expires after a set period of time (some jurisdictions may allow this to be extended). Different countries impose different tests, although generally the requirements are low; in the United Kingdom there has to be some "skill, labour, and judgment" that has gone into it.[37] In Australia and the United Kingdom it has been held that a single word is insufficient to comprise a copyright work. However, single words or a short string of words can sometimes be registered as a trademark instead.
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Copyright law recognizes the right of an author based on whether the work actually is an original creation, rather than based on whether it is unique; two authors may own copyright on two substantially identical works, if it is determined that the duplication was coincidental, and neither was copied from the other.
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In all countries where the Berne Convention standards apply, copyright is automatic, and need not be obtained through official registration with any government office. Once an idea has been reduced to tangible form, for example by securing it in a fixed medium (such as a drawing, sheet music, photograph, a videotape, or a computer file), the copyright holder is entitled to enforce his or her exclusive rights.[26] However, while registration isn't needed to exercise copyright, in jurisdictions where the laws provide for registration, it serves as prima facie evidence of a valid copyright and enables the copyright holder to seek statutory damages and attorney's fees.[38] (In the US, registering after an infringement only enables one to receive actual damages and lost profits.)
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A widely circulated strategy to avoid the cost of copyright registration is referred to as the poor man's copyright. It proposes that the creator send the work to himself in a sealed envelope by registered mail, using the postmark to establish the date. This technique has not been recognized in any published opinions of the United States courts. The United States Copyright Office says the technique is not a substitute for actual registration.[39] The United Kingdom Intellectual Property Office discusses the technique and notes that the technique (as well as commercial registries) does not constitute dispositive proof that the work is original or establish who created the work.[40][41]
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The Berne Convention allows member countries to decide whether creative works must be "fixed" to enjoy copyright. Article 2, Section 2 of the Berne Convention states: "It shall be a matter for legislation in the countries of the Union to prescribe that works in general or any specified categories of works shall not be protected unless they have been fixed in some material form." Some countries do not require that a work be produced in a particular form to obtain copyright protection. For instance, Spain, France, and Australia do not require fixation for copyright protection. The United States and Canada, on the other hand, require that most works must be "fixed in a tangible medium of expression" to obtain copyright protection.[42] U.S. law requires that the fixation be stable and permanent enough to be "perceived, reproduced or communicated for a period of more than transitory duration". Similarly, Canadian courts consider fixation to require that the work be "expressed to some extent at least in some material form, capable of identification and having a more or less permanent endurance".[42]
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Note this provision of US law: c) Effect of Berne Convention.—No right or interest in a work eligible for protection under this title may be claimed by virtue of, or in reliance upon, the provisions of the Berne Convention, or the adherence of the United States thereto. Any rights in a work eligible for protection under this title that derive from this title, other Federal or State statutes, or the common law, shall not be expanded or reduced by virtue of, or in reliance upon, the provisions of the Berne Convention, or the adherence of the United States thereto.[43]
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Before 1989, United States law required the use of a copyright notice, consisting of the copyright symbol (©, the letter C inside a circle), the abbreviation "Copr.", or the word "Copyright", followed by the year of the first publication of the work and the name of the copyright holder.[44][45] Several years may be noted if the work has gone through substantial revisions. The proper copyright notice for sound recordings of musical or other audio works is a sound recording copyright symbol (℗, the letter P inside a circle), which indicates a sound recording copyright, with the letter P indicating a "phonorecord". In addition, the phrase All rights reserved was once required to assert copyright, but that phrase is now legally obsolete. Almost everything on the Internet has some sort of copyright attached to it. Whether these things are watermarked, signed, or have any other sort of indication of the copyright is a different story however.[46]
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In 1989 the United States enacted the Berne Convention Implementation Act, amending the 1976 Copyright Act to conform to most of the provisions of the Berne Convention. As a result, the use of copyright notices has become optional to claim copyright, because the Berne Convention makes copyright automatic.[47] However, the lack of notice of copyright using these marks may have consequences in terms of reduced damages in an infringement lawsuit – using notices of this form may reduce the likelihood of a defense of "innocent infringement" being successful.[48]
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Copyrights are generally enforced by the holder in a civil law court, but there are also criminal infringement statutes in some jurisdictions. While central registries are kept in some countries which aid in proving claims of ownership, registering does not necessarily prove ownership, nor does the fact of copying (even without permission) necessarily prove that copyright was infringed. Criminal sanctions are generally aimed at serious counterfeiting activity, but are now becoming more commonplace as copyright collectives such as the RIAA are increasingly targeting the file sharing home Internet user. Thus far, however, most such cases against file sharers have been settled out of court. (See: Legal aspects of file sharing)
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In most jurisdictions the copyright holder must bear the cost of enforcing copyright. This will usually involve engaging legal representation, administrative or court costs. In light of this, many copyright disputes are settled by a direct approach to the infringing party in order to settle the dispute out of court.
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"...by 1978, the scope was expanded to apply to any 'expression' that has been 'fixed' in any medium, this protection granted automatically whether the maker wants it or not, no registration required."[49]
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For a work to be considered to infringe upon copyright, its use must have occurred in a nation that has domestic copyright laws or adheres to a bilateral treaty or established international convention such as the Berne Convention or WIPO Copyright Treaty. Improper use of materials outside of legislation is deemed "unauthorized edition", not copyright infringement.[50]
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Statistics regarding the effects of copyright infringement are difficult to determine. Studies have attempted to determine whether there is a monetary loss for industries affected by copyright infringement by predicting what portion of pirated works would have been formally purchased if they had not been freely available.[51] Other reports indicate that copyright infringement does not have an adverse effect on the entertainment industry, and can have a positive effect.[52] In particular, a 2014 university study concluded that free music content, accessed on YouTube, does not necessarily hurt sales, instead has the potential to increase sales.[53]
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According to World Intellectual Property Organisation, copyright protects two types of rights. Economic rights allow right owners to derive financial reward from the use of their works by others. Moral rights allow authors and creators to take certain actions to preserve and protect their link with their work. The author or creator may be the owner of the economic rights or those rights may be transferred to one or more copyright owners. Many countries do not allow the transfer of moral rights. [54]
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With any kind of property, its owner may decide how it is to be used, and others can use it lawfully only if they have the owner's permission, often through a license. The owner's use of the property must, however, respect the legally recognised rights and interests of other members of society. So the owner of a copyright-protected work may decide how to use the work, and may prevent others from using it without permission. National laws usually grant copyright owners exclusive rights to allow third parties to use their works, subject to the legally recognised rights and interests of others.[54] Most copyright laws state that authors or other right owners have the right to authorise or prevent certain acts in relation to a work. Right owners can authorise or prohibit:
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Moral rights are concerned with the non-economic rights of a creator. They protect the creator's connection with a work as well as the integrity of the work. Moral rights are only accorded to individual authors and in many national laws they remain with the authors even after the authors have transferred their economic rights. In some EU countries, such as France, moral rights last indefinitely. In the UK, however, moral rights are finite. That is, the right of attribution and the right of integrity last only as long as the work is in copyright. When the copyright term comes to an end, so too do the moral rights in that work. This is just one reason why the moral rights regime within the UK is often regarded as weaker or inferior to the protection of moral rights in continental Europe and elsewhere in the world.[55] The Berne Convention, in Article 6bis, requires its members to grant authors the following rights:
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These and other similar rights granted in national laws are generally known as the moral rights of authors. The Berne Convention requires these rights to be independent of authors’ economic rights. Moral rights are only accorded to individual authors and in many national laws they remain with the authors even after the authors have transferred their economic rights. This means that even where, for example, a film producer or publisher owns the economic rights in a work, in many jurisdictions the individual author continues to have moral rights.[54] Recently, as a part of the debates being held at the U.S. Copyright Office on the question of inclusion of Moral Rights as a part of the framework of the Copyright Law in United States, the Copyright Office concluded that many diverse aspects of the current moral rights patchwork—including copyright law's derivative work right, state moral rights statutes, and contract law—are generally working well and should not be changed. Further, the Office concludes that there is no need for the creation of a blanket moral rights statute at this time. However, there are aspects of the U.S. moral rights patchwork that could be improved to the benefit of individual authors and the copyright system as a whole.[56]
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The Copyright Law in the United States, several exclusive rights are granted to the holder of a copyright, as are listed below:
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The basic right when a work is protected by copyright is that the holder may determine and decide how and under what conditions the protected work may be used by others. This includes the right to decide to distribute the work for free. This part of copyright is often overseen. The phrase "exclusive right" means that only the copyright holder is free to exercise those rights, and others are prohibited from using the work without the holder's permission. Copyright is sometimes called a "negative right", as it serves to prohibit certain people (e.g., readers, viewers, or listeners, and primarily publishers and would be publishers) from doing something they would otherwise be able to do, rather than permitting people (e.g., authors) to do something they would otherwise be unable to do. In this way it is similar to the unregistered design right in English law and European law. The rights of the copyright holder also permit him/her to not use or exploit their copyright, for some or all of the term. There is, however, a critique which rejects this assertion as being based on a philosophical interpretation of copyright law that is not universally shared. There is also debate on whether copyright should be considered a property right or a moral right.[58]
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UK copyright law gives creators both economic rights and moral rights. While ‘copying’ someone else's work without permission may constitute an infringement of their economic rights, that is, the reproduction right or the right of communication to the public, whereas, ‘mutilating’ it might infringe the creator's moral rights. In the UK, moral rights include the right to be identified as the author of the work, which is generally identified as the right of attribution, and the right not to have your work subjected to ‘derogatory treatment’, that is the right of integrity.[55]
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Indian copyright law is at parity with the international standards as contained in TRIPS. The Indian Copyright Act, 1957, pursuant to the amendments in 1999, 2002 and 2012, fully reflects the Berne Convention for Protection of Literary and Artistic Works, 1886 and the Universal Copyrights Convention, to which India is a party. India is also a party to the Geneva Convention for the Protection of Rights of Producers of Phonograms and is an active member of the World Intellectual Property Organization (WIPO) and United Nations Educational, Scientific and Cultural Organization (UNESCO). The Indian system provides both the economic and moral rights under different provisions of its Indian Copyright Act of 1957.[59]
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Copyright subsists for a variety of lengths in different jurisdictions. The length of the term can depend on several factors, including the type of work (e.g. musical composition, novel), whether the work has been published, and whether the work was created by an individual or a corporation. In most of the world, the default length of copyright is the life of the author plus either 50 or 70 years. In the United States, the term for most existing works is a fixed number of years after the date of creation or publication. Under most countries' laws (for example, the United States[60] and the United Kingdom[61]), copyrights expire at the end of the calendar year in which they would otherwise expire.
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The length and requirements for copyright duration are subject to change by legislation, and since the early 20th century there have been a number of adjustments made in various countries, which can make determining the duration of a given copyright somewhat difficult. For example, the United States used to require copyrights to be renewed after 28 years to stay in force, and formerly required a copyright notice upon first publication to gain coverage. In Italy and France, there were post-wartime extensions that could increase the term by approximately 6 years in Italy and up to about 14 in France. Many countries have extended the length of their copyright terms (sometimes retroactively). International treaties establish minimum terms for copyrights, but individual countries may enforce longer terms than those.[62]
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In the United States, all books and other works, except for sound recordings published before 1925 have expired copyrights and are in the public domain. The applicable date for sound recordings in the United States is before 1923. [63] In addition, works published before 1964 that did not have their copyrights renewed 28 years after first publication year also are in the public domain. Hirtle points out that the great majority of these works (including 93% of the books) were not renewed after 28 years and are in the public domain.[64] Books originally published outside the US by non-Americans are exempt from this renewal requirement, if they are still under copyright in their home country.
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But if the intended exploitation of the work includes publication (or distribution of derivative work, such as a film based on a book protected by copyright) outside the U.S., the terms of copyright around the world must be considered. If the author has been dead more than 70 years, the work is in the public domain in most, but not all, countries.
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In 1998, the length of a copyright in the United States was increased by 20 years under the Copyright Term Extension Act. This legislation was strongly promoted by corporations which had valuable copyrights which otherwise would have expired, and has been the subject of substantial criticism on this point.[65]
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In many jurisdictions, copyright law makes exceptions to these restrictions when the work is copied for the purpose of commentary or other related uses. United States copyright law does not cover names, titles, short phrases or listings (such as ingredients, recipes, labels, or formulas).[66] However, there are protections available for those areas copyright does not cover, such as trademarks and patents.
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The idea–expression divide differentiates between ideas and expression, and states that copyright protects only the original expression of ideas, and not the ideas themselves. This principle, first clarified in the 1879 case of Baker v. Selden, has since been codified by the Copyright Act of 1976 at 17 U.S.C. § 102(b).
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Copyright law does not restrict the owner of a copy from reselling legitimately obtained copies of copyrighted works, provided that those copies were originally produced by or with the permission of the copyright holder. It is therefore legal, for example, to resell a copyrighted book or CD. In the United States this is known as the first-sale doctrine, and was established by the courts to clarify the legality of reselling books in second-hand bookstores.
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Some countries may have parallel importation restrictions that allow the copyright holder to control the aftermarket. This may mean for example that a copy of a book that does not infringe copyright in the country where it was printed does infringe copyright in a country into which it is imported for retailing. The first-sale doctrine is known as exhaustion of rights in other countries and is a principle which also applies, though somewhat differently, to patent and trademark rights. It is important to note that the first-sale doctrine permits the transfer of the particular legitimate copy involved. It does not permit making or distributing additional copies.
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In Kirtsaeng v. John Wiley & Sons, Inc.,[67] in 2013, the United States Supreme Court held in a 6–3 decision that the first-sale doctrine applies to goods manufactured abroad with the copyright owner's permission and then imported into the US without such permission. The case involved a plaintiff who imported Asian editions of textbooks that had been manufactured abroad with the publisher-plaintiff's permission. The defendant, without permission from the publisher, imported the textbooks and resold on eBay. The Supreme Court's holding severely limits the ability of copyright holders to prevent such importation.
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In addition, copyright, in most cases, does not prohibit one from acts such as modifying, defacing, or destroying his or her own legitimately obtained copy of a copyrighted work, so long as duplication is not involved. However, in countries that implement moral rights, a copyright holder can in some cases successfully prevent the mutilation or destruction of a work that is publicly visible.
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Copyright does not prohibit all copying or replication. In the United States, the fair use doctrine, codified by the Copyright Act of 1976 as 17 U.S.C. Section 107, permits some copying and distribution without permission of the copyright holder or payment to same. The statute does not clearly define fair use, but instead gives four non-exclusive factors to consider in a fair use analysis. Those factors are:
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In the United Kingdom and many other Commonwealth countries, a similar notion of fair dealing was established by the courts or through legislation. The concept is sometimes not well defined; however in Canada, private copying for personal use has been expressly permitted by statute since 1999. In Alberta (Education) v. Canadian Copyright Licensing Agency (Access Copyright), 2012 SCC 37, the Supreme Court of Canada concluded that limited copying for educational purposes could also be justified under the fair dealing exemption. In Australia, the fair dealing exceptions under the Copyright Act 1968 (Cth) are a limited set of circumstances under which copyrighted material can be legally copied or adapted without the copyright holder's consent. Fair dealing uses are research and study; review and critique; news reportage and the giving of professional advice (i.e. legal advice). Under current Australian law, although it is still a breach of copyright to copy, reproduce or adapt copyright material for personal or private use without permission from the copyright owner, owners of a legitimate copy are permitted to "format shift" that work from one medium to another for personal, private use, or to "time shift" a broadcast work for later, once and only once, viewing or listening. Other technical exemptions from infringement may also apply, such as the temporary reproduction of a work in machine readable form for a computer.
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In the United States the AHRA (Audio Home Recording Act Codified in Section 10, 1992) prohibits action against consumers making noncommercial recordings of music, in return for royalties on both media and devices plus mandatory copy-control mechanisms on recorders.
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Later acts amended US Copyright law so that for certain purposes making 10 copies or more is construed to be commercial, but there is no general rule permitting such copying. Indeed, making one complete copy of a work, or in many cases using a portion of it, for commercial purposes will not be considered fair use. The Digital Millennium Copyright Act prohibits the manufacture, importation, or distribution of devices whose intended use, or only significant commercial use, is to bypass an access or copy control put in place by a copyright owner.[34] An appellate court has held that fair use is not a defense to engaging in such distribution.
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EU copyright laws recognise the right of EU member states to implement some national exceptions to copyright. Examples of those exceptions are:
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It is legal in several countries including the United Kingdom and the United States to produce alternative versions (for example, in large print or braille) of a copyrighted work to provide improved access to a work for blind and visually impaired people without permission from the copyright holder.[69][70]
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A copyright, or aspects of it (e.g. reproduction alone, all but moral rights), may be assigned or transferred from one party to another.[71] For example, a musician who records an album will often sign an agreement with a record company in which the musician agrees to transfer all copyright in the recordings in exchange for royalties and other considerations. The creator (and original copyright holder) benefits, or expects to, from production and marketing capabilities far beyond those of the author. In the digital age of music, music may be copied and distributed at minimal cost through the Internet; however, the record industry attempts to provide promotion and marketing for the artist and their work so it can reach a much larger audience. A copyright holder need not transfer all rights completely, though many publishers will insist. Some of the rights may be transferred, or else the copyright holder may grant another party a non-exclusive license to copy or distribute the work in a particular region or for a specified period of time.
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A transfer or licence may have to meet particular formal requirements in order to be effective,[72] for example under the Australian Copyright Act 1968 the copyright itself must be expressly transferred in writing. Under the U.S. Copyright Act, a transfer of ownership in copyright must be memorialized in a writing signed by the transferor. For that purpose, ownership in copyright includes exclusive licenses of rights. Thus exclusive licenses, to be effective, must be granted in a written instrument signed by the grantor. No special form of transfer or grant is required. A simple document that identifies the work involved and the rights being granted is sufficient. Non-exclusive grants (often called non-exclusive licenses) need not be in writing under U.S. law. They can be oral or even implied by the behavior of the parties. Transfers of copyright ownership, including exclusive licenses, may and should be recorded in the U.S. Copyright Office. (Information on recording transfers is available on the Office's web site.) While recording is not required to make the grant effective, it offers important benefits, much like those obtained by recording a deed in a real estate transaction.
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Copyright may also be licensed.[71] Some jurisdictions may provide that certain classes of copyrighted works be made available under a prescribed statutory license (e.g. musical works in the United States used for radio broadcast or performance). This is also called a compulsory license, because under this scheme, anyone who wishes to copy a covered work does not need the permission of the copyright holder, but instead merely files the proper notice and pays a set fee established by statute (or by an agency decision under statutory guidance) for every copy made.[73] Failure to follow the proper procedures would place the copier at risk of an infringement suit. Because of the difficulty of following every individual work, copyright collectives or collecting societies and performing rights organizations (such as ASCAP, BMI, and SESAC) have been formed to collect royalties for hundreds (thousands and more) works at once. Though this market solution bypasses the statutory license, the availability of the statutory fee still helps dictate the price per work collective rights organizations charge, driving it down to what avoidance of procedural hassle would justify.
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Copyright licenses known as open or free licenses seek to grant several rights to licensees, either for a fee or not. Free in this context is not as much of a reference to price as it is to freedom. What constitutes free licensing has been characterised in a number of similar definitions, including by order of longevity the Free Software Definition, the Debian Free Software Guidelines, the Open Source Definition and the Definition of Free Cultural Works. Further refinements to these definitions have resulted in categories such as copyleft and permissive. Common examples of free licences are the GNU General Public License, BSD licenses and some Creative Commons licenses.
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Founded in 2001 by James Boyle, Lawrence Lessig, and Hal Abelson, the Creative Commons (CC) is a non-profit organization[74] which aims to facilitate the legal sharing of creative works. To this end, the organization provides a number of generic copyright license options to the public, gratis. These licenses allow copyright holders to define conditions under which others may use a work and to specify what types of use are acceptable.[74]
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Terms of use have traditionally been negotiated on an individual basis between copyright holder and potential licensee. Therefore, a general CC license outlining which rights the copyright holder is willing to waive enables the general public to use such works more freely. Six general types of CC licenses are available (although some of them are not properly free per the above definitions and per Creative Commons' own advice). These are based upon copyright-holder stipulations such as whether he or she is willing to allow modifications to the work, whether he or she permits the creation of derivative works and whether he or she is willing to permit commercial use of the work.[75] As of 2009[update] approximately 130 million individuals had received such licenses.[75]
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Some sources are critical of particular aspects of the copyright system. This is known as a debate over copynorms. Particularly to the background of uploading content to internet platforms and the digital exchange of original work, there is discussion about the copyright aspects of downloading and streaming, the copyright aspects of hyperlinking and framing.
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Concerns are often couched in the language of digital rights, digital freedom, database rights, open data or censorship.[76] Discussions include Free Culture, a 2004 book by Lawrence Lessig. Lessig coined the term permission culture to describe a worst-case system. Good Copy Bad Copy (documentary) and RiP!: A Remix Manifesto, discuss copyright. Some suggest an alternative compensation system. In Europe consumers are acting up against the raising costs of music, film and books, and as a result Pirate Parties have been created. Some groups reject copyright altogether, taking an anti-copyright stance. The perceived inability to enforce copyright online leads some to advocate ignoring legal statutes when on the web.
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Copyright, like other intellectual property rights, is subject to a statutorily determined term. Once the term of a copyright has expired, the formerly copyrighted work enters the public domain and may be used or exploited by anyone without obtaining permission, and normally without payment. However, in paying public domain regimes the user may still have to pay royalties to the state or to an authors' association. Courts in common law countries, such as the United States and the United Kingdom, have rejected the doctrine of a common law copyright. Public domain works should not be confused with works that are publicly available. Works posted in the internet, for example, are publicly available, but are not generally in the public domain. Copying such works may therefore violate the author's copyright.
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The chicken (Gallus gallus domesticus) is a type of domesticated fowl, a subspecies of the red junglefowl (Gallus gallus). Chickens are one of the most common and widespread domestic animals, with a total population of 23.7 billion as of 2018.[1] up from more than 19 billion in 2011.[2] There are more chickens in the world than any other bird or domesticated fowl.[2] Humans keep chickens primarily as a source of food (consuming both their meat and eggs) and, less commonly, as pets. Originally raised for cockfighting or for special ceremonies, chickens were not kept for food until the Hellenistic period (4th–2nd centuries BC).[3][4]
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Genetic studies have pointed to multiple maternal origins in South Asia, Southeast Asia, and East Asia,[5] but with the clade found in the Americas, Europe, the Middle East and Africa originating in the Indian subcontinent. From ancient India, the domesticated chicken spread to Lydia in western Asia Minor, and to Greece by the 5th century BC.[6] Fowl had been known in Egypt since the mid-15th century BC, with the "bird that gives birth every day" having come to Egypt from the land between Syria and Shinar, Babylonia, according to the annals of Thutmose III.[7][8][9]
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In the UK and Ireland, adult male chickens over the age of one year are primarily known as cocks, whereas in the United States, Canada, Australia and New Zealand, they are more commonly called roosters. Males less than a year old are cockerels.[10] Castrated or neutered roosters are called capons (surgical and chemical castration are now illegal in some parts of the world). Females over a year old are known as hens, and younger females as pullets,[11] although in the egg-laying industry, a pullet becomes a hen when she begins to lay eggs, at 16 to 20 weeks of age. In Australia and New Zealand (also sometimes in Britain), there is a generic term chook /tʃʊk/ to describe all ages and both sexes.[12] The young are often called chicks.
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Chicken originally referred to young domestic fowl.[13] The species as a whole was then called domestic fowl, or just fowl. This use of chicken survives in the phrase Hen and Chickens, sometimes used as a British public house or theatre name, and to name groups of one large and many small rocks or islands in the sea (see for example Hen and Chicken Islands).
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In the Deep South of the United States, chickens are referred to by the slang term yardbird.[14]
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Chickens are omnivores.[15] In the wild, they often scratch at the soil to search for seeds, insects and even animals as large as lizards, small snakes,[16] or young mice.[17]
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The average chicken may live for five to ten years, depending on the breed.[18] The world's oldest known chicken was a hen which died of heart failure at the age of 16 years according to the Guinness World Records.[19]
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Roosters can usually be differentiated from hens by their striking plumage of long flowing tails and shiny, pointed feathers on their necks (hackles) and backs (saddle), which are typically of brighter, bolder colours than those of females of the same breed. However, in some breeds, such as the Sebright chicken, the rooster has only slightly pointed neck feathers, the same colour as the hen's. The identification can be made by looking at the comb, or eventually from the development of spurs on the male's legs (in a few breeds and in certain hybrids, the male and female chicks may be differentiated by colour). Adult chickens have a fleshy crest on their heads called a comb, or cockscomb, and hanging flaps of skin either side under their beaks called wattles. Collectively, these and other fleshy protuberances on the head and throat are called caruncles. Both the adult male and female have wattles and combs, but in most breeds these are more prominent in males.
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A muff or beard is a mutation found in several chicken breeds which causes extra feathering under the chicken's face, giving the appearance of a beard.
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Domestic chickens are not capable of long distance flight, although lighter chickens are generally capable of flying for short distances, such as over fences or into trees (where they would naturally roost). Chickens may occasionally fly briefly to explore their surroundings, but generally do so only to flee perceived danger.
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Chickens are gregarious birds and live together in flocks. They have a communal approach to the incubation of eggs and raising of young. Individual chickens in a flock will dominate others, establishing a "pecking order", with dominant individuals having priority for food access and nesting locations. Removing hens or roosters from a flock causes a temporary disruption to this social order until a new pecking order is established. Adding hens, especially younger birds, to an existing flock can lead to fighting and injury.[20]
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When a rooster finds food, he may call other chickens to eat first. He does this by clucking in a high pitch as well as picking up and dropping the food. This behaviour may also be observed in mother hens to call their chicks and encourage them to eat.
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A rooster's crowing is a loud and sometimes shrill call and sends a territorial signal to other roosters.[21] However, roosters may also crow in response to sudden disturbances within their surroundings. Hens cluck loudly after laying an egg, and also to call their chicks. Chickens also give different warning calls when they sense a predator approaching from the air or on the ground.[22]
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To initiate courting, some roosters may dance in a circle around or near a hen ("a circle dance"), often lowering the wing which is closest to the hen.[23] The dance triggers a response in the hen[23] and when she responds to his "call", the rooster may mount the hen and proceed with the mating.
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More specifically, mating typically involves the following sequence: 1. Male approaching the hen. 2. Male pre-copulatory waltzing. 3. Male waltzing. 4. Female crouching (receptive posture) or stepping aside or running away (if unwilling to copulate). 5. Male mounting. 6. Male treading with both feet on hen's back. 7. Male tail bending (following successful copulation).[24]
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Hens will often try to lay in nests that already contain eggs and have been known to move eggs from neighbouring nests into their own. The result of this behaviour is that a flock will use only a few preferred locations, rather than having a different nest for every bird. Hens will often express a preference to lay in the same location. It is not unknown for two (or more) hens to try to share the same nest at the same time. If the nest is small, or one of the hens is particularly determined, this may result in chickens trying to lay on top of each other. There is evidence that individual hens prefer to be either solitary or gregarious nesters.[25]
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Under natural conditions, most birds lay only until a clutch is complete, and they will then incubate all the eggs. Hens are then said to "go broody". The broody hen will stop laying and instead will focus on the incubation of the eggs (a full clutch is usually about 12 eggs). She will "sit" or "set" on the nest, protesting or pecking in defense if disturbed or removed, and she will rarely leave the nest to eat, drink, or dust-bathe. While brooding, the hen maintains the nest at a constant temperature and humidity, as well as turning the eggs regularly during the first part of the incubation. To stimulate broodiness, owners may place several artificial eggs in the nest. To discourage it, they may place the hen in an elevated cage with an open wire floor.[citation needed]
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Breeds artificially developed for egg production rarely go broody, and those that do often stop part-way through the incubation. However, other breeds, such as the Cochin, Cornish and Silkie, do regularly go broody, and they make excellent mothers, not only for chicken eggs but also for those of other species — even those with much smaller or larger eggs and different incubation periods, such as quail, pheasants, turkeys, or geese.
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Fertile chicken eggs hatch at the end of the incubation period, about 21 days.[23] Development of the chick starts only when incubation begins, so all chicks hatch within a day or two of each other, despite perhaps being laid over a period of two weeks or so. Before hatching, the hen can hear the chicks peeping inside the eggs, and will gently cluck to stimulate them to break out of their shells. The chick begins by "pipping"; pecking a breathing hole with its egg tooth towards the blunt end of the egg, usually on the upper side. The chick then rests for some hours, absorbing the remaining egg yolk and withdrawing the blood supply from the membrane beneath the shell (used earlier for breathing through the shell). The chick then enlarges the hole, gradually turning round as it goes, and eventually severing the blunt end of the shell completely to make a lid. The chick crawls out of the remaining shell, and the wet down dries out in the warmth of the nest.
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Hens usually remain on the nest for about two days after the first chick hatches, and during this time the newly hatched chicks feed by absorbing the internal yolk sac. Some breeds sometimes start eating cracked eggs, which can become habitual.[26] Hens fiercely guard their chicks, and brood them when necessary to keep them warm, at first often returning to the nest at night. She leads them to food and water and will call them toward edible items, but seldom feeds them directly. She continues to care for them until they are several weeks old. Although there are some hens, the Black Hen Atriana, in the territory of Atri, that are aggressive and often kill their own chicks. They are characterized as a small-sized hen that lays mant eggs daily.[27]
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Chickens may occasionally gang up on a weak or inexperienced predator. At least one credible report exists of a young fox killed by hens.[28][29][30] A group of hens have been recorded in attacking a hawk that had entered their coop.[31]
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.
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In 2006, scientists researching the ancestry of birds "turned on" a chicken recessive gene, talpid2, and found that the embryo jaws initiated formation of teeth, like those found in ancient bird fossils. John Fallon, the overseer of the project, stated that chickens have "...retained the ability to make teeth, under certain conditions... ."[32]
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Galliformes, the class of bird that chickens belong to, is directly linked to the survival of birds when all other dinosaurs went extinct. Water or ground-dwelling fowl, similar to modern partridges, survived the Cretaceous–Paleogene extinction event that killed all tree-dwelling birds and dinosaurs.[33] Some of these evolved into the modern galliformes, of which domesticated chickens are a main model. They are descended primarily from the red junglefowl (Gallus gallus) and are scientifically classified as the same species.[34] As such, they can and do freely interbreed with populations of red junglefowl.[34] Subsequent hybridization of domestic chicken with grey junglefowl, Sri Lankan junglefowl and green junglefowl occurred[35] with at least, a gene for yellow skin was incorporated into domestic birds through hybridization with the grey junglefowl (G. sonneratii).[36] In a study published in 2020, it was found that chickens shared between 71% - 79% of their genome with red junglefowl with domestication period dated to 8,000 years ago.[35]
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The traditional view is that chickens were first domesticated for cockfighting in Asia, Africa, and Europe.[3] In the last decade, there have been a number of genetic studies to clarify the origins. According to one early study, a single domestication event which took place in what now is the country of Thailand gave rise to the modern chicken with minor transitions separating the modern breeds.[37] However, that study was later found to be based on incomplete data, and recent studies point to multiple maternal origins, with the clade found in the Americas, Europe, Middle East, and Africa, originating from the Indian subcontinent, where a large number of unique haplotypes occur.[38][39] The red junglefowl, known as the bamboo fowl in many Southeast Asian languages, is a special bird well-adapted to take advantage of the large amounts of fruits that are produced during the end of the 50-year bamboo seeding cycle, to boost its own reproduction.[40] In domesticating the chicken, humans took advantage of this predisposition for prolific reproduction of the red junglefowl when exposed to large amounts of food.[41]
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Several controversies still surround the time chicken was domesticated. A recent molecular evidence obtained from whole-genome study published in 2020 reveal that chicken was domesticated 8,000 years ago.[35] Though, it was previously thought to have been domesticated in Southern China in 6000 BC based on paleoclimatic assumptions[42] which has now raised doubts from another study that question whether those birds were the ancestors of chickens today.[43] Majority of the world chicken today may have migrated from the Harappan culture of the Indus Valley. Eventually, the chicken moved to the Tarim basin of central Asia. The chicken reached Europe (Romania, Turkey, Greece, Ukraine) about 3000 BC.[44]
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Introduction into Western Europe came far later, about the 1st millennium BC. Phoenicians spread chickens along the Mediterranean coasts as far as Iberia. Breeding increased under the Roman Empire, and was reduced in the Middle Ages.[44] Genetic sequencing of chicken bones from archaeological sites in Europe revealed that in the High Middle Ages chickens became less aggressive and began to lay eggs earlier in the breeding season.[45]
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Middle East traces of chicken go back to a little earlier than 2000 BC, in Syria; chickens went southward only in the 1st millennium BC. They reached Egypt for purposes of cockfighting about 1400 BC, and became widely bred only in Ptolemaic Egypt (about 300 BC).[44] Little is known about the chicken's introduction into Africa. It was during the Hellenistic period (4th-2nd centuries BC), in the Southern Levant, that chickens began widely to be domesticated for food.[4] This change occurred at least 100 years before domestication of chickens spread to Europe.
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Three possible routes of introduction in about the early first millennium AD could have been through the Egyptian Nile Valley, the East Africa Roman-Greek or Indian trade, or from Carthage and the Berbers, across the Sahara. The earliest known remains are from Mali, Nubia, East Coast, and South Africa and date back to the middle of the first millennium AD.[44]
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Domestic chicken in the Americas before Western contact is still an ongoing discussion, but blue-egged chickens, found only in the Americas and Asia, suggest an Asian origin for early American chickens.[44]
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A lack of data from Thailand, Russia, the Indian subcontinent, Southeast Asia and Sub-Saharan Africa makes it difficult to lay out a clear map of the spread of chickens in these areas; better description and genetic analysis of local breeds threatened by extinction may also help with research into this area.[44]
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An unusual variety of chicken that has its origins in South America is the araucana, bred in southern Chile by the Mapuche people. Araucanas, some of which are tailless and some of which have tufts of feathers around their ears, lay blue-green eggs. It has long been suggested that they pre-date the arrival of European chickens brought by the Spanish and are evidence of pre-Columbian trans-Pacific contacts between Asian or Pacific Oceanic peoples, particularly the Polynesians, and South America. In 2007, an international team of researchers reported the results of analysis of chicken bones found on the Arauco Peninsula in south-central Chile. Radiocarbon dating suggested that the chickens were Pre-Columbian, and DNA analysis showed that they were related to prehistoric populations of chickens in Polynesia.[46] These results appeared to confirm that the chickens came from Polynesia and that there were transpacific contacts between Polynesia and South America before Columbus's arrival in the Americas.[47]
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However, a later report looking at the same specimens concluded:
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A published, apparently pre-Columbian, Chilean specimen and six pre-European Polynesian specimens also cluster with the same European/Indian subcontinental/Southeast Asian sequences, providing no support for a Polynesian introduction of chickens to South America. In contrast, sequences from two archaeological sites on Easter Island group with an uncommon haplogroup from Indonesia, Japan, and China and may represent a genetic signature of an early Polynesian dispersal. Modeling of the potential marine carbon contribution to the Chilean archaeological specimen casts further doubt on claims for pre-Columbian chickens, and definitive proof will require further analyses of ancient DNA sequences and radiocarbon and stable isotope data from archaeological excavations within both Chile and Polynesia.[48]
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The debate for and against a Polynesian origin for South American chickens continued with this 2014 paper and subsequent responses in PNAS.[49]
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More than 50 billion chickens are reared annually as a source of meat and eggs.[51] In the United States alone, more than 8 billion chickens are slaughtered each year for meat,[52] and more than 300 million chickens are reared for egg production.[53]
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The vast majority of poultry are raised in factory farms. According to the Worldwatch Institute, 74 percent of the world's poultry meat and 68 percent of eggs are produced this way.[54] An alternative to intensive poultry farming is free-range farming.
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Friction between these two main methods has led to long-term issues of ethical consumerism. Opponents of intensive farming argue that it harms the environment, creates human health risks and is inhumane.[55] Advocates of intensive farming say that their highly efficient systems save land and food resources owing to increased productivity, and that the animals are looked after in state-of-the-art environmentally controlled facilities.[56]
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Chickens farmed for meat are called broilers. Chickens will naturally live for six or more years, but broiler breeds typically take less than six weeks to reach slaughter size.[57] A free range or organic broiler will usually be slaughtered at about 14 weeks of age.
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Chickens farmed primarily for eggs are called layer hens. In total, the UK alone consumes more than 34 million eggs per day.[58] Some hen breeds can produce over 300 eggs per year, with "the highest authenticated rate of egg laying being 371 eggs in 364 days".[59] After 12 months of laying, the commercial hen's egg-laying ability starts to decline to the point where the flock is commercially unviable. Hens, particularly from battery cage systems, are sometimes infirm or have lost a significant amount of their feathers, and their life expectancy has been reduced from around seven years to less than two years.[60] In the UK and Europe, laying hens are then slaughtered and used in processed foods or sold as "soup hens".[60] In some other countries, flocks are sometimes force moulted, rather than being slaughtered, to re-invigorate egg-laying. This involves complete withdrawal of food (and sometimes water) for 7–14 days[61] or sufficiently long to cause a body weight loss of 25 to 35%,[62] or up to 28 days under experimental conditions.[63] This stimulates the hen to lose her feathers, but also re-invigorates egg-production. Some flocks may be force-moulted several times. In 2003, more than 75% of all flocks were moulted in the US.[64]
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Keeping chickens as pets became increasingly popular in the 2000s[65] among urban and suburban residents.[66] Many people obtain chickens for their egg production but often name them and treat them as any other pet. Chickens are just like any other pet in that they provide companionship and have individual personalities. While many do not cuddle much, they will eat from one's hand, respond to and follow their handlers, as well as show affection.[67]
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Chickens are social, inquisitive, intelligent[failed verification] birds, and many find their behaviour entertaining.[68] Certain breeds, such as Silkies and many bantam varieties, are generally docile and are often recommended as good pets around children with disabilities.[69] Many people feed chickens in part with kitchen food scraps.
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Chickens can carry and transmit salmonella in their dander and feces. In the United States, the Centers for Disease Control and Prevention advise against bringing them indoors or letting small children handle them.[70][71]
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Incubation can successfully occur artificially in machines that provide the correct, controlled environment for the developing chick.[72][73] The average incubation period for chickens is 21 days but may depend on the temperature and humidity in the incubator. Temperature regulation is the most critical factor for a successful hatch. Variations of more than 1 °C (1.8 °F) from the optimum temperature of 37.5 °C (99.5 °F) will reduce hatch rates. Humidity is also important because the rate at which eggs lose water by evaporation depends on the ambient relative humidity. Evaporation can be assessed by candling, to view the size of the air sac, or by measuring weight loss. Relative humidity should be increased to around 70% in the last three days of incubation to keep the membrane around the hatching chick from drying out after the chick cracks the shell. Lower humidity is usual in the first 18 days to ensure adequate evaporation. The position of the eggs in the incubator can also influence hatch rates. For best results, eggs should be placed with the pointed ends down and turned regularly (at least three times per day) until one to three days before hatching. If the eggs aren't turned, the embryo inside may stick to the shell and may hatch with physical defects. Adequate ventilation is necessary to provide the embryo with oxygen. Older eggs require increased ventilation.
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Many commercial incubators are industrial-sized with shelves holding tens of thousands of eggs at a time, with rotation of the eggs a fully automated process. Home incubators are boxes holding from 6 to 75 eggs; they are usually electrically powered, but in the past some were heated with an oil or paraffin lamp.
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Chickens are susceptible to several parasites, including lice, mites, ticks, fleas, and intestinal worms, as well as other diseases. Despite the name, they are not affected by chickenpox, which is generally restricted to humans.[74]
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Some of the diseases that can affect chickens are shown below:
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Since antiquity chickens have been, and still are, a sacred animal in some cultures[77] and deeply embedded within belief systems and religious worship. The term "Persian bird" for the rooster appears to have been given by the Greeks after Persian contact "because of his great importance and his religious use among the Persians".[78]
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In Indonesia the chicken has great significance during the Hindu cremation ceremony. A chicken is considered a channel for evil spirits which may be present during the ceremony. A chicken is tethered by the leg and kept present at the ceremony for its duration to ensure that any evil spirits present go into the chicken and not the family members. The chicken is then taken home and returns to its normal life.
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In ancient Greece, chickens were not normally used for sacrifices, perhaps because they were still considered an exotic animal. Because of its valor, the cock is found as an attribute of Ares, Heracles, and Athena. The alleged last words of Socrates as he died from hemlock poisoning, as recounted by Plato, were "Crito, I owe a cock to Asclepius; will you remember to pay the debt?", signifying that death was a cure for the illness of life.
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The Greeks believed that even lions were afraid of roosters. Several of Aesop's Fables reference this belief.
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In the New Testament, Jesus prophesied the betrayal by Peter: "Jesus answered, 'I tell you, Peter, before the rooster crows today, you will deny three times that you know me.'"[79] It happened,[80] and Peter cried bitterly. This made the rooster a symbol for both vigilance and betrayal.
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Earlier, Jesus compares himself to a mother hen when talking about Jerusalem: "O Jerusalem, Jerusalem, you who kill the prophets and stone those sent to you, how often I have longed to gather your children together, as a hen gathers her chicks under her wings, but you were not willing."[81]
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In the sixth century, Pope Gregory I declared the rooster the emblem of Christianity[82] and another Papal enactment of the ninth century by Pope Nicholas I[77] ordered the figure of the rooster to be placed on every church steeple.[83]
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In many Central European folk tales, the devil is believed to flee at the first crowing of a rooster.
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In traditional Jewish practice, a kosher animal is swung around the head and then slaughtered on the afternoon before Yom Kippur, the Day of Atonement, in a ritual called kapparos; it is now common practice to cradle the bird and move him or her around the head. A chicken or fish is typically used because it is commonly available (and small enough to hold). The sacrifice of the animal is to receive atonement, for the animal symbolically takes on all the person's sins in kapparos. The meat is then donated to the poor. A woman brings a hen for the ceremony, while a man brings a rooster. Although not a sacrifice in the biblical sense, the death of the animal reminds the penitent sinner that his or her life is in God's hands.
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The Talmud speaks of learning "courtesy toward one's mate" from the rooster.[84] This might refer to the fact that when a rooster finds something good to eat, he calls his hens to eat first. A rooster might also come to the aid of a hen if she is attacked. The Talmud likewise provides us with the statement "Had the Torah not been given to us, we would have learned modesty from cats, honest toil from ants, chastity from doves and gallantry from cocks",[85][86] which may be further understood as to that of the gallantry of cocks being taken in the context of a religious instilling vessel of "a girt one of the loins" (Young's Literal Translation) that which is "stately in his stride" and "move with stately bearing" in the Book of Proverbs 30:29-31 as referenced by Michael V. Fox in his Proverbs 10-31 where Saʻadiah ben Yosef Gaon (Saadia Gaon) identifies the definitive trait of "A cock girded about the loins" in Proverbs 30:31 (Douay–Rheims Bible) as "the honesty of their behavior and their success",[87] identifying a spiritual purpose of a religious vessel within that religious instilling schema of purpose and use.
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The chicken is one of the symbols of the Chinese Zodiac. In Chinese folk religion, a cooked chicken as a religious offering is usually limited to ancestor veneration and worship of village deities. Vegetarian deities such as the Buddha are not recipients of such offerings. Under some observations, an offering of chicken is presented with "serious" prayer (while roasted pork is offered during a joyous celebration). In Confucian Chinese weddings, a chicken can be used as a substitute for one who is seriously ill or not available (e.g., sudden death) to attend the ceremony. A red silk scarf is placed on the chicken's head and a close relative of the absent bride/groom holds the chicken so the ceremony may proceed. However, this practice is rare today.
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A cockatrice was supposed to have been born from an egg laid by a rooster, as well as killed by a rooster's call.
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An early domestication of chickens in Southeast Asia is probable, since the word for domestic chicken (*manuk) is part of the reconstructed Proto-Austronesian language (see Austronesian languages). Chickens, together with dogs and pigs, were the domestic animals of the Lapita culture,[88] the first Neolithic culture of Oceania.[89]
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The first pictures of chickens in Europe are found on Corinthian pottery of the 7th century BC.[90][91] The poet Cratinus (mid-5th century BC, according to the later Greek author Athenaeus) calls the chicken "the Persian alarm". In Aristophanes's comedy The Birds (414 BC) a chicken is called "the Median bird", which points to an introduction from the East. Pictures of chickens are found on Greek red figure and black-figure pottery.
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In ancient Greece, chickens were still rare and were a rather prestigious food for symposia.[92] Delos seems to have been a center of chicken breeding (Columella, De Re Rustica 8.3.4). "About 3200 BC chickens were common in Sindh. After the attacks of Aria people these fowls spred from Sindh to Balakh and Iran. During attacks and wars between Iranian and Greeks the chickens of Hellanic breed came in Iran and about 1000 BC Hellanic chickens came into Sindh through Medan".[93]
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The Romans used chickens for oracles, both when flying ("ex avibus", Augury) and when feeding ("auspicium ex tripudiis", Alectryomancy). The hen ("gallina") gave a favourable omen ("auspicium ratum"), when appearing from the left (Cic., de Div. ii.26), like the crow and the owl.
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For the oracle "ex tripudiis" according to Cicero (Cic. de Div. ii.34), any bird could be used in auspice, and shows at one point that any bird could perform the tripudium[94] but normally only chickens ("pulli") were consulted. The chickens were cared for by the pullarius, who opened their cage and fed them pulses or a special kind of soft cake when an augury was needed. If the chickens stayed in their cage, made noises ("occinerent"), beat their wings or flew away, the omen was bad; if they ate greedily, the omen was good.[95]
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In 249 BC, the Roman general Publius Claudius Pulcher had his "sacred chickens" "[96] thrown overboard when they refused to feed before the battle of Drepana, saying "If they won't eat, perhaps they will drink." He promptly lost the battle against the Carthaginians and 93 Roman ships were sunk. Back in Rome, he was tried for impiety and heavily fined.[97]
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In 162 BC, the Lex Faunia forbade fattening hens on grain which was a measure enacted to reduce the demand for grain.[98] To get around this, the Romans castrated roosters (capon), which resulted in a doubling of size[99] despite the law that was passed in Rome that forbade the consumption of fattened chickens. It was renewed a number of times, but does not seem to have been successful. Fattening chickens with bread soaked in milk was thought to give especially delicious results. The Roman gourmet Apicius offers 17 recipes for chicken, mainly boiled chicken with a sauce. All parts of the animal are used: the recipes include the stomach, liver, testicles and even the pygostyle (the fatty "tail" of the chicken where the tail feathers attach).
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The Roman author Columella gives advice on chicken breeding in the eighth book of his treatise, De Re Rustica (On Agriculture). He identified Tanagrian, Rhodic, Chalkidic and Median (commonly misidentified as Melian) breeds, which have an impressive appearance, a quarrelsome nature and were used for cockfighting by the Greeks (De Re Rustica 8.3.4). For farming, native (Roman) chickens are to be preferred, or a cross between native hens and Greek cocks (De Re Rustica 8.2.13). Dwarf chickens are nice to watch because of their size but have no other advantages.
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According to Columella (De Re Rustica 8.2.7), the ideal flock consists of 200 birds, which can be supervised by one person if someone is watching for stray animals. White chickens should be avoided as they are not very fertile and are easily caught by eagles or goshawks. One cock should be kept for five hens. In the case of Rhodian and Median cocks that are very heavy and therefore not much inclined to sex, only three hens are kept per cock. The hens of heavy fowls are not much inclined to brood; therefore their eggs are best hatched by normal hens. A hen can hatch no more than 15-23 eggs, depending on the time of year, and supervise no more than 30 hatchlings. Eggs that are long and pointed give more male hatchlings, rounded eggs mainly female hatchlings (De Re Rustica 8.5.11).
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Columella also states that chicken coops should face southeast and lie adjacent to the kitchen, as smoke is beneficial for the animals and "poultry never thrive so well as in warmth and smoke" (De Re Rustica 8.3.1).[100] Coops should consist of three rooms and possess a hearth. Dry dust or ash should be provided for dust-baths.
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According to Columella (De Re Rustica 8.4.1), chickens should be fed on barley groats, small chick-peas, millet and wheat bran, if they are cheap. Wheat itself should be avoided as it is harmful to the birds. Boiled ryegrass (Lolium sp.) and the leaves and seeds of alfalfa (Medicago sativa L.) can be used as well. Grape marc can be used, but only when the hens stop laying eggs, that is, about the middle of November; otherwise eggs are small and few. When feeding grape marc, it should be supplemented with some bran. Hens start to lay eggs after the winter solstice, in warm places around the first of January, in colder areas in the middle of February. Parboiled barley increases their fertility; this should be mixed with alfalfa leaves and seeds, or vetches or millet if alfalfa is not at hand. Free-ranging chickens should receive two cups of barley daily.
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Columella[101] advises farmers to slaughter hens that are older than three years, those that aren't productive or are poor care-takers of their eggs, and particularly those that eat their own and other hens' eggs.
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According to Aldrovandi, capons were produced by burning "the hind part of the bowels, or loins or spurs"[102] with a hot iron. The wound was treated with potter's chalk.
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For the use of poultry and eggs in the kitchens of ancient Rome see Roman eating and drinking.
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Chickens were spread by Polynesian seafarers and reached Easter Island in the 12th century AD, where they were the only domestic animal, with the possible exception of the Polynesian rat (Rattus exulans). They were housed in extremely solid chicken coops built from stone, which was first reported as such to Linton Palmer in 1868, who also "expressed his doubts about this".[103].
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The chicken (Gallus gallus domesticus) is a type of domesticated fowl, a subspecies of the red junglefowl (Gallus gallus). Chickens are one of the most common and widespread domestic animals, with a total population of 23.7 billion as of 2018.[1] up from more than 19 billion in 2011.[2] There are more chickens in the world than any other bird or domesticated fowl.[2] Humans keep chickens primarily as a source of food (consuming both their meat and eggs) and, less commonly, as pets. Originally raised for cockfighting or for special ceremonies, chickens were not kept for food until the Hellenistic period (4th–2nd centuries BC).[3][4]
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Genetic studies have pointed to multiple maternal origins in South Asia, Southeast Asia, and East Asia,[5] but with the clade found in the Americas, Europe, the Middle East and Africa originating in the Indian subcontinent. From ancient India, the domesticated chicken spread to Lydia in western Asia Minor, and to Greece by the 5th century BC.[6] Fowl had been known in Egypt since the mid-15th century BC, with the "bird that gives birth every day" having come to Egypt from the land between Syria and Shinar, Babylonia, according to the annals of Thutmose III.[7][8][9]
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In the UK and Ireland, adult male chickens over the age of one year are primarily known as cocks, whereas in the United States, Canada, Australia and New Zealand, they are more commonly called roosters. Males less than a year old are cockerels.[10] Castrated or neutered roosters are called capons (surgical and chemical castration are now illegal in some parts of the world). Females over a year old are known as hens, and younger females as pullets,[11] although in the egg-laying industry, a pullet becomes a hen when she begins to lay eggs, at 16 to 20 weeks of age. In Australia and New Zealand (also sometimes in Britain), there is a generic term chook /tʃʊk/ to describe all ages and both sexes.[12] The young are often called chicks.
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Chicken originally referred to young domestic fowl.[13] The species as a whole was then called domestic fowl, or just fowl. This use of chicken survives in the phrase Hen and Chickens, sometimes used as a British public house or theatre name, and to name groups of one large and many small rocks or islands in the sea (see for example Hen and Chicken Islands).
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In the Deep South of the United States, chickens are referred to by the slang term yardbird.[14]
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Chickens are omnivores.[15] In the wild, they often scratch at the soil to search for seeds, insects and even animals as large as lizards, small snakes,[16] or young mice.[17]
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The average chicken may live for five to ten years, depending on the breed.[18] The world's oldest known chicken was a hen which died of heart failure at the age of 16 years according to the Guinness World Records.[19]
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Roosters can usually be differentiated from hens by their striking plumage of long flowing tails and shiny, pointed feathers on their necks (hackles) and backs (saddle), which are typically of brighter, bolder colours than those of females of the same breed. However, in some breeds, such as the Sebright chicken, the rooster has only slightly pointed neck feathers, the same colour as the hen's. The identification can be made by looking at the comb, or eventually from the development of spurs on the male's legs (in a few breeds and in certain hybrids, the male and female chicks may be differentiated by colour). Adult chickens have a fleshy crest on their heads called a comb, or cockscomb, and hanging flaps of skin either side under their beaks called wattles. Collectively, these and other fleshy protuberances on the head and throat are called caruncles. Both the adult male and female have wattles and combs, but in most breeds these are more prominent in males.
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A muff or beard is a mutation found in several chicken breeds which causes extra feathering under the chicken's face, giving the appearance of a beard.
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Domestic chickens are not capable of long distance flight, although lighter chickens are generally capable of flying for short distances, such as over fences or into trees (where they would naturally roost). Chickens may occasionally fly briefly to explore their surroundings, but generally do so only to flee perceived danger.
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Chickens are gregarious birds and live together in flocks. They have a communal approach to the incubation of eggs and raising of young. Individual chickens in a flock will dominate others, establishing a "pecking order", with dominant individuals having priority for food access and nesting locations. Removing hens or roosters from a flock causes a temporary disruption to this social order until a new pecking order is established. Adding hens, especially younger birds, to an existing flock can lead to fighting and injury.[20]
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When a rooster finds food, he may call other chickens to eat first. He does this by clucking in a high pitch as well as picking up and dropping the food. This behaviour may also be observed in mother hens to call their chicks and encourage them to eat.
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A rooster's crowing is a loud and sometimes shrill call and sends a territorial signal to other roosters.[21] However, roosters may also crow in response to sudden disturbances within their surroundings. Hens cluck loudly after laying an egg, and also to call their chicks. Chickens also give different warning calls when they sense a predator approaching from the air or on the ground.[22]
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To initiate courting, some roosters may dance in a circle around or near a hen ("a circle dance"), often lowering the wing which is closest to the hen.[23] The dance triggers a response in the hen[23] and when she responds to his "call", the rooster may mount the hen and proceed with the mating.
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More specifically, mating typically involves the following sequence: 1. Male approaching the hen. 2. Male pre-copulatory waltzing. 3. Male waltzing. 4. Female crouching (receptive posture) or stepping aside or running away (if unwilling to copulate). 5. Male mounting. 6. Male treading with both feet on hen's back. 7. Male tail bending (following successful copulation).[24]
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Hens will often try to lay in nests that already contain eggs and have been known to move eggs from neighbouring nests into their own. The result of this behaviour is that a flock will use only a few preferred locations, rather than having a different nest for every bird. Hens will often express a preference to lay in the same location. It is not unknown for two (or more) hens to try to share the same nest at the same time. If the nest is small, or one of the hens is particularly determined, this may result in chickens trying to lay on top of each other. There is evidence that individual hens prefer to be either solitary or gregarious nesters.[25]
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Under natural conditions, most birds lay only until a clutch is complete, and they will then incubate all the eggs. Hens are then said to "go broody". The broody hen will stop laying and instead will focus on the incubation of the eggs (a full clutch is usually about 12 eggs). She will "sit" or "set" on the nest, protesting or pecking in defense if disturbed or removed, and she will rarely leave the nest to eat, drink, or dust-bathe. While brooding, the hen maintains the nest at a constant temperature and humidity, as well as turning the eggs regularly during the first part of the incubation. To stimulate broodiness, owners may place several artificial eggs in the nest. To discourage it, they may place the hen in an elevated cage with an open wire floor.[citation needed]
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Breeds artificially developed for egg production rarely go broody, and those that do often stop part-way through the incubation. However, other breeds, such as the Cochin, Cornish and Silkie, do regularly go broody, and they make excellent mothers, not only for chicken eggs but also for those of other species — even those with much smaller or larger eggs and different incubation periods, such as quail, pheasants, turkeys, or geese.
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Fertile chicken eggs hatch at the end of the incubation period, about 21 days.[23] Development of the chick starts only when incubation begins, so all chicks hatch within a day or two of each other, despite perhaps being laid over a period of two weeks or so. Before hatching, the hen can hear the chicks peeping inside the eggs, and will gently cluck to stimulate them to break out of their shells. The chick begins by "pipping"; pecking a breathing hole with its egg tooth towards the blunt end of the egg, usually on the upper side. The chick then rests for some hours, absorbing the remaining egg yolk and withdrawing the blood supply from the membrane beneath the shell (used earlier for breathing through the shell). The chick then enlarges the hole, gradually turning round as it goes, and eventually severing the blunt end of the shell completely to make a lid. The chick crawls out of the remaining shell, and the wet down dries out in the warmth of the nest.
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Hens usually remain on the nest for about two days after the first chick hatches, and during this time the newly hatched chicks feed by absorbing the internal yolk sac. Some breeds sometimes start eating cracked eggs, which can become habitual.[26] Hens fiercely guard their chicks, and brood them when necessary to keep them warm, at first often returning to the nest at night. She leads them to food and water and will call them toward edible items, but seldom feeds them directly. She continues to care for them until they are several weeks old. Although there are some hens, the Black Hen Atriana, in the territory of Atri, that are aggressive and often kill their own chicks. They are characterized as a small-sized hen that lays mant eggs daily.[27]
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Chickens may occasionally gang up on a weak or inexperienced predator. At least one credible report exists of a young fox killed by hens.[28][29][30] A group of hens have been recorded in attacking a hawk that had entered their coop.[31]
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.
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In 2006, scientists researching the ancestry of birds "turned on" a chicken recessive gene, talpid2, and found that the embryo jaws initiated formation of teeth, like those found in ancient bird fossils. John Fallon, the overseer of the project, stated that chickens have "...retained the ability to make teeth, under certain conditions... ."[32]
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Galliformes, the class of bird that chickens belong to, is directly linked to the survival of birds when all other dinosaurs went extinct. Water or ground-dwelling fowl, similar to modern partridges, survived the Cretaceous–Paleogene extinction event that killed all tree-dwelling birds and dinosaurs.[33] Some of these evolved into the modern galliformes, of which domesticated chickens are a main model. They are descended primarily from the red junglefowl (Gallus gallus) and are scientifically classified as the same species.[34] As such, they can and do freely interbreed with populations of red junglefowl.[34] Subsequent hybridization of domestic chicken with grey junglefowl, Sri Lankan junglefowl and green junglefowl occurred[35] with at least, a gene for yellow skin was incorporated into domestic birds through hybridization with the grey junglefowl (G. sonneratii).[36] In a study published in 2020, it was found that chickens shared between 71% - 79% of their genome with red junglefowl with domestication period dated to 8,000 years ago.[35]
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The traditional view is that chickens were first domesticated for cockfighting in Asia, Africa, and Europe.[3] In the last decade, there have been a number of genetic studies to clarify the origins. According to one early study, a single domestication event which took place in what now is the country of Thailand gave rise to the modern chicken with minor transitions separating the modern breeds.[37] However, that study was later found to be based on incomplete data, and recent studies point to multiple maternal origins, with the clade found in the Americas, Europe, Middle East, and Africa, originating from the Indian subcontinent, where a large number of unique haplotypes occur.[38][39] The red junglefowl, known as the bamboo fowl in many Southeast Asian languages, is a special bird well-adapted to take advantage of the large amounts of fruits that are produced during the end of the 50-year bamboo seeding cycle, to boost its own reproduction.[40] In domesticating the chicken, humans took advantage of this predisposition for prolific reproduction of the red junglefowl when exposed to large amounts of food.[41]
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Several controversies still surround the time chicken was domesticated. A recent molecular evidence obtained from whole-genome study published in 2020 reveal that chicken was domesticated 8,000 years ago.[35] Though, it was previously thought to have been domesticated in Southern China in 6000 BC based on paleoclimatic assumptions[42] which has now raised doubts from another study that question whether those birds were the ancestors of chickens today.[43] Majority of the world chicken today may have migrated from the Harappan culture of the Indus Valley. Eventually, the chicken moved to the Tarim basin of central Asia. The chicken reached Europe (Romania, Turkey, Greece, Ukraine) about 3000 BC.[44]
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Introduction into Western Europe came far later, about the 1st millennium BC. Phoenicians spread chickens along the Mediterranean coasts as far as Iberia. Breeding increased under the Roman Empire, and was reduced in the Middle Ages.[44] Genetic sequencing of chicken bones from archaeological sites in Europe revealed that in the High Middle Ages chickens became less aggressive and began to lay eggs earlier in the breeding season.[45]
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Middle East traces of chicken go back to a little earlier than 2000 BC, in Syria; chickens went southward only in the 1st millennium BC. They reached Egypt for purposes of cockfighting about 1400 BC, and became widely bred only in Ptolemaic Egypt (about 300 BC).[44] Little is known about the chicken's introduction into Africa. It was during the Hellenistic period (4th-2nd centuries BC), in the Southern Levant, that chickens began widely to be domesticated for food.[4] This change occurred at least 100 years before domestication of chickens spread to Europe.
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Three possible routes of introduction in about the early first millennium AD could have been through the Egyptian Nile Valley, the East Africa Roman-Greek or Indian trade, or from Carthage and the Berbers, across the Sahara. The earliest known remains are from Mali, Nubia, East Coast, and South Africa and date back to the middle of the first millennium AD.[44]
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Domestic chicken in the Americas before Western contact is still an ongoing discussion, but blue-egged chickens, found only in the Americas and Asia, suggest an Asian origin for early American chickens.[44]
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A lack of data from Thailand, Russia, the Indian subcontinent, Southeast Asia and Sub-Saharan Africa makes it difficult to lay out a clear map of the spread of chickens in these areas; better description and genetic analysis of local breeds threatened by extinction may also help with research into this area.[44]
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An unusual variety of chicken that has its origins in South America is the araucana, bred in southern Chile by the Mapuche people. Araucanas, some of which are tailless and some of which have tufts of feathers around their ears, lay blue-green eggs. It has long been suggested that they pre-date the arrival of European chickens brought by the Spanish and are evidence of pre-Columbian trans-Pacific contacts between Asian or Pacific Oceanic peoples, particularly the Polynesians, and South America. In 2007, an international team of researchers reported the results of analysis of chicken bones found on the Arauco Peninsula in south-central Chile. Radiocarbon dating suggested that the chickens were Pre-Columbian, and DNA analysis showed that they were related to prehistoric populations of chickens in Polynesia.[46] These results appeared to confirm that the chickens came from Polynesia and that there were transpacific contacts between Polynesia and South America before Columbus's arrival in the Americas.[47]
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However, a later report looking at the same specimens concluded:
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A published, apparently pre-Columbian, Chilean specimen and six pre-European Polynesian specimens also cluster with the same European/Indian subcontinental/Southeast Asian sequences, providing no support for a Polynesian introduction of chickens to South America. In contrast, sequences from two archaeological sites on Easter Island group with an uncommon haplogroup from Indonesia, Japan, and China and may represent a genetic signature of an early Polynesian dispersal. Modeling of the potential marine carbon contribution to the Chilean archaeological specimen casts further doubt on claims for pre-Columbian chickens, and definitive proof will require further analyses of ancient DNA sequences and radiocarbon and stable isotope data from archaeological excavations within both Chile and Polynesia.[48]
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The debate for and against a Polynesian origin for South American chickens continued with this 2014 paper and subsequent responses in PNAS.[49]
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More than 50 billion chickens are reared annually as a source of meat and eggs.[51] In the United States alone, more than 8 billion chickens are slaughtered each year for meat,[52] and more than 300 million chickens are reared for egg production.[53]
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The vast majority of poultry are raised in factory farms. According to the Worldwatch Institute, 74 percent of the world's poultry meat and 68 percent of eggs are produced this way.[54] An alternative to intensive poultry farming is free-range farming.
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Friction between these two main methods has led to long-term issues of ethical consumerism. Opponents of intensive farming argue that it harms the environment, creates human health risks and is inhumane.[55] Advocates of intensive farming say that their highly efficient systems save land and food resources owing to increased productivity, and that the animals are looked after in state-of-the-art environmentally controlled facilities.[56]
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Chickens farmed for meat are called broilers. Chickens will naturally live for six or more years, but broiler breeds typically take less than six weeks to reach slaughter size.[57] A free range or organic broiler will usually be slaughtered at about 14 weeks of age.
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Chickens farmed primarily for eggs are called layer hens. In total, the UK alone consumes more than 34 million eggs per day.[58] Some hen breeds can produce over 300 eggs per year, with "the highest authenticated rate of egg laying being 371 eggs in 364 days".[59] After 12 months of laying, the commercial hen's egg-laying ability starts to decline to the point where the flock is commercially unviable. Hens, particularly from battery cage systems, are sometimes infirm or have lost a significant amount of their feathers, and their life expectancy has been reduced from around seven years to less than two years.[60] In the UK and Europe, laying hens are then slaughtered and used in processed foods or sold as "soup hens".[60] In some other countries, flocks are sometimes force moulted, rather than being slaughtered, to re-invigorate egg-laying. This involves complete withdrawal of food (and sometimes water) for 7–14 days[61] or sufficiently long to cause a body weight loss of 25 to 35%,[62] or up to 28 days under experimental conditions.[63] This stimulates the hen to lose her feathers, but also re-invigorates egg-production. Some flocks may be force-moulted several times. In 2003, more than 75% of all flocks were moulted in the US.[64]
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Keeping chickens as pets became increasingly popular in the 2000s[65] among urban and suburban residents.[66] Many people obtain chickens for their egg production but often name them and treat them as any other pet. Chickens are just like any other pet in that they provide companionship and have individual personalities. While many do not cuddle much, they will eat from one's hand, respond to and follow their handlers, as well as show affection.[67]
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Chickens are social, inquisitive, intelligent[failed verification] birds, and many find their behaviour entertaining.[68] Certain breeds, such as Silkies and many bantam varieties, are generally docile and are often recommended as good pets around children with disabilities.[69] Many people feed chickens in part with kitchen food scraps.
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Chickens can carry and transmit salmonella in their dander and feces. In the United States, the Centers for Disease Control and Prevention advise against bringing them indoors or letting small children handle them.[70][71]
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Incubation can successfully occur artificially in machines that provide the correct, controlled environment for the developing chick.[72][73] The average incubation period for chickens is 21 days but may depend on the temperature and humidity in the incubator. Temperature regulation is the most critical factor for a successful hatch. Variations of more than 1 °C (1.8 °F) from the optimum temperature of 37.5 °C (99.5 °F) will reduce hatch rates. Humidity is also important because the rate at which eggs lose water by evaporation depends on the ambient relative humidity. Evaporation can be assessed by candling, to view the size of the air sac, or by measuring weight loss. Relative humidity should be increased to around 70% in the last three days of incubation to keep the membrane around the hatching chick from drying out after the chick cracks the shell. Lower humidity is usual in the first 18 days to ensure adequate evaporation. The position of the eggs in the incubator can also influence hatch rates. For best results, eggs should be placed with the pointed ends down and turned regularly (at least three times per day) until one to three days before hatching. If the eggs aren't turned, the embryo inside may stick to the shell and may hatch with physical defects. Adequate ventilation is necessary to provide the embryo with oxygen. Older eggs require increased ventilation.
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Many commercial incubators are industrial-sized with shelves holding tens of thousands of eggs at a time, with rotation of the eggs a fully automated process. Home incubators are boxes holding from 6 to 75 eggs; they are usually electrically powered, but in the past some were heated with an oil or paraffin lamp.
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Chickens are susceptible to several parasites, including lice, mites, ticks, fleas, and intestinal worms, as well as other diseases. Despite the name, they are not affected by chickenpox, which is generally restricted to humans.[74]
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Some of the diseases that can affect chickens are shown below:
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Since antiquity chickens have been, and still are, a sacred animal in some cultures[77] and deeply embedded within belief systems and religious worship. The term "Persian bird" for the rooster appears to have been given by the Greeks after Persian contact "because of his great importance and his religious use among the Persians".[78]
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In Indonesia the chicken has great significance during the Hindu cremation ceremony. A chicken is considered a channel for evil spirits which may be present during the ceremony. A chicken is tethered by the leg and kept present at the ceremony for its duration to ensure that any evil spirits present go into the chicken and not the family members. The chicken is then taken home and returns to its normal life.
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In ancient Greece, chickens were not normally used for sacrifices, perhaps because they were still considered an exotic animal. Because of its valor, the cock is found as an attribute of Ares, Heracles, and Athena. The alleged last words of Socrates as he died from hemlock poisoning, as recounted by Plato, were "Crito, I owe a cock to Asclepius; will you remember to pay the debt?", signifying that death was a cure for the illness of life.
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The Greeks believed that even lions were afraid of roosters. Several of Aesop's Fables reference this belief.
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In the New Testament, Jesus prophesied the betrayal by Peter: "Jesus answered, 'I tell you, Peter, before the rooster crows today, you will deny three times that you know me.'"[79] It happened,[80] and Peter cried bitterly. This made the rooster a symbol for both vigilance and betrayal.
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Earlier, Jesus compares himself to a mother hen when talking about Jerusalem: "O Jerusalem, Jerusalem, you who kill the prophets and stone those sent to you, how often I have longed to gather your children together, as a hen gathers her chicks under her wings, but you were not willing."[81]
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In the sixth century, Pope Gregory I declared the rooster the emblem of Christianity[82] and another Papal enactment of the ninth century by Pope Nicholas I[77] ordered the figure of the rooster to be placed on every church steeple.[83]
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In many Central European folk tales, the devil is believed to flee at the first crowing of a rooster.
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In traditional Jewish practice, a kosher animal is swung around the head and then slaughtered on the afternoon before Yom Kippur, the Day of Atonement, in a ritual called kapparos; it is now common practice to cradle the bird and move him or her around the head. A chicken or fish is typically used because it is commonly available (and small enough to hold). The sacrifice of the animal is to receive atonement, for the animal symbolically takes on all the person's sins in kapparos. The meat is then donated to the poor. A woman brings a hen for the ceremony, while a man brings a rooster. Although not a sacrifice in the biblical sense, the death of the animal reminds the penitent sinner that his or her life is in God's hands.
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The Talmud speaks of learning "courtesy toward one's mate" from the rooster.[84] This might refer to the fact that when a rooster finds something good to eat, he calls his hens to eat first. A rooster might also come to the aid of a hen if she is attacked. The Talmud likewise provides us with the statement "Had the Torah not been given to us, we would have learned modesty from cats, honest toil from ants, chastity from doves and gallantry from cocks",[85][86] which may be further understood as to that of the gallantry of cocks being taken in the context of a religious instilling vessel of "a girt one of the loins" (Young's Literal Translation) that which is "stately in his stride" and "move with stately bearing" in the Book of Proverbs 30:29-31 as referenced by Michael V. Fox in his Proverbs 10-31 where Saʻadiah ben Yosef Gaon (Saadia Gaon) identifies the definitive trait of "A cock girded about the loins" in Proverbs 30:31 (Douay–Rheims Bible) as "the honesty of their behavior and their success",[87] identifying a spiritual purpose of a religious vessel within that religious instilling schema of purpose and use.
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The chicken is one of the symbols of the Chinese Zodiac. In Chinese folk religion, a cooked chicken as a religious offering is usually limited to ancestor veneration and worship of village deities. Vegetarian deities such as the Buddha are not recipients of such offerings. Under some observations, an offering of chicken is presented with "serious" prayer (while roasted pork is offered during a joyous celebration). In Confucian Chinese weddings, a chicken can be used as a substitute for one who is seriously ill or not available (e.g., sudden death) to attend the ceremony. A red silk scarf is placed on the chicken's head and a close relative of the absent bride/groom holds the chicken so the ceremony may proceed. However, this practice is rare today.
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A cockatrice was supposed to have been born from an egg laid by a rooster, as well as killed by a rooster's call.
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An early domestication of chickens in Southeast Asia is probable, since the word for domestic chicken (*manuk) is part of the reconstructed Proto-Austronesian language (see Austronesian languages). Chickens, together with dogs and pigs, were the domestic animals of the Lapita culture,[88] the first Neolithic culture of Oceania.[89]
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The first pictures of chickens in Europe are found on Corinthian pottery of the 7th century BC.[90][91] The poet Cratinus (mid-5th century BC, according to the later Greek author Athenaeus) calls the chicken "the Persian alarm". In Aristophanes's comedy The Birds (414 BC) a chicken is called "the Median bird", which points to an introduction from the East. Pictures of chickens are found on Greek red figure and black-figure pottery.
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In ancient Greece, chickens were still rare and were a rather prestigious food for symposia.[92] Delos seems to have been a center of chicken breeding (Columella, De Re Rustica 8.3.4). "About 3200 BC chickens were common in Sindh. After the attacks of Aria people these fowls spred from Sindh to Balakh and Iran. During attacks and wars between Iranian and Greeks the chickens of Hellanic breed came in Iran and about 1000 BC Hellanic chickens came into Sindh through Medan".[93]
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The Romans used chickens for oracles, both when flying ("ex avibus", Augury) and when feeding ("auspicium ex tripudiis", Alectryomancy). The hen ("gallina") gave a favourable omen ("auspicium ratum"), when appearing from the left (Cic., de Div. ii.26), like the crow and the owl.
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For the oracle "ex tripudiis" according to Cicero (Cic. de Div. ii.34), any bird could be used in auspice, and shows at one point that any bird could perform the tripudium[94] but normally only chickens ("pulli") were consulted. The chickens were cared for by the pullarius, who opened their cage and fed them pulses or a special kind of soft cake when an augury was needed. If the chickens stayed in their cage, made noises ("occinerent"), beat their wings or flew away, the omen was bad; if they ate greedily, the omen was good.[95]
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In 249 BC, the Roman general Publius Claudius Pulcher had his "sacred chickens" "[96] thrown overboard when they refused to feed before the battle of Drepana, saying "If they won't eat, perhaps they will drink." He promptly lost the battle against the Carthaginians and 93 Roman ships were sunk. Back in Rome, he was tried for impiety and heavily fined.[97]
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In 162 BC, the Lex Faunia forbade fattening hens on grain which was a measure enacted to reduce the demand for grain.[98] To get around this, the Romans castrated roosters (capon), which resulted in a doubling of size[99] despite the law that was passed in Rome that forbade the consumption of fattened chickens. It was renewed a number of times, but does not seem to have been successful. Fattening chickens with bread soaked in milk was thought to give especially delicious results. The Roman gourmet Apicius offers 17 recipes for chicken, mainly boiled chicken with a sauce. All parts of the animal are used: the recipes include the stomach, liver, testicles and even the pygostyle (the fatty "tail" of the chicken where the tail feathers attach).
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The Roman author Columella gives advice on chicken breeding in the eighth book of his treatise, De Re Rustica (On Agriculture). He identified Tanagrian, Rhodic, Chalkidic and Median (commonly misidentified as Melian) breeds, which have an impressive appearance, a quarrelsome nature and were used for cockfighting by the Greeks (De Re Rustica 8.3.4). For farming, native (Roman) chickens are to be preferred, or a cross between native hens and Greek cocks (De Re Rustica 8.2.13). Dwarf chickens are nice to watch because of their size but have no other advantages.
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According to Columella (De Re Rustica 8.2.7), the ideal flock consists of 200 birds, which can be supervised by one person if someone is watching for stray animals. White chickens should be avoided as they are not very fertile and are easily caught by eagles or goshawks. One cock should be kept for five hens. In the case of Rhodian and Median cocks that are very heavy and therefore not much inclined to sex, only three hens are kept per cock. The hens of heavy fowls are not much inclined to brood; therefore their eggs are best hatched by normal hens. A hen can hatch no more than 15-23 eggs, depending on the time of year, and supervise no more than 30 hatchlings. Eggs that are long and pointed give more male hatchlings, rounded eggs mainly female hatchlings (De Re Rustica 8.5.11).
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Columella also states that chicken coops should face southeast and lie adjacent to the kitchen, as smoke is beneficial for the animals and "poultry never thrive so well as in warmth and smoke" (De Re Rustica 8.3.1).[100] Coops should consist of three rooms and possess a hearth. Dry dust or ash should be provided for dust-baths.
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According to Columella (De Re Rustica 8.4.1), chickens should be fed on barley groats, small chick-peas, millet and wheat bran, if they are cheap. Wheat itself should be avoided as it is harmful to the birds. Boiled ryegrass (Lolium sp.) and the leaves and seeds of alfalfa (Medicago sativa L.) can be used as well. Grape marc can be used, but only when the hens stop laying eggs, that is, about the middle of November; otherwise eggs are small and few. When feeding grape marc, it should be supplemented with some bran. Hens start to lay eggs after the winter solstice, in warm places around the first of January, in colder areas in the middle of February. Parboiled barley increases their fertility; this should be mixed with alfalfa leaves and seeds, or vetches or millet if alfalfa is not at hand. Free-ranging chickens should receive two cups of barley daily.
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Columella[101] advises farmers to slaughter hens that are older than three years, those that aren't productive or are poor care-takers of their eggs, and particularly those that eat their own and other hens' eggs.
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According to Aldrovandi, capons were produced by burning "the hind part of the bowels, or loins or spurs"[102] with a hot iron. The wound was treated with potter's chalk.
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For the use of poultry and eggs in the kitchens of ancient Rome see Roman eating and drinking.
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Chickens were spread by Polynesian seafarers and reached Easter Island in the 12th century AD, where they were the only domestic animal, with the possible exception of the Polynesian rat (Rattus exulans). They were housed in extremely solid chicken coops built from stone, which was first reported as such to Linton Palmer in 1868, who also "expressed his doubts about this".[103].
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An exoskeleton (from Greek έξω, éxō "outer" and σκελετός, skeletós "skeleton"[1]) is the external skeleton that supports and protects an animal's body, in contrast to the internal skeleton (endoskeleton) of, for example, a human. In usage, some of the larger kinds of exoskeletons are known as "shells". Examples of animals with exoskeletons include insects such as grasshoppers and cockroaches, and crustaceans such as crabs and lobsters, as well as the shells of certain sponges and the various groups of shelled molluscs, including those of snails, clams, tusk shells, chitons and nautilus. Some animals, such as the tortoise, have both an endoskeleton and an exoskeleton.
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Exoskeletons contain rigid and resistant components that fulfill a set of functional roles in many animals including protection, excretion, sensing, support, feeding and acting as a barrier against desiccation in terrestrial organisms. Exoskeletons have a role in defense from pests and predators, support and in providing an attachment framework for musculature.[2]
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Exoskeletons contain chitin; the addition of calcium carbonate makes them harder and stronger.[citation needed] Ingrowths of the arthropod exoskeleton known as apodemes serve as attachment sites for muscles. These structures are composed of chitin and are approximately six times stronger and twice the stiffness of vertebrate tendons. Similar to tendons, apodemes can stretch to store elastic energy for jumping, notably in locusts.[3] Calcium carbonates constitute the shells of molluscs, brachiopods, and some tube-building polychaete worms. Silica forms the exoskeleton in the microscopic diatoms and radiolaria. One species of mollusc, the scaly-foot gastropod, even makes use of the iron sulfides greigite and pyrite.
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Some organisms, such as some foraminifera, agglutinate exoskeletons by sticking grains of sand and shell to their exterior. Contrary to a common misconception, echinoderms do not possess an exoskeleton, as their test is always contained within a layer of living tissue.
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Exoskeletons have evolved independently many times; 18 lineages evolved calcified exoskeletons alone.[4] Further, other lineages have produced tough outer coatings analogous to an exoskeleton, such as some mammals. This coating is constructed from bone in the armadillo, and hair in the pangolin. The armor of reptiles like turtles and dinosaurs like Ankylosaurs is constructed of bone; crocodiles have bony scutes and horny scales.
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Since exoskeletons are rigid, they present some limits to growth. Organisms with open shells can grow by adding new material to the aperture of their shell, as is the case in snails, bivalves and other molluscans. A true exoskeleton, like that found in arthropods, must be shed (moulted) when it is outgrown.[5] A new exoskeleton is produced beneath the old one. As the old one is shed, the new skeleton is soft and pliable. The animal will pump itself up[ambiguous] to expand the new shell to maximal size, then let it harden. When the shell has set, the empty space inside the new skeleton can be filled up as the animal eats.[5] Failure to shed the exoskeleton once outgrown can result in the animal being suffocated within its own shell, and will stop subadults from reaching maturity, thus preventing them from reproducing. This is the mechanism behind some insect pesticides, such as Azadirachtin.[6]
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Exoskeletons, as hard parts of organisms, are greatly useful in assisting preservation of organisms, whose soft parts usually rot before they can be fossilized. Mineralized exoskeletons can be preserved "as is", as shell fragments, for example. The possession of an exoskeleton also permits a couple of other routes to fossilization. For instance, the tough layer can resist compaction, allowing a mold of the organism to be formed underneath the skeleton, which may later decay.[7] Alternatively, exceptional preservation may result in chitin being mineralized, as in the Burgess Shale,[8] or transformed to the resistant polymer keratin, which can resist decay and be recovered.
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However, our dependence on fossilized skeletons also significantly limits our understanding of evolution. Only the parts of organisms that were already mineralized are usually preserved, such as the shells of molluscs. It helps that exoskeletons often contain "muscle scars", marks where muscles have been attached to the exoskeleton, which may allow the reconstruction of much of an organism's internal parts from its exoskeleton alone.[7] The most significant limitation is that, although there are 30-plus phyla of living animals, two-thirds of these phyla have never been found as fossils, because most animal species are soft-bodied and decay before they can become fossilized.[9]
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Mineralized skeletons first appear in the fossil record shortly before the base of the Cambrian period, 550 million years ago. The evolution of a mineralized exoskeleton is seen by some as a possible driving force of the Cambrian explosion of animal life, resulting in a diversification of predatory and defensive tactics. However, some Precambrian (Ediacaran) organisms produced tough outer shells[7] while others, such as Cloudina, had a calcified exoskeleton.[10]
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Some Cloudina shells even show evidence of predation, in the form of borings.[10]
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On the whole, the fossil record only contains mineralised exoskeletons, since these are by far the most durable. Since most lineages with exoskeletons are thought to have started out with a non-mineralised exoskeleton which they later mineralised, this makes it difficult to comment on the very early evolution of each lineage's exoskeleton. It is known, however, that in a very short course of time, just before the Cambrian period, exoskeletons made of various materials – silica, calcium phosphate, calcite, aragonite, and even glued-together mineral flakes – sprang up in a range of different environments.[11] Most lineages adopted the form of calcium carbonate which was stable in the ocean at the time they first mineralised, and did not change from this mineral morph - even when it became the less favorable.[4]
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Some Precambrian (Ediacaran) organisms produced tough but non-mineralized outer shells,[7] while others, such as Cloudina, had a calcified exoskeleton,[10] but mineralized skeletons did not become common until the beginning of the Cambrian period, with the rise of the "small shelly fauna". Just after the base of the Cambrian, these miniature fossils become diverse and abundant – this abruptness may be an illusion, since the chemical conditions which preserved the small shellies appeared at the same time.[12] Most other shell-forming organisms appear during the Cambrian period, with the Bryozoans being the only calcifying phylum to appear later, in the Ordovician. The sudden appearance of shells has been linked to a change in ocean chemistry which made the calcium compounds of which the shells are constructed stable enough to be precipitated into a shell. However this is unlikely to be a sufficient cause, as the main construction cost of shells is in creating the proteins and polysaccharides required for the shell's composite structure, not in the precipitation of the mineral components.[2] Skeletonization also appeared at almost exactly the same time that animals started burrowing to avoid predation, and one of the earliest exoskeletons was made of glued-together mineral flakes, suggesting that skeletonization was likewise a response to increased pressure from predators.[11]
|
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|
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Ocean chemistry may also control which mineral shells are constructed of. Calcium carbonate has two forms, the stable calcite, and the metastable aragonite, which is stable within a reasonable range of chemical environments but rapidly becomes unstable outside this range. When the oceans contain a relatively high proportion of magnesium compared to calcium, aragonite is more stable, but as the magnesium concentration drops, it becomes less stable, hence harder to incorporate into an exoskeleton, as it will tend to dissolve.
|
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+
|
26 |
+
With the exception of the molluscs, whose shells often comprise both forms, most lineages use just one form of the mineral. The form used appears to reflect the seawater chemistry – thus which form was more easily precipitated – at the time that the lineage first evolved a calcified skeleton, and does not change thereafter.[4] However, the relative abundance of calcite- and aragonite-using lineages does not reflect subsequent seawater chemistry – the magnesium/calcium ratio of the oceans appears to have a negligible impact on organisms' success, which is instead controlled mainly by how well they recover from mass extinctions.[13] A recently discovered[14] modern gastropod Chrysomallon squamiferum that lives near deep-sea hydrothermal vents illustrates the influence of both ancient and modern local chemical environments: its shell is made of aragonite, which is found in some of the earliest fossil mollusks; but it also has armor plates on the sides of its foot, and these are mineralized with the iron sulfides pyrite and greigite, which had never previously been found in any metazoan but whose ingredients are emitted in large quantities by the vents.[2]
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1 |
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Alexandria (/ˌælɪɡˈzændriə/ or /-ˈzɑːnd-/;[5] Arabic: الإسكندرية al-ʾIskandariyya;[6][7] Egyptian Arabic: اسكندرية Eskendereyya; Coptic: ⲣⲁⲕⲟϯ Rakodī;[8] Greek: Αλεξάνδρεια Alexandria)[8][9] is the second-largest city in Egypt and a major economic center. With a population of 5,200,000, Alexandria is the largest city on the Mediterranean, the sixth-largest city in the Arab world and the ninth-largest in Africa. The city extends about 40 km (25 mi) at the northern coast of Egypt along the Mediterranean Sea. Alexandria is a popular tourist destination, and also an important industrial center because of its natural gas and oil pipelines from Suez.
|
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|
5 |
+
Alexandria was founded in c. 331 BC by Alexander the Great,[10] king of Macedon and leader of the Greek League of Corinth, during his conquest of the Achaemenid Empire. An Egyptian village named Rhacotis existed at the location and grew into the Egyptian quarter of Alexandria. Alexandria grew rapidly to become an important center of Hellenistic civilization and remained the capital of Ptolemaic Egypt and Roman and Byzantine Egypt for almost 1,000 years, until the Muslim conquest of Egypt in AD 641, when a new capital was founded at Fustat (later absorbed into Cairo). Hellenistic Alexandria was best known for the Lighthouse of Alexandria (Pharos), one of the Seven Wonders of the Ancient World; its Great Library (the largest in the ancient world); and the Necropolis, one of the Seven Wonders of the Middle Ages. Alexandria was the intellectual and cultural center of the ancient Mediterranean world for much of the Hellenistic age and late antiquity.[10] It was at one time the largest city in the ancient world before being eventually overtaken by Rome.
|
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+
|
7 |
+
The city was a major center of early Christianity and was the center of the Patriarchate of Alexandria, which was one of the major centers of Christianity in the Eastern Roman Empire. In the modern world, the Coptic Orthodox Church and the Greek Orthodox Church of Alexandria both lay claim to this ancient heritage.
|
8 |
+
|
9 |
+
Following the Arab conquest of Egypt in AD 641, the city was plundered and lost its significance before re-emerging in the modern era.[11] From the late 18th century, Alexandria became a major center of the international shipping industry and one of the most important trading centers in the world, both because it profited from the easy overland connection between the Mediterranean Sea and the Red Sea, and the lucrative trade in Egyptian cotton.
|
10 |
+
|
11 |
+
Recent radiocarbon dating of seashell fragments and lead contamination show human activity at the location during the period of the Old Kingdom (27th-21st centuries BC) and again in the period 1000-800 BC, followed by the absence of activity thereafter.[12] From ancient sources it is known there existed a trading post at this location during the time of Rameses the Great for trade with Crete, but it had long been lost by the time of Alexander's arrival.[10] A small Egyptian fishing village named Rhakotis (Egyptian:*Raˁ-Ḳāṭit, written rˁ-ḳṭy.t, 'That which is built up') existed since the 13th century BC in the vicinity and eventually grew into the Egyptian quarter of the city.[10] Just east of Alexandria (where Abu Qir Bay is now), there was in ancient times marshland and several islands. As early as the 7th century BC, there existed important port cities of Canopus and Heracleion. The latter was recently rediscovered under water.
|
12 |
+
|
13 |
+
Alexandria was founded by Alexander the Great in April 331 BC as Ἀλεξάνδρεια (Alexandreia). Passing through Egypt, Alexander wanted to build a large Greek city on Egypt's coast that would bear his name. He chose the site of Alexandria, envisioning the building of a causeway to the nearby island of Pharos that would generate two great natural harbors.[10] Alexandria was intended to supersede the older Greek colony of Naucratis as a Hellenistic center in Egypt, and to be the link between Greece and the rich Nile valley. A few months after the foundation, Alexander left Egypt and never returned to the city during his life.
|
14 |
+
|
15 |
+
After Alexander's departure, his viceroy Cleomenes continued the expansion. The architect Dinocrates of Rhodes designed the city, using a Hippodamian grid plan. Following Alexander's death in 323 BC, his general Ptolemy Lagides took possession of Egypt and brought Alexander's body to Egypt with him.[13] Ptolemy at first ruled from the old Egyptian capital of Memphis. In 322/321 BC he had Cleomenes executed. Finally, in 305 BC, Ptolemy declared himself Pharaoh as Ptolemy I Soter ("Savior") and moved his capital to Alexandria.
|
16 |
+
|
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+
Although Cleomenes was mainly in charge of overseeing Alexandria's early development, the Heptastadion and the mainland quarters seem to have been primarily Ptolemaic work. Inheriting the trade of ruined Tyre and becoming the center of the new commerce between Europe and the Arabian and Indian East, the city grew in less than a generation to be larger than Carthage. In a century, Alexandria had become the largest city in the world and, for some centuries more, was second only to Rome. It became Egypt's main Greek city, with Greek people from diverse backgrounds.[14]
|
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+
|
19 |
+
Alexandria was not only a center of Hellenism, but was also home to the largest urban Jewish community in the world. The Septuagint, a Greek version of the Tanakh, was produced there. The early Ptolemies kept it in order and fostered the development of its museum into the leading Hellenistic center of learning (Library of Alexandria), but were careful to maintain the distinction of its population's three largest ethnicities: Greek, Jewish, and Egyptian.[15] By the time of Augustus, the city walls encompassed an area of 5.34 km2, and the total population in Roman times was around 500–600,000.[16]
|
20 |
+
|
21 |
+
According to Philo of Alexandria, in the year 38 of the Common era, disturbances erupted between Jews and Greek citizens of Alexandria during a visit paid by the Jewish king Agrippa I to Alexandria, principally over the respect paid by the Jewish nation to the Roman emperor, and which quickly escalated to open affronts and violence between the two ethnic groups and the desecration of Alexandrian synagogues. The violence was quelled after Caligula intervened and had the Roman governor, Flaccus, removed from the city.[17]
|
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+
|
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+
In AD 115, large parts of Alexandria were destroyed during the Kitos War, which gave Hadrian and his architect, Decriannus, an opportunity to rebuild it. In 215, the emperor Caracalla visited the city and, because of some insulting satires that the inhabitants had directed at him, abruptly commanded his troops to put to death all youths capable of bearing arms. On 21 July 365, Alexandria was devastated by a tsunami (365 Crete earthquake),[18] an event annually commemorated years later as a "day of horror".[19]
|
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+
|
25 |
+
In 619, Alexandria fell to the Sassanid Persians. Although the Byzantine Emperor Heraclius recovered it in 629, in 641 the Arabs under the general 'Amr ibn al-'As invaded it during the Muslim conquest of Egypt, after a siege that lasted 14 months. The first Arab governor of Egypt recorded to have visited Alexandria was Utba ibn Abi Sufyan, who strengthened the Arab presence and built a governor's palace in the city in 664–665.[20][21]
|
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+
|
27 |
+
After the Battle of Ridaniya in 1517, the city was conquered by the Ottoman Turks and remained under Ottoman rule until 1798. Alexandria lost much of its former importance to the Egyptian port city of Rosetta during the 9th to 18th centuries, and only regained its former prominence with the construction of the Mahmoudiyah Canal in 1807.
|
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+
|
29 |
+
Alexandria figured prominently in the military operations of Napoleon's expedition to Egypt in 1798. French troops stormed the city on 2 July 1798, and it remained in their hands until the arrival of a British expedition in 1801. The British won a considerable victory over the French at the Battle of Alexandria on 21 March 1801, following which they besieged the city, which fell to them on 2 September 1801. Muhammad Ali, the Ottoman governor of Egypt, began rebuilding and redevelopment around 1810, and by 1850, Alexandria had returned to something akin to its former glory.[22] Egypt turned to Europe in their effort to modernize the country. Greeks, followed by other Europeans and others, began moving to the city. In the early 20th century, the city became a home for novelists and poets.[11]
|
30 |
+
|
31 |
+
In July 1882, the city came under bombardment from British naval forces and was occupied.[23]
|
32 |
+
|
33 |
+
In July 1954, the city was a target of an Israeli bombing campaign that later became known as the Lavon Affair. On 26 October 1954, Alexandria's Mansheya Square was the site of a failed assassination attempt on Gamal Abdel Nasser.[24]
|
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+
|
35 |
+
Europeans began leaving Alexandria following the 1956 Suez Crisis that led to an outburst of Arab nationalism. The nationalization of property by Nasser, which reached its highest point in 1961, drove out nearly all the rest.[11]
|
36 |
+
|
37 |
+
In reference to Alexandria, Egypt, Ibn Battuta speaks of great saints that resided here. One of them being Imam Borhan Oddin El Aaraj. He was said to have the power of working miracles. He told Ibn Battuta that he should go find his three brothers, Farid Oddin, who lived in India, Rokn Oddin Ibn Zakarya, who lived in Sindia, and Borhan Oddin, who lived in China. Battuta then made it his purpose to find these people and give them his compliments. Sheikh Yakut was another great man. He was the disciple of Sheikh Abu Abbas El Mursi, who was the disciple of Abu El Hasan El Shadali, who is known to be a servant of God. Abu Abbas was the author of the Hizb El Bahr and was famous for piety and miracles. Abu Abd Allah El Murshidi was a great interpreting saint that lived secluded in the Minyat of Ibn Murshed. He lived alone but was visited daily by emirs, viziers, and crowds that wished to eat with him. The Sultan of Egypt (El Malik El Nasir) visited him, as well. Ibn Battuta left Alexandria with the intent of visiting him.[25]
|
38 |
+
|
39 |
+
Ibn Battuta also visited the Pharos lighthouse on 2 occasions; in 1326 he found it to be partly in ruins and in 1349 it had deteriorated further, making entrance to the edifice impossible.[26]
|
40 |
+
|
41 |
+
The most important battles and sieges of Alexandria include:
|
42 |
+
|
43 |
+
Greek Alexandria was divided into three regions:
|
44 |
+
|
45 |
+
Two main streets, lined with colonnades and said to have been each about 60 meters (200 ft) wide, intersected in the center of the city, close to the point where the Sema (or Soma) of Alexander (his Mausoleum) rose. This point is very near the present mosque of Nebi Daniel; and the line of the great East–West "Canopic" street, only slightly diverged from that of the modern Boulevard de Rosette (now Sharia Fouad). Traces of its pavement and canal have been found near the Rosetta Gate, but remnants of streets and canals were exposed in 1899 by German excavators outside the east fortifications, which lie well within the area of the ancient city.
|
46 |
+
|
47 |
+
Alexandria consisted originally of little more than the island of Pharos, which was joined to the mainland by a 1,260-metre-long (4,130 ft) mole and called the Heptastadion ("seven stadia"—a stadium was a Greek unit of length measuring approximately 180 metres or 590 feet). The end of this abutted on the land at the head of the present Grand Square, where the "Moon Gate" rose. All that now lies between that point and the modern "Ras al-Tin" quarter is built on the silt which gradually widened and obliterated this mole. The Ras al-Tin quarter represents all that is left of the island of Pharos, the site of the actual lighthouse having been weathered away by the sea. On the east of the mole was the Great Harbor, now an open bay; on the west lay the port of Eunostos, with its inner basin Kibotos, now vastly enlarged to form the modern harbor.
|
48 |
+
|
49 |
+
In Strabo's time, (latter half of the 1st century BC) the principal buildings were as follows, enumerated as they were to be seen from a ship entering the Great Harbor.
|
50 |
+
|
51 |
+
The names of a few other public buildings on the mainland are known, but there is little information as to their actual position. None, however, are as famous as the building that stood on the eastern point of Pharos island. There, The Great Lighthouse, one of the Seven Wonders of the World, reputed to be 138 metres (453 feet) high, was situated. The first Ptolemy began the project, and the second Ptolemy (Ptolemy II Philadelphus) completed it, at a total cost of 800 talents. It took 12 years to complete and served as a prototype for all later lighthouses in the world. The light was produced by a furnace at the top and the tower was built mostly with solid blocks of limestone. The Pharos lighthouse was destroyed by an earthquake in the 14th century, making it the second longest surviving ancient wonder, after the Great Pyramid of Giza. A temple of Hephaestus also stood on Pharos at the head of the mole.
|
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+
|
53 |
+
In the 1st century, the population of Alexandria contained over 180,000 adult male citizens,[27] according to a census dated from 32 CE, in addition to a large number of freedmen, women, children and slaves. Estimates of the total population range from 216,000[28] to 500,000[29] making it one of the largest cities ever built before the Industrial Revolution and the largest pre-industrial city that was not an imperial capital.[citation needed]
|
54 |
+
|
55 |
+
Alexandria is located in the country of Egypt, on the southern coast of the Mediterranean.
|
56 |
+
|
57 |
+
Alexandria has a borderline hot desert climate (Köppen climate classification: BWh),[30] approaching a hot semi-arid climate (BSh). As the rest of Egypt's northern coast, the prevailing north wind, blowing across the Mediterranean, gives the city a less severe climate from the desert hinterland.[31] Rafah and Alexandria[32] are the wettest places in Egypt; the other wettest places are Rosetta, Baltim, Kafr el-Dawwar, and Mersa Matruh. The city's climate is influenced by the Mediterranean Sea, moderating its temperatures, causing variable rainy winters and moderately hot and slightly prolonged summers that, at times, can be very humid; January and February are the coolest months, with daily maximum temperatures typically ranging from 12 to 18 °C (54 to 64 °F) and minimum temperatures that could reach 5 °C (41 °F). temperature sometimes gets lower than 5 and it sometimes rains snow.
|
58 |
+
|
59 |
+
Alexandria experiences violent storms, rain and sometimes sleet and hail during the cooler months; these events, combined with a poor drainage system, have been responsible for occasional flooding in the city in the past though they rarely occur anymore.[33] July and August are the hottest and driest months of the year, with an average daily maximum temperature of 30 °C (86 °F).
|
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+
The average annual rainfall is around 200 mm (7.9 in) but has been as high as 417 mm (16.4 in)[34]
|
61 |
+
|
62 |
+
Port Said, Kosseir, Baltim, Damietta and Alexandria have the least temperature variation in Egypt.
|
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+
|
64 |
+
The highest recorded temperature was 45 °C (113 °F) on 30 May 1961, and the coldest recorded temperature was 0 °C (32 °F) on 31 January 1994.[35]
|
65 |
+
|
66 |
+
Due to the constant presence of war in Alexandria in ancient times, very little of the ancient city has survived into the present day. Much of the royal and civic quarters sank beneath the harbour and the rest has been built over in modern times.
|
67 |
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|
68 |
+
"Pompey's Pillar", a Roman triumphal column, is one of the best-known ancient monuments still standing in Alexandria today. It is located on Alexandria's ancient acropolis—a modest hill located adjacent to the city's Arab cemetery—and was originally part of a temple colonnade. Including its pedestal, it is 30 m (99 ft) high; the shaft is of polished red granite, 2.7 m (8.9 ft) in diameter at the base, tapering to 2.4 m (7.9 ft) at the top. The shaft is 88 feet (27 m) high, and made out of a single piece of granite. Its volume is 132 cubic meters (4,662 cubic feet) and weight approximately 396 tons.[41] Pompey's Pillar may have been erected using the same methods that were used to erect the ancient obelisks. The Romans had cranes but they were not strong enough to lift something this heavy. Roger Hopkins and Mark Lehrner conducted several obelisk erecting experiments including a successful attempt to erect a 25-ton obelisk in 1999. This followed two experiments to erect smaller obelisks and two failed attempts to erect a 25-ton obelisk.[42][43] The structure was plundered and demolished in the 4th century when a bishop decreed that Paganism must be eradicated. "Pompey's Pillar" is a misnomer, as it has nothing to do with Pompey, having been erected in 293 for Diocletian, possibly in memory of the rebellion of Domitius Domitianus. Beneath the acropolis itself are the subterranean remains of the Serapeum, where the mysteries of the god Serapis were enacted, and whose carved wall niches are believed to have provided overflow storage space for the ancient Library. In more recent years, many ancient artifacts have been discovered from the surrounding sea, mostly pieces of old pottery.
|
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|
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Alexandria's catacombs, known as Kom El Shoqafa, are a short distance southwest of the pillar, consist of a multi-level labyrinth, reached via a large spiral staircase, and featuring dozens of chambers adorned with sculpted pillars, statues, and other syncretic Romano-Egyptian religious symbols, burial niches, and sarcophagi, as well as a large Roman-style banquet room, where memorial meals were conducted by relatives of the deceased. The catacombs were long forgotten by the citizens until they were discovered by accident in 1900.[44]
|
71 |
+
|
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The most extensive ancient excavation currently being conducted in Alexandria is known as Kom El Deka. It has revealed the ancient city's well-preserved theater, and the remains of its Roman-era baths.
|
73 |
+
|
74 |
+
Persistent efforts have been made to explore the antiquities of Alexandria. Encouragement and help have been given by the local Archaeological Society, and by many individuals, notably Greeks proud of a city which is one of the glories of their national history. Excavations were performed in the city by Greeks seeking the tomb of Alexander the Great without success.
|
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+
The past and present directors of the museum have been enabled from time to time to carry out systematic excavations whenever opportunity is offered; D. G. Hogarth made tentative researches on behalf of the Egypt Exploration Fund and the Society for the Promotion of Hellenic Studies in 1895; and a German expedition worked for two years (1898–1899). But two difficulties face the would-be excavator in Alexandria: lack of space for excavation and the underwater location of some areas of interest.
|
76 |
+
|
77 |
+
Since the great and growing modern city stands immediately over the ancient one, it is almost impossible to find any considerable space in which to dig, except at enormous cost. Cleopatra VII's royal quarters were inundated by earthquakes and tsunami, leading to gradual subsidence in the 4th century AD.[45] This underwater section, containing many of the most interesting sections of the Hellenistic city, including the palace quarter, was explored in 1992 and is still being extensively investigated by the French underwater archaeologist Franck Goddio and his team.[46] It raised a noted head of Caesarion. These are being opened up to tourists, to some controversy.[47] The spaces that are most open are the low grounds to northeast and southwest, where it is practically impossible to get below the Roman strata.
|
78 |
+
|
79 |
+
The most important results were those achieved by Dr. G. Botti, late director of the museum, in the neighborhood of "Pompey's Pillar", where there is a good deal of open ground. Here, substructures of a large building or group of buildings have been exposed, which are perhaps part of the Serapeum. Nearby, immense catacombs and columbaria have been opened which may have been appendages of the temple. These contain one very remarkable vault with curious painted reliefs, now artificially lit and open to visitors.
|
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|
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The objects found in these researches are in the museum, the most notable being a great basalt bull, probably once an object of cult in the Serapeum. Other catacombs and tombs have been opened in Kom El Shoqafa (Roman) and Ras El Tin (painted).
|
82 |
+
|
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The German excavation team found remains of a Ptolemaic colonnade and streets in the north-east of the city, but little else. Hogarth explored part of an immense brick structure under the mound of Kom El Deka, which may have been part of the Paneum, the Mausolea, or a Roman fortress.
|
84 |
+
|
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+
The making of the new foreshore led to the dredging up of remains of the Patriarchal Church; and the foundations of modern buildings are seldom laid without some objects of antiquity being discovered. The wealth underground is doubtlessly immense; but despite all efforts, there is not much for antiquarians to see in Alexandria outside the museum and the neighborhood of "Pompey's Pillar".
|
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|
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The temple was built in the Ptolemy era and dedicated to Osiris, which finished the construction of Alexandria. It is located in Abusir, the western suburb of Alexandria in Borg el Arab city. Only the outer wall and the pylons remain from the temple. There is evidence to prove that sacred animals were worshiped there. Archaeologists found an animal necropolis near the temple. Remains of a Christian church show that the temple was used as a church in later centuries. Also found in the same area are remains of public baths built by the emperor Justinian, a seawall, quays and a bridge. Near the beach side of the area, there are the remains of a tower built by Ptolemy II Philadelphus. The tower was an exact scale replica of the destroyed Alexandrine Pharos Lighthouse.[48]
|
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|
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Among the places of worship, there are Muslim mosques.[49] Coptic Christian churches are most common churches .There are also other Christian churches as: Greek , Latin and Armenian . Orthodox Christian churches are most common but Catholic , Anglican and Evangelical churches are present. Also there is a Jewish synagogue
|
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The most famous mosque in Alexandria is Abu al-Abbas al-Mursi Mosque in Bahary. Other notable mosques in the city include Ali ibn Abi Talib mosque in Somouha, Bilal mosque, al-Gamaa al-Bahari in Mandara, Hatem mosque in Somouha, Hoda el-Islam mosque in Sidi Bishr, al-Mowasah mosque in Hadara, Sharq al-Madina mosque in Miami, al-Shohadaa mosque in Mostafa Kamel, Al Qa'ed Ibrahim Mosque, Yehia mosque in Zizinia, Sidi Gaber mosque in Sidi Gaber, Sidi B esher mosque, Rokay el-Islam mosque in Elessway, Elsadaka Mosque in Sidibesher Qebly, Elshatbi mosque and Sultan mosque.
|
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Alexandria is the base of the Salafi movements in Egypt. Al-Nour Party, which is based in the city and overwhelmingly won most of the Salafi votes in the 2011–12 parliamentary election, supports the president Abdel Fattah el-Sisi.[11]
|
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After Rome and Constantinople, Alexandria was considered the third-most important seat of Christianity in the world. The Pope of Alexandria was second only to the bishop of Rome, the capital of the Roman Empire until 430. The Church of Alexandria had jurisdiction over most of the continent of Africa. After the Council of Chalcedon in AD 451, the Church of Alexandria was split between the Miaphysites and the Melkites. The Miaphysites went on to constitute what is known today as the Coptic Orthodox Church of Alexandria. The Melkites went on to constitute what is known today as the Greek Orthodox Church of Alexandria. In the 19th century, Catholic and Protestant missionaries converted some of the adherents of the Orthodox churches to their respective faiths.
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Today, the Patriarchal seat of the Pope of the Coptic Orthodox Church is Saint Mark Cathedral . The most important Coptic Orthodox churches in Alexandria include Pope Cyril I Church in Cleopatra, Saint Georges Church in Sporting, Saint Mark & Pope Peter I Church in Sidi Bishr, Saint Mary Church in Assafra, Saint Mary Church in Gianaclis, Saint Mina Church in Fleming, Saint Mina Church in Mandara and Saint Takla Haymanot's Church in Ibrahimeya.
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The most important Eastern Orthodox churches in Alexandria are Agioi Anárgyroi Church, Church of the Annunciation, Saint Anthony Church, Archangels Gabriel & Michael Church, Taxiarchon Church, Saint Catherine Church, Cathedral of the Dormition in Mansheya, Church of the Dormition, Prophet Elijah Church, Saint George Church, Saint Joseph Church in Fleming, Saint Joseph of Arimathea Church, Saint Mark & Saint Nektarios Chapel in Ramleh, Saint Nicholas Church, Saint Paraskevi Church, Saint Sava Cathedral in Ramleh, Saint Theodore Chapel and the Russian church of Saint Alexander Nevsky in Alexandria, which serves the Russian speaking community in the city.
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The Apostolic Vicariate of Alexandria in Egypt-Heliopolis-Port Said has jurisdiction over all Latin Church Catholics in Egypt. Member churches include Saint Catherine Church in Mansheya and Church of the Jesuits in Cleopatra. The city is also the nominal see of the Melkite Greek Catholic titular Patriarchate of Alexandria (generally vested in its leading Patriarch of Antioch) and the actual cathedral see of its Patriarchal territory of Egypt, Sudan and South Sudan, which uses the Byzantine Rite, and the nominal see of the Armenian Catholic Eparchy of Alexandria (for all Egypt and Sudan, whose actual cathedral is in Cairo), a suffragan of the Armenian Catholic Patriarch of Cilicia, using the Armenian Rite.
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The Saint Mark Church in Shatby, founded as part of Collège Saint Marc, is multi-denominational and holds liturgies according to Latin Catholic, Coptic Catholic and Coptic Orthodox rites.
|
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|
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+
In antiquity, Alexandria was a major center of the cosmopolitan religious movement called Gnosticism (today mainly remembered as a Christian heresy).
|
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|
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Alexandria's once-flourishing Jewish community declined rapidly following the 1948 Arab–Israeli War, after which negative reactions towards Zionism among Egyptians led to Jewish residents in the city, and elsewhere in Egypt, being perceived as Zionist collaborators. Most Jewish residents of Egypt fled to the newly established Israel, France, Brazil and other countries in the 1950s and 1960s. The community once numbered 50,000 but is now estimated at below 50.[50] The most important synagogue in Alexandria is the Eliyahu Hanavi Synagogue.
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|
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Alexandria has a number of higher education institutions. Alexandria University is a public university that follows the Egyptian system of higher education. Many of its faculties are internationally renowned, most notably its Faculty of Medicine & Faculty of Engineering. In addition, the Egypt-Japan University of Science and Technology in New Borg El Arab city is a research university set up in collaboration between the Japanese and Egyptian governments in 2010. The Arab Academy for Science, Technology & Maritime Transport is a semi-private educational institution that offers courses for high school, undergraduate level, and postgraduate students. It is considered the most reputable university in Egypt after the AUC American University in Cairo because of its worldwide recognition from board of engineers at UK & ABET in US. Université Senghor is a private French university that focuses on the teaching of humanities, politics and international relations, which mainly recruits students from the African continent. Other institutions of higher education in Alexandria include Alexandria Institute of Technology (AIT) and Pharos University in Alexandria.
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|
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Alexandria has a long history of foreign educational institutions. The first foreign schools date to the early 19th century, when French missionaries began establishing French charitable schools to educate the Egyptians. Today, the most important French schools in Alexandria run by Catholic missionaries include Collège de la Mère de Dieu, Collège Notre Dame de Sion, Collège Saint Marc, Ecoles des Soeurs Franciscaines (four different schools), École Girard, École Saint Gabriel, École Saint-Vincent de Paul, École Saint Joseph, École Sainte Catherine, and Institution Sainte Jeanne-Antide. As a reaction to the establishment of French religious institutions, a secular (laic) mission established Lycée el-Horreya, which initially followed a French system of education, but is currently a public school run by the Egyptian government. The only school in Alexandria that completely follows the French educational system is Lycée Français d'Alexandrie (École Champollion). It is usually frequented by the children of French expatriates and diplomats in Alexandria. The Italian school is the Istituto "Don Bosco".
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English schools in Alexandria are becoming the most popular. English-language schools in the city include: Riada American School, Riada Language School, Alexandria Language School, Future Language School, Future International Schools (Future IGCSE, Future American School and Future German school), Alexandria American School, British School of Alexandria, Egyptian American School, Pioneers Language School, Princesses Girls' School, Sidi Gaber Language School, Taymour English School, Sacred Heart Girls' School, Schutz American School, Victoria College, El Manar Language School for Girls (previously called Scottish School for Girls), Kawmeya Language School, El Nasr Boys' School (previously called British Boys' School), and El Nasr Girls' College.
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There are only two German schools in Alexandria which are Deutsche Schule der Borromärinnen (DSB of Saint Charles Borromé) and Neue Deutsche Schule Alexandria, which is run by Frau Sally Hammam.
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The Montessori educational system was first introduced in Alexandria in 2009 at Alexandria Montessori.
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The most notable public schools in Alexandria include El Abbassia High School and Gamal Abdel Nasser High School.
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Circa the 1890s, twice the percentage of women in Alexandria knew how to read compared to the same percentage in Cairo. As a result, specialist women's publications like al-Fatāh by Hind Nawal, the country's first women's' journal, appeared.[51]
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The city's principal airport is currently Borg El Arab Airport, which is located about 25 km (16 mi) away from the city center.
|
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From late 2011, El Nouzha Airport (Alexandria International Airport) was to be closed to commercial operations for two years as it underwent expansion, with all airlines operating out of Borg El Arab Airport from then onwards, where a brand new terminal was completed there in February 2010.[52] In 2017, the government announced that Alexandria International Airport will shut down permanently for operational reasons.
|
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Alexandria has four ports; namely the Western Port also known as(Alexandria Port), which is the main port of the country that handles about 60% of the country's exports and imports, Dekhela Port west of the Western Port, the Eastern Port which is a yachting harbor, and Abu Qir Port at the northern east of the governorate. It is a commercial port for general cargo and phosphates.
|
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Alexandria's intracity commuter rail system extends from Misr Station (Alexandria's primary intercity railway station) to Abu Qir, parallel to the tram line. The commuter line's locomotives operate on diesel, as opposed to the overhead-electric tram.
|
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Alexandria plays host to two intercity railway stations: the aforementioned Misr Station (in the older Manshia district in the western part of the city) and Sidi Gaber railway station (in the district of Sidi Gaber in the center of the eastern expansion in which most Alexandrines reside), both of which also serve the commuter rail line. Intercity passenger service is operated by Egyptian National Railways.
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An extensive tramway network was built in 1860 and is the oldest in Africa. The network begins at the El Raml district in the west and ends in the Victoria district in the east. Most of the vehicles are blue in color. Some smaller yellow-colored vehicles have further routes beyond the two main endpoints. The tram routes have one of four numbers: 1, 2, 5, and 6. All four start at El Raml, but only two (1 and 2) reach Victoria. There are two converging and diverging points. The first starts at Bolkly (Isis) and ends at San Stefano. The other begins at Sporting and ends at Mostafa Kamel. Route 5 starts at San Stefano and takes the inner route to Bolkly. Route 6 starts at Sidi Gaber El Sheikh in the outer route between Sporting and Mustafa Kamel. Route 1 takes the inner route between San Stefano and Bolkly and the outer route between Sporting and Mustafa Kamel. Route 2 takes the route opposite to Route 1 in both these areas. The tram fares are 50 piastres (0.50 pounds), and 100 piastres (1.00 pounds) for the middle car. Some trams (that date back the 30s) charge a pound. The tram is considered the cheapest method of public transport. A café operates in the second floor of the first car of tram 1 (a women-only car) which costs 5 L.E per person, also offering a WiFi service. A luxury light blue tram car operates from San Stefano to Ras El Tin, with free WiFi and movies and songs played inside for 5 L.E per ticket.
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Stations:
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Route 2 serves:
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Construction of the Alexandria Metro is due to begin in 2020 at a cost of $1.05 billion.[53]
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Taxis in Alexandria sport a yellow-and-black livery and are widely available. While Egyptian law requires all cabs to carry meters, these generally do not work and fares must be negotiated with the driver on either departure or arrival.
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The minibus share taxi system, or mashrū' operates along well-known traffic arteries. The routes can be identified by both their endpoints and the route between them:
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+
The route is generally written in Arabic on the side of the vehicle, although some drivers change their route without changing the paint. Some drivers also drive only a segment of a route rather than the whole path; such drivers generally stop at a point known as a major hub of the transportation system (for example, Victoria) to allow riders to transfer to another car or to another mode of transport.
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|
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Fare is generally L.E. 3.00 to travel the whole route. Shorter trips may have a lower fare, depending on the driver and the length of the trip.
|
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|
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The Royal Library of Alexandria, in Alexandria, Egypt, was once the largest library in the world. It is generally thought to have been founded at the beginning of the 3rd century BC, during the reign of Ptolemy II of Egypt. It was likely created after his father had built what would become the first part of the library complex, the temple of the Muses—the Museion, Greek Μουσείον (from which the Modern English word museum is derived).
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|
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It has been reasonably established that the library, or parts of the collection, were destroyed by fire on a number of occasions (library fires were common and replacement of handwritten manuscripts was very difficult, expensive, and time-consuming). To this day the details of the destruction (or destructions) remain a lively source of controversy.[54]
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|
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The Bibliotheca Alexandrina was inaugurated in 2002, near the site of the old Library.[55]
|
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Throughout Alexandria, there is art that resembles some of the oldest architectural styles of the Hellenic city, and its ancient decorations, especially in the Bibliotheca Alexandrina, is based on reviving the ancient Library of Alexandria. The Kom el shoqafa Catacombs are considered one of the Seven Wonders of the Middle Ages and date back to the 2nd century. The remnants of Pompey's Pillar still remain today. This single pillar represents the elaborate temple which once stood in Alexandria. It remains at the site of the Serapeum, Alexandria's acropolis. The Serapeum, which stood for ancient tradition, conflicted with the rise of Christianity. It is a large tourist destination, today. the Roman Amphitheatre of Alexandria is another popular destination. Here, there remains a stage with around seven hundred to eight hundred seats. They also have numerous galleries of statues and details leftover form this time. Alexandria's tourism office announced plans to reserve some beaches for tourists in July 2018.[56]
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|
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Shalalat Gardens
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Montaza Garden
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Alexandria Art Center
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Alexandria Opera House
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Fawzia Fahmy Palace
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|
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Alexander the Great's statue
|
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|
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Monument of the Unknown Navy Soldier
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|
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Montaza Palace
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The main sport that interests Alexandrians is football, as is the case in the rest of Egypt and Africa. Alexandria Stadium is a multi-purpose stadium in Alexandria, Egypt. It is currently used mostly for football matches, and was used for the 2006 African Cup of Nations. The stadium is the oldest stadium in Egypt, being built in 1929. The stadium holds 20,000 people. Alexandria was one of three cities that participated in hosting the African Cup of Nations in January 2006, which Egypt won. Sea sports such as surfing, jet-skiing and water polo are practiced on a lower scale. The Skateboarding culture in Egypt started in this city. The city is also home to the Alexandria Sporting Club, which is especially known for its basketball team, which traditionally provides the country's national team with key players. The city hosted the AfroBasket, the continent's most prestigious basketball tournament, on four occasions (1970, 1975, 1983, 2003).
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Alexandria has four stadiums:
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Other less popular sports like tennis and squash are usually played in private social and sports clubs, like:
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Started in 2011, Cross Egypt Challenge is an international cross-country motorcycle and scooter rally conducted throughout the most difficult tracks and roads of Egypt. Alexandria is known as the yearly starting point of Cross Egypt Challenge and a huge celebration is conducted the night before the rally starts after all the international participants arrive to the city.
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Alexandria is twinned with:
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en/1310.html.txt
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An exoskeleton (from Greek έξω, éxō "outer" and σκελετός, skeletós "skeleton"[1]) is the external skeleton that supports and protects an animal's body, in contrast to the internal skeleton (endoskeleton) of, for example, a human. In usage, some of the larger kinds of exoskeletons are known as "shells". Examples of animals with exoskeletons include insects such as grasshoppers and cockroaches, and crustaceans such as crabs and lobsters, as well as the shells of certain sponges and the various groups of shelled molluscs, including those of snails, clams, tusk shells, chitons and nautilus. Some animals, such as the tortoise, have both an endoskeleton and an exoskeleton.
|
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Exoskeletons contain rigid and resistant components that fulfill a set of functional roles in many animals including protection, excretion, sensing, support, feeding and acting as a barrier against desiccation in terrestrial organisms. Exoskeletons have a role in defense from pests and predators, support and in providing an attachment framework for musculature.[2]
|
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Exoskeletons contain chitin; the addition of calcium carbonate makes them harder and stronger.[citation needed] Ingrowths of the arthropod exoskeleton known as apodemes serve as attachment sites for muscles. These structures are composed of chitin and are approximately six times stronger and twice the stiffness of vertebrate tendons. Similar to tendons, apodemes can stretch to store elastic energy for jumping, notably in locusts.[3] Calcium carbonates constitute the shells of molluscs, brachiopods, and some tube-building polychaete worms. Silica forms the exoskeleton in the microscopic diatoms and radiolaria. One species of mollusc, the scaly-foot gastropod, even makes use of the iron sulfides greigite and pyrite.
|
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Some organisms, such as some foraminifera, agglutinate exoskeletons by sticking grains of sand and shell to their exterior. Contrary to a common misconception, echinoderms do not possess an exoskeleton, as their test is always contained within a layer of living tissue.
|
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Exoskeletons have evolved independently many times; 18 lineages evolved calcified exoskeletons alone.[4] Further, other lineages have produced tough outer coatings analogous to an exoskeleton, such as some mammals. This coating is constructed from bone in the armadillo, and hair in the pangolin. The armor of reptiles like turtles and dinosaurs like Ankylosaurs is constructed of bone; crocodiles have bony scutes and horny scales.
|
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Since exoskeletons are rigid, they present some limits to growth. Organisms with open shells can grow by adding new material to the aperture of their shell, as is the case in snails, bivalves and other molluscans. A true exoskeleton, like that found in arthropods, must be shed (moulted) when it is outgrown.[5] A new exoskeleton is produced beneath the old one. As the old one is shed, the new skeleton is soft and pliable. The animal will pump itself up[ambiguous] to expand the new shell to maximal size, then let it harden. When the shell has set, the empty space inside the new skeleton can be filled up as the animal eats.[5] Failure to shed the exoskeleton once outgrown can result in the animal being suffocated within its own shell, and will stop subadults from reaching maturity, thus preventing them from reproducing. This is the mechanism behind some insect pesticides, such as Azadirachtin.[6]
|
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Exoskeletons, as hard parts of organisms, are greatly useful in assisting preservation of organisms, whose soft parts usually rot before they can be fossilized. Mineralized exoskeletons can be preserved "as is", as shell fragments, for example. The possession of an exoskeleton also permits a couple of other routes to fossilization. For instance, the tough layer can resist compaction, allowing a mold of the organism to be formed underneath the skeleton, which may later decay.[7] Alternatively, exceptional preservation may result in chitin being mineralized, as in the Burgess Shale,[8] or transformed to the resistant polymer keratin, which can resist decay and be recovered.
|
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However, our dependence on fossilized skeletons also significantly limits our understanding of evolution. Only the parts of organisms that were already mineralized are usually preserved, such as the shells of molluscs. It helps that exoskeletons often contain "muscle scars", marks where muscles have been attached to the exoskeleton, which may allow the reconstruction of much of an organism's internal parts from its exoskeleton alone.[7] The most significant limitation is that, although there are 30-plus phyla of living animals, two-thirds of these phyla have never been found as fossils, because most animal species are soft-bodied and decay before they can become fossilized.[9]
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Mineralized skeletons first appear in the fossil record shortly before the base of the Cambrian period, 550 million years ago. The evolution of a mineralized exoskeleton is seen by some as a possible driving force of the Cambrian explosion of animal life, resulting in a diversification of predatory and defensive tactics. However, some Precambrian (Ediacaran) organisms produced tough outer shells[7] while others, such as Cloudina, had a calcified exoskeleton.[10]
|
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Some Cloudina shells even show evidence of predation, in the form of borings.[10]
|
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On the whole, the fossil record only contains mineralised exoskeletons, since these are by far the most durable. Since most lineages with exoskeletons are thought to have started out with a non-mineralised exoskeleton which they later mineralised, this makes it difficult to comment on the very early evolution of each lineage's exoskeleton. It is known, however, that in a very short course of time, just before the Cambrian period, exoskeletons made of various materials – silica, calcium phosphate, calcite, aragonite, and even glued-together mineral flakes – sprang up in a range of different environments.[11] Most lineages adopted the form of calcium carbonate which was stable in the ocean at the time they first mineralised, and did not change from this mineral morph - even when it became the less favorable.[4]
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Some Precambrian (Ediacaran) organisms produced tough but non-mineralized outer shells,[7] while others, such as Cloudina, had a calcified exoskeleton,[10] but mineralized skeletons did not become common until the beginning of the Cambrian period, with the rise of the "small shelly fauna". Just after the base of the Cambrian, these miniature fossils become diverse and abundant – this abruptness may be an illusion, since the chemical conditions which preserved the small shellies appeared at the same time.[12] Most other shell-forming organisms appear during the Cambrian period, with the Bryozoans being the only calcifying phylum to appear later, in the Ordovician. The sudden appearance of shells has been linked to a change in ocean chemistry which made the calcium compounds of which the shells are constructed stable enough to be precipitated into a shell. However this is unlikely to be a sufficient cause, as the main construction cost of shells is in creating the proteins and polysaccharides required for the shell's composite structure, not in the precipitation of the mineral components.[2] Skeletonization also appeared at almost exactly the same time that animals started burrowing to avoid predation, and one of the earliest exoskeletons was made of glued-together mineral flakes, suggesting that skeletonization was likewise a response to increased pressure from predators.[11]
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Ocean chemistry may also control which mineral shells are constructed of. Calcium carbonate has two forms, the stable calcite, and the metastable aragonite, which is stable within a reasonable range of chemical environments but rapidly becomes unstable outside this range. When the oceans contain a relatively high proportion of magnesium compared to calcium, aragonite is more stable, but as the magnesium concentration drops, it becomes less stable, hence harder to incorporate into an exoskeleton, as it will tend to dissolve.
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With the exception of the molluscs, whose shells often comprise both forms, most lineages use just one form of the mineral. The form used appears to reflect the seawater chemistry – thus which form was more easily precipitated – at the time that the lineage first evolved a calcified skeleton, and does not change thereafter.[4] However, the relative abundance of calcite- and aragonite-using lineages does not reflect subsequent seawater chemistry – the magnesium/calcium ratio of the oceans appears to have a negligible impact on organisms' success, which is instead controlled mainly by how well they recover from mass extinctions.[13] A recently discovered[14] modern gastropod Chrysomallon squamiferum that lives near deep-sea hydrothermal vents illustrates the influence of both ancient and modern local chemical environments: its shell is made of aragonite, which is found in some of the earliest fossil mollusks; but it also has armor plates on the sides of its foot, and these are mineralized with the iron sulfides pyrite and greigite, which had never previously been found in any metazoan but whose ingredients are emitted in large quantities by the vents.[2]
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The Quran (/kɔːrˈɑːn/, kor-AHN;[i] Arabic: القرآن, romanized: al-Qurʼān, lit. 'the recitation', Arabic pronunciation: [alqur'ʔaːn][ii]), also romanized Qur'an or Koran,[iii] is the central religious text of Islam, believed by Muslims to be a revelation from God (Allah).[11] It is widely regarded as the finest work in classical Arabic literature.[12][13][iv][v] Slightly shorter than the New Testament,[16] it is organized in 114 chapters, or sur (سور; singular: سورة, sūrah)—not according to chronology or subject matter, but according to length of surahs (with some exceptions). Surah are subdivided into verses, or āyāt (آيات; singular: آية, āyah).
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Muslims believe that the Quran was orally revealed by God to the final prophet, Muhammad, through the archangel Gabriel (Jibril),[17][18] incrementally over a period of some 23 years, beginning on 22 December 609 CE,[19] when Muhammad was 40; and concluding in 632, the year of his death.[11][20][21] Muslims regard the Quran as Muhammad's most important miracle; a proof of his prophethood;[22] and the culmination of a series of divine messages starting with those revealed to Adam, including the Tawrah (Torah), the Zabur ("Psalms") and the Injil ("Gospel"). The word Quran occurs some 70 times in the text itself, and other names and words are also said to refer to the Quran.[23]
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The Quran is thought by Muslims to be not simply divinely inspired, but the literal word of God.[24] Muhammad did not write it as he didn't know how to write. According to tradition, several of Muhammad's companions served as scribes, recording the revelations.[25] Shortly after the prophet's death, the Quran was compiled by the companions, who had written down or memorized parts of it.[26] Caliph Uthman established a standard version, now known as the Uthmanic codex, which is generally considered the archetype of the Quran known today. There are, however, variant readings, with mostly minor differences in meaning.[25]
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The Quran assumes familiarity with major narratives recounted in the Biblical and apocryphal scriptures. It summarizes some, dwells at length on others and, in some cases, presents alternative accounts and interpretations of events.[27][28] The Quran describes itself as a book of guidance for mankind (2:185). It sometimes offers detailed accounts of specific historical events, and it often emphasizes the moral significance of an event over its narrative sequence.[29] Supplementing the Quran with explanations for some cryptic Quranic narratives, and rulings that also provide the basis for sharia (Islamic law) in most denominations of Islam,[30][vi] are hadiths—oral and written traditions believed to describe words and actions of Muhammad.[vii][30] During prayers, the Quran is recited only in Arabic.[31]
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Someone who has memorized the entire Quran is called a hafiz ('memorizer'). An ayah (Quranic verse) is sometimes recited with a special kind of elocution reserved for this purpose, called tajwid. During the month of Ramadan, Muslims typically complete the recitation of the whole Quran during tarawih prayers. In order to extrapolate the meaning of a particular Quranic verse, most Muslims rely on exegesis, or tafsir.[32]
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The word qurʼān appears about 70 times in the Quran itself, assuming various meanings. It is a verbal noun (maṣdar) of the Arabic verb qaraʼa (قرأ) meaning 'he read' or 'he recited'. The Syriac equivalent is qeryānā (ܩܪܝܢܐ), which refers to 'scripture reading' or 'lesson'.[33] While some Western scholars consider the word to be derived from the Syriac, the majority of Muslim authorities hold the origin of the word is qaraʼa itself.[11] Regardless, it had become an Arabic term by Muhammad's lifetime.[11] An important meaning of the word is the 'act of reciting', as reflected in an early Quranic passage: "It is for Us to collect it and to recite it (qurʼānahu)."[34]
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In other verses, the word refers to 'an individual passage recited [by Muhammad]'. Its liturgical context is seen in a number of passages, for example: "So when al-qurʼān is recited, listen to it and keep silent."[35] The word may also assume the meaning of a codified scripture when mentioned with other scriptures such as the Torah and Gospel.[36]
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The term also has closely related synonyms that are employed throughout the Quran. Each synonym possesses its own distinct meaning, but its use may converge with that of qurʼān in certain contexts. Such terms include kitāb ('book'), āyah ('sign'), and sūrah ('scripture'); the latter two terms also denote units of revelation. In the large majority of contexts, usually with a definite article (al-), the word is referred to as the waḥy ('revelation'), that which has been "sent down" (tanzīl) at intervals.[37][38] Other related words include: dhikr ('remembrance'), used to refer to the Quran in the sense of a reminder and warning; and ḥikmah ('wisdom'), sometimes referring to the revelation or part of it.[11][viii]
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The Quran describes itself as "the discernment" (al-furqān), "the mother book" (umm al-kitāb), "the guide" (huda), "the wisdom" (hikmah), "the remembrance" (dhikr), and "the revelation" (tanzīl; something sent down, signifying the descent of an object from a higher place to lower place).[39] Another term is al-kitāb ('The Book'), though it is also used in the Arabic language for other scriptures, such as the Torah and the Gospels. The term mus'haf ('written work') is often used to refer to particular Quranic manuscripts but is also used in the Quran to identify earlier revealed books.[11]
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Islamic tradition relates that Muhammad received his first revelation in the Cave of Hira during one of his isolated retreats to the mountains. Thereafter, he received revelations over a period of 23 years. According to hadith and Muslim history, after Muhammad immigrated to Medina and formed an independent Muslim community, he ordered many of his companions to recite the Quran and to learn and teach the laws, which were revealed daily. It is related that some of the Quraysh who were taken prisoners at the Battle of Badr regained their freedom after they had taught some of the Muslims the simple writing of the time. Thus a group of Muslims gradually became literate. As it was initially spoken, the Quran was recorded on tablets, bones, and the wide, flat ends of date palm fronds. Most suras were in use amongst early Muslims since they are mentioned in numerous sayings by both Sunni and Shia sources, relating Muhammad's use of the Quran as a call to Islam, the making of prayer and the manner of recitation. However, the Quran did not exist in book form at the time of Muhammad's death in 632.[40][41][42] There is agreement among scholars that Muhammad himself did not write down the revelation.[43]
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Sahih al-Bukhari narrates Muhammad describing the revelations as, "Sometimes it is (revealed) like the ringing of a bell" and Aisha reported, "I saw the Prophet being inspired Divinely on a very cold day and noticed the sweat dropping from his forehead (as the Inspiration was over)."[ix] Muhammad's first revelation, according to the Quran, was accompanied with a vision. The agent of revelation is mentioned as the "one mighty in power,"[45] the one who "grew clear to view when he was on the uppermost horizon. Then he drew nigh and came down till he was (distant) two bows' length or even nearer."[41][46] The Islamic studies scholar Welch states in the Encyclopaedia of Islam that he believes the graphic descriptions of Muhammad's condition at these moments may be regarded as genuine, because he was severely disturbed after these revelations. According to Welch, these seizures would have been seen by those around him as convincing evidence for the superhuman origin of Muhammad's inspirations. However, Muhammad's critics accused him of being a possessed man, a soothsayer or a magician since his experiences were similar to those claimed by such figures well known in ancient Arabia. Welch additionally states that it remains uncertain whether these experiences occurred before or after Muhammad's initial claim of prophethood.[47]
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The Quran describes Muhammad as "ummi,"[48] which is traditionally interpreted as 'illiterate', but the meaning is rather more complex. Medieval commentators such as Al-Tabari maintained that the term induced two meanings: first, the inability to read or write in general; second, the inexperience or ignorance of the previous books or scriptures (but they gave priority to the first meaning). Muhammad's illiteracy was taken as a sign of the genuineness of his prophethood. For example, according to Fakhr al-Din al-Razi, if Muhammad had mastered writing and reading he possibly would have been suspected of having studied the books of the ancestors. Some scholars such as Watt prefer the second meaning of ummi—they take it to indicate unfamiliarity with earlier sacred texts.[41][49]
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The final verse of the Quran was revealed on the 18th of the Islamic month of Dhu al-Hijjah in the year 10 A.H., a date that roughly corresponds to February or March 632. The verse was revealed after the Prophet finished delivering his sermon at Ghadir Khumm.
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Following Muhammad's death in 632, a number of his companions who knew the Quran by heart were killed in the Battle of Yamama by Musaylimah. The first caliph, Abu Bakr (d. 634), subsequently decided to collect the book in one volume so that it could be preserved. Zayd ibn Thabit (d. 655) was the person to collect the Quran since "he used to write the Divine Inspiration for Allah's Apostle". Thus, a group of scribes, most importantly Zayd, collected the verses and produced a hand-written manuscript of the complete book. The manuscript according to Zayd remained with Abu Bakr until he died. Zayd's reaction to the task and the difficulties in collecting the Quranic material from parchments, palm-leaf stalks, thin stones (collectively known as suhuf)[50] and from men who knew it by heart is recorded in earlier narratives. After Abu Bakr, in 644, Hafsa bint Umar, Muhammad's widow, was entrusted with the manuscript until the third caliph, Uthman ibn Affan, has requested the standard copy from Hafsa bint Umar in about 650.[51]
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In about 650, the third Caliph Uthman ibn Affan (d. 656) began noticing slight differences in pronunciation of the Quran as Islam expanded beyond the Arabian Peninsula into Persia, the Levant, and North Africa. In order to preserve the sanctity of the text, he ordered a committee headed by Zayd to use Abu Bakr's copy and prepare a standard copy of the Quran.[40][52] Thus, within 20 years of Muhammad's death, the Quran was committed to written form. That text became the model from which copies were made and promulgated throughout the urban centers of the Muslim world, and other versions are believed to have been destroyed.[40][53][54][55] The present form of the Quran text is accepted by Muslim scholars to be the original version compiled by Abu Bakr.[41][42][x]
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According to Shia, Ali ibn Abi Talib (d. 661) compiled a complete version of the Quran shortly after Muhammad's death. The order of this text differed from that gathered later during Uthman's era in that this version had been collected in chronological order. Despite this, he made no objection against the standardized Quran and accepted the Quran in circulation. Other personal copies of the Quran might have existed including Ibn Mas'ud's and Ubay ibn Ka'b's codex, none of which exist today.[11][40][57]
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The Quran most likely existed in scattered written form during Muhammad's lifetime. Several sources indicate that during Muhammad's lifetime a large number of his companions had memorized the revelations. Early commentaries and Islamic historical sources support the above-mentioned understanding of the Quran's early development.[26] The Quran in its present form is generally considered by academic scholars to record the words spoken by Muhammad because the search for variants has not yielded any differences of great significance.[58][page needed] University of Chicago professor Fred Donner states that:[59]
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[T]here was a very early attempt to establish a uniform consonantal text of the Qurʾān from what was probably a wider and more varied group of related texts in early transmission.… After the creation of this standardized canonical text, earlier authoritative texts were suppressed, and all extant manuscripts—despite their numerous variants—seem to date to a time after this standard consonantal text was established.
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Although most variant readings of the text of the Quran have ceased to be transmitted, some still are.[60][61] There has been no critical text produced on which a scholarly reconstruction of the Quranic text could be based.[xi] Historically, controversy over the Quran's content has rarely become an issue, although debates continue on the subject.[63][xii]
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In 1972, in a mosque in the city of Sana'a, Yemen, manuscripts were discovered that were later proved to be the most ancient Quranic text known to exist at the time. The Sana'a manuscripts contain palimpsests, a manuscript page from which the text has been washed off to make the parchment reusable again—a practice which was common in ancient times due to scarcity of writing material. However, the faint washed-off underlying text (scriptio inferior) is still barely visible and believed to be "pre-Uthmanic" Quranic content, while the text written on top (scriptio superior) is believed to belong to Uthmanic time.[64] Studies using radiocarbon dating indicate that the parchments are dated to the period before 671 CE with a 99 percent probability.[65][66] The German scholar Gerd R. Puin has been investigating these Quran fragments for years. His research team made 35,000 microfilm photographs of the manuscripts, which he dated to early part of the 8th century. Puin has not published the entirety of his work, but noted unconventional verse orderings, minor textual variations, and rare styles of orthography. He also suggested that some of the parchments were palimpsests which had been reused. Puin believed that this implied an evolving text as opposed to a fixed one.[67]
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In 2015, fragments of a very early Quran, dating back to 1370 years earlier, were discovered in the library of the University of Birmingham, England. According to the tests carried out by Oxford University Radiocarbon Accelerator Unit, "with a probability of more than 95%, the parchment was from between 568 and 645". The manuscript is written in Hijazi script, an early form of written Arabic.[68] This is possibly the earliest extant exemplar of the Quran, but as the tests allow a range of possible dates, it cannot be said with certainty which of the existing versions is the oldest.[68] Saudi scholar Saud al-Sarhan has expressed doubt over the age of the fragments as they contain dots and chapter separators that are believed to have originated later.[69] However Joseph E. B. Lumbard of Brandeis University has written in the Huffington Post in support of the dates proposed by the Birmingham scholars. Lumbard notes that the discovery of a Quranic text that may be confirmed by radiocarbon dating as having been written in the first decades of the Islamic era, while presenting a text substantially in conformity with that traditionally accepted, reinforces a growing academic consensus that many Western sceptical and 'revisionist' theories of Quranic origins are now untenable in the light of empirical findings—whereas, on the other hand, counterpart accounts of Quranic origins within classical Islamic traditions stand up well in the light of ongoing scientific discoveries.[70]
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Muslims believe the Quran to be God's final revelation to humanity, a work of divine guidance revealed to Muhammad through the angel Gabriel.[20][71]
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Revered by pious Muslims as "the holy of holies,"[72] whose sound moves some to "tears and ecstasy",[73] it is the physical symbol of the faith, the text often used as a charm on occasions of birth, death, marriage.[74] Consequently,
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It must never rest beneath other books, but always on top of them, one must never drink or smoke when it is being read aloud, and it must be listened to in silence. It is a talisman against disease and disaster.[72][75]
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Traditionally great emphasis was put on children memorizing the 6200+ verses of the Quran, those succeeding being honored with the title Hafiz. "Millions and millions" of Muslims "refer to the Koran daily to explain their actions and to justify their aspirations,"[xiii] and in recent years many consider it the source of scientific knowledge.[77][78]
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Revelation in Islamic and Quranic contexts means the act of God addressing an individual, conveying a message for a greater number of recipients. The process by which the divine message comes to the heart of a messenger of God is tanzil (to send down) or nuzūl (to come down). As the Quran says, "With the truth we (God) have sent it down and with the truth it has come down."[79]
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The Quran frequently asserts in its text that it is divinely ordained. Some verses in the Quran seem to imply that even those who do not speak Arabic would understand the Quran if it were recited to them.[80] The Quran refers to a written pre-text, "the preserved tablet," that records God's speech even before it was sent down.[81][82]
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Muslims believe that the present wording of the Quran corresponds to that revealed to Muhammad, and according to their interpretation of Quran 15:9, it is protected from corruption ("Indeed, it is We who sent down the Quran and indeed, We will be its guardian.").[83] Muslims consider the Quran to be a guide, a sign of the prophethood of Muhammad and the truth of the religion.
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The Shīa believe that the Quran was gathered and compiled by Muhammad during his lifetime, rather than being compiled by Uthman ibn Affan. There are other differences in the way Shias interpret the text.[84] Muslims do not agree over whether the Quran was created by God or is eternal and "uncreated." Sunnis (who make up about 85-90% of Muslims) hold that the Quran is uncreated—a doctrine that has been unchallenged among them for many centuries. Shia Twelvers and Zaydi, and the Kharijites—believe the Quran was created.[85] Sufi philosophers view the question as artificial or wrongly framed.[86][need quotation to verify]
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Inimitability of the Quran (or "I'jaz") is the belief that no human speech can match the Quran in its content and form. The Quran is considered an inimitable miracle by Muslims, effective until the Day of Resurrection—and, thereby, the central proof granted to Muhammad in authentication of his prophetic status. The concept of inimitability originates in the Quran where in five different verses opponents are challenged to produce something like the Quran: "If men and jinn banded together to produce the like of this Quran they would never produce its like not though they backed one another."[87] From the ninth century, numerous works appeared which studied the Quran and examined its style and content. Medieval Muslim scholars including al-Jurjani (d. 1078) and al-Baqillani (d. 1013) have written treatises on the subject, discussed its various aspects, and used linguistic approaches to study the Quran. Others argue that the Quran contains noble ideas, has inner meanings, maintained its freshness through the ages and has caused great transformations at the individual level and in history. Some scholars state that the Quran contains scientific information that agrees with modern science. The doctrine of the miraculousness of the Quran is further emphasized by Muhammad's illiteracy since the unlettered prophet could not have been suspected of composing the Quran.[57][88]
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The first sura of the Quran is repeated in daily prayers and in other occasions. This sura, which consists of seven verses, is the most often recited sura of the Quran:[11]
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Praised be God, Lord of the Universe, the Beneficent, the Merciful and Master of the Day of Judgment, You alone We do worship and from You alone we do seek assistance, guide us to the right path, the path of those to whom You have granted blessings, those who are neither subject to Your anger nor have gone astray.
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Other sections of the Quran of choice are also read in daily prayers.
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Respect for the written text of the Quran is an important element of religious faith by many Muslims, and the Quran is treated with reverence. Based on tradition and a literal interpretation of Quran 56:79 ("none shall touch but those who are clean"), some Muslims believe that they must perform a ritual cleansing with water before touching a copy of the Quran, although this view is not universal.[11] Worn-out copies of the Quran are wrapped in a cloth and stored indefinitely in a safe place, buried in a mosque or a Muslim cemetery, or burned and the ashes buried or scattered over water.[89]
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In Islam, most intellectual disciplines, including Islamic theology, philosophy, mysticism and jurisprudence, have been concerned with the Quran or have their foundation in its teachings.[11] Muslims believe that the preaching or reading of the Quran is rewarded with divine rewards variously called ajr, thawab, or hasanat.[90]
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The Quran also inspired Islamic arts and specifically the so-called Quranic arts of calligraphy and illumination.[11] The Quran is never decorated with figurative images, but many Qurans have been highly decorated with decorative patterns in the margins of the page, or between the lines or at the start of suras. Islamic verses appear in many other media, on buildings and on objects of all sizes, such as mosque lamps, metal work, pottery and single pages of calligraphy for muraqqas or albums.
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Calligraphy, 18th century. Brooklyn Museum.
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Quranic inscriptions, Bara Gumbad mosque, Delhi, India.
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Typical mosque lamp, of enamelled glass, with the Ayat an-Nur or "Verse of Light" (24:35).
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Quranic verses, Shahizinda mausoleum, Samarkand, Uzbekistan.
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Quran page decoration art, Ottoman period.
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The leaves from this Quran written in gold and contoured with brown ink have a horizontal format. This is admirably suited to classical Kufic calligraphy, which became common under the early Abbasid caliphs.
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Manuscript of the Quran at the Brooklyn Museum
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The Quran consists of 114 chapters of varying lengths, each known as a sūrah. Chapters are classified as Meccan or Medinan, depending on whether the verses were revealed before or after the migration of Muhammad to the city of Medina. However, a sūrah classified as Medinan may contain Meccan verses in it and vice versa. Sūrah titles are derived from a name or quality discussed in the text, or from the first letters or words of the sūrah. Chapters are arranged roughly in order of decreasing size. The sūrah arrangement is thus not connected to the sequence of revelation. Each sūrah except the ninth starts with the Bismillah (بسم الله الرحمن الرحيم), an Arabic phrase meaning "In the name of God." There are, however, still 114 occurrences of the Bismillah in the Quran, due to its presence in Quran 27:30 as the opening of Solomon's letter to the Queen of Sheba.[91]
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Each sūrah consists of several verses, known as āyāt, which originally means a "sign" or "evidence" sent by God. The number of verses differs from sūrah to sūrah. An individual verse may be just a few letters or several lines. The total number of verses in the Quran is 6,236;[xiv] however, the number varies if the bismillahs are counted separately.
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In addition to and independent of the division into chapters, there are various ways of dividing the Quran into parts of approximately equal length for convenience in reading. The 30 juz' (plural ajzāʼ) can be used to read through the entire Quran in a month. Some of these parts are known by names—which are the first few words by which the juzʼ begins. A juz' is sometimes further divided into two ḥizb (plural aḥzāb), and each hizb subdivided into four rubʻ al-ahzab. The Quran is also divided into seven approximately equal parts, manzil (plural manāzil), for it to be recited in a week.[11]
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A different structure is provided by semantic units resembling paragraphs and comprising roughly ten āyāt each. Such a section is called a rukū`.
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The Muqattaʿat (Arabic: حروف مقطعات, ḥurūf muqaṭṭaʿāt, 'disjoined letters, disconnected letters';[94] also 'mysterious letters')[95] are combinations of between one and five Arabic letters figuring at the beginning of 29 out of the 114 chapters of the Quran just after the basmala.[95] The letters are also known as fawātih (فواتح), or 'openers', as they form the opening verse of their respective suras. Four surahs are named for their muqatta'at: Ṭāʾ-Hāʾ, Yāʾ-Sīn, Ṣād, and Qāf. The original significance of the letters is unknown. Tafsir (exegesis) has interpreted them as abbreviations for either names or qualities of God or for the names or content of the respective surahs.
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According to one estimate the Quran consists of 77,430 words, 18,994 unique words, 12,183 stems, 3,382 lemmas and 1,685 roots.[96]
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The Quranic content is concerned with basic Islamic beliefs including the existence of God and the resurrection. Narratives of the early prophets, ethical and legal subjects, historical events of Muhammad's time, charity and prayer also appear in the Quran. The Quranic verses contain general exhortations regarding right and wrong and historical events are related to outline general moral lessons. Verses pertaining to natural phenomena have been interpreted by Muslims as an indication of the authenticity of the Quranic message.[97] The style of the Quran has been called "allusive," with commentaries needed to explain what is being referred to—"events are referred to, but not narrated; disagreements are debated without being explained; people and places are mentioned, but rarely named."[98]
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The central theme of the Quran is monotheism. God is depicted as living, eternal, omniscient and omnipotent (see, e.g., Quran 2:20, 2:29, 2:255). God's omnipotence appears above all in his power to create. He is the creator of everything, of the heavens and the earth and what is between them (see, e.g., Quran 13:16,2:253,50:38, etc.). All human beings are equal in their utter dependence upon God, and their well-being depends upon their acknowledging that fact and living accordingly.[41][97]
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The Quran uses cosmological and contingency arguments in various verses without referring to the terms to prove the existence of God. Therefore, the universe is originated and needs an originator, and whatever exists must have a sufficient cause for its existence. Besides, the design of the universe is frequently referred to as a point of contemplation: "It is He who has created seven heavens in harmony. You cannot see any fault in God's creation; then look again: Can you see any flaw?"[99][100]
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The doctrine of the last day and eschatology (the final fate of the universe) may be reckoned as the second great doctrine of the Quran.[41] It is estimated that approximately one-third of the Quran is eschatological, dealing with the afterlife in the next world and with the day of judgment at the end of time.[101] There is a reference to the afterlife on most pages of the Quran and belief in the afterlife is often referred to in conjunction with belief in God as in the common expression: "Believe in God and the last day."[102] A number of suras such as 44, 56, 75, 78, 81 and 101 are directly related to the afterlife and its preparations. Some suras indicate the closeness of the event and warn people to be prepared for the imminent day. For instance, the first verses of Sura 22, which deal with the mighty earthquake and the situations of people on that day, represent this style of divine address: "O People! Be respectful to your Lord. The earthquake of the Hour is a mighty thing."[103]
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The Quran is often vivid in its depiction of what will happen at the end time. Watt describes the Quranic view of End Time:[41]
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The climax of history, when the present world comes to an end, is referred to in various ways. It is 'the Day of Judgment,' 'the Last Day,' 'the Day of Resurrection,' or simply 'the Hour.' Less frequently it is 'the Day of Distinction' (when the good are separated from the evil), 'the Day of the Gathering' (of men to the presence of God) or 'the Day of the Meeting' (of men with God). The Hour comes suddenly. It is heralded by a shout, by a thunderclap, or by the blast of a trumpet. A cosmic upheaval then takes place. The mountains dissolve into dust, the seas boil up, the sun is darkened, the stars fall and the sky is rolled up. God appears as Judge, but his presence is hinted at rather than described.… The central interest, of course, is in the gathering of all mankind before the Judge. Human beings of all ages, restored to life, join the throng. To the scoffing objection of the unbelievers that former generations had been dead a long time and were now dust and mouldering bones, the reply is that God is nevertheless able to restore them to life.
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The Quran does not assert a natural immortality of the human soul, since man's existence is dependent on the will of God: when he wills, he causes man to die; and when he wills, he raises him to life again in a bodily resurrection.[104]
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According to the Quran, God communicated with man and made his will known through signs and revelations. Prophets, or 'Messengers of God', received revelations and delivered them to humanity. The message has been identical and for all humankind. "Nothing is said to you that was not said to the messengers before you, that your lord has at his Command forgiveness as well as a most Grievous Penalty."[105] The revelation does not come directly from God to the prophets. Angels acting as God's messengers deliver the divine revelation to them. This comes out in Quran 42:51, in which it is stated: "It is not for any mortal that God should speak to them, except by revelation, or from behind a veil, or by sending a messenger to reveal by his permission whatsoever He will."[53][104]
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Belief is a fundamental aspect of morality in the Quran, and scholars have tried to determine the semantic contents of "belief" and "believer" in the Quran.[106] The ethico-legal concepts and exhortations dealing with righteous conduct are linked to a profound awareness of God, thereby emphasizing the importance of faith, accountability, and the belief in each human's ultimate encounter with God. People are invited to perform acts of charity, especially for the needy. Believers who "spend of their wealth by night and by day, in secret and in public" are promised that they "shall have their reward with their Lord; on them shall be no fear, nor shall they grieve."[107] It also affirms family life by legislating on matters of marriage, divorce, and inheritance. A number of practices, such as usury and gambling, are prohibited. The Quran is one of the fundamental sources of Islamic law (sharia). Some formal religious practices receive significant attention in the Quran including the formal prayers (salat) and fasting in the month of Ramadan. As for the manner in which the prayer is to be conducted, the Quran refers to prostration.[26][104] The term for charity, zakat, literally means purification. Charity, according to the Quran, is a means of self-purification.[81][108]
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The astrophysicist Nidhal Guessoum, while being highly critical of pseudo-scientific claims made about the Quran, has highlighted the encouragement for sciences that the Quran provides by developing "the concept of knowledge." He writes:[109]:174
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The Qur'an draws attention to the danger of conjecturing without evidence (And follow not that of which you have not the (certain) knowledge of... 17:36) and in several different verses asks Muslims to require proofs (Say: Bring your proof if you are truthful 2:111), both in matters of theological belief and in natural science.
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Guessoum cites Ghaleb Hasan on the definition of "proof" according to the Quran being "clear and strong... convincing evidence or argument." Also, such a proof cannot rely on an argument from authority, citing verse 5:104. Lastly, both assertions and rejections require a proof, according to verse 4:174.[109]:56 Ismail al-Faruqi and Taha Jabir Alalwani are of the view that any reawakening of the Muslim civilization must start with the Quran; however, the biggest obstacle on this route is the "centuries old heritage of tafseer (exegesis) and other classical disciplines" which inhibit a "universal, epidemiological and systematic conception" of the Quran's message.[109]:117–8 The philosopher Muhammad Iqbal, considered the Quran's methodology and epistemology to be empirical and rational.[109]:58–9
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There are around 750 verses[which?] in the Quran dealing with natural phenomena. In many of these verses the study of nature is "encouraged and highly recommended", and historical Islamic scientists like Al-Biruni and Al-Battani derived their inspiration from verses of the Quran.[additional citation(s) needed] Mohammad Hashim Kamali has stated that "scientific observation, experimental knowledge and rationality" are the primary tools with which humanity can achieve the goals laid out for it in the Quran.[109]:63 Ziauddin Sardar built a case for Muslims having developed the foundations of modern science, by highlighting the repeated calls of the Quran to observe and reflect upon natural phenomenon.[109]:75
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The physicist Abdus Salam, in his Nobel Prize banquet address, quoted a well known verse from the Quran (67:3–4) and then stated: "This in effect is the faith of all physicists: the deeper we seek, the more is our wonder excited, the more is the dazzlement of our gaze."[109]:131 One of Salam's core beliefs was that there is no contradiction between Islam and the discoveries that science allows humanity to make about nature and the universe. Salam also held the opinion that the Quran and the Islamic spirit of study and rational reflection was the source of extraordinary civilizational development.[109]:132 Salam highlights, in particular, the work of Ibn al-Haytham and Al-Biruni as the pioneers of empiricism who introduced the experimental approach, breaking with Aristotle's influence and thus giving birth to modern science. Salam was also careful to differentiate between metaphysics and physics, and advised against empirically probing certain matters on which "physics is silent and will remain so," such as the doctrine of "creation from nothing" which in Salam's view is outside the limits of science and thus "gives way" to religious considerations.[109]:134
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The Quran's message is conveyed with various literary structures and devices. In the original Arabic, the suras and verses employ phonetic and thematic structures that assist the audience's efforts to recall the message of the text. Muslims[who?] assert (according to the Quran itself) that the Quranic content and style is inimitable.[110]
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The language of the Quran has been described as "rhymed prose" as it partakes of both poetry and prose; however, this description runs the risk of failing to convey the rhythmic quality of Quranic language, which is more poetic in some parts and more prose-like in others. Rhyme, while found throughout the Quran, is conspicuous in many of the earlier Meccan suras, in which relatively short verses throw the rhyming words into prominence. The effectiveness of such a form is evident for instance in Sura 81, and there can be no doubt that these passages impressed the conscience of the hearers. Frequently a change of rhyme from one set of verses to another signals a change in the subject of discussion. Later sections also preserve this form but the style is more expository.[111][112]
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The Quranic text seems to have no beginning, middle, or end, its nonlinear structure being akin to a web or net.[11] The textual arrangement is sometimes considered to exhibit lack of continuity, absence of any chronological or thematic order and repetitiousness.[xv][xvi] Michael Sells, citing the work of the critic Norman O. Brown, acknowledges Brown's observation that the seeming disorganization of Quranic literary expression—its scattered or fragmented mode of composition in Sells's phrase—is in fact a literary device capable of delivering profound effects as if the intensity of the prophetic message were shattering the vehicle of human language in which it was being communicated.[115][116] Sells also addresses the much-discussed repetitiveness of the Quran, seeing this, too, as a literary device.
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A text is self-referential when it speaks about itself and makes reference to itself. According to Stefan Wild, the Quran demonstrates this metatextuality by explaining, classifying, interpreting and justifying the words to be transmitted. Self-referentiality is evident in those passages where the Quran refers to itself as revelation (tanzil), remembrance (dhikr), news (naba'), criterion (furqan) in a self-designating manner (explicitly asserting its Divinity, "And this is a blessed Remembrance that We have sent down; so are you now denying it?"),[117] or in the frequent appearance of the "Say" tags, when Muhammad is commanded to speak (e.g., "Say: 'God's guidance is the true guidance'," "Say: 'Would you then dispute with us concerning God?'"). According to Wild the Quran is highly self-referential. The feature is more evident in early Meccan suras.[118]
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The Quran has sparked a huge body of commentary and explication (tafsir), aimed at explaining the "meanings of the Quranic verses, clarifying their import and finding out their significance."[119]
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Tafsir is one of the earliest academic activities of Muslims. According to the Quran, Muhammad was the first person who described the meanings of verses for early Muslims.[120] Other early exegetes included a few Companions of Muhammad, such as Abu Bakr, 'Umar ibn al-Khattab, 'Uthman ibn 'Affan, ʻAli ibn Abi Talib, 'Abdullah ibn Mas'ood, ʻAbdullah ibn Abbas, Ubayy ibn Kaʻb, Zayd ibn Thaabit, Abu Moosaa al-Ash’ari, and ‘Abdullah ibn al-Zubayr.[121] Exegesis in those days was confined to the explanation of literary aspects of the verse, the background of its revelation and, occasionally, interpretation of one verse with the help of the other. If the verse was about a historical event, then sometimes a few traditions (hadith) of Muhammad were narrated to make its meaning clear.[119]
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Because the Quran is spoken in classical Arabic, many of the later converts to Islam (mostly non-Arabs) did not always understand the Quranic Arabic, they did not catch allusions that were clear to early Muslims fluent in Arabic and they were concerned with reconciling apparent conflict of themes in the Quran. Commentators erudite in Arabic explained the allusions, and perhaps most importantly, explained which Quranic verses had been revealed early in Muhammad's prophetic career, as being appropriate to the very earliest Muslim community, and which had been revealed later, canceling out or "abrogating" (nāsikh) the earlier text (mansūkh).[122][123] Other scholars, however, maintain that no abrogation has taken place in the Quran.[124].
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There have been several commentaries of the Quran by scholars of all denominations, popular ones include Tafsir ibn Kathir, Tafsir al-Jalalayn, Tafsir Al Kabir, Tafsir al-Tabari. More modern works of Tafisr include Ma'ariful Qur'an written by Mufti Muhammad Shafi and Risale-i Nur by Bediüzzaman Said Nursi.
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Esoteric or Sufi interpretation attempts to unveil the inner meanings of the Quran. Sufism moves beyond the apparent (zahir) point of the verses and instead relates Quranic verses to the inner or esoteric (batin) and metaphysical dimensions of consciousness and existence.[125] According to Sands, esoteric interpretations are more suggestive than declarative, they are allusions (isharat) rather than explanations (tafsir). They indicate possibilities as much as they demonstrate the insights of each writer.[126]
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Sufi interpretation, according to Annabel Keeler, also exemplifies the use of the theme of love, as for instance can be seen in Qushayri's interpretation of the Quran:
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when Moses came at the time we appointed, and his Lord spoke to him, he said, 'My Lord, show yourself to me! Let me see you!' He said, 'you shall not see me but look at that mountain, if it remains standing firm you will see me.' When his Lord revealed Himself to the mountain, He made it crumble. Moses fell down unconscious. When he recovered, he said, 'Glory be to you! I repent to you! I am the first to believe!'
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Moses, in 7:143, comes the way of those who are in love, he asks for a vision but his desire is denied, he is made to suffer by being commanded to look at other than the Beloved while the mountain is able to see God. The mountain crumbles and Moses faints at the sight of God's manifestation upon the mountain. In Qushayri's words, Moses came like thousands of men who traveled great distances, and there was nothing left to Moses of Moses. In that state of annihilation from himself, Moses was granted the unveiling of the realities. From the Sufi point of view, God is the always the beloved and the wayfarer's longing and suffering lead to realization of the truths.[127]
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Muhammad Husayn Tabatabaei says that according to the popular explanation among the later exegetes, ta'wil indicates the particular meaning a verse is directed towards. The meaning of revelation (tanzil), as opposed to ta'wil, is clear in its accordance to the obvious meaning of the words as they were revealed. But this explanation has become so widespread that, at present, it has become the primary meaning of ta'wil, which originally meant "to return" or "the returning place". In Tabatabaei's view, what has been rightly called ta'wil, or hermeneutic interpretation of the Quran, is not concerned simply with the denotation of words. Rather, it is concerned with certain truths and realities that transcend the comprehension of the common run of men; yet it is from these truths and realities that the principles of doctrine and the practical injunctions of the Quran issue forth. Interpretation is not the meaning of the verse—rather it transpires through that meaning, in a special sort of transpiration. There is a spiritual reality—which is the main objective of ordaining a law, or the basic aim in describing a divine attribute—and then there is an actual significance that a Quranic story refers to.[128][129]
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According to Shia beliefs, those who are firmly rooted in knowledge like Muhammad and the imams know the secrets of the Quran. According to Tabatabaei, the statement "none knows its interpretation except God" remains valid, without any opposing or qualifying clause.[130] Therefore, so far as this verse is concerned, the knowledge of the Quran's interpretation is reserved for God. But Tabatabaei uses other verses and concludes that those who are purified by God know the interpretation of the Quran to a certain extent.[129]
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According to Tabatabaei, there are acceptable and unacceptable esoteric interpretations. Acceptable ta'wil refers to the meaning of a verse beyond its literal meaning; rather the implicit meaning, which ultimately is known only to God and can't be comprehended directly through human thought alone. The verses in question here refer to the human qualities of coming, going, sitting, satisfaction, anger and sorrow, which are apparently attributed to God. Unacceptable ta'wil is where one "transfers" the apparent meaning of a verse to a different meaning by means of a proof; this method is not without obvious inconsistencies. Although this unacceptable ta'wil has gained considerable acceptance, it is incorrect and cannot be applied to the Quranic verses. The correct interpretation is that reality a verse refers to. It is found in all verses, the decisive and the ambiguous alike; it is not a sort of a meaning of the word; it is a fact that is too sublime for words. God has dressed them with words to bring them a bit nearer to our minds; in this respect they are like proverbs that are used to create a picture in the mind, and thus help the hearer to clearly grasp the intended idea.[129][131]
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One of the notable authors of esoteric interpretation prior to the 12th century is Sulami (d. 1021) without whose work the majority of very early Sufi commentaries would not have been preserved. Sulami's major commentary is a book named Haqaiq al-Tafsir ('Truths of Exegesis') which is a compilation of commentaries of earlier Sufis. From the 11th century onwards several other works appear, including commentaries by Qushayri (d. 1074), Daylami (d. 1193), Shirazi (d. 1209) and Suhrawardi (d. 1234). These works include material from Sulami's books plus the author's contributions. Many works are written in Persian such as the works of Maybudi (d. 1135) kashf al-asrar ('the unveiling of the secrets').[125] Rumi (d. 1273) wrote a vast amount of mystical poetry in his book Mathnawi. Rumi makes heavy use of the Quran in his poetry, a feature that is sometimes omitted in translations of Rumi's work. A large number of Quranic passages can be found in Mathnawi, which some consider a kind of Sufi interpretation of the Quran. Rumi's book is not exceptional for containing citations from and elaboration on the Quran, however, Rumi does mention Quran more frequently.[132] Simnani (d. 1336) wrote two influential works of esoteric exegesis on the Quran. He reconciled notions of God's manifestation through and in the physical world with the sentiments of Sunni Islam.[133] Comprehensive Sufi commentaries appear in the 18th century such as the work of Ismail Hakki Bursevi (d. 1725). His work ruh al-Bayan ('the Spirit of Elucidation') is a voluminous exegesis. Written in Arabic, it combines the author's own ideas with those of his predecessors (notably Ibn Arabi and Ghazali).[133]
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Unlike the Salafis and Zahiri, Shias and Sufis as well as some other Muslim philosophers believe the meaning of the Quran is not restricted to the literal aspect.[134] For them, it is an essential idea that the Quran also has inward aspects. Henry Corbin narrates a hadith that goes back to Muhammad:
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The Quran possesses an external appearance and a hidden depth, an exoteric meaning and an esoteric meaning. This esoteric meaning in turn conceals an esoteric meaning (this depth possesses a depth, after the image of the celestial Spheres, which are enclosed within each other). So it goes on for seven esoteric meanings (seven depths of hidden depth).[134]
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According to this view, it has also become evident that the inner meaning of the Quran does not eradicate or invalidate its outward meaning. Rather, it is like the soul, which gives life to the body.[135] Corbin considers the Quran to play a part in Islamic philosophy, because gnosiology itself goes hand in hand with prophetology.[136]
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Commentaries dealing with the zahir ('outward aspects') of the text are called tafsir, and hermeneutic and esoteric commentaries dealing with the batin are called ta'wil ('interpretation' or 'explanation'), which involves taking the text back to its beginning. Commentators with an esoteric slant believe that the ultimate meaning of the Quran is known only to God.[11] In contrast, Quranic literalism, followed by Salafis and Zahiris, is the belief that the Quran should only be taken at its apparent meaning.[citation needed]
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Reappropriation is the name of the hermeneutical style of some ex-Muslims who have converted to Christianity. Their style or reinterpretation can sometimes be geared towards apologetics, with less reference to the Islamic scholarly tradition that contextualizes and systematizes the reading (e.g., by identifying some verses as abrogated). This tradition of interpretation draws on the following practices: grammatical renegotiation, renegotiation of textual preference, retrieval, and concession.[137]
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Translating the Quran has always been problematic and difficult. Many argue that the Quranic text cannot be reproduced in another language or form.[138] Furthermore, an Arabic word may have a range of meanings depending on the context, making an accurate translation even more difficult.[139]
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Nevertheless, the Quran has been translated into most African, Asian, and European languages.[57] The first translator of the Quran was Salman the Persian, who translated surat al-Fatiha into Persian during the seventh century.[140] Another translation of the Quran was completed in 884 in Alwar (Sindh, India, now Pakistan) by the orders of Abdullah bin Umar bin Abdul Aziz on the request of the Hindu Raja Mehruk.[141]
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The first fully attested complete translations of the Quran were done between the 10th and 12th centuries in Persian. The Samanid king, Mansur I (961–976), ordered a group of scholars from Khorasan to translate the Tafsir al-Tabari, originally in Arabic, into Persian. Later in the 11th century, one of the students of Abu Mansur Abdullah al-Ansari wrote a complete tafsir of the Quran in Persian. In the 12th century, Najm al-Din Abu Hafs al-Nasafi translated the Quran into Persian. The manuscripts of all three books have survived and have been published several times.[citation needed]
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Islamic tradition also holds that translations were made for Emperor Negus of Abyssinia and Byzantine Emperor Heraclius, as both received letters by Muhammad containing verses from the Quran.[139] In early centuries, the permissibility of translations was not an issue, but whether one could use translations in prayer.[citation needed]
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In 1936, translations in 102 languages were known.[139] In 2010, the Hürriyet Daily News and Economic Review reported that the Quran was presented in 112 languages at the 18th International Quran Exhibition in Tehran.[142]
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Robert of Ketton's 1143 translation of the Quran for Peter the Venerable, Lex Mahumet pseudoprophete, was the first into a Western language (Latin).[143]
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Alexander Ross offered the first English version in 1649, from the French translation of L'Alcoran de Mahomet (1647) by Andre du Ryer. In 1734, George Sale produced the first scholarly translation of the Quran into English; another was produced by Richard Bell in 1937, and yet another by Arthur John Arberry in 1955. All these translators were non-Muslims. There have been numerous translations by Muslims. Popular modern english translations by muslims include The Oxford World Classic's translation by Muhammad Abdel Haleem, The Clear Quran by Dr Mustafa Khattab, Sahih International's translation, among various others.
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As with translations of the Bible, the English translators have sometimes favored archaic English words and constructions over their more modern or conventional equivalents; for example, two widely read translators, Abdullah Yusuf Ali and Marmaduke Pickthall, use the plural and singular "ye" and "thou" instead of the more common "you."[144]
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The oldest Gurmukhi translation of the Quran Sharif has been found in village Lande of Moga district of Punjab which was printed in 1911.[145]
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Arabic Quran with interlinear Persian translation from the Ilkhanid Era.
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The first printed Quran in a European vernacular language: L'Alcoran de Mahomet, André du Ryer, 1647.
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Title page of the first German translation (1772) of the Quran.
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Verses 33 and 34 of surat Yā Sīn in this Chinese translation of the Quran.
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The proper recitation of the Quran is the subject of a separate discipline named tajwid which determines in detail how the Quran should be recited, how each individual syllable is to be pronounced, the need to pay attention to the places where there should be a pause, to elisions, where the pronunciation should be long or short, where letters should be sounded together and where they should be kept separate, etc. It may be said that this discipline studies the laws and methods of the proper recitation of the Quran and covers three main areas: the proper pronunciation of consonants and vowels (the articulation of the Quranic phonemes), the rules of pause in recitation and of resumption of recitation, and the musical and melodious features of recitation.[146]
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In order to avoid incorrect pronunciation, reciters who are not native speakers of Arabic language follow a program of training in countries such as Egypt or Saudi Arabia. The recitations of a few Egyptian reciters, like El Minshawy, Al-Hussary, Abdul Basit, Mustafa Ismail, were highly influential in the development of the art of recitation.[147][148][149][150]:83 Southeast Asia is well known for world-class recitation, evidenced in the popularity of the woman reciters such as Maria Ulfah of Jakarta.[146]
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There are two types of recitation:
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Vocalization markers indicating specific vowel sounds (tashkeel) were introduced into the text of the Qur'an during the lifetimes of the last Sahabah.[152] The first Quranic manuscripts lacked these marks, enabling multiple possible recitations to be conveyed by the same written text. The 10th-century Muslim scholar from Baghdad, Ibn Mujāhid, is famous for establishing seven acceptable textual readings of the Quran. He studied various readings and their trustworthiness and chose seven 8th-century readers from the cities of Mecca, Medina, Kufa, Basra and Damascus. Ibn Mujahid did not explain why he chose seven readers, rather than six or ten, but this may be related to a prophetic tradition (Muhammad's saying) reporting that the Quran had been revealed in seven ahruf (meaning seven letters or modes). Today, the most popular readings are those transmitted by Ḥafṣ (d. 796) and Warsh (d. 812) which are according to two of Ibn Mujahid's reciters, Aasim ibn Abi al-Najud (Kufa, d. 745) and Nafi‘ al-Madani (Medina, d. 785), respectively. The influential standard Quran of Cairo uses an elaborate system of modified vowel-signs and a set of additional symbols for minute details and is based on ʻAsim's recitation, the 8th-century recitation of Kufa. This edition has become the standard for modern printings of the Quran.[53][60]
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The variant readings of the Quran are one type of textual variant.[153][154] According to Melchert (2008), the majority of disagreements have to do with vowels to supply, most of them in turn not conceivably reflecting dialectal differences and about one in eight disagreements has to do with whether to place dots above or below the line.[155]
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Nasser categorizes variant readings into various subtypes, including internal vowels, long vowels, gemination (shaddah), assimilation and alternation.[156]
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Occasionally, an early Quran shows compatibility with a particular reading. A Syrian manuscript from the 8th century is shown to have been written according to the reading of Ibn Amir ad-Dimashqi.[157] Another study suggests that this manuscript bears the vocalization of himsi region.[158]
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Before printing was widely adopted in the 19th century, the Quran was transmitted in manuscripts made by calligraphers and copyists. The earliest manuscripts were written in Ḥijāzī-typescript. The Hijazi style manuscripts nevertheless confirm that transmission of the Quran in writing began at an early stage. Probably in the ninth century, scripts began to feature thicker strokes, which are traditionally known as Kufic scripts. Toward the end of the ninth century, new scripts began to appear in copies of the Quran and replace earlier scripts. The reason for discontinuation in the use of the earlier style was that it took too long to produce and the demand for copies was increasing. Copyists would therefore choose simpler writing styles. Beginning in the 11th century, the styles of writing employed were primarily the naskh, muhaqqaq, rayḥānī and, on rarer occasions, the thuluth script. Naskh was in very widespread use. In North Africa and Iberia, the Maghribī style was popular. More distinct is the Bihari script which was used solely in the north of India. Nastaʻlīq style was also rarely used in Persian world.[159][160]
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In the beginning, the Quran was not written with dots or tashkeel. These features were added to the text during the lifetimes of the last of the Sahabah.[152] Since it would have been too costly for most Muslims to purchase a manuscript, copies of the Quran were held in mosques in order to make them accessible to people. These copies frequently took the form of a series of 30 parts or juzʼ. In terms of productivity, the Ottoman copyists provide the best example. This was in response to widespread demand, unpopularity of printing methods and for aesthetic reasons.[161]
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Folio from the "Blue" Quran. Brooklyn Museum.
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kufic script, Eighth or ninth century.
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maghribi script, 13th–14th centuries.
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muhaqaq script, 14th–15th centuries.
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shikasta nastaliq script, 18th–19th centuries.
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Wood-block printing of extracts from the Quran is on record as early as the 10th century.[162]
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Arabic movable type printing was ordered by Pope Julius II (r. 1503–1512) for distribution among Middle Eastern Christians.[163] The first complete Quran printed with movable type was produced in Venice in 1537/1538 for the Ottoman market by Paganino Paganini and Alessandro Paganini.[164] But this Quran was not used as it contained a large number of errors.[165] Two more editions include those published by the pastor Abraham Hinckelmann in Hamburg in 1694,[166] and by Italian priest Ludovico Maracci in Padua in 1698 with Latin translation and commentary.[167]
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Printed copies of the Quran during this period met with strong opposition from Muslim legal scholars: printing anything in Arabic was prohibited in the Ottoman empire between 1483 and 1726—initially, even on penalty of death.[168][169][170] The Ottoman ban on printing in Arabic script was lifted in 1726 for non-religious texts only upon the request of Ibrahim Muteferrika, who printed his first book in 1729. Except for books in Hebrew and European languages, which were unrestricted, very few books, and no religious texts, were printed in the Ottoman Empire for another century.[xvii]
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In 1786, Catherine the Great of Russia, sponsored a printing press for "Tatar and Turkish orthography" in Saint Petersburg, with one Mullah Osman Ismail responsible for producing the Arabic types. A Quran was printed with this press in 1787, reprinted in 1790 and 1793 in Saint Petersburg, and in 1803 in Kazan.[xviii] The first edition printed in Iran appeared in Tehran (1828), a translation in Turkish was printed in Cairo in 1842, and the first officially sanctioned Ottoman edition was finally printed in Constantinople between 1875 and 1877 as a two-volume set, during the First Constitutional Era.[173][174]
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Gustav Flügel published an edition of the Quran in 1834 in Leipzig, which remained authoritative for close to a century, until Cairo's Al-Azhar University published an edition of the Quran in 1924. This edition was the result of a long preparation, as it standardized Quranic orthography, and it remains the basis of later editions.[159]
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Regarding the claim of divine origin, critics refere to preexisting sources, not only taken from the Bible, supposed to be older revelations of God, but also from heretic-, apocryphic and talmudic sources, such as The Syriac Infancy Gospel and Gospel of James. Due to rejection of Crucifixion of Jesus in the Quran, some scholars also suspect Manichaean, a dualistic religion believing in two eternal forces, influences on the Quran. Christopher Hitchens states that Islam as whole, both hadith and the Quran, are little more than a poorly structured plagiarisms, using earlier sacred works and traditions depending on what the situation seemed to require. Abrogation (Naskh) is often seen as an acknowledgment of contradicting Quranic verses. Simultaneously, some scholars regard abrogation as unnecessary and a deficit on scholarly interpretation not of the Quran.
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The Tafsir'ilmi believe the Quran predicts scientific knowledge, relating the author to non-human origin. Critics argue, verses which allegedly explain modern scientific facts, about subjects such as biology, evolution of the earth, and human life, contain fallacies and are unscientific.[175][176][177] Most claims of predictions rely on the ambiguity of the Arabic language, another point of criticism. Despite calling itself a clear book, the Quranic language lacks clarity.[181]
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Other criticisms point at the moral attitude asserted by the Quran, such as commanding to strike disobedient wives, carnality in the afterlife and commandments of warfare.
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Some non-Muslim groups such as Bahá'ís and Druze view the Quran as holy. Unitarian Universalists may also seek inspiration from the Quran. The Quran has been noted to have certain narratives similarities to the Diatessaron, Protoevangelium of James, Infancy Gospel of Thomas, Gospel of Pseudo-Matthew and the Arabic Infancy Gospel.[182][183][184] One scholar has suggested that the Diatessaron, as a gospel harmony, may have led to the conception that the Christian Gospel is one text.[185]
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|
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It is He Who sent down to thee (step by step), in truth, the Book, confirming what went before it; and He sent down the Law (of Moses) and the Gospel (of Jesus) before this, as a guide to mankind, and He sent down the criterion (of judgment between right and wrong).[186]
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|
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The Quran attributes its relationship with former books (the Torah and the Gospels) to their unique origin, saying all of them have been revealed by the one God.[187]
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|
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According to Christoph Luxenberg (in The Syro-Aramaic Reading of the Koran) the Quran's language was similar to the Syriac language.[188] The Quran recounts stories of many of the people and events recounted in Jewish and Christian sacred books (Tanakh, Bible) and devotional literature (Apocrypha, Midrash), although it differs in many details. Adam, Enoch, Noah, Eber, Shelah, Abraham, Lot, Ishmael, Isaac, Jacob, Joseph, Job, Jethro, David, Solomon, Elijah, Elisha, Jonah, Aaron, Moses, Zechariah, John the Baptist and Jesus are mentioned in the Quran as prophets of God (see Prophets of Islam). In fact, Moses is mentioned more in the Quran than any other individual.[189] Jesus is mentioned more often in the Quran than Muhammad (by name — Muhammad is often alluded to as "The Prophet" or "The Apostle"), while Mary is mentioned in the Quran more than the New Testament.[190]
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|
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After the Quran, and the general rise of Islam, the Arabic alphabet developed rapidly into an art form.[57]
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Wadad Kadi, Professor of Near Eastern Languages and Civilizations at University of Chicago, and Mustansir Mir, Professor of Islamic studies at Youngstown State University, state:[191]
|
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|
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Although Arabic, as a language and a literary tradition, was quite well developed by the time of Muhammad's prophetic activity, it was only after the emergence of Islam, with its founding scripture in Arabic, that the language reached its utmost capacity of expression, and the literature its highest point of complexity and sophistication. Indeed, it probably is no exaggeration to say that the Quran was one of the most conspicuous forces in the making of classical and post-classical Arabic literature.
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The main areas in which the Quran exerted noticeable influence on Arabic literature are diction and themes; other areas are related to the literary aspects of the Quran particularly oaths (q.v.), metaphors, motifs and symbols. As far as diction is concerned, one could say that Quranic words, idioms and expressions, especially "loaded" and formulaic phrases, appear in practically all genres of literature and in such abundance that it is simply impossible to compile a full record of them. For not only did the Quran create an entirely new linguistic corpus to express its message, it also endowed old, pre-Islamic words with new meanings and it is these meanings that took root in the language and subsequently in the literature...
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|
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"Its outstanding literary merit should also be noted: it is by far, the finest work of Arabic prose in existence."[14]
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"It may be affirmed that within the literature of the Arabs, wide and fecund as it is both in poetry and in elevated prose, there is nothing to compare with it."[15]
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|
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Quran browsers and translations
|
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|
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Word-for-word analysis:
|
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Manuscripts:
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Other resources:
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en/1312.html.txt
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1 |
+
Plucked
|
2 |
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|
3 |
+
String instruments, stringed instruments, or chordophones are musical instruments that produce sound from vibrating strings when the performer plays or sounds the strings in some manner.
|
4 |
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|
5 |
+
Musicians play some string instruments by plucking the strings with their fingers or a plectrum—and others by hitting the strings with a light wooden hammer or by rubbing the strings with a bow. In some keyboard instruments, such as the harpsichord, the musician presses a key that plucks the string.
|
6 |
+
|
7 |
+
With bowed instruments, the player pulls a rosined horsehair bow across the strings, causing them to vibrate. With a hurdy-gurdy, the musician cranks a wheel whose rosined edge touches the strings.
|
8 |
+
|
9 |
+
Bowed instruments include the string section instruments of the Classical music orchestra (violin, viola, cello and double bass) and a number of other instruments (e.g., viols and gambas used in early music from the Baroque music era and fiddles used in many types of folk music). All of the bowed string instruments can also be plucked with the fingers, a technique called "pizzicato". A wide variety of techniques are used to sound notes on the electric guitar, including plucking with the fingernails or a plectrum, strumming and even "tapping" on the fingerboard and using feedback from a loud, distorted guitar amplifier to produce a sustained sound. Some types of string instrument are mainly plucked, such as the harp and the electric bass. In the Hornbostel-Sachs scheme of musical instrument classification, used in organology, string instruments are called chordophones. Other examples include the sitar, rebab, banjo, mandolin, ukulele, and bouzouki.
|
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|
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In most string instruments, the vibrations are transmitted to the body of the instrument, which often incorporates some sort of hollow or enclosed area. The body of the instrument also vibrates, along with the air inside it. The vibration of the body of the instrument and the enclosed hollow or chamber make the vibration of the string more audible to the performer and audience. The body of most string instruments is hollow. Some, however—such as electric guitar and other instruments that rely on electronic amplification—may have a solid wood body.
|
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|
13 |
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Dating to around c. 13,000–BC, a cave painting in the Trois Frères cave in France depicts what some believe is a musical bow, a hunting bow used as a single-stringed musical instrument.[1][2] From the musical bow, families of stringed instruments developed; since each string played a single note, adding strings added new notes, creating bow harps, harps and lyres.[3] In turn, this led to being able to play dyads and chords. Another innovation occurred when the bow harp was straightened out and a bridge used to lift the strings off the stick-neck, creating the lute.[4]
|
14 |
+
|
15 |
+
This picture of musical bow to harp bow is theory and has been contested. In 1965 Franz Jahnel wrote his criticism stating that the early ancestors of plucked instruments are not currently known.[5] He felt that the harp bow was a long cry from the sophistication of the civilizations of western Asia in 4000 BC that took the primitive technology and created "technically and artistically well-made harps, lyres, citharas, and lutes."[5]
|
16 |
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|
17 |
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Archaeological digs have identified some of the earliest stringed instruments in Ancient Mesopotamian sites, like the lyres of Ur, which include artifacts over three thousand years old. The development of lyre instruments required the technology to create a tuning mechanism to tighten and loosen the string tension. Lyres with wooden bodies and strings used for plucking or playing with a bow represent key instruments that point towards later harps and violin-type instruments; moreover, Indian instruments from 500 BC have been discovered with anything from 7 to 21 strings.
|
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+
|
19 |
+
Musicologists have put forth examples of that 4th-century BC technology, looking at engraved images that have survived. The earliest image showing a lute-like instrument came from Mesopotamia prior to 3000 BC.[7] A cylinder seal from c. 3100 BC or earlier (now in the possession of the British Museum) shows what is thought to be a woman playing a stick lute.[7][8] From the surviving images, theororists have categorized the Mesopotamian lutes, showing that they developed into a long variety and a short.[9] The line of long lutes may have developed into the tamburs and pandura.[10] The line of short lutes was further developed to the east of Mesopotamia, in Bactria, Gandhara, and Northwest India, and shown in sculpture from the 2nd century BC through the 4th or 5th centuries AD.[11][12][13]
|
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|
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+
During the medieval era, instrument development varied in different regions of the world. Middle Eastern rebecs represented breakthroughs in terms of shape and strings, with a half a pear shape using three strings. Early versions of the violin and fiddle, by comparison, emerged in Europe through instruments such as the gittern, a four-stringed precursor to the guitar, and basic lutes. These instruments typically used catgut (animal intestine) and other materials, including silk, for their strings.
|
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|
23 |
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String instrument design refined during the Renaissance and into the Baroque period (1600–1750) of musical history. Violins and guitars became more consistent in design and were roughly similar to acoustic guitars of the 2000s. The violins of the Renaissance featured intricate woodwork and stringing, while more elaborate bass instruments such as the bandora were produced alongside quill-plucked citterns, and Spanish body guitars.
|
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+
|
25 |
+
In the 19th century, string instruments were made more widely available through mass production, with wood string instruments a key part of orchestras – cellos, violas, and upright basses, for example, were now standard instruments for chamber ensembles and smaller orchestras. At the same time, the 19th-century guitar became more typically associated with six string models, rather than traditional five string versions.
|
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+
|
27 |
+
Major changes to string instruments in the 20th century primarily involved innovations in electronic instrument amplification and electronic music – electric violins were available by the 1920s, and were an important part of emerging jazz music trends in the United States. The acoustic guitar was widely used in blues and jazz, but as an acoustic instrument, it was not loud enough to be a solo instrument, so these genres mostly used it as an accompaniment rhythm section instrument. In big bands of the 1920s, the acoustic guitar played backing chords, but it was not loud enough to play solos like the saxophone and trumpet. The development of guitar amplifiers, which contained a power amplifier and a loudspeaker in a wooden cabinet, let jazz guitarists play solos and be heard over a big band. The development of the electric guitar provided guitarists with an instrument that was built to connect to guitar amplifiers. Electric guitars have magnetic pickups, volume control knobs and an output jack.
|
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|
29 |
+
In the 1960s, larger, more powerful guitar amplifiers were developed, called "stacks". These powerful amplifiers enabled guitarists to perform in rock bands that played in large venues such as stadiums and outdoor music festivals (e.g., Woodstock Music Festival). Along with the development of guitar amplifiers, a large range of electronic effects units, many in small stompbox pedals were introduced in the 1960s and 1970s, such as fuzz pedals, flangers and phaser enabling performers to create unique new sounds during the psychedelic rock era. Breakthroughs in electric guitar and basses technologies and playing styles enabled major breakthroughs in pop and rock music in the 1960s and 1970s. The distinctive sound of the amplified electric guitar was the centerpiece of new genres of music such as blues rock and jazz-rock fusion. The sonic power of the loudly amplified, highly distorted electric guitar was to key element of the early heavy metal music, with the distorted guitar being used in lead guitar roles, and with power chords as a rhythm guitar.
|
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|
31 |
+
The ongoing use of electronic amplification and effects units in string instruments, ranging from traditional instruments like the violin to the new electric guitar, added variety to contemporary classical music performances, and enabled experimentation in the dynamic and timbre (tone colour) range of orchestras, bands, and solo performances.[14]
|
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|
33 |
+
String instruments can be divided in three groups
|
34 |
+
|
35 |
+
It is also possible to divide the instruments into categories focused on how the instrument is played.
|
36 |
+
|
37 |
+
All string instruments produce sound from one or more vibrating strings, transferred to the air by the body of the instrument (or by a pickup in the case of electronically amplified instruments). They are usually categorised by the technique used to make the strings vibrate (or by the primary technique, in the case of instruments where more than one may apply.) The three most common techniques are plucking, bowing, and striking. An important difference between bowing and plucking is that in the former the phenomenon is periodic so that the overtones are kept in a strictly harmonic relationship to the fundamental.[15]
|
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+
|
39 |
+
Plucking is a method of playing on instruments such as the veena, banjo, ukulele, guitar, harp, lute, mandolin, oud, and sitar, using either a finger, thumb, or quills (now plastic plectra) to pluck the strings.
|
40 |
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|
41 |
+
Instruments normally played by bowing (see below) may also be plucked, a technique referred to by the Italian term pizzicato.
|
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+
|
43 |
+
Bowing (Italian: arco) is a method used in some string instruments, including the violin, viola, cello, and the double bass (of the violin family), and the old viol family. The bow consists of a stick with a "ribbon" of parallel horse tail hairs stretched between its ends. The hair is coated with rosin so it can grip the string; moving the hair across a string causes a stick-slip phenomenon, making the string vibrate, and prompting the instrument to emit sound. Darker grades of rosin grip well in cool, dry climates, but may be too sticky in warmer, more humid weather. Violin and viola players generally use harder, lighter-colored rosin than players of lower-pitched instruments, who tend to favor darker, softer rosin.[16]
|
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|
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+
The ravanahatha is one of the oldest string instruments. Ancestors of the modern bowed string instruments are the rebab of the Islamic Empires, the Persian kamanche and the Byzantine lira. Other bowed instruments are the rebec, hardingfele, nyckelharpa, kokyū, erhu, igil, sarangi and K'ni. The hurdy-gurdy is bowed by a wheel. Rarely, the guitar has been played with a bow (rather than plucked) for unique effects.
|
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|
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The third common method of sound production in stringed instruments is to strike the string. The piano and hammered dulcimer use this method of sound production. Even though the piano strikes the strings, the use of felt hammers means that the sound that is produced can nevertheless be mellow and rounded, in contrast to the sharp attack produced when a very hard hammer strikes the strings.
|
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|
49 |
+
Violin family string instrument players are occasionally instructed to strike the string with the stick of the bow, a technique called col legno. This yields a percussive sound along with the pitch of the note. A well-known use of col legno for orchestral strings is Gustav Holst's "Mars" movement from The Planets suite.
|
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+
|
51 |
+
The aeolian harp employs a very unusual method of sound production: the strings are excited by the movement of the air.
|
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|
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Some instruments that have strings have an attached keyboard that the player presses keys on to trigger a mechanism that sounds the strings, instead of directly manipulating the strings. These include the piano, the clavichord, and the harpsichord. With these keyboard instruments, strings are occasionally plucked or bowed by hand. Modern composers such as Henry Cowell wrote music that requires that the player reach inside the piano and pluck the strings directly, "bow" them with bow hair wrapped around the strings, or play them by rolling the bell of a brass instrument such as a trombone on the array of strings. However, these are relatively rarely used special techniques.
|
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+
|
55 |
+
Other keyed string instruments, small enough for a strolling musician to play, include the plucked autoharp, the bowed nyckelharpa, and the hurdy-gurdy, which is played by cranking a rosined wheel.
|
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+
|
57 |
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Steel-stringed instruments (such as the guitar, bass, violin, etc.) can be played using a magnetic field. An E-Bow is a small hand-held battery-powered device that magnetically excites the strings of an electric string instrument to provide a sustained, singing tone reminiscent of a held bowed violin note.
|
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|
59 |
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Third bridge is a plucking method where the player frets a string and strikes the side opposite the bridge. The technique is mainly used on electric instruments because these have a pickup that amplifies only the local string vibration. It is possible on acoustic instruments as well, but less effective. For instance, a player might press on the seventh fret on a guitar and pluck it at the head side to make a tone resonate at the opposed side. On electric instruments, this technique generates multitone sounds reminiscent of a clock or bell.
|
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+
|
61 |
+
Electric string instruments, such as the electric guitar, can also be played without touching the strings by using audio feedback. When an electric guitar is plugged into a loud, powerful guitar amplifier with a loudspeaker and a high level of distortion is intentionally used, the guitar produces sustained high-pitched sounds. By changing the proximity of the guitar to the speaker, the guitarist can produce sounds that cannot be produced with standard plucking and picking techniques. This technique was popularized by Jimi Hendrix and others in the 1960s. It was widely used in psychedelic rock and heavy metal music.
|
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|
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There are three ways to change the pitch of a vibrating string. String instruments are tuned by varying the strings' tension because adjusting length or mass per unit length is impractical. Instruments with a fingerboard are then played by adjusting the length of the vibrating portion of the strings. The following observations all apply to a string that is infinitely flexible (a theoretical assumption, because in practical applications, strings are not infinitely flexible) strung between two fixed supports. Real strings have finite curvature at the bridge and nut, and the bridge, because of its motion, are not exactly nodes of vibration. Hence the following statements about proportionality are approximations.
|
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|
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Pitch can be adjusted by varying the length of the string.[15] A longer string results in a lower pitch, while a shorter string results in a higher pitch. The frequency is inversely proportional to the length:
|
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+
|
67 |
+
A string twice as long produces a tone of half the frequency (one octave lower).
|
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|
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+
Pitch can be adjusted by varying the tension of the string. A string with less tension (looser) results in a lower pitch, while a string with greater tension (tighter) results in a higher pitch. A homemade washtub bass made out of a length of rope, a broomstick and a washtub can produce different pitches by increasing the tension on the rope (producing a higher pitch) or reducing the tension (producing a lower pitch). The frequency is proportional to the square root of the tension:
|
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|
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The pitch of a string can also be varied by changing the linear density (mass per unit length) of the string. In practical applications, such as with double bass strings or bass piano strings, extra weight is added to strings by winding them with metal. A string with a heavier metal winding produces a lower pitch than a string of equal length without a metal winding. This can be seen on a 2016-era set of gut strings for double bass. The higher-pitched G string is often made of synthetic material, or sometimes animal intestine, with no metal wrapping. To enable the low E string to produce a much lower pitch with a string of the same length, it is wrapped with many wrappings of thin metal wire. This adds to its mass without making it too stiff. The frequency is inversely proportional to the square root of the linear density:
|
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|
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+
Given two strings of equal length and tension, the string with higher mass per unit length produces the lower pitch.
|
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|
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The length of the string from nut to bridge on bowed or plucked instruments ultimately determines the distance between different notes on the instrument. For example, a double bass with its low range needs a scale length of around 42 inches (110 cm), whilst a violin scale is only about 13 inches (33 cm). On the shorter scale of the violin, the left hand may easily reach a range of slightly more than two octaves without shifting position, while on the bass' longer scale, a single octave or a ninth is reachable in lower positions.
|
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|
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In bowed instruments, the bow is normally placed perpendicularly to the string, at a point halfway between the end of the fingerboard and the bridge. However, different bow placements can be selected to change timbre. Application of the bow close to the bridge (known as sul ponticello) produces an intense, sometimes harsh sound, which acoustically emphasizes the upper harmonics. Bowing above the fingerboard (sul tasto) produces a purer tone with less overtone strength, emphasizing the fundamental, also known as flautando, since it sounds less reedy and more flute-like.
|
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|
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Bowed instruments pose a challenge to instrument builders, as compared with instruments that are only plucked (e.g., guitar), because on bowed instruments, the musician must be able to play one string at a time if they wish. As such, a bowed instrument must have a curved bridge that makes the "outer" strings lower in height than the "inner" strings. With such a curved bridge, the player can select one string at a time to play. On guitars and lutes, the bridge can be flat, because the strings are played by plucking them with the fingers, fingernails or a pick; by moving the fingers or pick to different positions, the player can play different strings. On bowed instruments, the need to play strings individually with the bow also limits the number of strings to about six or seven strings; with more strings, it would be impossible to select individual strings to bow. (Note: bowed strings can also play two bowed notes on two different strings at the same time, a technique called a double stop.) Indeed, on the orchestral string section instruments, four strings are the norm, with the exception of five strings used on some double basses. In contrast, with stringed keyboard instruments, 88 courses are used on a piano, and even though these strings are arranged on a flat bridge, the mechanism can play any of the notes individually.
|
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|
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Similar timbral distinctions are also possible with plucked string instruments by selecting an appropriate plucking point, although the difference is perhaps more subtle.
|
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|
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In keyboard instruments, the contact point along the string (whether this be hammer, tangent, or plectrum) is a choice made by the instrument designer. Builders use a combination of experience and acoustic theory to establish the right set of contact points.
|
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|
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In harpsichords, often there are two sets of strings of equal length. These "choirs" usually differ in their plucking points. One choir has a "normal" plucking point, producing a canonical harpsichord sound; the other has a plucking point close to the bridge, producing a reedier "nasal" sound rich in upper harmonics.
|
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|
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A single string at a certain tension and length only produces one note. To produce multiple notes, string instruments use one of two methods. One is to add enough strings to cover the required range of different notes (e.g., as with the piano, which has sets of 88 strings to enable the performer to play 88 different notes). The other is to provide a way to stop the strings along their length to shorten the part that vibrates, which is the method used in guitar and violin family instruments to produce different notes from the same string. The piano and harp represent the first method, where each note on the instrument has its own string or course of multiple strings tuned to the same note. (Many notes on a piano are strung with a "choir" of three strings tuned alike, to increase the volume.) A guitar represents the second method—the player's fingers push the string against the fingerboard so that the string is pressed firmly against a metal fret. Pressing the string against a fret while plucking or strumming it shortens the vibrating part and thus produces a different note.
|
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|
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Some zithers combine stoppable (melody) strings with a greater number of "open" harmony or chord strings. On instruments with stoppable strings, such as the violin or guitar, the player can shorten the vibrating length of the string, using their fingers directly (or more rarely through some mechanical device, as in the nyckelharpa and the hurdy-gurdy). Such instruments usually have a fingerboard attached to the neck of the instrument, that provides a hard flat surface the player can stop the strings against. On some string instruments, the fingerboard has frets, raised ridges perpendicular to the strings, that stop the string at precise intervals, in which case the fingerboard is also called a fretboard.
|
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|
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Moving frets during performance is usually impractical. The bridges of a koto, on the other hand, may be moved by the player occasionally in the course of a single piece of music. Many modern Western harps include levers, either directly moved by fingers (on Celtic harps) or controlled by foot pedals (on orchestral harps), to raise the pitch of individual strings by a fixed amount. The Middle Eastern zither, the qanun, is equipped with small levers called mandal that let each course of multiple strings be incrementally retuned "on the fly" while the instrument is being played. These levers raise or lower the pitch of the string course by a microtone, less than a half step.
|
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|
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Some instruments are employed with sympathetic strings—which are additional strings not meant to be plucked. These strings resonate with the played notes, creating additional tones. Sympathetic strings vibrate naturally when various intervals, such as the unisons or the octaves of the notes of the sympathetic strings are plucked, bowed or struck. This system is used on the sarangi, the grand piano, the hardanger fiddle and the rubab.
|
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|
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A vibrating string strung on a very thick log, as a hypothetical example, would make only a very quiet sound, so string instruments are usually constructed in such a way that the vibrating string is coupled to a hollow resonating chamber, a soundboard, or both. On the violin, for example, the four strings pass over a thin wooden bridge resting on a hollow box (the body of the violin). The normal force applied to the body from the strings is supported in part by a small cylinder of wood called the soundpost. The violin body also has two "f-holes" carved on the top. The strings' vibrations are distributed via the bridge and soundpost to all surfaces of the instrument, and are thus made louder by matching of the acoustic impedance. The correct technical explanation is that they allow a better match to the acoustic impedance of the air.[citation needed]
|
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|
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It is sometimes said that the sounding board or soundbox "amplifies" the sound of the strings. In reality, no power amplification occurs, because all of the energy to produce sound comes from the vibrating string. The mechanism is that the sounding board of the instrument provides a larger surface area to create sound waves than that of the string and therefore acts a matching element between the acoustic impedance of the string and that of the surrounding air. . A larger vibrating surface can sometimes produce better matching; especially at lower frequencies.
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All lute type instruments traditionally have a bridge, which holds the string at the proper action height from the fret/finger board at one end of the strings. On acoustic instruments, the bridge performs an equally important function of transmitting string energy into the "sound box" of the instrument, thereby increasing the sound volume. The specific design, and materials the used in the construction of the bridge of an instrument, have a dramatic impact upon both the sound and responsiveness of the instrument.
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Achieving a tonal characteristic that is effective and pleasing to the player's and listener's ear is something of an art and craft, as well as a science, and the makers of string instruments often seek very high quality woods to this end, particularly spruce (chosen for its lightness, strength and flexibility) and maple (a very hard wood). Spruce is used for the sounding boards of instruments from the violin to the piano. Instruments such as the banjo use a drum, covered in natural or synthetic skin as their soundboard.
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Acoustic instruments can also be made out of artificial materials, such as carbon fiber and fiberglass (particularly the larger, lower-pitched instruments, such as cellos and basses).
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In the early 20th century, the Stroh violin used a diaphragm-type resonator and a metal horn to project the string sound, much like early mechanical gramophones. Its use declined beginning about 1920, as electronic amplification through power amplifiers and loudspeakers was developed and came into use. String instrument players can electronically amplify their instruments by connecting them to a PA system or a guitar amplifier.
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Most string instruments can be fitted with piezoelectric or magnetic pickups to convert the string's vibrations into an electrical signal that is amplified and then converted back into sound by loudspeakers. Some players attach a pickup to their traditional string instrument to "electrify" it. Another option is to use a solid-bodied instrument, which reduces unwanted feedback howls or squeals.
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Amplified string instruments can be much louder than their acoustic counterparts, so musicians can play them in relatively loud rock, blues, and jazz ensembles. Amplified instruments can also have their amplified tone modified by using electronic effects such as distortion, reverb, or wah-wah.
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Bass-register string instruments such as the double bass and the electric bass are amplified with bass instrument amplifiers that are designed to reproduce low-frequency sounds. To modify the tone of amplified bass instruments, a range of electronic bass effects are available, such as distortion and chorus.
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The string instruments usually used in the orchestra,[18] and often called the "symphonic strings" or string section are:[19]
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When orchestral instrumentation specifies "strings," it often means this combination of string parts. Orchestral works rarely omit any of these string parts, but often include additional string instruments, especially the concert harp and piano. In the Baroque orchestra from the 1600s–1750 (or with modern groups playing early music) harpsichord is almost always used to play the basso continuo part (the written-out bass line and improvised chords), and often a theorbo or lute or a pipe organ. In some classical music, such as the string quartet, the double bass is not typically used; the cello plays the bass role in this literature.
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